Vol. 86 Friday, No. 28 February 12, 2021

Pages 9253–9432

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 86, No. 28

Friday, February 12, 2021

Agency for Toxic Substances and Disease Registry Meetings: NOTICES Board of Scientific Counselors, National Center for Injury Agency Information Collection Activities; Proposals, Prevention and Control; Correction, 9342 Submissions, and Approvals, 9340–9342 Centers for Medicare & Medicaid Services Agricultural Marketing Service NOTICES RULES Agency Information Collection Activities; Proposals, Continuance Referendum: Submissions, and Approvals, 9348–9351 Irish Potatoes Grown in Certain Designated Counties in Idaho, and Malheur County, Oregon, 9253 Children and Families Administration NOTICES Agriculture Department Agency Information Collection Activities; Proposals, See Agricultural Marketing Service Submissions, and Approvals: See Animal and Plant Health Inspection Service Planned Use of Child Care and Development Fund See Farm Service Agency Coronavirus Response and Relief Supplemental NOTICES Appropriations Act, 2021 Funds Report, 9351 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 9317 Commerce Department Animal and Plant Health Inspection Service See Foreign-Trade Zones Board See International Trade Administration NOTICES See National Oceanic and Atmospheric Administration Agency Information Collection Activities; Proposals, Submissions, and Approvals: Citrus Canker, Citrus Greening, and Asian Citrus Psyllid; Committee for Purchase From People Who Are Blind or Interstate Movement of Regulated Nursery Stock, Severely Disabled 9318–9319 NOTICES Communicable Diseases in Horses, 9317–9318 Procurement List; Additions and Deletions, 9325–9326 Gypsy Moth Identification Worksheet and Checklist, 9319–9320 Commodity Futures Trading Commission PROPOSED RULES Antitrust Division Swap Execution Facilities and Trade Execution NOTICES Requirement; Withdrawal, 9304–9307 Changes under the National Cooperative Research and Production Act: Comptroller of the Currency 3D PDF Consortium, Inc., 9376 RULES Consortium for Battery Innovation, 9372 Role of Supervisory Guidance, 9253–9261 Consortium for Execution of Rendezvous and Servicing Operations, 9372–9373 Employee Benefits Security Administration Cooperative Research Group on ROS-Industrial NOTICES Consortium-Americas, 9374 Proposed Exemption for Certain Prohibited Transaction Information Warfare Research Project Consortium, 9373 Restrictions: Integrated Photonics Institute for Manufacturing DWS Investment Management Americas, Inc. (DIMA or Innovation operating under the name of the the Applicant) and Certain Current and Future Asset American Institute for Manufacturing Integrated Management Affiliates of Deutsche Bank AG (each a Photonics, 9375 DB QPAM), 9376–9388 National Spectrum Consortium, 9376 Naval Surface Technology and Innovation Consortium, Energy Department 9374 See Federal Energy Regulatory Commission Pistoia Alliance, Inc., 9372 See National Nuclear Security Administration PXI Systems Alliance, Inc., 9371–9372 NOTICES Space Enterprise Consortium, 9374–9375 Meetings: The Institute of Electrical and Electronics Engineers, Inc., Environmental Management Site-Specific Advisory 9375 Board, Hanford, 9326–9327

Bureau of Consumer Financial Protection Environmental Protection Agency RULES RULES Role of Supervisory Guidance, 9261–9269 Air Quality State Implementation Plans; Approvals and Promulgations: Centers for Disease Control and Prevention Arkansas; Infrastructure for the 2015 Ozone National NOTICES Ambient Air Quality Standards, 9290–9294 Agency Information Collection Activities; Proposals, Wisconsin; VOC RACT Requirements for Lithographic Submissions, and Approvals, 9342–9348 Printing Facilities, 9294–9295

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PROPOSED RULES Federal Energy Regulatory Commission Air Quality State Implementation Plans; Approvals and NOTICES Promulgations: Combined Filings, 9327–9330 Illinois; Volatile Organic Material Definition Update, Environmental Assessments; Availability, etc.: 9307–9308 Great Falls Hydroelectric Co., City of Paterson, NJ, 9330– NOTICES 9331 Agency Information Collection Activities; Proposals, Request for Extension of Time: Submissions, and Approvals: Columbia Gas Transmission, LLC, 9331–9332 Application for Reference and Equivalent Method Waiver Request: Determination, 9337–9338 LSP-Whitewater Limited Partnership, 9329 Federal Implementation Plans under the Clean Air Act for Indian Reservations in Idaho, Oregon and Federal Highway Administration Washington, 9336–9337 NOTICES Application Approval: Final Federal Agency Action: Texas; Partial National Pollutant Discharge Elimination Proposed Highway in Georgia; State Route 400 Express System Program Authorization for Oil and Gas Lanes, Fulton and Forsyth Counties, Georgia (Atlanta Discharges, 9332–9334 Metropolitan Area), 9421–9422 Clean Air Act Operating Permit Program: Petition to Object to the Title V Permit for Northampton Federal Maritime Commission Generating Co., LP; Pennsylvania, 9336 NOTICES Petition to Object to the Title V Permit for Northeast Meetings; Sunshine Act, 9340 Maryland Waste Disposal Authority; Maryland, 9339 Environmental Impact Statements; Availability, etc.: Federal Motor Carrier Safety Administration Weekly Receipt, 9335–9336 NOTICES Final Eligibility Determination for the Kalispel Tribe to be Agency Information Collection Activities; Proposals, Treated in the Same Manner as a State under Submissions, and Approvals: Provisions of the Clean Air Act, 9334–9335 Application for Certificate of Registration for Foreign Inventory of U.S. Greenhouse Gas Emissions and Sinks: Motor Carriers and Foreign Motor Private Carriers, 1990–2019, 9339–9340 9423–9424 Proposed Settlement Agreement: Generic Clearance for the Collection of Qualitative CERCLA; Mohawk Tannery Site, Nashua, NH, 9338–9339 Feedback on Agency Service Delivery, 9422–9423 Federal Reserve System Farm Service Agency RULES NOTICES Capital Planning and Stress Testing Requirements for Large Agency Information Collection Activities; Proposals, Bank Holding Companies, Intermediate Holding Submissions, and Approvals: Companies and Savings and Loan Holding Companies, Emergency Conservation Program and Biomass Crop 9261 Assistance Program, 9320–9321 NOTICES Formations of, Acquisitions by, and Mergers of Bank Federal Aviation Administration Holding Companies, 9340 RULES Airworthiness Directives: Federal Trade Commission Airbus Helicopters, 9269–9272 RULES Pilatus Aircraft Ltd. Airplanes, 9272–9274 Energy Labeling Rule, 9274–9285 Foreign-Trade Zones Board Federal Communications Commission NOTICES RULES Proposed Production Activity: Government and Government Contractor Calls under the Wacker Polysilicon North America, LLC, Foreign-Trade Telephone Consumer Protection Act, 9299–9301 Zone 134, Chattanooga, TN, 9321–9322 Preservation of One Vacant Channel in the UHF Television Band for Use by White Space Devices and Wireless General Services Administration Microphones, 9297–9299 RULES Promoting Telehealth in Rural America, 9295–9297 Acquisition Regulation: PROPOSED RULES Removing Erroneous Guidance on Illustration of Forms, Wireline Competition Bureau: 9301 Petitions for Emergency Relief to allow the Use of E-Rate Funds to Support Remote Learning During the Health and Human Services Department COVID–19 Pandemic, 9309–9312 See Agency for Toxic Substances and Disease Registry NOTICES See Centers for Disease Control and Prevention Radio Broadcasting Services: See Centers for Medicare & Medicaid Services AM or FM Proposals to Change the Community of See Children and Families Administration License, 9340 See National Institutes of Health PROPOSED RULES Federal Emergency Management Agency National Vaccine Injury Compensation Program: NOTICES Revisions to the Vaccine Injury Table; Notice of Proposed Meetings: Rulemaking; Public Comment Period; Delay of Technical Mapping Advisory Council, 9358 Effective Date, 9308–9309

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NOTICES Library of Congress Meetings: RULES COVID–19 Health Equity Task Force, 9353 Loans of Library Materials for Blind and other Print- Request for Information: Disabled Persons, 9289–9290 Center for Indigenous Innovation and Health Equity Supporting Native Hawaiian and Pacific Islander and National Credit Union Administration American Indian/Alaska Native Populations, 9351– NOTICES 9354 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 9390–9391 Homeland Security Department See Federal Emergency Management Agency National Endowment for the Arts See Transportation Security Administration NOTICES Privacy Act; Systems of Records, 9391–9402 Housing and Urban Development Department NOTICES National Foundation on the Arts and the Humanities Agency Information Collection Activities; Proposals, See National Endowment for the Arts Submissions, and Approvals: Performing Loan Servicing for the Home Equity National Institutes of Health Conversion Mortgage, 9359–9360 NOTICES Mortgage and Loan Insurance Programs under the National Meetings: Housing Act: Center for Scientific Review, 9354–9356 Debenture Interest Rates, 9366–9368 National Human Genome Research Institute, 9357 Mortgagee Review Board: National Institute of Allergy and Infectious Diseases, Administrative Actions, 9360–9366 9356 National Institute of Diabetes and Digestive and Kidney Interior Department Diseases, 9357 See National Park Service National Institute of General Medical Sciences, 9356 See Office of Natural Resources Revenue National Institute on Aging, 9356

Internal Revenue Service National Nuclear Security Administration RULES NOTICES Unrelated Business Taxable Income Separately Computed Meetings: for Each Trade or Business; Correction, 9285–9286 Defense Programs Advisory Committee, 9327

International Trade Administration National Oceanic and Atmospheric Administration NOTICES RULES Antidumping or Countervailing Duty Investigations, Orders, Fisheries off West Coast States: or Reviews: West Coast Salmon Fisheries; Rebuilding Coho Salmon Carbon and Certain Alloy Steel Wire Rod from Mexico, Stocks, 9301–9303 9322–9324 PROPOSED RULES Oil Country Tubular Goods from India, 9324–9325 Pacific Halibut Fisheries: Catch Sharing Plan, 9312–9316 International Trade Commission NOTICES National Park Service Investigations; Determinations, Modifications, and Rulings, RULES etc.: Glen Canyon National Recreation Area; Motor Vehicles, Certain Integrated Circuits and Products Containing the 9289 Same, 9369–9370 Certain Pouch-Type Battery Cells, Battery Modules, and Nuclear Regulatory Commission Battery Packs, Components Thereof, and Products NOTICES Containing the Same, 9368–9369 Meetings: Certain Touch-Controlled Mobile Devices, Computers, Advisory Committee on Reactor Safeguards, 9402–9403 and Components Thereof, 9368 Certain Wireless Communications Equipment and Office of Natural Resources Revenue Components Thereof, 9370–9371 RULES 2020 Valuation Reform and Civil Penalty Rule: Justice Department Delay of Effective Date; Request for Public Comment, See Antitrust Division 9286–9289

Labor Department Presidential Documents See Employee Benefits Security Administration EXECUTIVE ORDERS NOTICES Burma; Blocking Property (EO 14014), 9427–9432 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Securities and Exchange Commission Events Management Platform, 9388–9389 NOTICES Quarterly Census of Employment and Wages, 9389–9390 Agency Information Collection Activities; Proposals, Report of Changes That May Affect Your Black Lung Submissions, and Approvals, 9403–9404, 9406, 9413– Benefits, 9389 9416, 9418

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Self-Regulatory Organizations; Proposed Rule Changes: Transportation Security Administration BOX Exchange, LLC, 9403 NOTICES Cboe EDGX Exchange, Inc., 9406–9410 Agency Information Collection Activities; Proposals, ICE Clear Credit, LLC, 9404–9406 Submissions, and Approvals: ICE Clear Europe, Ltd., 9416–9418 Screening Partnership Program, 9358–9359 The Options Clearing Corp., 9410–9413 Treasury Department See Comptroller of the Currency Small Business Administration See Internal Revenue Service NOTICES Disaster Declaration: Veterans Affairs Department Texas, 9419 NOTICES Major Disaster Declaration: Agency Information Collection Activities; Proposals, Maryland; Public Assistance Only, 9419 Submissions, and Approvals: Washington; Public Assistance Only, 9419–9420 Advance Directive: Durable Power of Attorney for Health Care and Living Will, 9424–9425 Health Benefits: Application, Update, and Hardship Surface Transportation Board Determination, 9425–9426 NOTICES Exemption: Acquisition and Operation; East Chicago Rail Terminal, Separate Parts In This Issue LLC; Rail Line of Chrome, LLC at East Chicago, IN, 9420 Part II Presidential Documents, 9427–9432 Trade Representative, Office of United States NOTICES Periodic Revision of Section 301 Action: Reader Aids Enforcement of U.S. World Trade Organization Rights in Consult the Reader Aids section at the end of this issue for Large Civil Aircraft Dispute, 9420–9421 phone numbers, online resources, finding aids, and notice of recently enacted public laws. To subscribe to the Federal Register Table of Contents Transportation Department electronic mailing list, go to https://public.govdelivery.com/ See Federal Aviation Administration accounts/USGPOOFR/subscriber/new, enter your e-mail See Federal Highway Administration address, then follow the instructions to join, leave, or See Federal Motor Carrier Safety Administration manage your subscription.

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CFR PARTS AFFECTED IN THIS ISSUE

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

3 CFR Executive Orders: 14014...... 9429 7 CFR 945...... 9253 12 CFR 4...... 9253 217...... 9261 225...... 9261 238...... 9261 252...... 9261 1074...... 9261 14 CFR 39 (2 documents) ....9269, 9272 16 CFR 305...... 9274 17 CFR Proposed Rules: 9...... 9304 36...... 9304 37...... 9304 38...... 9304 39...... 9304 43...... 9304 26 CFR 1 (2 documents) ...... 9285, 9286 30 CFR 1206...... 9286 1241...... 9286 36 CFR 7...... 9289 701...... 9289 40 CFR 52 (2 documents) ....9290, 9294 Proposed Rules: 52...... 9307 42 CFR Proposed Rules: 100...... 9308 47 CFR Ch. I ...... 9299 54...... 9295 73...... 9297 74...... 9297 Proposed Rules: 54...... 9309 48 CFR 553...... 9301 50 CFR 660...... 9301 Proposed Rules: 300...... 9312

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Rules and Regulations Federal Register Vol. 86, No. 28

Friday, February 12, 2021

This section of the FEDERAL REGISTER AMS, USDA, 1220 SW 3rd Avenue, Ballots postmarked after April 30, 2021, contains regulatory documents having general Suite 305, Portland, OR 97204; will not be included in the vote applicability and legal effect, most of which Telephone: (503) 326–2724, or Email: tabulation. are keyed to and codified in the Code of [email protected] or Gregory A. Breasher and Gary D. Federal Regulations, which is published under [email protected]. Olson of the Northwest Marketing Field 50 titles pursuant to 44 U.S.C. 1510. SUPPLEMENTARY INFORMATION: Pursuant Office, Specialty Crops Program, AMS, The Code of Federal Regulations is sold by to Marketing Agreement and Order No. USDA, are hereby designated as the the Superintendent of Documents. 945, as amended (7 CFR part 945), referendum agents of the Secretary of hereinafter referred to as the ‘‘Order,’’ Agriculture to conduct this referendum. and the applicable provisions of the The procedure applicable to the DEPARTMENT OF AGRICULTURE Agricultural Marketing Agreement Act referendum shall be the ‘‘Procedure for the Conduct of Referenda in Connection Agricultural Marketing Service of 1937, as amended (7 U.S.C. 601–674), hereinafter referred to as the ‘‘Act,’’ it is with Marketing Orders for Fruits, Vegetables, and Nuts Pursuant to the 7 CFR Part 945 hereby directed that a referendum be conducted to ascertain whether Agricultural Marketing Agreement Act [Doc. No. AMS–SC–20–0084; SC21–945–1 continuance of the Order is favored by of 1937, as Amended’’ (7 CFR 900.400– CR] the producers. The referendum shall be 900.407). conducted from April 12 to April 30, Ballots will be mailed to all producers Irish Potatoes Grown in Certain 2021, among eligible Irish potato of record and may also be obtained from Designated Counties in Idaho, and producers in the production area. Only the referendum agents, or from their Malheur County, Oregon; Continuance producers that were engaged in the appointees. Referendum production of Irish potatoes for the fresh List of Subjects in 7 CFR Part 945 AGENCY: market in Idaho, and Malheur County, Agricultural Marketing Service, Potatoes, Marketing agreements, USDA. Oregon, during the period of August 1, 2019, through July 31, 2020, may Reporting and recordkeeping ACTION: Referendum order. participate in the continuance requirements. SUMMARY: This document directs that a referendum. Authority: 7 U.S.C. 601–674. referendum be conducted among USDA has determined that continuance referenda are an effective Bruce Summers, eligible producers of Irish potatoes Administrator, Agricultural Marketing grown in certain designated counties in means for determining whether producers favor continuation of Service. Idaho, and Malheur County, Oregon, to [FR Doc. 2021–02823 Filed 2–11–21; 8:45 am] determine whether they favor marketing order programs. The Order BILLING CODE P continuance of the marketing order will continue in effect if at least two- regulating the handling of Irish potatoes thirds of producers voting in the grown in the production area. referendum, or producers of at least two-thirds of the volume of Irish DEPARTMENT OF THE TREASURY DATES: The referendum will be potatoes represented in the referendum, conducted from April 12 to April 30, favor continuance. In evaluating the Office of the Comptroller of the 2021. To vote in this referendum, merits of continuance versus Currency producers must have produced Irish termination, USDA will not exclusively potatoes for the fresh market within the consider the results of the continuance 12 CFR Part 4 designated production area in Idaho, referendum. USDA will also consider all and Malheur County, Oregon, during [Docket No. OCC–2020–0005] other relevant information concerning the period August 1, 2019, through July the operation of the Order and the RIN 1557–AE80 31, 2020. relative benefits and disadvantages to Role of Supervisory Guidance ADDRESSES: Copies of the marketing producers, handlers, and consumers in order may be obtained from the office of order to determine whether continued AGENCY: Office of the Comptroller of the the referendum agents at 1220 SW 3rd operation of the Order would tend to Currency, Treasury (OCC). Avenue, Suite 305, Portland, OR 97204; effectuate the declared policy of the Act. ACTION: Final rule. Telephone: (503) 326–2724; or the In accordance with the Paperwork Office of the Docket Clerk, Marketing Reduction Act of 1995 (44 U.S.C. SUMMARY: The OCC is adopting a final Order and Agreement Division, Chapter 35), the ballots used in the rule that codifies the Interagency Specialty Crops Program, AMS, USDA, referendum have been approved by the Statement Clarifying the Role of 1400 Independence Avenue SW, STOP Office of Management and Budget Supervisory Guidance, issued by the 0237, Washington, DC 20250–0237; (OMB) and have been assigned OMB OCC, Board of Governors of the Federal Telephone: (202) 720–2491; or on the No. 0581–0178—Vegetable and Reserve System (Board), Federal Deposit internet https://www.regulations.gov. Specialty Crops. It has been estimated Insurance Corporation (FDIC), National FOR FURTHER INFORMATION CONTACT: that it will take an average of 20 minutes Credit Union Administration (NCUA), Gregory A. Breasher or Gary D. Olson, for each of the approximately 450 and Bureau of Consumer Financial Northwest Marketing Field Office, producers of Irish potatoes grown in Protection (Bureau) (collectively, the Marketing Order and Agreement Idaho, and Malheur County, Oregon, to agencies) on September 11, 2018 (2018 Division, Specialty Crops Program, cast a ballot. Participation is voluntary. Statement). By codifying the 2018

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Statement, with amendments, the final interagency statements, advisories, supervised institutions; and (4) rule confirms that the OCC will bulletins, policy statements, questions encourage supervised institutions to continue to follow and respect the limits and answers, and frequently asked discuss their concerns about of administrative law in carrying out its questions. Supervisory guidance supervisory guidance with their agency supervisory responsibilities. The 2018 outlines the agencies’ supervisory contact. Statement reiterated well-established expectations or priorities and articulates On November 5, 2018, the OCC, law by stating that, unlike a law or the agencies’ general views regarding Board, FDIC, and Bureau each received regulation, supervisory guidance does practices for a given subject area. a petition for a rulemaking (Petition), as not have the force and effect of law. As Supervisory guidance often provides permitted under the Administrative such, supervisory guidance does not examples of practices that mitigate risks, Procedure Act (APA),6 requesting that create binding legal obligations for the or that the agencies generally consider the agencies codify the 2018 Statement.7 public. Because it is incorporated into to be consistent with safety-and- The Petition argued that a rule on the final rule, the 2018 Statement, as soundness standards or other applicable guidance is necessary to bind future amended, is binding on the OCC. The laws and regulations, including those agency leadership and staff to the 2018 final rule adopts the rule as proposed designed to protect consumers.4 The Statement’s terms. The Petition also without substantive change. agencies noted in the 2018 Statement suggested there are ambiguities in the DATES: This final rule is effective on that supervised institutions at times 2018 Statement concerning how March 15, 2021. request supervisory guidance and that supervisory guidance is used in FOR FURTHER INFORMATION CONTACT: guidance is important to provide clarity connection with matters requiring Mitchell Plave, Special Counsel, (202) to these institutions, as well as attention, matters requiring immediate 649–5490; or Henry Barkhausen, supervisory staff, in a transparent way attention (collectively, MRAs), as well Counsel, Chief Counsel’s Office (202) that helps to ensure consistency in the as in connection with other supervisory 649–5490; or Steven Key, Associate supervisory approach.5 actions that should be clarified through Deputy Comptroller for Bank The 2018 Statement restated existing a rulemaking. Finally, the Petition Supervision Policy, (202) 649–6770, law and reaffirmed the agencies’ called for the rulemaking to implement Office of the Comptroller of the understanding that supervisory changes in the agencies’ standards for Currency, 400 7th Street SW, guidance does not create binding, issuing MRAs. Specifically, the Petition Washington, DC 20219. enforceable legal obligations. The 2018 requested that the agencies limit the role Statement reaffirmed that the agencies of MRAs to addressing circumstances in SUPPLEMENTARY INFORMATION: do not issue supervisory criticisms for which there is a violation of a statute, I. Background ‘‘violations’’ of supervisory guidance regulation, or order, or demonstrably The OCC recognizes the important and described the appropriate use of unsafe or unsound practices. supervisory guidance by the agencies. In distinction between issuances that serve II. The Proposed Rule and Comments the 2018 Statement, the agencies also to implement acts of Congress (known Received as ‘‘regulations’’ or legislative rules’’) expressed their intention to (1) limit the On November 5, 2020, the agencies and non-binding supervisory guidance use of numerical thresholds in issued a proposed rule (Proposed Rule documents.1 Regulations create binding guidance; (2) reduce the issuance of or Proposal) that would have codified legal obligations. Supervisory guidance multiple supervisory guidance the 2018 Statement, with clarifying is issued by an agency to ‘‘advise the documents on the same topic; (3) changes, as an appendix to proposed public prospectively of the manner in continue efforts to make the role of rule text.8 The Proposed Rule would which the agency proposes to exercise supervisory guidance clear in have superseded the 2018 Statement. a discretionary power’’ and does not communications to examiners and The rule text would have provided that create binding legal obligations.2 In recognition of the important 4 While supervisory guidance offers guidance to an amended version of the 2018 distinction between rules and guidance, the public on the OCC’s approach to supervision Statement is binding on each respective under statutes and regulations and safe and sound agency. on September 11, 2018, the agencies practices, the issuance of guidance is discretionary issued the Interagency Statement and is not a prerequisite to the OCC’s exercise of Clarification of the 2018 Statement its statutory and regulatory authorities. This point Clarifying the Role of Supervisory The Petition expressed support for the Guidance (2018 Statement) to explain reflects the fact that statutes and legislative rules, not statements of policy, set legal requirements. 2018 Statement and acknowledged that the role of supervisory guidance and 5 The Administrative Conference of the United it addresses many issues of concern for describe the agencies’ approach to States (ACUS) has recognized the important role of the Petitioners relating to the use of 3 guidance documents and has stated that guidance supervisory guidance. As noted in the supervisory guidance. The Petition 2018 Statement, the agencies issue can ‘‘make agency decision-making more predictable and uniform and shield regulated expressed concern, however, that the various types of supervisory guidance to parties from unequal treatment, unnecessary costs, 2018 Statement’s reference to not basing their respective supervised institutions, and unnecessary risk, while promoting compliance ‘‘criticisms’’ on violations of including, but not limited to, with the law.’’ ACUS, Recommendation 2017–5, Agency Guidance Through Policy Statements at 2 supervisory guidance has led to (adopted December 14, 2017), available at https:// confusion about whether MRAs are 1 Regulations are commonly referred to as www.acus.gov/recommendation/agency-guidance- covered by the 2018 Statement. legislative rules because regulations have the ‘‘force through-policy-statements. ACUS also suggests that and effect of law.’’ Perez v. Mortgage Bankers ‘‘policy statements are generally better [than Association, 575 U.S. 92, 96 (2015) (citations legislative rules] for dealing with conditions of 6 5 U.S.C. 553(e). omitted). uncertainty and often for making agency policy 7 See Petition for Rulemaking on the Role of 2 See Chrysler v. Brown, 441 U.S. 281, 302 (1979) accessible.’’ Id. ACUS’s reference to ‘‘policy Supervisory Guidance, available at https://bpi.com/ (quoting the Attorney General’s Manual on the statements’’ refers to the statutory text of the APA, wp-content/uploads/2018/11/BPI_PFR_on_Role_of_ Administrative Procedure Act at 30 n.3 (1947) which provides that notice and comment is not Supervisory_Guidance_Federal_Reserve.pdf. The (Attorney General’s Manual) and discussing the required for ‘‘general statements of policy.’’ The Petitioners did not submit a petition to the NCUA, distinctions between regulations and general phrase ‘‘general statements of policy’’ has which has no supervisory authority over the statements of policy, of which supervisory guidance commonly been viewed by courts, agencies, and financial institutions that are represented by is one form). administrative law commentators as including a Petitioners. The NCUA chose to join the Proposed 3 See https://www.occ.gov/news-issuances/news- wide range of agency issuances, including guidance Rule on its own initiative. releases/2018/nr-ia-2018-97a.pdf. documents. 8 85 FR 70512 (November 5, 2020).

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Accordingly, the agencies proposed to conditions, or other matters that could handling of deficiencies that do not clarify in the Proposed Rule that the have a negative effect on the safety and constitute violations of law.13 term ‘‘criticize’’ includes the issuance of soundness of the financial institution, Comments on the Proposed Rule MRAs and other supervisory criticisms, could cause consumer harm, or could including those communicated through cause violations of laws, regulations, A. Overview matters requiring board attention, final agency orders, or other legally The five agencies received documents of resolution, and enforceable conditions. Accordingly, the approximately 30 unique comments supervisory recommendations agencies included language reflecting concerning the Proposed Rule.14 The (collectively, supervisory criticisms).9 this practice in the Proposed Rule. OCC discusses below those comments As such, the agencies reiterated that The Petition also suggested that that are potentially relevant to the examiners will not base supervisory MRAs, as well as memoranda of OCC.15 Commenters representing trade criticisms on a ‘‘violation’’ of or ‘‘non- understanding, examination associations for banking institutions and compliance with’’ supervisory downgrades, and any other formal other businesses, state bankers’ guidance.10 The agencies noted that, in examination mandate or sanction, associations, individual financial some situations, examiners may should be based only on a violation of institutions, and one member of reference (including in writing) a statute, regulation, or order, including Congress expressed general support for supervisory guidance to provide a ‘‘demonstrably unsafe or unsound the Proposed Rule. These commenters examples of safe and sound conduct, practice.’’ 12 As noted in the Proposed supported codification of the 2018 appropriate consumer protection and Rule, examiners all take steps to identify Statement and the reiteration by the risk management practices, and other deficient practices before they rise to agencies that guidance does not have actions for addressing compliance with violations of law or regulation or before the force of law and cannot give rise to laws or regulations. The agencies also they constitute unsafe or unsound binding, enforceable legal obligations. reiterated that they will not issue an banking practices. The agencies stated One of these commenters stated that the enforcement action on the basis of a that they continue to believe that early Proposal would serve the interests of ‘‘violation’’ of or ‘‘non-compliance’’ identification of deficient practices consumers and competition by with supervisory guidance. The serves the interest of the public and of clarifying the law for institutions and Proposed Rule reflected these potentially removing ambiguities that 11 supervised institutions. Early clarifications. identification protects the safety and could deter the development of The Petition requested further that soundness of banks, promotes consumer innovative products that serve these supervisory criticisms should not protection, and reduces the costs and consumers and business clients, without include ‘‘generic’’ or ‘‘conclusory’’ risk of deterioration of financial uncertainty regarding potential references to safety and soundness. The condition from deficient practices regulatory consequences. These agencies agreed that supervisory resulting in violations of laws or commenters expressed strong support as criticisms should continue to be specific well for the clarification in the Proposed as to practices, operations, financial regulations, unsafe or unsound conditions, or unsafe or unsound Rule that the agencies will not criticize, banking practices. The Proposed Rule including through the issuance of 9 The agencies use different terms to refer to ‘‘matters requiring attention,’’ a supervisory actions that are similar to MRAs and also noted that the agencies have Matters Requiring Immediate Attention (MRIAs), different supervisory processes, supervised financial institution for a including matters requiring board attention including for issuing supervisory ‘‘violation’’ of, or ‘‘non-compliance’’ (MRBAs), documents of resolution, and supervisory criticisms. For these reasons, the with, supervisory guidance. recommendations. One commenter agreed with the 10 agencies did not propose revisions to For the sake of clarification, one source of law agencies that supervisory criticisms among many that can serve as a basis for a their respective supervisory practices supervisory criticism is the Interagency Guidelines relating to supervisory criticisms. should not be limited to violation of Establishing Standards for Safety and Soundness, statutes, regulations, or orders, see 12 CFR part 30, appendix A, 12 CFR part. 208, The agencies also noted that the 2018 including a ‘‘demonstrable unsafe or appendix D–1, and 12 CFR part 364, appendix A. Statement was intended to focus on the unsound practice’’ and that supervisory These Interagency Guidelines were issued using appropriate use of supervisory guidance guidance remains a beneficial tool to notice and comment and pursuant to express in the supervisory process, rather than statutory authority in 12 U.S.C. 1831p–1(d)(1) to communicate supervisory expectations adopt safety and soundness standards either by the standards for supervisory criticisms. ‘‘regulation or guideline.’’ To address any confusion concerning 13 The following sentences from the 2018 11 The 2018 Statement contains the following the scope of the 2018 Statement, the Statement were not present in the Proposed Rule: sentence: Proposed Rule removed two sentences Rather, any citations will be for violations of law, Examiners will not criticize a supervised from the 2018 Statement concerning regulation, or non-compliance with enforcement financial institution for a ‘‘violation’’ of supervisory orders or other enforceable conditions. During guidance. grounds for ‘‘citations’’ and the examinations and other supervisory activities, 2018 Statement at 2. As revised in the Proposed examiners may identify unsafe or unsound Rule, this sentence read as follows: 12 The Petition asserted that the federal banking practices or other deficiencies in risk management, Examiners will not criticize (including through agencies rely on 12 U.S.C. 1818(b)(1) when issuing including compliance risk management, or other the issuance of matters requiring attention, matters MRAs based on safety-and-soundness matters. areas that do not constitute violations of law or requiring immediate attention, matters requiring Through statutory examination and reporting regulation. board attention, documents of resolution, and authorities, Congress has conferred upon the 2018 Statement at 2. The agencies did not intend supervisory recommendations) a supervised agencies the authority to exercise visitorial powers these deletions to indicate a change in supervisory financial institution for, and agencies will not issue with respect to supervised institutions. The policy. an enforcement action on the basis of, a ‘‘violation’’ Supreme Court has indicated support for a broad 14 Of the comments received, some comments of or ‘‘non-compliance’’ with supervisory guidance. reading of the agencies’ visitorial powers. See, e.g., were not submitted to all agencies, and some Proposed Rule (emphasis added). As discussed Cuomo v. Clearing House Assn L.L.C., 557 U.S. 519 comments were identical. Note that this total infra in footnote 13, the Proposed Rule also (2009); United States v. Gaubert, 499 U.S. 315 excludes comments that were directed at an removed the sentences in the 2018 Statement that (1991); and United States v. Philadelphia Nat. unrelated rulemaking by the Financial Crimes referred to ‘‘citation,’’ which the Petition suggested Bank, 374 U.S. 321 (1963). The visitorial powers Enforcement Network of the Department of the had been confusing. These sentences were also facilitate early identification of supervisory Treasury (FinCEN). removed to clarify that the focus of the Proposed concerns that may not rise to a violation of law, 15 This final rule does not specifically discuss Rule related to the use of guidance, not the unsafe or unsound banking practice, or breach of those comments that are only potentially relevant standards for MRAs. fiduciary duty under 12 U.S.C. 1818. to other agencies.

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to the industry. The commenter stated should clarify when particular guidance not constitute a violation of a written that the proactive identification of documents are (or are not) interpretive law or regulation. supervisory criticism or deficiencies rules and allow the public to petition to D. Supervisory Criticisms that do not constitute violations of law change an interpretation. A number of facilitates forward-looking supervision, commenters requested that the agencies Several commenters addressed which helps address problems before expand the statement to address the supervisory criticisms and how they they warrant a formal enforcement standards that apply to MRAs and other relate to guidance. These commenters action. The commenter noted as well supervisory criticisms, a suggestion suggested that supervisory criticisms that supervisory guidance provides made in the Petition. should be specific as to practices, important insight to the industry and operations, financial conditions, or ensures consistency in the supervisory C. Role of Guidance Documents other matters that could have a negative approach and that supervised effect. These commenters also suggested institutions frequently request Several commenters recommended that MRAs, memoranda of supervisory guidance. The commenter that the agencies clarify that the understanding, and any other formal observed that the COVID–19 pandemic practices described in supervisory written mandates or sanctions should be has amplified the requests for guidance are merely examples of based only on a violation of a statute or supervisory guidance and interpretation conduct that may be consistent with regulation. Similarly, these commenters and that it is apparent institutions want statutory and regulatory compliance, not argued that there should be no clarity and guidance from regulators. expectations that may form the basis for references to guidance in written formal Two commenters, both public interest supervisory criticism. One commenter actions and that banking institutions advocacy groups, opposed the proposed suggested that the agencies state that should be reassured that they will not rule, suggesting that codifying the 2018 when agencies offer examples of safe be criticized or cited for a violation of Statement may undermine the and sound conduct, compliance with guidance when no law or regulation is important role that supervisory consumer protection standards, cited. One commenter suggested that it guidance can play by informing appropriate risk management practices, would instead be appropriate to discuss supervisory criticism, rather than or acceptable practices through supervisory guidance privately, rather merely clarifying that it will not serve supervisory guidance or interpretive than publicly, potentially during the as the basis for enforcement actions. rules, the agencies will treat adherence pre-exam meetings or during One commenter stated that it is essential to practices outlined in that supervisory examination exit meetings. Another for agencies to have the prophylactic guidance or interpretive rule as a safe commenter suggested that, while authority to base criticisms on harbor from supervisory criticism. One referencing guidance in supervisory imprudent bank practices that may not commenter also requested that the criticism may be useful at times, yet have ripened into violations of law agencies make clear that guidance that agencies should provide safeguards to or significant safety and soundness goes through public comment, as well as prevent such references from becoming concerns. The commenter stated that any examples used in guidance, is not the de facto basis for supervisory this is particularly important with binding. The commenter also requested criticisms. One commenter stated that respect to large banks, where delay in that the agencies affirm that they will examiners also should not criticize addressing concerns could lead to a apply statutory factors while processing community banks in their final written broader crisis. One commenter stated applications. examination reports for not complying that the agencies have not explained the with ‘‘best practices’’ unless the One commenter argued that guidance benefits that would result from the rule criticism involves a violation of bank provides valuable information to or demonstrated how the rule will policy or regulation. The commenter promote safety and soundness or supervisors about how their discretion added that industry best practices consumer protection. The commenter should be exercised and therefore plays should be transparent enough and argued that supervision is different from an important role in supervision. As an sufficiently known throughout the other forms of regulation and requires example, according to this commenter, industry before being cited in an supervisory discretion, which could be 12 U.S.C. 1831p–1 and 12 U.S.C. 1818 examination report. One commenter constrained by the rule. One of these recognize the discretionary power requested that examiners should not commenters argued that the Proposal conferred on the Federal banking apply large bank practices to 16 would send a signal that banking agencies, which is separate from the community banks that have a different, institutions have wider discretion to power to issue regulations. The less complex, and more conservative ignore supervisory guidance. commenter noted that, pursuant to these business model. One commenter statutes, regulators may issue cease and asserted that MRAs should not be based B. Scope of Rule desist orders based on reasonable cause on ‘‘reputational risk,’’ but rather on the Several industry commenters to believe that an institution has underlying conduct giving rise to requested that the Proposed Rule cover engaged, is engaging, or is about to concerns and asked the agencies to interpretive rules and clarify that engage in an unsafe and unsound address this in the final rule. interpretive rules do not have the force practice, separately and apart from Commenters that opposed the and effect of law. One commenter stated whether the institution has technically Proposal did not support restricting that the agencies should clarify whether violated a law or regulation. The supervisory criticism or sanctions to they believe that interpretive rules can commenter added that Congress explicit violations of law or regulation. be binding. The commenter argued that, entrusted the Federal banking agencies One commenter expressed concern that under established legal principles, with the power to determine whether requiring supervisors to wait for an interpretive rules can be binding on the practices are unsafe and unsound and explicit violation of law before issuing agency that issues them, but not on the attempt to halt such practices through criticism would effectively erase the public. Some commenters suggested supervision, even if a specific case may line between supervision and that the agencies follow ACUS enforcement. According to the recommendations for issuing 16 The Federal banking agencies are the OCC, commenter, it would eliminate the interpretive rules and that the agencies Board, and FDIC. 12 U.S.C. 1813. space for supervision as an intermediate

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practice of oversight and cooperative agencies should delineate clearly regulation.17 While interpretive rules problem-solving between banks and the between regulations and supervisory and supervisory guidance are similar in regulators who support and manage the guidance. Commenters encouraged the lacking the force and effect of law, banking system and would also clearly agencies to regularly review, update, interpretive rules and supervisory violate the intent of the law in 12 U.S.C. and potentially rescind outstanding guidance are distinct under the APA 1818(b). One commenter emphasized guidance. One commenter suggested and its jurisprudence and are generally the importance of bank supervisors that the agencies rescind outstanding issued for different purposes.18 basing their criticisms on imprudent guidance that functions as rule but has Interpretive rules are typically issued by bank practices that may not yet have not gone through notice and comment. an agency to advise the public of the ripened into violations of laws or rules One commenter suggested that the agency’s construction of the statutes and but could undermine safety and agencies memorialize their intent to rules that it administers,19 whereas soundness or pose harm to consumers if revisit and potentially rescind existing general statements of policy, such as left unaddressed. guidance, as well as limit multiple supervisory guidance, advise the public One commenter argued that the guidance documents on the same topic. of how an agency intends to exercise its agencies should state clearly that Commenters suggested that supervisory discretionary powers.20 To this end, guidance can and will be used by guidance should be easy to find, readily guidance generally reflects an agency’s supervisors to inform their assessments available, online, and in a format that is policy views, for example, on safe and of banks’ practices and that it may be user-friendly and searchable. sound risk management practices. On cited as, and serve as the basis for, One commenter encouraged the the other hand, interpretive rules criticisms. According to the commenter, agencies to issue principles-based generally resolve ambiguities regarding even under the legal principles guidance that avoids the kind of requirements imposed by statutes and described in the Proposal, it is granularity that could be misconstrued regulations. Because supervisory permissible for guidance to be used as as binding expectations. According to guidance and interpretive rules have a set of standards that may inform a this commenter, the agencies can issue different characteristics and serve criticism, provided that application of separate frequently asked questions different purposes, the OCC has decided the guidance is used for corrective with more detailed information, but that the final rule will continue to cover purposes, if not to support an should clearly identify these as non- supervisory guidance only. enforcement action. binding illustrations. This commenter With respect to the question of According to one commenter, the also encouraged the agencies to publish Proposal makes fine conceptual whether to adopt ACUS’s procedures for proposed guidance for comment when allowing the public to request distinctions between, for example, circumstances allow. Another issuing supervisory criticisms ‘‘on the reconsideration or revision of an commenter requested that the agencies interpretive rule, this rulemaking, again, basis of’’ guidance and issuing issue all ‘‘rules’’ as defined by the APA supervisory criticisms that make does not address interpretive rules. As through the notice-and-comment such, the OCC is not adding procedures ‘‘reference’’ to supervisory guidance. process. One commenter expressed The commenter suggested that is a for challenges to interpretive rules concern that the agencies will aim to through this rulemaking. distinction that it may be difficult for reduce the issuance of multiple ‘‘human beings to parse in practice.’’ supervisory guidance documents and 17 According to the commenter, a rule that See Mortgage Bankers Association, 575 U.S. at will thereby reduce the availability of 96. makes such a distinction is likely to guidance in circumstances where 18 Questions concerning the legal and supervisory have a chilling effect on supervisors guidance would be valuable. nature of interpretive rules are case-specific and attempting to implement policy in the have engendered debate among courts and field. According to another commenter, Responses to Comments administrative law commentators. The OCC takes the language allowing examiners to no position in this rulemaking on those specific As stated in the Proposed Rule, the debates. See, e.g., R. Levin, Rulemaking and the reference supervisory guidance to 2018 Statement was intended to focus Guidance Exemption, 70 Admin. L. Rev. 263 (2018) provide examples is too vague and on the appropriate use of supervisory (discussing the doctrinal differences concerning the status of interpretive rules under the APA); see also threatens to marginalize the role of guidance in the supervisory process, guidance and significantly reduce its Nicholas R. Parillo, Federal Agency Guidance and rather than the standards for the Powder to Bind: An Empirical Study of Agencies usefulness in the process of issuing supervisory criticisms. The standards and Industries, 36 Yale J. Reg 165, 168 n.6 (2019) criticisms designed to correct deficient for issuing MRAs and other supervisory (‘‘[w]hether interpretive rules are supposed to be bank practices. nonbinding is a question subject to much confusion actions were, therefore, outside the that is not fully settled’’); see also ACUS, E. Legal Authority and Visitorial Powers scope of this rulemaking. For this Recommendation 2019–1, Agency Guidance Through Interpretive Rules (Adopted June 13, One commenter questioned the reason, and for reasons discussed earlier, the final rule does not address 2019), available at https://www.acus.gov/ Federal banking agencies’ reference in recommendation/agency-guidance-through- the Proposal to visitorial powers as an the standards for MRAs or other interpretive-rules (noting that courts and supervisory actions. Similarly, because commentators have different views on whether additional authority for early interpretive rules bind an agency and effectively identification of supervisory concerns the OCC is not addressing its approach to supervisory criticism in the final rule, bind the public through the deference given to that may not rise to a violation of law, agencies’ interpretations of their own rules under unsafe or unsound banking practice, or including any criticism related to Auer v. Robbins, 519 U.S. 452 (1997)). breach of fiduciary duty under 12 U.S.C. reputation risk, the final rule does not 19 Mortgage Bankers Association, 575 U.S. at 97 (citing Shalala v. Guernsey Memorial Hospital, 514 1818. address supervisory criticisms relating to ‘‘reputation risk.’’ U.S. 87, 99 (1995)); accord Attorney General’s Manual at 30 n.3. F. Issuance and Management of With respect to the comments on 20 See Chrysler v. Brown, 441 U.S. at 302 n.31 Supervisory Guidance coverage of interpretive rules, the OCC (quoting Attorney General’s Manual at 30 n.3); see Several commenters made suggestions agrees with the commenter that also, e.g., American Mining Congress v. Mine Safety about how the agencies should issue interpretive rules do not, alone, ‘‘have & Health Administration, 995 F.2d 1106, 1112 (D.C. the force and effect of law’’ and must be Cir. 1993) (outlining tests in the D.C. Circuit for and manage supervisory guidance. assessing whether an agency issuance is an Some commenters suggested that the rooted in, and derived from, a statute or interpretive rule).

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In response to the comment that the institutions and examiners are incapable supervisory guidance, the OCC notes agencies should treat examples in of understanding this important that it has made clear through the 2018 guidance as ‘‘safe harbors’’ from distinction. Statement and in this final rule that supervisory criticism, the OCC agrees With respect to the comment that supervisory guidance (including that examples offered in supervisory visitorial powers do not provide the guidance that goes through public guidance can provide insight about Federal banking agencies with authority comment) does not create binding, practices that, in general, may lead to to issue MRAs or other supervisory enforceable legal obligations. Rather, the safe and sound operation and criticisms, the OCC disagrees. The OCC in some instances issues compliance with regulations and OCC’s visitorial powers are well- supervisory guidance for comment in statutes. The examples in guidance, established. The Supreme Court’s order to improve its understanding of an however, are generalized. When an decision in Cuomo v. Clearing House issue, gather information, or seek ways institution implements examples, Assn L.L.C. explained that the visitation to achieve a supervisory objective most examiners must consider the facts and included the ‘‘exercise of supervisory effectively. Similarly, examples that are circumstances of that institution in power.’’ 21 The Court ruled that the included in supervisory guidance assessing the application of those ‘‘power to enforce the law exists (including guidance that goes through examples. In addition, the underlying separate and apart from the power of public comment) are not binding on legal principle of supervisory guidance visitation.’’ 22 While the Cuomo institutions. Rather, these examples are is that it does not create binding legal decision involved the question of which intended to be illustrative of ways a obligation for either the public or an powers may be exercised by state supervised institution may implement agency. As such, the OCC does not governments (and ruled that states safe and sound practices, appropriate deem examples used in supervisory could exercise law enforcement powers, consumer protection, prudent risk guidance to categorically establish safe but could not exercise visitorial management, or other actions in harbors from supervisory criticism. powers), the decision did not dispute furtherance of compliance with laws or In response to the comments that the that the Federal banking agencies regulations. Relatedly, the OCC does not Proposal may undermine the important possess both these powers. The Court in agree with one comment that it should role that supervisory guidance can play Cuomo explained that visitorial powers use notice and comment procedures, in informing supervisory criticism and entailed ‘‘oversight and supervision,’’ without exception, to issue all ‘‘rules’’ serving to address conditions before while the Court’s earlier decision in as defined by the APA, which would those conditions lead to enforcement Watters v. Wachovia Bank, N.A. include supervisory guidance. Congress actions, the OCC agrees that the explained that visitorial powers entailed has established longstanding exceptions 23 appropriate use of supervisory guidance ‘‘general supervision and control.’’ in the APA from the notice and generates a more collaborative and Accordingly, visitorial powers include comment process for certain rules, constructive regulatory process that the power to issue supervisory including for general statements of supports the safety and soundness and criticisms independent of the agencies’ policy like supervisory guidance and for compliance of institutions, thereby authority to enforce applicable laws or interpretive rules. As one court has diminishing the need for enforcement ensure safety and soundness. For these explained, Congress intended to actions. As noted by ACUS, guidance reasons, the OCC reaffirms the statement ‘‘accommodate situations where the can make agency decision-making more in the preamble to the Proposed Rule policies promoted by public predictable and uniform and shield that such visitorial powers have been participation in rulemaking are regulated parties from unequal conferred through statutory examination outweighed by the countervailing treatment, unnecessary costs, and and reporting authorities, which considerations of effectiveness, unnecessary risk, while promoting facilitate the OCC’s identification of efficiency, expedition and reduction in compliance with the law. The OCC does supervisory concerns that may not rise expense.’’ 25 not view the final rule as weakening the to a violation of law, unsafe or unsound With respect to the commenter’s role of guidance in the supervisory practice, or breach of fiduciary duty request that the agencies affirm that they process and the OCC will continue to under 12 U.S.C. 1818. These statutory will apply statutory factors while use guidance in a robust way to support examination and reporting authorities processing applications, the OCC the safety and soundness of banks and pre-existed 12 U.S.C. 1818, which affirms that the agency will continue to promote compliance with consumer neither superseded nor replaced such consider and apply all applicable protection laws and regulations. authorities. The OCC has been vested statutory factors when processing Further, the OCC does not agree with with statutory examination and one commenter’s assertion that the applications. reporting authorities with respect to In response to the question raised by Proposal made an unclear distinction 24 banks under its supervision. some commenters concerning potential between, on the one hand, inappropriate In response to the comments confusion between supervisory supervisory criticism for a ‘‘violation’’ regarding the role of public comment for guidance and interpretive rules, the of or ‘‘non-compliance’’ with OCC notes that interpretive rules are supervisory guidance, and, on the other 21 Cuomo v. Clearing House Assn L.L.C., 557 U.S. hand, OCC examiners’ appropriate use 519, 536 (2009). outside the scope of the rulemaking. In 22 of supervisory guidance to reference Id. at 533. addition, as stated earlier, interpretive 23 Watters v. Wachovia Bank, N.A., 550 U.S. 1, examples of safe and sound conduct, rules do not, alone, ‘‘have the force and 127 (2007). effect of law’’ and must be rooted in, appropriate consumer protection and 24 The commenter’s reading of the Federal risk management practices, and other banking agencies’ examination and reporting and derived from, a statute or actions for addressing compliance with authorities would assert that the Federal banking regulation. While interpretive rules and agencies may examine supervised institutions and laws or regulations. This approach supervisory guidance are similar in require reports, but not make findings based on lacking the force and effect of law, appropriately implements the principle such examinations and reporting, unless the finding that institutions are not required to is sufficient to warrant a formal enforcement action 25 follow supervisory guidance in itself but under the standard set out in 12 U.S.C. 1818. This Am. Hosp. Ass’n v. Bowen, 834 F.2d 1037, 1045 reading is inconsistent with the history of federal (D.C. Cir. 1987). The specific contours of these may find such guidance useful. The banking supervision, including as described in the exceptions are the subject of an extensive body of OCC disagrees with the commenter that cases cited in the Proposed Rule. case law.

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interpretive rules and supervisory IV. Administrative Law Matters banking agencies to use plain language guidance are distinct under the APA in all proposed and final rules A. Paperwork Reduction Act and its jurisprudence and are generally published after January 1, 2000. The issued for different purposes. The OCC The Paperwork Reduction Act of OCC has sought to present the final rule believes that when it issues an 1995 26 (PRA) states that no agency may in a simple and straightforward manner interpretive rule, the fact that it is an conduct or sponsor, nor is the and did not receive any comments on interpretive rule is generally clear. In respondent required to respond to, an the use of plain language in the addition, these comments relate to information collection unless it displays Proposed Rule. clarity in drafting, rather than a matter a currently valid Office of Management D. Unfunded Mandates Reform Act of that seems suitable for rulemaking. and Budget (OMB) control number. The 1995 Determination In response to the two commenters OCC has reviewed this final rule and opposing the Proposal, this final rule determined that it does not contain any The OCC analyzed the final rule does not undermine any of the OCC’s information collection requirements under the factors set forth in the safety and soundness or other subject to the PRA. Accordingly, no Unfunded Mandates Reform Act of 1995 submissions to OMB will be made with authorities. Indeed, the final rule is (UMRA).30 Under this analysis, the OCC respect to this final rule. designed to support the OCC’s ability to considered whether the final rule supervise banks effectively. In addition, B. Regulatory Flexibility Act includes a Federal mandate that may the OCC notes the question of the role In general, the Regulatory Flexibility result in the expenditure by State, local, of guidance has been one of interest to Act 27 (RFA) requires that in connection and Tribal governments, in the regulated parties and other stakeholders with a rulemaking, an agency prepare aggregate, or by the private sector, of over the past few years. The Petition and make available for public comment $100 million or more in any one year and the numerous comments on the a regulatory flexibility analysis that (adjusted for inflation). The OCC has Proposal are a sign of this interest. As describes the impact of the rule on small determined that the final rule will not such, the OCC believes it will serve the entities. Under section 605(b) of the impose new mandates on the banking public interest to reaffirm the RFA, this analysis is not required if an industry. Therefore, the OCC concludes appropriate role of supervisory agency certifies that the rule will not that the final rule will not result in an guidance. There are inherent benefits to have a significant economic impact on expenditure of $100 million or more the supervisory process whenever a substantial number of small entities annually by State, local, and Tribal institutions and examiners have a clear and publishes its certification and a governments, or by the private sector. understanding of their roles, including brief explanatory statement in the how supervisory guidance can be used E. Riegle Community Development and Federal Register along with its rule. Regulatory Improvement Act of 1994 effectively within legal limits. The OCC currently supervises Therefore, the OCC is proceeding with approximately 782 small entities.28 Pursuant to section 302(a) of the the rule as proposed. Because the final rule will apply to all Riegle Community Development and In response to the commenter OCC-supervised depository institutions, Regulatory Improvement Act expressing concern that language in the the final rule will affect a substantial (RCDRIA),31 in determining the effective Statement on reducing multiple number of OCC-supervised entities. date and administrative compliance supervisory guidance documents on the While the final rule does clarify that the requirements for new regulations that same topic will limit the OCC’s ability Statement is binding on the OCC, it impose additional reporting, disclosure, to provide valuable guidance, the OCC would not impose any new mandates on or other requirements on insured assures the commenter that this the banking industry. As such, the OCC depository institutions (IDIs), each language will not inhibit the OCC from estimates that the costs, if any, Federal banking agency must consider, issuing new supervisory guidance when associated with the final rule will be consistent with principles of safety and appropriate. negligible. For these reasons, the OCC soundness and the public interest, any Finally, the OCC appreciates the other certifies that the final rule will not have administrative burdens that such comments related to other aspects of a significant economic impact regulations would place on depository guidance or the supervisory process, but significant economic impact on a institutions, including small depository the OCC does not believe that they are substantial number of small entities. institutions, and customers of best addressed in this rulemaking. C. Plain Language depository institutions, as well as the benefits of such regulations. In addition, III. The Final Rule Section 722 of the Gramm-Leach- 29 section 302(b) of RCDRIA requires new For the reasons discussed above, the Bliley Act requires the Federal regulations and amendments to final rule adopts the Proposed Rule regulations that impose additional 26 without substantive change. However, 44 U.S.C. 3501–3521. reporting, disclosures, or other new the OCC has decided to issue a final rule 27 5 U.S.C. 601, et seq. 28 We base our estimate of the number of small requirements on IDIs generally to take that is specifically addressed to the OCC entities on the SBA’s size thresholds for commercial effect on the first day of a calendar and OCC-supervised institutions, rather banks and savings institutions, and trust quarter that begins on or after the date than the joint version that the five companies, which are $600 million and $41.5 on which the regulations are published million, respectively. Consistent with the General agencies included in their joint 32 Principles of Affiliation 13 CFR 121.103(a), we in final form. The OCC has Proposal. Although many of the count the assets of affiliated financial institutions determined that the final rule will not comments were applicable to all of the when determining if we should classify an OCC- impose additional reporting, disclosure, agencies, some comments were specific supervised institution as a small entity. We use or other requirements on IDIs; therefore, to particular agencies or to groups of December 31, 2018, to determine size because a ‘‘financial institution’s assets are determined by the requirements of the RCDRIA do not agencies. Having separate final rules has averaging the assets reported on its four quarterly apply. enabled agencies to better focus on financial statements for the preceding year.’’ See footnote 8 of the U.S. Small Business explaining any agency-specific issues to 30 2 U.S.C. 1532. their respective audiences of supervised Administration’s Table of Size Standards. 29 Public Law 106–102, section 722, 113 Stat. 31 12 U.S.C. 4802(a). institutions and agency employees. 1338, 1471 (1999), 12 U.S.C. 4809. 32 12 U.S.C. 4802.

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F. Congressional Review Act 2601 et seq., 2801 et seq., 2901 et seq., 3101 regulation, supervisory guidance does not et seq., 3401 et seq., 5321, 5412, 5414; 15 have the force and effect of law, and the OCC For purposes of Congressional Review U.S.C. 77uu(b), 78q(c)(3); 18 U.S.C. 641, does not take enforcement actions based on Act, the OMB makes a determination as 1905, 1906; 29 U.S.C. 1204; 31 U.S.C. supervisory guidance. Rather, supervisory to whether a final rule constitutes a 5318(g)(2), 9701; 42 U.S.C. 3601; 44 U.S.C. guidance outlines the OCC’s supervisory ‘‘major’’ rule.33 If a rule is deemed a 3506, 3510; E.O. 12600 (3 CFR, 1987 Comp., expectations or priorities and articulates the ‘‘major rule’’ by the OMB, the p. 235). OCC’s general views regarding appropriate practices for a given subject area. Supervisory Congressional Review Act generally ■ 2. Subpart F is added to part 4 to read provides that the rule may not take guidance often provides examples of as follows: practices that the OCC generally considers effect until at least 60 days following its consistent with safety-and-soundness 34 publication. Subpart F—Use of Supervisory standards or other applicable laws and The Congressional Review Act defines Guidance regulations, including those designed to a ‘‘major rule’’ as any rule that the protect consumers. Supervised institutions at Administrator of the Office of Sec. times request supervisory guidance, and such Information and Regulatory Affairs of 4.81 Purpose. guidance is important to provide insight to the OMB finds has resulted in or is 4.82 Implementation of the Statement the industry, as well as supervisory staff, in Clarifying the Role of Supervisory likely to result in (A) an annual effect a transparent way that helps to ensure Guidance. consistency in the supervisory approach. on the economy of $100,000,000 or 4.83 Rule of construction. Appendix A to more; (B) a major increase in costs or Subpart F of Part 4—Statement Ongoing Efforts To Clarify the Role of prices for consumers, individual Clarifying the Role of Supervisory Supervisory Guidance industries, Federal, State, or local Guidance (2) The OCC is clarifying the following government agencies or geographic policies and practices related to supervisory regions, or (C) significant adverse effects § 4.81 Purpose. guidance: on competition, employment, The OCC issues regulations and (i) The OCC intends to limit the use of numerical thresholds or other ‘‘bright-lines’’ investment, productivity, innovation, or guidance as part of its supervisory function. This subpart reiterates the in describing expectations in supervisory on the ability of United States-based guidance. Where numerical thresholds are enterprises to compete with foreign- distinctions between regulations and used, the OCC intends to clarify that the based enterprises in domestic and guidance, as stated in the Statement thresholds are exemplary only and not export markets.35 The OCC has Clarifying the Role of Supervisory suggestive of requirements. The OCC will determined that the final rule will not Guidance (appendix A to this subpart) continue to use numerical thresholds to impose new mandates on the banking (Statement). tailor, and otherwise make clear, the applicability of supervisory guidance or industry. Therefore, we conclude that § 4.82 Implementation of the Statement programs to supervised institutions, and as the final rule will not result in an Clarifying the Role of Supervisory required by statute. expenditure of $100 million or more Guidance. (ii) Examiners will not criticize (through annually by State, local, and Tribal The Statement describes the official the issuance of matters requiring attention), governments, or by the private sector. policy of the OCC with respect to the a supervised financial institution for, and the OCC will not issue an enforcement action on List of Subjects in 12 CFR Part 4 use of supervisory guidance in the the basis of, a ‘‘violation’’ of or ‘‘non- supervisory process. The Statement is Administrative practice and compliance’’ with supervisory guidance. In binding on the OCC. procedure, Freedom of Information, some situations, examiners may reference (including in writing) supervisory guidance Individuals with disabilities, Minority § 4.83 Rule of construction. to provide examples of safe and sound businesses, Organization and functions This subpart does not alter the legal conduct, appropriate consumer protection (Government agencies), Reporting and status of guidelines authorized by and risk management practices, and other recordkeeping requirements, Women. statute, including but not limited to, 12 actions for addressing compliance with laws or regulations. Authority and Issuance U.S.C. 1831p-1, to create binding legal obligations. (iii) Supervisory criticisms should For the reasons stated in the continue to be specific as to practices, Supplementary Information, chapter I of Appendix A to Subpart F of Part 4— operations, financial conditions, or other title 12 of the Code of Federal Statement Clarifying the Role of matters that could have a negative effect on Regulations is amended by the OCC as Supervisory Guidance the safety and soundness of the financial institution, could cause consumer harm, or follows: Statement Clarifying the Role of Supervisory could cause violations of laws, regulations, Guidance final agency orders, or other legally PART 4—ORGANIZATION AND enforceable conditions. FUNCTIONS, AVAILABILITY AND The OCC is issuing this statement to explain the role of supervisory guidance and (iv) The OCC has at times sought, and may RELEASE OF INFORMATION, to describe the OCC’s approach to continue to seek, public comment on CONTRACTING OUTREACH supervisory guidance. supervisory guidance. Seeking public PROGRAM, POST-EMPLOYMENT comment on supervisory guidance does not RESTRICTIONS FOR SENIOR Difference Between Supervisory Guidance mean that the guidance is intended to be a EXAMINERS and Laws or Regulations regulation or have the force and effect of law. (1) The OCC issues various types of The comment process helps the OCC to ■ 1. The authority citation for part 4 supervisory guidance, including interagency improve its understanding of an issue, to continues to read as follows: statements, advisories, bulletins, policy gather information on institutions’ risk statements, questions and answers, and management practices, or to seek ways to Authority: 5 U.S.C. 301, 552; 12 U.S.C. 1, frequently asked questions, to its supervised achieve a supervisory objective most 93a, 161, 481, 482, 484(a), 1442, 1462a, 1463, institutions. A law or regulation has the force effectively and with the least burden on 1464 1817(a), 1818, 1820, 1821, 1831m, and effect of law.36 Unlike a law or institutions. 1831p–1, 1831o, 1833e, 1867, 1951 et seq., (v) The OCC will aim to reduce the 36 Government agencies issue regulations that issuance of multiple supervisory guidance 33 5 U.S.C. 801 et seq. generally have the force and effect of law. Such 34 5 U.S.C. 801(a)(3). regulations generally take effect only after the responds to comments on the Proposal in a final 35 5 U.S.C. 804(2). agency proposes the regulation to the public and rulemaking document.

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documents on the same topic and will occurrence of paragraph (c)(1)(v) as please contact CFPB_Accessibility@ generally limit such multiple issuances going paragraph (c)(1)(vii); and’’ is corrected cfpb.gov. forward. to read ‘‘Correctly designating the SUPPLEMENTARY INFORMATION: (vi) The OCC will continue efforts to make second occurrence of paragraph (c)(1)(v) the role of supervisory guidance clear in I. Background communications to examiners and to as paragraph (c)(1)(vii) and revising it; supervised financial institutions and and’’ The Bureau recognizes the important encourage supervised institutions with ■ 3. In instruction 2.d., the text distinction between issuances that serve questions about this statement or any ‘‘Revising paragraph (c)(2).’’ is corrected to implement acts of Congress (known applicable supervisory guidance to discuss to read ‘‘Revising paragraph (c)(2) as ‘‘regulations’’ or legislative rules’’) the questions with their appropriate agency heading, (c)(2)(i) and (c)(2)(ii) and non-binding supervisory guidance contact. introductory text’’. documents.1 Regulations create binding Blake J. Paulson, Ann Misback, legal obligations. Supervisory guidance Acting Comptroller of the Currency. Secretary of the Board. is issued by an agency to ‘‘advise the public prospectively of the manner in [FR Doc. 2021–01499 Filed 2–11–21; 8:45 am] [FR Doc. 2021–02911 Filed 2–11–21; 8:45 am] BILLING CODE 4810–33–P which the agency proposes to exercise BILLING CODE P a discretionary power’’ and does not create binding legal obligations.2 In recognition of the important FEDERAL RESERVE SYSTEM BUREAU OF CONSUMER FINANCIAL distinction between rules and guidance, PROTECTION 12 CFR Parts 217, 225, 238, and 252 on September 11, 2018, the agencies issued the Interagency Statement 12 CFR Part 1074 RIN 7100–AF95 Clarifying the Role of Supervisory [Docket No. CFPB–2020–0033] Guidance (2018 Statement) to explain Amendments to Capital Planning and the role of supervisory guidance and Stress Testing Requirements for Large RIN 3710–AB02 describe the agencies’ approach to Bank Holding Companies, Intermediate supervisory guidance.3 As noted in the Holding Companies and Savings and Role of Supervisory Guidance 2018 Statement, the agencies issue Loan Holding Companies AGENCY: Bureau of Consumer Financial various types of supervisory guidance to AGENCY: Board of Governors of the Protection. their respective supervised institutions, Federal Reserve System (Board). ACTION: Final rule. including, but not limited to, ACTION: Technical correction. interagency statements, advisories, SUMMARY: The Bureau of Consumer bulletins, policy statements, questions SUMMARY: This document corrects an Financial Protection (Bureau) is and answers, and frequently asked error in amendatory instruction 2 adopting a final rule that codifies the questions. Supervisory guidance affecting Part 217 of the Board’s Interagency Statement Clarifying the outlines the agencies’ supervisory Regulation Q published in the Federal Role of Supervisory Guidance, issued by expectations or priorities and articulates Register on February 3, 2021. the Office of the Comptroller of the the agencies’ general views regarding DATES: Effective April 5, 2021. Currency (OCC), Board of Governors of practices for a given subject area. FOR FURTHER INFORMATION CONTACT: the Federal Reserve System (Board), Supervisory guidance often provides Asad Kudiya, Senior Counsel, (202) Federal Deposit Insurance Corporation examples of practices that mitigate risks, 475–6358 or Jonah Kind, Counsel, (202) (FDIC), National Credit Union or that the agencies generally consider 452–2045. You may also contact any of Administration (NCUA), and the Bureau to be consistent with safety-and- the named individuals in the final rule (collectively, the agencies) on soundness standards or other applicable document 86 FR 7927 (February 3, September 11, 2018 (2018 Statement). laws and regulations, including those 2021). By codifying the 2018 Statement, with designed to protect consumers.4 The amendments, the final rule confirms SUPPLEMENTARY INFORMATION: agencies noted in the 2018 Statement that the Bureau will continue to follow that supervised institutions at times Correction and respect the limits of administrative request supervisory guidance and that law in carrying out its supervisory In final rule FR Doc. 2021–02182, guidance is important to provide clarity responsibilities. The 2018 Statement published on February 3, 2021, on page reiterated well-established law by 1 7938, in the third column, make the Regulations are commonly referred to as stating that, unlike a law or regulation, following corrections to instruction 2, legislative rules because regulations have the ‘‘force supervisory guidance does not have the and effect of law.’’ Perez v. Mortgage Bankers amending § 217.11: force and effect of law. As such, Association, 575 U.S. 92, 96 (2015). 2 See Chrysler v. Brown, 441 U.S. 281, 302 (1979) § 217.11 [Corrected] supervisory guidance does not create (quoting the Attorney General’s Manual on the binding legal obligations for the public. ■ 1. In instruction 2.b., the text Administrative Procedure Act at 30 n.3 (1947) Because it is incorporated into the final (Attorney General’s Manual) and discussing the ‘‘Revising the paragraph (c) subject rule, the 2018 Statement, as amended, is distinctions between regulations and general heading and paragraphs (c)(1)(i) and (ii), binding on the Bureau. The final rule statements of policy, of which supervisory guidance (c)(1)(iii) introductory text, and (c)(1)(iv) is one form). adopts the rule as proposed without 3 introductory text, (c)(1)(v) introductory See https://www.consumerfinance.gov/about-us/ substantive change. text, and (c)(vi) introductory text; and’’ newsroom/agencies-issue-statement-reaffirming- DATES: This final rule is effective on role-supervisory-guidance/. is corrected to read ‘‘Revising the 4 While supervisory guidance offers guidance to paragraph (c) heading and paragraphs March 15, 2021. the public on the agencies’ approach to supervision (c)(1)(i) and (ii), (c)(1)(iii) introductory FOR FURTHER INFORMATION CONTACT: under statutes and regulations and safe and sound text, (c)(1)(iv) introductory text, (c)(1)(v) Bradley Lipton or Christopher Shelton, practices, the issuance of guidance is discretionary and is not a prerequisite to an agency’s exercise of introductory text, and (c)(1)(vi); and’’ Senior Counsels, Legal Division, (202) its statutory and regulatory authorities. This point ■ 2. In instruction 2.c., the text 435–7700. If you require this document reflects the fact that statutes and legislative rules, ‘‘Correctly designating the second in an alternative electronic format, not statements of policy, set legal requirements.

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to these institutions, as well as connection with matters requiring ‘‘violation’’ of or ‘‘non-compliance’’ supervisory staff, in a transparent way attention, matters requiring immediate with supervisory guidance. The that helps to ensure consistency in the attention (collectively, MRAs), as well Proposed Rule reflected these supervisory approach.5 as in connection with other supervisory clarifications.10 The 2018 Statement restated existing actions that should be clarified through The Petition requested further that law and reaffirmed the agencies’ a rulemaking. Finally, the Petition these supervisory criticisms should not understanding that supervisory called for the rulemaking to implement include ‘‘generic’’ or ‘‘conclusory’’ guidance does not create binding, changes in the agencies’ standards for references to safety and soundness. The enforceable legal obligations. The 2018 issuing MRAs. Specifically, the Petition agencies agreed that supervisory Statement reaffirmed that the agencies requested that the agencies limit the role criticisms should continue to be specific do not issue supervisory criticisms for of MRAs to addressing circumstances in as to practices, operations, financial ‘‘violations’’ of supervisory guidance which there is a violation of a statute, conditions, or other matters that could and described the appropriate use of regulation, or order, or demonstrably have a negative effect on the safety and supervisory guidance by the agencies. In unsafe or unsound practices. soundness of the financial institution, the 2018 Statement, the agencies also could cause consumer harm, or could expressed their intention to (1) limit the II. The Proposed Rule cause violations of laws, regulations, use of numerical thresholds in On November 5, 2020, the agencies final agency orders, or other legally guidance; (2) reduce the issuance of issued a proposed rule (Proposed Rule enforceable conditions. Accordingly, the multiple supervisory guidance or Proposal) that would have codified agencies included language reflecting documents on the same topic; (3) the 2018 Statement, with clarifying this practice in the Proposed Rule. continue efforts to make the role of changes, as an appendix to proposed The Petition also suggested that supervisory guidance clear in rule text.8 The Proposed Rule would MRAs, as well as memoranda of communications to examiners and have superseded the 2018 Statement. understanding, examination supervised institutions; and (4) The rule text would have provided that downgrades, and any other formal encourage supervised institutions to an amended version of the 2018 examination mandate or sanction, discuss their concerns about Statement is binding on each respective should be based only on a violation of supervisory guidance with their agency agency. a statute, regulation, or order, including contact. The Petition expressed support for the a ‘‘demonstrably unsafe or unsound On November 5, 2018, the OCC, 2018 Statement and acknowledged that practice.’’ As noted in the Proposed Board, FDIC, and Bureau each received it addresses many issues of concern for Rule, examiners all take steps to identify a petition for a rulemaking (Petition), as the Petitioners relating to the use of deficient practices before they rise to permitted under the Administrative supervisory guidance. The Petition violations of law or regulation or before Procedure Act (APA),6 requesting that expressed concern, however, that the they constitute unsafe or unsound the agencies codify the 2018 Statement.7 2018 Statement’s reference to not basing banking practices. The agencies stated The Petition argued that a rule on ‘‘criticisms’’ on violations of that they continue to believe that early guidance is necessary to bind future supervisory guidance has led to identification of deficient practices agency leadership and staff to the 2018 confusion about whether MRAs are serves the interest of the public and of Statement’s terms. The Petition also covered by the 2018 Statement. supervised institutions. Early suggested there are ambiguities in the Accordingly, the agencies proposed to identification protects the safety and 2018 Statement concerning how clarify in the Proposed Rule that the soundness of banks, promotes consumer supervisory guidance is used in term ‘‘criticize’’ includes the issuance of protection, and reduces the costs and MRAs and other supervisory criticisms, risk of deterioration of financial 5 The Administrative Conference of the United including those communicated through condition from deficient practices States (ACUS) has recognized the important role of matters requiring board attention, resulting in violations of laws or guidance documents and has stated that guidance documents of resolution, and can ‘‘make agency decision-making more regulations, unsafe or unsound predictable and uniform and shield regulated supervisory recommendations conditions, or unsafe or unsound parties from unequal treatment, unnecessary costs, (collectively, supervisory criticisms).9 banking practices. The Proposed Rule and unnecessary risk, while promoting compliance As such, the agencies reiterated that also noted that the agencies have with the law.’’ ACUS, Recommendation 2017–5, examiners will not base supervisory different supervisory processes, Agency Guidance Through Policy Statements, 82 FR 61728, 61734 (Dec. 29, 2017). ACUS also criticisms on a ‘‘violation’’ of or ‘‘non- including for issuing supervisory suggests that ‘‘policy statements are generally better compliance with’’ supervisory guidance. criticisms. For these reasons, the [than legislative rules] for dealing with conditions The agencies noted that, in some of uncertainty and often for making agency policy situations, examiners may reference 10 The 2018 Statement contains the following accessible.’’ Id. ACUS’s reference to ‘‘policy (including in writing) supervisory sentence: ‘‘Examiners will not criticize a supervised statements’’ refers to the statutory text of the APA, financial institution for a ‘‘violation’’ of supervisory which provides that notice and comment is not guidance to provide examples of safe guidance.’’ 2018 Statement at 2. As revised in the required for ‘‘general statements of policy.’’ The and sound conduct, appropriate Proposed Rule, this sentence read as follows: phrase ‘‘general statements of policy’’ has consumer protection and risk ‘‘Examiners will not criticize (including through the commonly been viewed by courts, agencies, and management practices, and other issuance of matters requiring attention, matters administrative law commentators as including a requiring immediate attention, matters requiring wide range of agency issuances, including guidance actions for addressing compliance with board attention, documents of resolution, and documents. laws or regulations. The agencies also supervisory recommendations) a supervised 6 5 U.S.C. 553(e). reiterated that they will not issue an financial institution for, and agencies will not issue 7 See Petition for Rulemaking on the Role of enforcement action on the basis of a an enforcement action on the basis of, a ‘‘violation’’ Supervisory Guidance, available at https:// of or ‘‘non-compliance’’ with supervisory www.consumerfinance.gov/rules-policy/petitions- guidance.’’ Proposed Rule (emphasis added). As rulemaking/bpi-aba-petition/. The Petitioners did 8 85 FR 70512 (Nov. 5, 2020). discussed infra in footnote 11, the Proposed Rule not submit a petition to the NCUA, which has no 9 The agencies use different terms to refer to also removed the sentences in the 2018 Statement supervisory authority over the financial institutions supervisory actions that are similar to MRAs and that referred to ‘‘citation,’’ which the Petition that are represented by Petitioners. The NCUA Matters Requiring Immediate Attention (MRIAs), suggested had been confusing. These sentences chose to join the Proposed Rule on its own including matters requiring board attention, were also removed to clarify that the focus of the initiative. References in the preamble to ‘‘agencies’’ documents of resolution, and supervisory Proposed Rule related to the use of guidance, not therefore include the NCUA. recommendations. the standards for MRAs.

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agencies did not propose revisions to consumers and business clients, without institutions have wider discretion to their respective supervisory practices uncertainty regarding potential ignore supervisory guidance. relating to supervisory criticisms. regulatory consequences. These In a comment that was specifically The agencies also noted that the 2018 commenters expressed strong support as addressed to the Bureau, a veterans Statement was intended to focus on the well for the clarification in the Proposed advocacy group expressed concern that appropriate use of supervisory guidance Rule that the agencies will not criticize, the Bureau’s participation in the in the supervisory process, rather than including through the issuance of interagency rule would bind the hands the standards for supervisory criticisms. ‘‘matters requiring attention,’’ a of a future administration. To address any confusion concerning supervised financial institution for a B. Scope of Rule the scope of the 2018 Statement, the ‘‘violation’’ of, or ‘‘non-compliance’’ Proposed Rule removed two sentences with, supervisory guidance. Several industry commenters from the 2018 Statement concerning One commenter agreed with the requested that the Proposed Rule cover grounds for ‘‘citations’’ and the agencies that supervisory criticisms interpretive rules and clarify that handling of deficiencies that do not should not be limited to violation of interpretive rules do not have the force constitute violations of law.11 statutes, regulations, or orders and that and effect of law. One commenter stated supervisory guidance remains a that the agencies should clarify whether III. Comments on the Proposed Rule beneficial tool to communicate they believe that interpretive rules can A. Overview supervisory expectations to the be binding. The commenter argued that, under established legal principles, The five agencies received industry. The commenter stated that the interpretive rules can be binding on the approximately thirty unique comments proactive identification of supervisory agency that issues but not on the public. concerning the Proposed Rule.12 The criticism or deficiencies that do not Some commenters suggested that the Bureau discusses below those comments constitute violations of law facilitates agencies follow Administrative that are potentially relevant to the forward-looking supervision, which Conference of the United States (ACUS) Bureau, rather than those comments that helps address problems before they recommendations for issuing are only potentially relevant to other warrant a formal enforcement action. interpretive rules and that the agencies agencies. As one example, the Bureau The commenter noted as well that should clarify when particular guidance notes that the Federal banking agencies supervisory guidance provides important insight to industry and documents are (or are not) interpretive (the OCC, Board, and FDIC) received a rules and allow the public to petition to comment regarding their supervisory ensures consistency in the supervisory approach and that supervised change an interpretation. A number of authorities, but the Bureau did not. commenters requested that the agencies Accordingly, the Bureau does not institutions frequently request supervisory guidance. The commenter expand the statement to address the discuss that subject here. standards that apply to MRAs and other Commenters representing trade observed that the COVID–19 pandemic supervisory criticisms, a suggestion associations for banking institutions and has amplified the requests for supervisory guidance and made in the Petition. other businesses, State bankers’ One comment that specifically associations, individual financial interpretation, and that it is apparent institutions want clarity and guidance pertained to the Bureau, which was institutions, and one member of submitted by an association of Congress expressed general support for from regulators. Two commenters, both public interest community banks, recommended that the Proposed Rule. These commenters advocacy groups, opposed the Proposed the category of supervisory guidance be supported codification of the 2018 Rule, suggesting that codifying the 2018 expanded to include the ‘‘small entity Statement and the reiteration by the Statement may undermine the compliance guides’’ that the Bureau agencies that guidance does not have important role that supervisory provides for small entities, which the the force of law and cannot give rise to guidance can play by informing commenter described as extremely binding, enforceable legal obligations. supervisory criticism, rather than helpful. Another comment, from an One of these commenters stated that the merely clarifying that it will not serve association in the debt-collection Proposal would serve the interests of as the basis for enforcement actions. industry, generally encouraged the consumers and competition by One commenter stated that it is essential Bureau to issue small entity compliance clarifying the law for institutions and for agencies to have the prophylactic guides, frequently asked questions, and potentially removing ambiguities that authority to base criticisms on advisory opinions to explain could deter the development of imprudent bank practices that may not compliance expectations. innovative products that serve yet have ripened into violations of law C. Role of Guidance Documents or significant safety and soundness 11 The following sentences from the 2018 Several commenters recommended Statement were not present in the Proposed Rule: concerns. The commenter stated that ‘‘Rather, any citations will be for violations of law, this is particularly important with that the agencies clarify that the regulation, or non-compliance with enforcement respect to large banks, where delay in practices described in supervisory orders or other enforceable conditions. During addressing concerns could lead to a guidance are merely examples of examinations and other supervisory activities, broader crisis. One commenter stated conduct that may be consistent with examiners may identify unsafe or unsound practices or other deficiencies in risk management, that the agencies have not explained the statutory and regulations, not including compliance risk management, or other benefits that would result from the rule expectations that may form the basis for areas that do not constitute violations of law or or demonstrated how the rule will supervisory criticism. One commenter regulation.’’ 2018 Statement at 2. The agencies did promote safety and soundness or suggested that the agencies state that not intend these deletions to indicate a change in supervisory policy. consumer protection. The commenter when supervisory guidance or 12 Of the comments received, some comments argued that supervision is different from interpretive rules offers examples of safe were not submitted to all agencies, and some other forms of regulation and requires and sound conduct, compliance with comments were identical. Note that this total supervisory discretion, which could be consumer protection standards, excludes comments that were directed at an unrelated rulemaking by the Financial Crimes constrained by the rule. One of these appropriate risk management practices, Enforcement Network of the Department of the commenters argued that the Proposal or acceptable practices through Treasury (FinCEN). would send a signal that banking supervisory guidance, the agencies will

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treat adherence to that supervisory should be transparent enough and E. Issuance and Management of guidance or interpretive rule as sufficiently known throughout the Supervisory Guidance providing a safe harbor. One commenter industry before being cited in an Several commenters made suggestions also requested that the agencies make examination report. One commenter about how the agencies should issue clear that guidance that goes through requested that examiners should not and manage supervisory guidance. public comment, as well as any apply large bank practices to Some commenters suggested that the examples used in guidance, are not community banks that have a different, agencies should delineate clearly 13 binding. less complex and more conservative between regulations and supervisory One comment that was specifically business model. guidance. Commenters encouraged the addressed to the Bureau, from an Commenters that opposed the agencies to regularly review, update, association of credit unions, stated that Proposal did not support restricting and potentially rescind outstanding the Bureau should refrain from issuing supervisory criticism or sanctions to guidance. One commenter suggested supervisory guidance that adds explicit violations of law or regulation. that the agencies rescind outstanding requirements not explicitly stated in the One commenter expressed concern that guidance that functions as rule but has statute or regulation. requiring supervisors to wait for an not gone through notice and comment. One commenter argued that guidance explicit violation of law before issuing One commenter suggested that the provides valuable information to criticism would effectively erase the agencies memorialize their intent to supervisors about how their discretion line between supervision and revisit and potentially rescind existing should be exercised and therefore plays enforcement. According to the guidance, as well as limit multiple an important role in supervision. commenter, it would eliminate the space for supervision as an intermediate guidance documents on the same topic. D. Supervisory Criticisms practice of oversight and cooperative Commenters suggested that supervisory Several commenters addressed problem-solving between banks and the guidance should be easy to find, readily supervisory criticisms and how they regulators who support and manage the available, online, and in a format that is relate to guidance. Some commenters banking system. One commenter user-friendly and searchable. suggested that supervisory criticisms emphasized the importance of bank One commenter encouraged the should be specific as to practices, supervisors basing their criticisms on agencies to issue principles-based operations, financial conditions, or imprudent bank practices that may not guidance that avoids the kind of other matters that could have a negative yet have ripened into violations of laws granularity that could be misconstrued effect. These commenters suggested that or rules but which if left unaddressed as binding expectations. According to MRAs, memoranda of understanding could pose harm to consumers. this commenter, the agencies can issue and any other formal written mandates One commenter argued that the separate frequently asked questions or sanctions should be based only on a agencies should state clearly that with more detailed information but violation of a statute or regulation. guidance can and will be used by should clearly identify these as non- Similarly, these commenters argued that supervisors to inform their assessments binding illustrations. This commenter there should be no references to of banks’ practices and that it may be also encouraged the agencies to publish guidance in written formal actions and cited as, and serve as the basis for, proposed guidance for comment when that banking institutions should be criticisms. According to the commenter, circumstances allow. Another reassured that they will not be criticized even under the legal principles commenter requested that the agencies or cited for a violation of guidance when described in the Proposal, it is issue all ‘‘rules’’ as defined by the no law or regulation is cited. One permissible for guidance to be used as Administrative Procedure Act through commenter suggested that it would a set of standards that may inform a the notice-and-comment process. instead be appropriate to discuss criticism, provided that application of One commenter expressed concern supervisory guidance privately, rather the guidance is used for corrective that the agencies will aim to reduce the than publicly, potentially during the purposes, if not to support an issuance of multiple supervisory pre-exam meetings or during enforcement action. guidance documents and will thereby examination exit meetings. Another According to one commenter, the reduce the availability of guidance in commenter suggested that, while Proposal makes fine conceptual circumstances where guidance would be referencing guidance in supervisory distinctions between, for example, valuable. issuing supervisory criticisms ‘‘on the criticism may be useful at times, F. Responses to Comments agencies should provide safeguards to basis of’’ guidance and issuing prevent such references from becoming supervisory criticisms that make As stated in the Proposed Rule, the the de facto basis for supervisory ‘‘reference’’ to supervisory guidance. 2018 Statement was intended to focus criticisms. One commenter stated that The commenter suggested that is a on the appropriate use of supervisory examiners also should not criticize distinction that it may be difficult for guidance in the supervisory process, community banks in their final written regulated entities to parse in practice. rather than the standards for examination reports for not complying According to the commenter, a rule that supervisory criticisms. The standards with ‘‘best practices’’ unless the makes such a distinction is likely to for issuing MRAs and other supervisory criticism involves a violation of bank have a chilling effect on supervisors actions were, therefore, outside the attempting to implement policy in the policy or regulation. The commenter scope of this rulemaking. For this field. According to another commenter, added that industry best practices reason, and for reasons discussed the language allowing examiners to earlier, the final rule does not address 13 This commenter also requested that the reference supervisory guidance to the standards for MRAs or other agencies affirm that they will apply statutory factors provide examples is too vague and supervisory actions. while processing applications. The Bureau threatens to marginalize the role of With respect to the comments on construes this comment, in context, as referring to guidance and significantly reduce its coverage of interpretive rules, the the application processes that are common at the Bureau agrees with the commenter that Federal banking agencies; to the extent it may refer usefulness in the process of issuing to applications to the Bureau, the Bureau considers criticisms designed to correct deficient interpretive rules do not, alone, ‘‘have it outside the scope of the Bureau’s rulemaking. bank practices. the force and effect of law’’ and must be

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rooted in, and derived from, a statute or community banks that the category of and other industries to fully comply regulation.14 While interpretive rules supervisory guidance be expanded to with Federal consumer financial laws. and supervisory guidance are similar in include the ‘‘small entity compliance In response to the comment that the lacking the force and effect of law, guides’’ that the Bureau provides for agencies should treat examples in interpretive rules and supervisory small entities, which the commenter guidance as ‘‘safe harbors,’’ the Bureau guidance are distinct under the APA described as extremely helpful. The agrees that examples offered in and its jurisprudence and are generally Bureau normally designates its small supervisory guidance can provide issued for different purposes.15 entity compliance guides as insight about practices that, in general, Interpretive rules are typically issued by ‘‘compliance aids,’’ pursuant to the its may lead to compliance with an agency to advise the public of the Policy Statement on Compliance Aids.18 regulations and statutes. The examples agency’s construction of the statutes and Compliance aids do not rise to the level in guidance, however, are generalized. rules that it administers,16 whereas of supervisory guidance, because they When an institution chooses to general statements of policy, such as are not general statements of policy and implement such examples, examiners supervisory guidance, advise the public they do not concern the Bureau’s must consider the facts and of how an agency intends to exercise its supervisory powers—neither do they circumstances of that institution in discretionary powers.17 To this end, rise to the level of interpretive rules, assessing the application of those guidance generally reflects an agency’s because they are not interpretive.19 examples. In addition, the underlying policy views, for example, on risk Instead, the Policy Statement on legal principle of supervisory guidance management practices. On the other Compliance Aids outlines how is that it does not created binding legal hand, interpretive rules generally compliance aids simply present the obligation for either the public or an resolve ambiguities regarding requirements of rules and statutes in a agency. As such, the Bureau does not requirements imposed by statutes and manner that is useful for compliance deem examples in supervisory guidance regulations. Because supervisory professionals, other industry to categorically establish safe harbors. guidance and interpretive rules have stakeholders, and the public; The Bureau has also considered the different characteristics and serve compliance aids also sometimes include comment that was specifically directed different purposes, the Bureau has practical suggestions for how entities to the Bureau, from an association of decided that the final rule will continue might choose to go about complying credit unions, which stated that the to cover supervisory guidance only. with those rules and statutes.20 Bureau should refrain from issuing With respect to the question of Interested parties can consult the Policy supervisory guidance that adds whether to adopt ACUS’s procedures for Statement on Compliance Aids for a requirements not explicitly stated in the allowing the public to request comprehensive explanation of how the statute or regulation. Although the reconsideration or revision of an Bureau views its compliance aids. Bureau does not agree that it would be interpretive rule, this rulemaking, again, The Bureau also notes the comment appropriate to limit the Bureau’s efforts does not address interpretive rules. As from an association in the debt- to assist entities in complying with their such, the Bureau is not adding collection industry that encouraged the legal obligations to situations where the procedures for challenges to interpretive Bureau to issue small entity compliance law is already explicit, the Bureau fully rules through this rulemaking. guides, frequently asked questions, and agrees that it is not the role of The Bureau is also not adopting the advisory opinions to explain supervisory guidance to create legal comment from an association of compliance expectations. The Bureau requirements. Those must be located in observes that these particular materials a statute or regulation. 14 See Mortgage Bankers Association, 575 U.S. at are outside the scope of this particular In response to the comments that the 96. rulemaking. This is because the Proposal may undermine the important 15 Questions concerning the legal and supervisory role that supervisory guidance can play nature of interpretive rules are case-specific and Bureau’s small entity compliance guides have engendered debate among courts and and frequently asked questions are in informing supervisory criticism and administrative law commentators. The Bureau takes generally designated as compliance aids in serving to address conditions before no position in this rulemaking on those specific and not supervisory guidance under the those conditions lead to enforcement debates. See, e.g., R. Levin, Rulemaking and the actions, the Bureau agrees that the Guidance Exemption, 70 Admin. L. Rev. 263 (2018) Policy Statement on Compliance Aids,21 (discussing the doctrinal differences concerning the while the Bureau’s advisory opinions appropriate use of supervisory guidance status of interpretive rules under the APA); see also are classified as interpretive rules under generates a more collaborative and Nicholas R. Parillo, Federal Agency Guidance and 22 constructive regulatory process that the Powder to Bind: An Empirical Study of Agencies the Bureau’s Advisory Opinion Policy. and Industries, 36 Yale J. Reg 165, 168 n.6 (2019) However, the Bureau agrees that the supports compliance by institutions, (‘‘Whether interpretive rules are supposed to be appropriate Bureau use of compliance thereby diminishing the need for nonbinding is a question subject to much confusion aids and advisory opinions, like enforcement actions. As noted by that is not fully settled.’’); see also ACUS, ACUS, guidance can make agency Recommendation 2019–1: Agency Guidance supervisory guidance, is useful for Through Interpretive Rules, 84 FR 38927 (Aug. 8, helping entities in the debt-collection decision-making more predictable and 2019) (noting that courts and commentators have uniform and shield regulated parties different views on whether interpretive rules bind 18 Policy Statement on Compliance Aids, 85 FR from unequal treatment, unnecessary an agency and effectively bind the public through costs, and unnecessary risk, while the deference given to agencies’ interpretations of 4579 (Jan. 27, 2020). their own rules under Auer v. Robbins, 519 U.S. 452 19 Id. at 4579 n.4 (explaining that Bureau promoting compliance with the law. (1997)). compliance aids that satisfy the policy statement do The Bureau does not view the final rule 16 Mortgage Bankers Association, 575 U.S. at 97 not rise to the level of ‘‘rules’’ as defined by the as weakening the role of guidance in the Administrative Procedure Act and that general (citing Shalala v. Guernsey Memorial Hospital, 514 supervisory process and the Bureau will U.S. 87, 99 (1995)); accord Attorney General’s statements of policy and interpretive rules are Manual at 30 n.3. examples of ‘‘rules’’). continue to use guidance in a robust 20 17 See Chrysler v. Brown, 441 U.S. at 302 n.31 Id. at 4579. way to promote compliance by its (quoting Attorney General’s Manual at 30 n.3); see 21 Id. supervised institutions. also, e.g., American Mining Congress v. Mine Safety 22 Advisory Opinions Policy, 85 FR 77987, 77988 Further, the Bureau does not agree & Health Administration, 995 F.2d 1106, 1112 (D.C. (Dec. 3, 2020) (explaining that Bureau advisory with one commenter’s assertion that the Cir. 1993) (outlining tests in the D.C. Circuit for opinions are interpretive rules under the assessing whether an agency issuance is an Administrative Procedure Act and explaining Proposal made an unclear distinction interpretive rule). limitations on advisory opinions). between, on the one hand, inappropriate

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supervisory criticism for a ‘‘violation’’ interpretive rules. As one court has in the final rule that would prevent the of or ‘‘non-compliance’’ with explained, Congress intended to Bureau from continuing to vigorously supervisory guidance, and, on the other ‘‘accommodate situations where the carry out its statutory supervisory hand, Bureau examiners’ entirely policies promoted by public functions in the interests of consumers, appropriate use of supervisory guidance participation in rulemaking are while respecting legal limits. Therefore, to reference examples of appropriate outweighed by the countervailing the Bureau is proceeding with the rule consumer protection and risk considerations of effectiveness, as proposed. management practices and other actions efficiency, expedition and reduction in In response to the commenter for addressing compliance with laws or expense.’’ 23 expressing concern that language in the regulations. This approach In response to the question raised by Statement on reducing multiple appropriately implements the principle some commenters concerning potential supervisory guidance documents on the that institutions are not required to confusion between supervisory same topic will limit the Bureau’s follow supervisory guidance in itself but guidance and interpretive rules, the ability to provide valuable guidance, the may find such guidance useful. The Bureau notes that interpretive rules are Bureau assures the commenter that this Bureau disagrees with the commenter outside the scope of the rulemaking. In language will not inhibit the Bureau that institutions and examiners are addition, as stated earlier, interpretative from issuing new supervisory guidance incapable of understanding this rules do not, alone, ‘‘have the force and when appropriate. important distinction. effect of law’’ and must be rooted in, Finally, the Bureau appreciates the As one example, Bureau examiners and derived from, the statutes and other comments related to other aspects regularly examine the compliance regulations those rules interpret. While of guidance or the supervisory process, management systems (CMS) at interpretive rules and supervisory but the Bureau does not believe that supervised institutions. Where guidance are similar in lacking the force they are best addressed in this examiners identify a deficiency in an and effect of law, interpretive rules and rulemaking. institution’s CMS, examiners may supervisory guidance are distinct under IV. The Final Rule provide a supervisory recommendation the APA and its jurisprudence and are For the reasons discussed above, the or other supervisory criticism to the generally issued for different purposes. final rule adopts the Proposed Rule institution to correct the deficiency at The Bureau believes that when it issues that institution. It is also appropriate for without substantive change. an interpretive rule, the fact that it is an However, the Bureau has decided to Bureau examiners to refer to relevant interpretive rule is generally clear. In supervisory guidance as an example of issue a final rule that is specifically addition, these comments relate to addressed to the Bureau and Bureau- appropriate CMS, if the examiners clarity in drafting, rather than a matter believe that an institution would find supervised institutions, rather than the that seems suitable for rulemaking. joint version that the five agencies such guidance informative. In response to the two public interest In response to the comments included in their joint Proposal. advocacy groups opposing the Proposal, Although many of the comments were regarding the role of public comment for the Bureau does not believe that this supervisory guidance, the Bureau notes applicable to all of the agencies, some final rule would undermine any of the comments were specific to particular that it has made clear through the 2018 Bureau’s authorities. Indeed, the final Statement and in this final rule that agencies or to groups of agencies. rule is designed to support the Bureau’s Having separate final rules has enabled supervisory guidance (including ability to supervise. In addition, the guidance that goes through public agencies to better focus on explaining Bureau notes the question of the role of any agency-specific issues to their comment) does not create binding, guidance has been one of interest to enforceable legal obligations. Rather, the respective audiences of supervised regulated parties and other stakeholders institutions and agency employees. Bureau may issue supervisory guidance over the past few years. The Petition for comment in order to improve its Relatedly, the Bureau has omitted and the numerous comments on the from the final rule those specific understanding of an issue, gather Proposal are a sign of this interest. As information, or seek ways to achieve a phrases that are inapplicable to the such, the Bureau believes it will serve Bureau, because they pertain to the supervisory objective most effectively. the public interest to reaffirm the Similarly, examples that are included in safety-and-soundness responsibilities of appropriate role of supervisory supervisory guidance (including the Federal banking agencies and the guidance. There are inherent benefits to guidance that goes through public NCUA. The Bureau believes that this the supervisory process whenever comment) are not binding on will provide greater clarity about how institutions and examiners have a clear institutions. Rather, these examples are the rule applies to the Bureau’s understanding of their roles, including intended to be illustrative of ways a supervisory functions. how supervisory guidance can be used supervised institution may implement effectively within legal limits. And in V. Administrative Law Matters appropriate consumer protection, response to the concern from the prudent risk management, or other A. Dodd-Frank Act veterans advocacy group that the actions in furtherance of compliance The Bureau issues this final rule Bureau’s participation in the with laws or regulations. Relatedly, the based on the Bureau’s authorities under interagency Proposed Rule would bind Bureau does not agree with one sections 1012(a)(1) and 1022(b)(1) of the the hands of a future administration, the comment that it should use notice-and- Dodd-Frank Wall Street Reform and Bureau notes that it is the nature of comment procedures, without Consumer Protection Act (Dodd-Frank binding regulations that they bind an exception, to issue all ‘‘rules’’ as defined Act).24 Section 1012(a)(1) authorizes the agency over time across multiple by the APA, which would include Bureau to establish rules for conducting administrations. Most importantly, it supervisory guidance. Congress has the general business of the Bureau, in a does not believe that there is anything established longstanding exceptions in manner not inconsistent with title X of the APA from the notice-and-comment the Dodd-Frank Act.25 Section 23 Am. Hosp. Ass’n v. Bowen, 834 F.2d 1037, 1045 process for certain rules, including for (D.C. Cir. 1987). The specific contours of these general statements of policy like exceptions are the subject of an extensive body of 24 Public Law 111–203, 124 Stat. 1376 (2010). supervisory guidance and for case law. 25 12 U.S.C. 5492(a)(1).

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1022(b)(1) authorizes the Bureau to are subject to the Bureau’s supervisory excess costs to ensure compliance. To issue rules as may be necessary or authority.31 the extent that the 2018 Statement has appropriate to enable the Bureau to Potential Benefits and Costs to prompted financial institutions to avoid administer and carry out the purposes Consumers and Covered Persons. The unnecessary compliance costs in cases and objectives of the Federal consumer final rule reiterates the Interagency that comply with applicable laws and financial laws.26 The Bureau determines Statement Clarifying the Role of regulations and do not harm consumers, that the additional clarity regarding the Supervisory Guidance (2018 Statement), but technically contravene the Bureau’s status of supervisory guidance provided which is already the policy of the supervisory guidance, the final rule will by the final rule will enable the Bureau Bureau, and makes it binding on the further lower those costs by reducing to carry out its supervisory Bureau. The Bureau evaluates the final the uncertainty. With respect to the responsibilities under Federal consumer rule against a baseline in which no such criticism that compliance costs are not financial law more effectively. rule is adopted, and the Bureau is necessarily linked to consumer welfare, Consistent with section 1022(b)(2)(B) therefore less definitively bound to the Bureau notes that its burden under of the Dodd-Frank Act, in developing implement the 2018 Statement in all section 1022(b)(2)(A) is to consider costs the final rule, the Bureau has consulted, supervisory activities. Accordingly, the and benefits to covered persons as well or offered to consult with, the final rule provides the relevant as to consumers. Moreover, as noted prudential regulators and the Federal institutions with additional assurance above, a reduction in unnecessary Trade Commission, including regarding that the Bureau’s implementation of compliance costs can be passed through consistency with any prudential, current and future supervisory guidance to consumers in the form of lower costs market, or systemic objectives will follow the 2018 Statement. of credit. administered by those agencies.27 The final rule should provide the Finally, the final rule does not impose Additionally, consistent with section relevant institutions with greater any new obligations on institutions. 1022(b)(2)(A) of the Dodd-Frank Act, the certainty about legal obligations that are Thus, the final rule should have no Bureau has considered the potential addressed in supervisory guidance. This costs for institutions. A consumer benefits, costs, and impacts of the final in turn may reduce compliance costs. It advocate commenter asserted that the is not feasible, however, to quantify or rule.28 The Bureau requested comment rule would impose costs on consumers monetize this benefit. The Bureau can on the preliminary analysis presented in by reducing the effectiveness of the only speculate on the greater certainty the proposal as well as submissions of agencies’ supervision operations, about legal obligations and the additional data that could inform the leading to potential consumer harm. reduction in compliance costs due to Bureau’s analysis of the benefits, costs, The commenter argued that ambiguities the final rule. Further, the benefit from and impacts. Such comments as the in the Proposed Rule and the the greater certainty about legal accompanying Statement would make it Bureau received on this subject are obligations pertains to future as well as difficult for supervision staff at the discussed below. current supervisory guidance. The agencies to determine when to issue Institutions Affected by the Final Bureau can only speculate on the supervisory criticisms, to the detriment Rule. The Bureau’s final rule applies to frequency of future supervisory of consumers who may be affected by supervisory guidance issued by the guidance. Supervisory guidance is practices that would otherwise be Bureau, which is addressed to those issued from time to time as the need subject to a supervisor’s criticism. institutions that are subject to the arises, and the Bureau cannot forecast However, the Bureau notes that the 2018 Bureau’s supervisory authority. the volume and nature of future Statement is already the policy of the Accordingly, the final rule may affect supervisory guidance with sufficient Bureau. Moreover, the rule is intended those nondepository institutions that are precision to quantify or monetize this to clarify at least some aspects of the subject to the Bureau’s supervisory benefit. 2018 Statement. To the extent that the authority under section 1024 of the The final rule may also indirectly 29 ambiguities the commenter identifies Dodd-Frank Act. It may also affect benefit those consumers that are exist and affect the Bureau’s supervision those insured depository institutions customers of the relevant institutions, if operations, they already exist under the and insured credit unions that have reduced compliance costs translate into baseline. Thus, as noted in the Proposal, more than $10 billion in total assets, better terms or availability of consumer the effects of the rule, as described together with their affiliates, which are financial products and services. For the above, impose no clear costs on any subject to the Bureau’s supervisory reasons given above, this benefit cannot consumers. authority under section 1025 of the be quantified or monetized. Impact on Depository Institutions and Dodd-Frank Act.30 The final rule may A commenter criticized the benefits Credit Unions With No More Than $10 additionally affect service providers that discussed above and in the Proposal, Billion in Assets. Under section 1026 of deeming them implausible and the Dodd-Frank Act, the Bureau has 26 12 U.S.C. 5512(b)(1). speculative, and argued that there is no only limited supervisory authority with 27 12 U.S.C. 5512(b)(2)(B). The prudential link between reduced compliance costs respect to those insured depository regulators are the OCC, Board, FDIC, and NCUA. and consumer welfare. The Bureau See 12 U.S.C. 5481(24) (defining ‘‘prudential institutions and insured credit unions regulators’’). disagrees with this assessment. While that have no more than $10 billion in 28 Section 1022(b)(2)(A) of the Dodd-Frank Act, the Bureau does not have data to total assets,32 and so the Bureau does 12 U.S.C. 5512(b)(2)(A), requires the Bureau to quantify or monetize the benefit of not normally address supervisory consider the potential benefits and costs of the increased clarity, as a matter of logic guidance to these institutions. regulation to consumers and covered persons, including the potential reduction of access by and economic theory increased legal Accordingly, the Bureau does not expect consumers to consumer financial products or clarity can reduce compliance costs of there to be any appreciable impact on services; the impact of the proposed rule on insured regulated entities. Where there is these institutions from the final rule. depository institutions and credit unions with no uncertainty as to the requirements of the Impact on Access to Credit. The more than $10 billion in total assets as described in section 1026 of the Dodd-Frank Act, 12 U.S.C. law, firms subject to the Bureau’s Bureau does not expect the final rule to 5516; and the impact on consumers in rural areas. supervisory authority may undertake affect consumers’ access to credit, 29 12 U.S.C. 5514. 30 12 U.S.C. 5515. 31 12 U.S.C. 5514(e), 5515(d), 5516(e). 32 12 U.S.C. 5516.

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except to the extent that reduced D. Congressional Review Act Guidance (appendix A to this part) compliance costs and additional Pursuant to the Congressional Review (Statement), and provides that the assurance, relative to the baseline, that Act 36 the Bureau will submit a report Statement is binding on the Bureau. the Bureau will follow the 2018 containing this rule and other required § 1074.3 Implementation of the Statement Statement in the future might indirectly information to the United States Senate, Clarifying the Role of Supervisory make some credit more available, as the United States House of Guidance. discussed above. Representatives, and the Comptroller The Statement describes the official Impact on Consumers in Rural Areas. General of the United States prior to the policy of the Bureau with respect to the The Bureau does not believe that the rule taking effect. The Office of use of supervisory guidance in the final rule would have any unique Information and Regulatory Affairs supervisory process. The Statement is impact on consumers in rural areas, and (OIRA) has designated this rule as not binding on the Bureau. so the impact on these consumers a ‘‘major rule’’ as defined by 5 U.S.C. ■ 6. Appendix A to part 1074 is added should be similar to consumers 804(2). to read as follows: generally. E. Signing Authority Appendix A to Part 1074—Statement B. Regulatory Flexibility Act The Director of the Bureau, Kathleen Clarifying the Role of Supervisory L. Kraninger, having reviewed and Guidance The Regulatory Flexibility Act (RFA) approved this document, is delegating generally requires an agency to conduct Statement Clarifying the Role of Supervisory the authority to electronically sign this Guidance an initial regulatory flexibility analysis document to Grace Feola, a Bureau (IRFA) and a final regulatory flexibility Federal Register Liaison, for purposes of The Bureau is issuing this statement to explain the role of supervisory guidance and analysis (FRFA) of any rule subject to publication in the Federal Register. to describe the Bureau’s approach to notice-and-comment rulemaking List of Subjects in 12 CFR Part 1074 supervisory guidance. requirements, unless the head of the agency certifies that the rule will not, if Administrative practice and Difference Between Supervisory Guidance and Laws or Regulations promulgated, have a significant procedure. economic impact on a substantial Supervisory agencies like the Bureau issue Authority and Issuance various types of supervisory guidance, number of small entities.33 The Bureau For the reasons set forth above, the including interagency statements, advisories, also is subject to certain additional Bureau amends 12 CFR part 1074 as set bulletins, policy statements, questions and procedures under the RFA involving the forth below: answers, or frequently asked questions, to convening of a panel to consult with their respective supervised institutions. A small business representatives prior to PART 1074—RULEMAKING AND law or regulation has the force and effect of proposing a rule for which an IRFA is GUIDANCE law.1 Unlike a law or regulation, supervisory required.34 In the Proposal, the Bureau guidance does not have the force and effect of law, and the Bureau does not take determined that an IRFA and small ■ 1. The authority citation for part 1074 continues to read as follows: enforcement actions based on supervisory business review panel was not required guidance. Rather, supervisory guidance because the Director of the Bureau Authority: 12 U.S.C. 5492(a)(1), 5512(b). outlines the Bureau’s supervisory certified the Proposed Rule, if adopted, ■ 2. The heading to part 1074 is revised expectations or priorities and articulates the would not have a significant economic as set forth above. Bureau’s general views regarding appropriate practices for a given subject area. Supervisory impact on a substantial number of small ■ 3. Add a heading for new subpart A guidance often provides examples of entities. The Bureau explained that the to read as follows: Proposed Rule would not impose any practices that the Bureau generally considers consistent with applicable laws and obligations on regulated entities, and Subpart A—Procedure for Issuance of regulations, including those designed to regulated entities would not need to Bureau Rules protect consumers. Supervised institutions at take any action in response to this times request supervisory guidance, and such Proposed Rule. The Bureau did not § 1074.1 [Designated as Subpart A] guidance is important to provide insight to receive comments on its analysis of the ■ 4. Designate § 1074.1 as new subpart industry, as well as supervisory staff, in a impact of the Proposal on small entities. A. transparent way that helps to ensure Accordingly, the Director of the Bureau ■ 5. Add subpart B, consisting of consistency in the supervisory approach. certifies that the final rule will not have §§ 1074.2 and 1074.3, to read as follows: Ongoing Efforts To Clarify the Role of a significant economic impact on a Supervisory Guidance Subpart B—Use of Supervisory substantial number of small entities. Guidance The Bureau is clarifying the following policies and practices related to supervisory C. Paperwork Reduction Act Sec. guidance: • 1074.2 Purpose. The Bureau intends to limit the use of The Bureau has determined that this numerical thresholds or other ‘‘bright-lines’’ final rule does not impose any new or 1074.3 Implementation of the Statement Clarifying the Role of Supervisory in describing expectations in supervisory revise any existing recordkeeping, Guidance. guidance. Where numerical thresholds are reporting, or disclosure requirements on used, the Bureau intends to clarify that the covered entities or members of the § 1074.2 Purpose. thresholds are exemplary only and not public that would be collections of The Bureau issues regulations and suggestive of requirements. The Bureau will information requiring approval by the guidance as part of its supervisory continue to use numerical thresholds to Office of Management and Budget under function. This subpart reiterates the tailor, and otherwise make clear, the applicability of supervisory guidance or 35 the Paperwork Reduction Act. distinctions between regulations and programs to supervised institutions, and as guidance, as stated in the Statement required by statute. 33 5 U.S.C. 601–612. Clarifying the Role of Supervisory • Examiners will not criticize (through the 34 5 U.S.C. 609. issuance of matters requiring attention, 35 44 U.S.C. 3501–3521. 36 5 U.S.C. 801 et seq. matters requiring immediate attention,

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matters requiring board attention, documents 02, which applied to certain Airbus FAA–2021–0027; or in person at Docket of resolution, and supervisory Helicopters (previously Eurocopter Operations between 9 a.m. and 5 p.m., recommendations) a supervised financial France) Model SA330J helicopters. AD Monday through Friday, except Federal institution for, and the Bureau will not issue 2020–19–02 required repetitively holidays. The AD docket contains this an enforcement action on the basis of, a ‘‘violation’’ of or ‘‘non-compliance’’ with inspecting affected tail rotor (T/R) final rule, the European Aviation Safety supervisory guidance. In some situations, blades and depending on the inspection Agency (now European Union Aviation examiners may reference (including in results, repairing or replacing the T/R Safety Agency) (EASA) AD, any writing) supervisory guidance to provide blade. AD 2020–19–02 also prohibited comments received, and other examples of appropriate consumer protection installing an affected T/R blade unless information. The street address for and risk management practices and other it passed the inspections. This AD Docket Operations is listed above. actions for addressing compliance with laws retains the requirements of AD 2020– FOR FURTHER INFORMATION CONTACT: Matt or regulations. 19–02 and also clarifies the • Supervisory criticisms should continue Fuller, AD Program Manager, General applicability, clarifies the affected T/R to be specific as to practices, operations or Aviation & Rotorcraft Unit, blades in the required actions, reduces other matters that could cause consumer Airworthiness Products Section, a compliance time, and corrects the harm or could cause violations of laws, Operational Safety Branch, FAA, 10101 regulations, final agency orders, or other prohibition requirement. This AD was Hillwood Pkwy., Fort Worth, TX 76177; legally enforceable conditions. prompted by the determination that telephone (817) 222–5110; email • The Bureau may decide to seek public these corrections are necessary. The [email protected]. comment on supervisory guidance. Seeking FAA is issuing this AD to address the public comment on supervisory guidance unsafe condition on these products. SUPPLEMENTARY INFORMATION: does not mean that the guidance is intended to be a regulation or have the force and effect DATES: This AD becomes effective Background of law. The comment process helps the March 1, 2021. Bureau to improve its understanding of an The Director of the Federal Register The FAA issued AD 2020–19–02, issue, to gather information on institutions’ approved the incorporation by reference Amendment 39–21243 (85 FR 59416, risk management practices, or to seek ways of a certain document listed in this AD September 22, 2020) (AD 2020–19–02), to achieve a supervisory objective most as of October 7, 2020 (85 FR 59416, for certain Airbus Helicopters effectively and with the least burden on institutions. September 22, 2020). (previously Eurocopter France) Model • The Bureau will aim to reduce the The FAA must receive comments on SA330J helicopters. AD 2020–19–02 issuance of multiple supervisory guidance this AD by March 29, 2021. required, for each T/R blade part documents on the same topic and will ADDRESSES: You may send comments, number (P/N) 330A12–0005–(all dash generally limit such multiple issuances going using the procedures found in 14 CFR numbers) and 330A12–0006–(all dash forward. numbers), repetitively accomplishing a • 11.43 and 11.45, by any of the following The Bureau will continue efforts to make methods: visual and in-depth inspection for the role of supervisory guidance clear in • debonding and eddy current inspecting communications to examiners and to Federal eRulemaking Portal: Go to supervised financial institutions and https://www.regulations.gov. Follow the for a crack. If there was debonding encourages supervised institutions with instructions for submitting comments. within allowable limits, AD 2020–19–02 questions about this statement or any • Fax: (202) 493–2251. required repairing or replacing the T/R applicable supervisory guidance to discuss • Mail: U.S. Department of blade. If there was debonding that the questions with their appropriate agency Transportation, Docket Operations, M– exceeded allowable limits or a crack, contact. 30, West Building Ground Floor, Room AD 2020–19–02 required replacing the Dated: January 19, 2021. W12–140, 1200 New Jersey Avenue SE, T/R blade. AD 2020–19–02 also Grace Feola, Washington, DC 20590. prohibited installing an affected T/R Federal Register Liaison, Bureau of Consumer • Hand Delivery: Deliver to Mail blade unless it passed the inspections. Financial Protection. address above between 9 a.m. and 5 AD 2020–19–02 was prompted by EASA [FR Doc. 2021–01524 Filed 2–11–21; 8:45 am] p.m., Monday through Friday, except AD No. 2016–0059–E, dated March 22, 2016 (EASA AD 2016–0059–E), issued BILLING CODE 4810–AM–P Federal holidays. For service information identified in by the EASA, which is the Technical this final rule, contact Airbus Agent for the Member States of the European Union, to correct an unsafe DEPARTMENT OF TRANSPORTATION Helicopters, 2701 N Forum Drive, Grand Prairie, TX 75052; telephone 972–641– condition for Airbus Helicopters Federal Aviation Administration 0000 or 800–232–0323; fax 972–641– (formerly Eurocopter, Eurocopter 3775; or at https://www.airbus.com/ France, Aerospatiale) Model SA 330 J 14 CFR Part 39 helicopters/services/technical- helicopters. EASA AD 2016–0059–E support.html. You may view this service retains the requirements of Direction [Docket No. FAA–2021–0027; Project information at the FAA, Office of the Ge´ne´rale de l’Aviation Civile (DGAC) Identifier MCAI–2021–00048–R; Amendment France AD 87–032–052(B)R3, dated 39–21425; AD 2021–04–04] Regional Counsel, Southwest Region, 10101 Hillwood Pkwy., Room 6N–321, January 23, 1991, which it supersedes, RIN 2120–AA64 Fort Worth, TX 76177. For information and also mandates improved service on the availability of this material at the instructions. EASA advises of two Airworthiness Directives; Airbus FAA, call (817) 222–5110. It is also reports of cracked metal T/R blade skin, Helicopters available at https://www.regulations.gov which subsequently led to rotor blade AGENCY: Federal Aviation by searching for and locating Docket No. vibrations and forced landing of the Administration (FAA), DOT. FAA–2021–0027. helicopter. According to EASA, this condition, if not addressed, could result ACTION: Final rule; request for Examining the AD Docket comments. in additional occurrences of T/R blade You may examine the AD docket at structural damage, possibly resulting in SUMMARY: The FAA is superseding https://www.regulations.gov by significant vibrations and reduced Airworthiness Directive (AD) 2020–19– searching for and locating Docket No. control of the helicopter.

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Actions Since AD 2020–19–02 Was (f)(1) of AD 2020–19–02, whichever utilization rates of these helicopters. Issued occurs first, and thereafter at intervals Accordingly, notice and opportunity for Since the FAA issued AD 2020–19– not to exceed 15 hours TIS; and for T/ prior public comment are impracticable 02, it was identified that the compliance R blade P/N 330A12–0005–(all dash and contrary to the public interest time for the initial visual inspection of numbers) (without a de-icing system), pursuant to 5 U.S.C. 553(b)(3)(B). T/R blade P/N 330A12–0006–(all dash within 30 hours TIS after the effective In addition, the FAA finds that good numbers) (with a de-icing system) was date of this AD, or within 30 hours TIS cause exists pursuant to 5 U.S.C. 553(d) inadvertently stated as within 30 hours after last inspecting the T/R blade as for making this amendment effective in time-in-service (TIS). This final rule required by paragraph (f)(1) of AD 2020– less than 30 days, for the same reasons corrects this compliance time to within 19–02, whichever occurs first, and the FAA found good cause to forego 15 hours TIS. thereafter at intervals not to exceed 30 notice and comment. Since the FAA issued AD 2020–19– hours TIS: • Comments Invited 02, it was also identified that the parts Accomplishing a visual and in- The FAA invites you to send any prohibition requirement could cause depth inspection of each T/R blade for written data, views, or arguments about confusion about when the inspections debonding. If there is debonding within this final rule. Send your comments to must be accomplished prior to allowable limits, this AD requires an address listed under ADDRESSES. installation. This final rule clarifies this. repairing or replacing the T/R blade. If Additionally, this final rule clarifies there is debonding that exceeds Include ‘‘Docket No. FAA–2021–0027; the applicability by identifying that T/ allowable limits, this AD requires Project Identifier MCAI–2021–00048–R’’ R blade P/N 330A12–0005–(all dash replacing the T/R blade. at the beginning of your comments. The • numbers) is without a de-icing system Eddy current inspecting each T/R most helpful comments reference a installed and that T/R blade P/N blade for a crack. If there is a crack, this specific portion of the final rule, explain 330A12–0006–(all dash numbers) is AD requires replacing the T/R blade. the reason for any recommended with a de-icing system installed. This This AD also prohibits installing an change, and include supporting data. final rule also clarifies the required affected T/R blade on any helicopter The FAA will consider all comments actions by adding the P/Ns. unless it passes the inspections required received by the closing date and may by this AD. amend this final rule because of those FAA’s Determination comments. Differences Between This AD and the Except for Confidential Business These helicopters have been approved EASA AD by EASA and are approved for operation Information (CBI) as described in the in the United States. Pursuant to the The EASA AD requires returning a T/ following paragraph, and other FAA’s bilateral agreement with the R blade with a discrepancy to Airbus information as described in 14 CFR European Union, EASA has notified the Helicopters; whereas this AD requires 11.35, the FAA will post all comments FAA about the unsafe condition repairing or replacing the T/R blade if received, without change, to https:// described in its AD. The FAA is there is debonding within allowable www.regulations.gov, including any proposing this AD after evaluating all limits and replacing the T/R blade if personal information you provide. The known relevant information and there is debonding that exceeds agency will also post a report determining that the unsafe condition allowable limits or a crack instead. summarizing each substantive verbal contact received about this final rule. described previously is likely to exist or Justification for Immediate Adoption develop on other helicopters of the same and Determination of the Effective Date Confidential Business Information type design. Section 553(b)(3)(B) of the CBI is commercial or financial Related Service Information Under 1 Administrative Procedure Act (APA) (5 information that is both customarily and CFR Part 51 U.S.C. 551 et seq.) authorizes agencies actually treated as private by its owner. The FAA reviewed Airbus Helicopters to dispense with notice and comment Under the Freedom of Information Act Emergency Alert Service Bulletin No. procedures for rules when the agency, (FOIA) (5 U.S.C. 552), CBI is exempt 05.101, Revision 0, dated March 21, for ‘‘good cause,’’ finds that those from public disclosure. If your 2016, for Model SA330J helicopters procedures are ‘‘impracticable, comments responsive to this AD contain with certain T/R blades with and unnecessary, or contrary to the public commercial or financial information without a de-icing system installed. interest.’’ Under this section, an agency, that is customarily treated as private, This service information specifies upon finding good cause, may issue a that you actually treat as private, and procedures for a visual and in-depth final rule without providing notice and that is relevant or responsive to this AD, inspection of the T/R blades for skin seeking comment prior to issuance. it is important that you clearly designate debonding and an eddy current Further, section 553(d) of the APA the submitted comments as CBI. Please inspection of the T/R blades for a crack authorizes agencies to make rules mark each page of your submission using various crack detectors. effective in less than thirty days, upon containing CBI as ‘‘PROPIN.’’ The FAA This service information is reasonably a finding of good cause. will treat such marked submissions as available because the interested parties An unsafe condition exists that confidential under the FOIA, and they have access to it through their normal requires the immediate adoption of this will not be placed in the public docket course of business or by the means AD without providing an opportunity of this AD. Submissions containing CBI identified in the ADDRESSES section. for public comments prior to adoption. should be sent to Matt Fuller, AD The FAA has found that the risk to the Program Manager, General Aviation & AD Requirements flying public justifies foregoing notice Rotorcraft Unit, Airworthiness Products This AD requires, for T/R blade P/N and comment prior to adoption of this Section, Operational Safety Branch, 330A12–0006–(all dash numbers) (with rule because the initial instance of the FAA, 10101 Hillwood Pkwy., Fort a de-icing system), within 15 hours TIS repetitive inspections must be Worth, TX 76177; telephone (817) 222– after the effective date of this AD or completed within 15 or 30 hours TIS, a 5110; email [email protected]. within 15 hours TIS after last inspecting time period of up to approximately two Any commentary that the FAA receives the T/R blade as required by paragraph months based on the average flight-hour which is not specifically designated as

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CBI will be placed in the public docket responsibilities among the various (f) Compliance for this rulemaking. levels of government. Comply with this AD within the compliance times specified, unless already Regulatory Flexibility Act For the reasons discussed, I certify that this AD: done. The requirements of the Regulatory (g) Required Actions Flexibility Act (RFA) do not apply when (1) Is not a ‘‘significant regulatory an agency finds good cause pursuant to action’’ under Executive Order 12866, (1) For T/R blade P/N 330A12–0006–(all and dash numbers) (with a de-icing system), 5 U.S.C. 553 to adopt a rule without within 15 hours time-in-service (TIS) after prior notice and comment. Because the (2) Will not affect intrastate aviation the effective date of this AD or within 15 FAA has determined that it has good in Alaska. hours TIS after last inspecting the T/R blade cause to adopt this rule without prior List of Subjects in 14 CFR Part 39 as required by paragraph (f)(1) of AD 2020– notice and comment, RFA analysis is 19–02, whichever occurs first, and thereafter not required. Air transportation, Aircraft, Aviation at intervals not to exceed 15 hours TIS; and safety, Incorporation by reference, for T/R blade P/N 330A12–0005–(all dash Costs of Compliance Safety. numbers) (without a de-icing system), within The FAA estimates that this AD 30 hours TIS after the effective date of this affects 17 helicopters of U.S. Registry. Adoption of the Amendment AD, or within 30 hours TIS after last inspecting the T/R blade as required by Labor rates are estimated at $85 per Accordingly, under the authority paragraph (f)(1) of AD 2020–19–02, work-hour. Based on these numbers, the delegated to me by the Administrator, whichever occurs first, and thereafter at FAA estimates the following costs to the FAA amends 14 CFR part 39 as intervals not to exceed 30 hours TIS: comply with this AD. follows: (i) Inspect each T/R blade for debonding by Inspecting the T/R blades for following the visual and in-depth inspection debonding takes about 0.75 work-hour PART 39—AIRWORTHINESS procedures in the Accomplishment for an estimated cost of $64 per DIRECTIVES Instructions, paragraph 3.B.2., of Airbus helicopter and $1,088 for the U.S. fleet, Helicopters Emergency Alert Service Bulletin No. 05.101, Revision 0, dated March 21, 2016 per inspection cycle. Eddy current ■ 1. The authority citation for part 39 (EASB 05.101). If there is debonding within inspecting the T/R blades for a crack continues to read as follows: allowable limits, before further flight, repair takes about 1.75 work-hours for an Authority: 49 U.S.C. 106(g), 40113, 44701. or replace the T/R blade. If there is estimated cost of $149 per helicopter debonding that exceeds allowable limits, and $2,533 for the U.S. fleet, per § 39.13 [Amended] before further flight, replace the T/R blade. inspection cycle. (ii) Eddy current inspect each T/R blade for If required, replacing a T/R blade ■ 2. The FAA amends § 39.13 by: a crack by following the Accomplishment takes about 4 work-hours and parts cost ■ a. Removing Airworthiness Directive Instructions, paragraph 3.B.3.a. of EASB about $19,000, for an estimated cost of 2020–19–02, Amendment 39–21243 (85 05.101, then either paragraph 3.B.3.b.1. or $19,340. FR 59416, September 22, 2020); and 3.B.3.b.2. of EASB 05.101 depending on your crack detector, and paragraph 3.B.3.c. of Authority for This Rulemaking ■ b. Adding the following new EASB 05.101 except the ‘‘if there are no airworthiness directive: cracks’’ and ‘‘if there are one or several Title 49 of the United States Code 2021–04–04 Airbus Helicopters: cracks’’ steps. Instead of the ‘‘if there are no specifies the FAA’s authority to issue cracks’’ and ‘‘if there are one or several rules on aviation safety. Subtitle I, Amendment 39–21425; Docket No. FAA–2021–0027; Project Identifier cracks’’ steps, if there is a crack, before section 106, describes the authority of MCAI–2021–00048–R. further flight, replace the T/R blade. the FAA Administrator. Subtitle VII: (2) As of the effective date of this AD, do Aviation Programs, describes in more (a) Effective Date not install a T/R blade identified in detail the scope of the Agency’s This airworthiness directive (AD) is paragraph (c) of this AD on any helicopter authority. effective March 1, 2021. unless the actions of paragraphs (g)(1)(i) and (ii) of this AD have been accomplished. The FAA is issuing this rulemaking (b) Affected ADs under the authority described in (h) Alternative Methods of Compliance Subtitle VII, Part A, Subpart III, Section This AD replaces AD 2020–19–02, (AMOCs) Amendment 39–21243 (85 FR 59416, 44701: General requirements. Under September 22, 2020) (AD 2020–19–02). (1) The Manager, Strategic Policy that section, Congress charges the FAA Rotorcraft Section, FAA, has the authority to with promoting safe flight of civil (c) Applicability approve AMOCs for this AD, if requested aircraft in air commerce by prescribing This AD applies to Airbus Helicopters using the procedures found in 14 CFR 39.19. regulations for practices, methods, and Model SA330J helicopters, certificated in any In accordance with 14 CFR 39.19, send your procedures the Administrator finds category, with a tail rotor (T/R) blade part request to your principal inspector or local necessary for safety in air commerce. number (P/N) 330A12–0005–(all dash Flight Standards District Office, as appropriate. If sending information directly This regulation is within the scope of numbers) (without a de-icing system) or 330A12–0006–(all dash numbers) (with a de- to the manager of the certification office, that authority because it addresses an icing system), installed. send it to the attention of the person unsafe condition that is likely to exist or identified in paragraph (i)(1) of this AD. develop on products identified in this (d) Subject Information may be emailed to: 9-ASW-FTW- rulemaking action. Joint Aircraft Service Component (JASC) [email protected]. Code: 6410, Tail Rotor Blades. (2) Before using any approved AMOC, Regulatory Findings notify your appropriate principal inspector, (e) Unsafe Condition This AD will not have federalism or lacking a principal inspector, the manager implications under Executive Order This AD was prompted by two reports of of the local flight standards district office/ cracked metal T/R blade skin. The FAA is certificate holding district office. 13132. This AD will not have a issuing this AD to address fatigue cracking of substantial direct effect on the States, on a T/R blade. The unsafe condition, if not (i) Related Information the relationship between the national addressed, could result in failure of a T/R (1) For more information about this AD, Government and the States, or on the blade and subsequent loss of control of the contact Matt Fuller, AD Program Manager, distribution of power and helicopter. General Aviation & Rotorcraft Unit,

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Airworthiness Products Section, Operational ACTION: Final rule; request for searching for and locating Docket No. Safety Branch, FAA, 10101 Hillwood Pkwy., comments. FAA–2021–0049; or in person at Docket Fort Worth, TX 76177; telephone (817) 222– Operations between 9 a.m. and 5 p.m., 5110; email [email protected]. SUMMARY: The FAA is adopting a new Monday through Friday, except Federal (2) The subject of this AD is addressed in airworthiness directive (AD) for all holidays. The AD docket contains this European Aviation Safety Agency (now Pilatus Aircraft Ltd. (Pilatus) Model PC– final rule, any comments received, and European Union Aviation Safety Agency) 7 airplanes. This AD results from (EASA) AD No. 2016–0059–E, dated March other information. The street address for 22, 2016. You may view the EASA AD on the mandatory continuing airworthiness the Docket Operations is listed above. internet at https://www.regulations.gov in information (MCAI) issued by the FOR FURTHER INFORMATION CONTACT: Docket No. FAA–2021–0027. aviation authority of another country to Doug Rudolph, Aviation Safety identify and correct an unsafe condition (j) Material Incorporated by Reference Engineer, General Aviation & Rotorcraft on an aviation product. The MCAI Section, International Validation (1) The Director of the Federal Register describes the unsafe condition as a approved the incorporation by reference Branch, FAA, 901 Locust, Room 301, missing release bar retaining screw on a Kansas City, Missouri 64106; phone: (IBR) of the service information listed in this Harley-type buckle assembly installed paragraph under 5 U.S.C. 552(a) and 1 CFR (816) 329–4059; fax: (816) 329–4090; part 51. on a harness shoulder strap. This email: [email protected]. condition, if not corrected, could lead to (2) You must use this service information SUPPLEMENTARY INFORMATION: as applicable to do the actions required by loss of pilot restraint and consequently this AD, unless the AD specifies otherwise. loss of airplane control or injuries to the Background (3) The following service information was crew. The FAA is issuing this AD to The Federal Office of Civil Aviation approved for IBR on October 7, 2020 (85 FR address the unsafe condition on these (FOCA), which is the aviation authority 59416, September 22, 2020). products. for Switzerland, has issued FOCA AD (i) Airbus Helicopters Emergency Alert Service Bulletin No. 05.101, Revision 0, DATES: This AD is effective February 12, HB–2021–001–E, dated January 8, 2021 dated March 21, 2016. 2021. (referred to after this as ‘‘the MCAI’’), to (ii) [Reserved] The Director of the Federal Register address the unsafe condition on Pilatus (4) For Airbus Helicopters service approved the incorporation by reference Model PC–7 airplanes. The MCAI states: information identified in this AD, contact of a certain publication listed in this AD An occurrence was reported where in an in Airbus Helicopters, 2701 N Forum Drive, as of February 12, 2021. service event a missing release bar retaining Grand Prairie, TX 75052; telephone 972–641– The FAA must receive comments on screw on a Harley-type buckle assembly 0000 or 800–232–0323; fax 972–641–3775; or this AD by March 29, 2021. installed on a harness shoulder strap on an at https://www.airbus.com/helicopters/ ejection seat was detected. services/technical-support.html. ADDRESSES: You may send comments, This condition, if not corrected, could lead (5) You may view this service information using the procedures found in 14 CFR to loss of pilot restraint and consequently at the FAA, Office of the Regional Counsel, 11.43 and 11.45, by any of the following loss of aeroplane control or injuries to the Southwest Region, 10101 Hillwood Pkwy., methods: crew. Room 6N–321, Fort Worth, TX 76177. For • Federal eRulemaking Portal: Go to To address this potential unsafe condition, information on the availability of this https://www.regulations.gov. Follow the Pilatus and IrvinGQ issued the [service material at the FAA, call (817) 222–5110. instructions for submitting comments. bulletins] SBs to provide inspection (6) You may view this service information instructions. • Fax: (202) 493–2251. that is incorporated by reference at the • For the reason described above, this National Archives and Records Mail: U.S. Department of [FOCA] AD requires the inspection of the Administration (NARA). For information on Transportation, Docket Operations, M– Harley-type buckle assemblies on the seat the availability of this material at NARA, 30, West Building Ground Floor, Room harnesses of the front and rear seats, as email: [email protected], or go to: W12–140, 1200 New Jersey Avenue SE, defined in this AD, and prohibits (re-) https://www.archives.gov/federal-register/cfr/ Washington, DC 20590. installation of affected parts. ibr-locations.html. • Hand Delivery: Deliver to Mail FOCA advises that the release bar Issued on February 3, 2021. address above between 9 a.m. and 5 retaining screws on the affected Harley- Gaetano A. Sciortino, p.m., Monday through Friday, except type buckle assemblies were incorrectly Deputy Director for Strategic Initiatives, Federal holidays. peened during manufacture. This Compliance & Airworthiness Division, For IrvinGQ Limited service inadequate peening of the retaining Aircraft Certification Service. information identified in this final rule, screws has led to loose screws that can [FR Doc. 2021–03056 Filed 2–10–21; 2:00 pm] contact Pilatus Aircraft Ltd., CH–6371, potentially be removed by hand or the BILLING CODE 4910–13–P Stans, Switzerland; phone: +41 848 24 actual screw falling out of the 7 365; email: techsupport.ch@pilatus- assemblies. You may examine the MCAI aircraft.com; website: https:// in the AD docket at https:// DEPARTMENT OF TRANSPORTATION www.pilatus-aircraft.com/. You may www.regulations.gov by searching for view this service information at the and locating Docket No. FAA–2021– Federal Aviation Administration FAA, Airworthiness Products Section, 0049. Operational Safety Branch, 901 Locust, 14 CFR Part 39 Kansas City, Missouri 64106. For FAA’s Determination [Docket No. FAA–2021–0049; Project information on the availability of this This product has been approved by Identifier MCAI–2021–00033–A; Amendment material at the FAA, call (816) 329– the aviation authority of another 39–21427; AD 2021–04–06] 4148. It is also available at https:// country and is approved for operation in www.regulations.gov by searching for the United States. Pursuant to our RIN 2120–AA64 and locating Docket No. FAA–2021– bilateral agreement with the State of Airworthiness Directives; Pilatus 0049. Design Authority, it has notified the Aircraft Ltd. Airplanes FAA of the unsafe condition described Examining the AD Docket in the MCAI and service information AGENCY: Federal Aviation You may examine the AD docket at referenced above. The FAA is issuing Administration (FAA), DOT. https://www.regulations.gov by this AD because the agency has

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determined the unsafe condition result in loss of airplane control, or the FAA receives which is not described previously is likely to exist or injuries to the crew. For this reason, the specifically designated as CBI will be develop in other products of the same FAA has determined that operators placed in the public docket for this type design. must comply with the actions required rulemaking. by this AD before further flight. Regulatory Flexibility Act Related Service Information Under 1 Accordingly, notice and opportunity for CFR Part 51 prior public comment are unnecessary, The requirements of the Regulatory The FAA reviewed IrvinGQ Limited pursuant to 5 U.S.C. 553(b)(3)(B). Flexibility Act (RFA) do not apply when Service Bulletin IGQSB033, Issue 2, In addition, the FAA finds that good an agency finds good cause pursuant to dated December 2020 (IrvinGQ SB cause exists pursuant to 5 U.S.C. 553(d) 5 U.S.C. 553 to adopt a rule without IGQSB033, Issue 2). This service for making this amendment effective in prior notice and comment. Because FAA information provides a listing of the less than 30 days, for the same reasons has determined that it has good cause to affected parts and specifies procedures the FAA found good cause to forego adopt this rule without prior notice and for inspecting the Harley-type buckle notice and comment. comment, RFA analysis is not required. assemblies and repairing or replacing as Comments Invited Costs of Compliance necessary. This service information is reasonably available because the The FAA invites you to send any The FAA estimates that this AD interested parties have access to it written data, views, or arguments about affects 21 airplanes of U.S. registry. The through their normal course of business this final rule. Send your comments to FAA also estimates that it would take or by the means identified in an address listed under ADDRESSES. about .5 work-hour per product to ADDRESSES. Include ‘‘Docket No. FAA–2021–0049 comply with the inspection requirement and Project Identifier MCAI–2021– of this AD. The average labor rate is $85 Other Related Service Information 00033–A’’ at the beginning of your per work-hour. The FAA also reviewed Pilatus PC–7 comments. The most helpful comments Based on these figures, the FAA Service Bulletin No. 25–015, Revision 1, reference a specific portion of the final estimates the cost of the AD on U.S. dated December 22, 2020. This service rule, explain the reason for any operators would be $892.50 or $42.50 information specifies inspecting and recommended change, and include per product. repairing the Harley-type buckle supporting data. The FAA will consider In addition, the FAA estimates that assemblies in accordance with IrvinGQ all comments received by the closing any necessary follow-on repair actions SB IGQSB033, Issue 2. date and may amend this final rule would take .5 work-hour, for a cost of because of those comments. $42.50 per seat harness. The FAA AD Requirements Except for Confidential Business estimates that any necessary This AD requires accomplishing the Information (CBI) as described in the replacements that may be required actions specified in the IrvinGQ Limited following paragraph, and other would take 3 work-hours and require service information already described. information as described in 14 CFR parts costing $10,000, for a cost of 11.35, the FAA will post all comments $10,255 per seat harness. The FAA has Justification for Immediate Adoption received, without change, to https:// and Determination of the Effective Date no way of determining the number of www.regulations.gov, including any airplanes that may need these actions. Section 553(b)(3)(B) of the personal information you provide. The Administrative Procedure Act (APA) (5 agency will also post a report Authority for This Rulemaking U.S.C. 551 et seq.) authorizes agencies summarizing each substantive verbal Title 49 of the United States Code to dispense with notice and comment contact received about this final rule. specifies the FAA’s authority to issue procedures for rules when the agency, rules on aviation safety. Subtitle I, Confidential Business Information for ‘‘good cause,’’ finds that those section 106, describes the authority of procedures are ‘‘impracticable, CBI is commercial or financial the FAA Administrator. Subtitle VII: unnecessary, or contrary to the public information that is both customarily and Aviation Programs describes in more interest.’’ Under this section, an agency, actually treated as private by its owner. detail the scope of the Agency’s upon finding good cause, may issue a Under the Freedom of Information Act authority. final rule without providing notice and (FOIA) (5 U.S.C. 552), CBI is exempt The FAA is issuing this rulemaking seeking comment prior to issuance. from public disclosure. If your under the authority described in Further, section 553(d) of the APA comments responsive to this AD contain Subtitle VII, Part A, Subpart III, Section authorizes agencies to make rules commercial or financial information 44701: General requirements. Under effective in less than thirty days, upon that is customarily treated as private, that section, Congress charges the FAA a finding of good cause. that you actually treat as private, and with promoting safe flight of civil An unsafe condition exists that that is relevant or responsive to this AD, aircraft in air commerce by prescribing requires the immediate adoption of this it is important that you clearly designate regulations for practices, methods, and AD without providing an opportunity the submitted comments as CBI. Please procedures the Administrator finds for public comments prior to adoption. mark each page of your submission necessary for safety in air commerce. The FAA has found that the risk to the containing CBI as ‘‘PROPIN.’’ The FAA This regulation is within the scope of flying public justifies waiving notice will treat such marked submissions as that authority because it addresses an and comment prior to adoption of this confidential under the FOIA, and they unsafe condition that is likely to exist or rule because detachment of a shoulder will not be placed in the public docket develop on products identified in this strap from the main harness assembly of this AD. Submissions containing CBI rulemaking action. could lead to loss of pilot restraint should be sent to Doug Rudolph, during operational maneuvers. Because Aviation Safety Engineer, General Regulatory Findings this model airplane is certificated in the Aviation & Rotorcraft Section, This AD will not have federalism acrobatic category, if the pilot is not International Validation Branch, FAA, implications under Executive Order restrained during aerobatic flight, or 901 Locust, Room 301, Kansas City, 13132. This AD will not have a even some normal operations, it may Missouri 64106. Any commentary that substantial direct effect on the States, on

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the relationship between the national Limited Service Bulletin IGQSB033, Issue 2, (3) For IrvinGQ Limited service government and the States, or on the dated December 2020 (IrvinGQ SB information identified in this AD, contact distribution of power and IGQSB033, Issue 2), before further flight after Pilatus Aircraft Ltd., CH–6371, Stans, responsibilities among the various the effective date of this AD, inspect each Switzerland; phone: +41 848 24 7 365; email: seat buckle assembly on the front and rear [email protected]; levels of government. website: http://www.pilatus-aircraft.com/. For the reasons discussed above, I seats (4 buckle assemblies total) for movement of the release bar retaining screws (4) You may view this service information certify that this AD: by following the Accomplishment at FAA, Airworthiness Products Section, (1) Is not a ‘‘significant regulatory Instructions, section 3.C.(1), of IrvinGQ SB Operational Safety Branch, 901 Locust, action’’ under Executive Order 12866, IGQSB033, Issue 2. If there is any movement Kansas City, Missouri 64106. For information and of a release bar retaining screw, before further on the availability of this material at the (2) Will not affect intrastate aviation flight, repair or replace the buckle assembly FAA, call (816) 329–4148. in Alaska. by following the Accomplishment (5) You may view this service information Instructions, section 3.C.(2), of IrvinGQ SB that is incorporated by reference at the List of Subjects in 14 CFR Part 39 IGQSB033 Issue 2. National Archives and Records Air transportation, Aircraft, Aviation (2) As of the effective date of this AD, do Administration (NARA). For information on safety, Incorporation by reference, not install a Harley-type buckle assembly or the availability of this material at NARA, Safety. buckle component listed in the Effectivity, email: [email protected], or go to: paragraph 2.A., of IrvinGQ SB IGQSB033 https://www.archives.gov/federal-register/cfr/ The Amendment Issue 2, on the seat harness of any airplane ibr-locations.html. Accordingly, under the authority unless it has been inspected as required by Issued on February 4, 2021. delegated to me by the Administrator, paragraph (f)(1) of this AD. Gaetano A. Sciortino, the FAA amends 14 CFR part 39 as (g) Special Flight Permit Deputy Director for Strategic Initiatives, follows: A special flight permit may be issued with Compliance & Airworthiness Division, the following limitations: Operation in areas Aircraft Certification Service. PART 39—AIRWORTHINESS of known turbulence and aerobatic flight are [FR Doc. 2021–02793 Filed 2–10–21; 11:15 am] DIRECTIVES prohibited. BILLING CODE 4910–13–P ■ 1. The authority citation for part 39 (h) Alternative Methods of Compliance continues to read as follows: (AMOCs) (1) The Manager, International Validation Authority: 49 U.S.C. 106(g), 40113, 44701. FEDERAL TRADE COMMISSION Branch, FAA, has the authority to approve § 39.13 [Amended] AMOCs for this AD, if requested using the 16 CFR Part 305 procedures found in 14 CFR 39.19. In ■ 2. The FAA amends § 39.13 by adding accordance with 14 CFR 39.19, send your RIN 3084–AB15 the following new airworthiness request to your principal inspector or local directive: Flight Standards District Office, as Energy Labeling Rule appropriate. If sending information directly 2021–04–06 Pilatus Aircraft Ltd.: to the manager of the certification office, Amendment 39–21427; Docket No. AGENCY: Federal Trade Commission. send it to the attention of the person FAA–2021–0049; Project Identifier ACTION: Final rule. identified in Related Information. MCAI–2021–00033–A. (2) Before using any approved AMOC, SUMMARY: The Federal Trade (a) Effective Date notify your appropriate principal inspector, Commission (‘‘FTC’’ or ‘‘Commission’’) or lacking a principal inspector, the manager This airworthiness directive (AD) is amends the Energy Labeling Rule effective February 12, 2021. of the local flight standards district office/ certificate holding district office. (‘‘Rule’’) to require EnergyGuide labels (b) Affected ADs for portable air conditioners and issue (i) Related Information None. amendments to central air conditioner (1) Refer to Federal Office of Civil Aviation labels to conform with Department of (c) Applicability (FOCA) AD HB–2021–001–E, dated January Energy (‘‘DOE’’) changes to efficiency This AD applies to Pilatus Aircraft Ltd. 8, 2021, for more information. You may descriptors. Model PC–7 airplanes, all serial numbers, examine the FOCA AD at https:// certificated in any category. www.regulations.gov by searching for and DATES: Amendatory instructions 1 locating Docket No. FAA–2021–0049. (authority), 3 (for § 305.2), 5 (for (d) Subject (2) For more information about this AD, § 305.3), 6 (for § 305.7), 7 (for § 305.10), Joint Aircraft System Component (JASC) contact Doug Rudolph, Aviation Safety 8 (for § 305.11), 9 (for § 305.13), 10 (for Code 2510, Flight Compartment and 2560, Engineer, General Aviation & Rotorcraft § 305.18), 12 (for § 305.27), 13 (for Emergency Equipment. Section, International Validation Branch, appendix E), and 14 (for appendix K2) FAA, 901 Locust, Room 301, Kansas City, (e) Unsafe Condition Missouri 64106; phone: (816) 329–4059; fax: are effective on October 1, 2022, and This AD was prompted by a report of a (816) 329–4090; email: doug.rudolph@ amendatory instructions 2 (for part 305), missing release bar retaining screw on a faa.gov. 4 (for § 305.2), and 11 (for § 305.20) are Harley-type buckle assembly installed on a effective on January 1, 2023. (j) Material Incorporated by Reference harness shoulder strap. The FAA is issuing ADDRESSES: Copies of this document are this AD to detect and address defective (1) The Director of the Federal Register available on the Commission’s website, approved the incorporation by reference of buckle assembly release bar screws. The www.ftc.gov. unsafe condition, if not addressed, could the service information listed in this result in loss of pilot restraint with paragraph under 5 U.S.C. 552(a) and 1 CFR FOR FURTHER INFORMATION CONTACT: consequent loss of airplane control or part 51. Hampton Newsome (202–326–2889), injuries to the crew. (2) You must use this service information Attorney, Bureau of Consumer as applicable to do the actions required by (f) Actions and Compliance Protection, Federal Trade Commission, this AD, unless the AD specifies otherwise. Room CC–9528, 600 Pennsylvania (1) For airplanes with a Harley-type seat (i) IrvinGQ Limited Service Bulletin Avenue NW, Washington, DC 20580. buckle assembly or buckle component listed IGQSB033, Issue 2, dated December 2020. in the Effectivity, paragraph 2.A., of IrvinGQ (ii) [Reserved] SUPPLEMENTARY INFORMATION:

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I. Background on the Energy Labeling conditioners. Under EPCA, the as well as the economic and Rule Commission may require labeling for technological feasibility of portable air The Commission issued the Energy DOE-designated covered products if it conditioner labels. In a 2015 notice, for Labeling Rule (‘‘Rule’’) in 1979,1 determines labeling will ‘‘assist example, it found portable air pursuant to the Energy Policy and purchasers in making purchasing conditioners are common in the Conservation Act of 1975 (‘‘EPCA’’).2 decisions’’ and will be ‘‘economically marketplace, vary in energy efficiency, The Rule requires energy labeling for and technologically feasible.’’ 42 U.S.C. and use energy similar to or greater major home appliances and other 6294(a)(3). Prior to the NPRM, the than, currently labeled room air consumer products to help consumers Commission sought comment on conditioners.8 In addition, DOE compare the energy usage and costs of labeling requirements for portable air reported the aggregate energy use of competing models. It also contains conditioners in several previous Federal portable air conditioners has increased.9 labeling requirements for refrigerators, Register notices. In those publications, According to DOE estimates, sellers refrigerator-freezers, freezers, the Commission discussed the benefits shipped 1.32 million units in the United dishwashers, water heaters, clothes and burdens of such labels, as well as States in 2014, with future growth washers, room air conditioners, their format and content, which would projected.10 furnaces, central air conditioners, heat largely match the labels already DOE also found these products 4 pumps, plumbing products, lighting required for room air conditioners. exhibit a wide range of efficiency ratings products, ceiling fans, and televisions. Over the course of this proceeding, the and energy costs for similarly sized The Rule requires manufacturers to Commission found, in accordance with units (a difference of about $100 per attach yellow EnergyGuide labels to its EPCA authority, labeling for this year between the most and least many of the covered products and product category is likely to be efficient models). After the 2025 prohibits retailers from removing these economically and technologically implementation of DOE standards, that labels or rendering them illegible. In feasible and assist consumers in their range is likely to be smaller, but remain addition, it directs sellers, including purchasing decisions.5 Over several significant (a difference of about $30– retailers, to post label information on rounds of comments, a wide array of $50 depending on the size category as websites and in paper catalogs from stakeholders, including industry indicated in Appendix E2). DOE which consumers can order products. members, utilities, and consumer estimated average per-household annual EnergyGuide labels for most covered groups supported (or did not oppose) electricity consumption for these products contain three key disclosures: the proposal. products at 804 kWh/yr, generating Estimated annual energy cost, a In 2017, the Commission delayed $105 in annual energy costs (at $0.13 product’s energy consumption or energy final label requirements due to per kWh/hr).11 Given this information, efficiency rating as determined by DOE uncertainty about when DOE would the Commission concluded energy test procedures, and a comparability promulgate efficiency standards for 6 labels are likely to assist consumers range displaying the highest and lowest these products. Specifically, in January with their purchasing decisions by energy costs or efficiency ratings for all of that year, DOE withdrew its final allowing them to compare the energy similar models. The Rule requires efficiency standards from Federal costs of competing models and, marketers to use national average costs Register publication pursuant to the consequently, save significant money on for applicable energy sources (e.g., Presidential Memorandum on their electric bills. electricity, natural gas, oil) as calculated Implementation of Regulatory Freeze, Further, in the NPRM, the leaving the final standards compliance by DOE in all cost calculations. Under Commission stated there is no evidence date unclear. In early 2020, DOE the Rule, the Commission periodically labeling is economically or announced a compliance date for the updates comparability range and annual technologically infeasible (i.e., the costs standards resolving any uncertainty.7 energy cost information based on of labeling substantially outweigh Accordingly, the Commission then manufacturer data submitted pursuant consumer benefits). Indeed, the burdens released an NPRM proposing to the Rule’s reporting requirements.3 (discussed infra in the Paperwork EnergyGuide labels for portable air Reduction Act section) of labeling are II. Notice of Proposed Rulemaking conditioners and a January 10, 2025 not likely to differ significantly from compliance date to coincide with the In an April 10, 2020 Notice of those for room air conditioners, which effective date of the DOE standards. Proposed Rulemaking (NPRM) (85 FR already have EnergyGuide labels.12 20218), the Commission sought In previous notices on these issues, the Commission addressed the benefits As discussed in the NPRM, the comments on EnergyGuide labels for proposed portable air conditioner label portable air conditioners, updates to 4 would be mostly identical to the current efficiency descriptors for central air 79 FR 34642 (June 18, 2014); 80 FR 67351 (Nov. 2, 2015); 81 FR 62681 (Sept. 12, 2016); and 82 FR room air conditioner label in content, conditioner labels, and the need for 29230 (June 28, 2017). Earlier in this proceeding, format, and placement (i.e., on changes to the current label layout and the Commission waited on label requirements packaging, not the product itself). The format requirements. pending a final DOE-issued test procedure for these products. DOE published that test procedure on proposed amendments incorporated A. Proposed EnergyGuide Labels for June 1, 2016 (81 FR 35242), and it became DOE’s definition of ‘‘portable air mandatory for energy use representations on Portable Air Conditioners November 28, 2016. 8 80 FR at 67357–58. The NPRM proposed establishing 5 80 FR at 67357; and 81 FR at 62683. In 9 See 78 FR 40403, 40404–05 (July 5, 2013). EnergyGuide labeling for portable air discussing similar economic and technological feasibility determinations for labels in 1979, the 10 The most recent DOE shipment statistics are Commission concluded ‘‘that Congress[’s] intent from 2014. 85 FR 1378; and ‘‘2016–12 Final Rule 1 44 FR 66466 (Nov. 19, 1979). was to permit the exclusion of any product Technical Support Document: Energy Efficiency 2 42 U.S.C. 6294. EPCA also requires the category, if the Commission found that the costs of Program for Consumer Products and Commercial Department of Energy (‘‘DOE’’) to develop test the labeling program would substantially outweigh and Industrial Equipment: Portable Air procedures that measure how much energy any potential benefits to consumers.’’ 44 FR at Conditioners’’ (‘‘DOE TSD’’) December 2016 at appliances use, and to determine the representative 66467–68 (discussing determinations under 42 https://www.regulations.gov/document?D=EERE- average cost a consumer pays for different types of U.S.C. 6294(a)(1)). 2013-BT-STD-0033-0047. energy. 6 82 FR at 29232. 11 DOE TSD at Table 7.3.2. 3 16 CFR 305.10. 7 85 FR 1378 (Jan. 10, 2020). 12 See 80 FR at 67357 and 81 FR at 62683.

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conditioner’’ at § 305.3.13 Applying the new rating methods, the Commission labels’ energy cost information would same electricity cost rate ($0.13 kWh/hr) did not propose any additional label help consumers choose among portable currently used for room air changes. The Commission noted plans air conditioners and alert them to the conditioners, the NPRM also contained to update ranges in Appendix H and I, relative cost of portable and room cost ranges specifically for portable air as well as applicable numbers on the models. The commenters also supported conditioners in three size categories and sample labels in Appendix L, when new providing comparability ranges separate derived from DOE energy use data.14 data becomes available. from room air conditioners. Consistent with findings made in the The comments emphasized the label’s C. Questions on Label Layout and 2016 and 2017 notices, the NPRM did consumer benefits. For example, CFA Format Requirements not propose combining the ranges for explained the labels ‘‘will provide portable and room air conditioners The Commission also requested significant value to consumers making because it is not clear whether comment on whether it should revise purchasing decisions.’’ The Joint consumers routinely compare the two requirements in the Rule related to Commenters noted the energy costs product categories when shopping.15 layout, format, and placement of disclosures ‘‘will correctly indicate to However, consumers who want to EnergyGuide labels. Specifically, the consumers that portable units are compare them would be able to do so NPRM asked whether some of these typically less efficient than room air easily using the label’s energy cost requirements (e.g., § 305.13(b)) are too conditioners.’’ AHAM, which represents disclosure. In addition, consistent with prescriptive. In addition, the NPRM portable air conditioner manufacturers, provisions applicable to room air asked whether the Rule should contain did not oppose the label but, as conditioners, the proposed amendments a general label durability and disclosure discussed further below, urged the contained reporting requirements format requirement in lieu of the Commission to eliminate physical labels identical to those created by DOE for existing, specific provisions for layout, for all products and transition to an these products. type style, setting, and label attachment. electronic label structure. Finally, in the NPRM, the The NPRM also asked whether industry The commenters supported (or did Commission proposed establishing an members interpret existing guidance in not oppose) separate comparability effective date for the label coinciding the Rule related to adhesive labels as a ranges for portable and room air with the compliance date for DOE ‘‘required standard.’’ Finally, the NPRM conditioners. AHAM, which ‘‘fully standards. Citing burdens associated contained several questions about the agreed’’ with the proposed approach on with testing and labeling, industry Rule’s cost and benefits and the ranges, explained ‘‘consumers can comments earlier in this proceeding potential impact of more flexible adequately compare the two products, urged the Commission to synchronize requirements. to the extent they even wish to do so for these two different products, easily any new labeling requirements with the V. Comments on the NPRM DOE standards compliance date.16 using the label’s energy cost The Commission received seven disclosure.’’ Referencing earlier B. Efficiency Descriptors for Central Air comments in response to the NPRM.18 comments, it argued combining the Conditioners As detailed below, the commenters ranges would cause confusion because In the NPRM, the Commission also generally supported (or did not oppose) consumers of these products are sought comments on updates to the labels for portable air conditioners and different, and the two air conditioner efficiency descriptors on central air the transition to the new DOE efficiency categories do not have similar usage. conditioner labels. In 2017, as part of an descriptors. However, they provided AHAM also argued consumers focus efficiency standards proceeding, DOE differing views on the need to revise mostly on capacity and purchase price announced changes to the rating existing label requirements. Finally, when buying air conditioner units and methods and associated efficiency some commenters offered broad thus may not use comparative energy descriptors for central air conditioners suggestions for replacing physical labels costs information between the two (e.g., from ‘‘Seasonal Energy Efficiency with electronic labels. categories. Ratio (SEER)’’ to ‘‘Seasonal Energy Commenters further recommended A. Portable Air Conditioner Labels Efficiency Ratio 2 (SEER2)’’).17 The DOE two additional items. First, two changes become effective on January 1, All the commenters supported (or did commenters noted the regulatory text in 2023. To ensure consistency with the not oppose) adding portable air § 305.10 should include a reference for DOE standards, the NPRM proposed conditioner labels to the Rule.19 As DOE capacity and rounding changing all applicable references in discussed below, they asserted the determinations for portable air Part 305, effective on January 1, 2023. conditioners (Appendix CC to 10 CFR Given the relatively small differences in 18 The comments are available at part 430, subpart B).20 Second, the CA the ratings produced by the old and the www.regulations.gov. The comments consist of Air- Conditioning, Heating, and Refrigeration Institute IOUs recommended statements on (AHRI) (#33–09); Association of Home Appliance product packaging and literature about 13 To effect new labeling requirements, the Manufacturers (AHAM) (#33–04); Appliance proper portable air conditioner proposed amendments inserted the term ‘‘portable Standards Awareness Project (ASAP) (including operation, explaining the need for air conditioner’’ next to ‘‘room air conditioner’’ into American Council for an Energy-Efficient Economy appropriate paragraphs of the Rule as detailed in (ACEEE), National Consumer Law Center, on behalf ducting to vent the heat produced by a the amendatory language included in this Notice. of its low-income clients (NCLC), Natural Resources unit to the outside. 14 See DOE TSD, Chapter 3 at 24–25 and Ch. 5 Defense Council (NRDC), & Northwest Energy Commenters, however, offered at 5–20. Using estimates for the most energy Efficiency Alliance (NEEA)) (ASAP et al.) (#33–06); differing views on the timing for the consumptive models based on the DOE standards, Goodman Manufacturing (#33–08); Jieun Rim (#33– new labels. AHAM strongly supported a the ranges by size category expressed in yearly 02); Consumer Federation of America, National energy consumption are: (1) Less than 6,000 Btu/ Consumer Law Center, Sierra Club, Earthjustice compliance date coinciding with the hr: (375–753 kWh/yr), (2) 6,000 to 7,999 Btu/hr: (‘‘Joint Commenters’’) (#33–05); and the California DOE standards. It asserted that (663–916 kWh/yr), and (3) 8,000 Btu/yr or greater: Investor-Owned Utilities (Pacific Gas and Electric designing products to meet the new (807–1034 kWh/yr). Company, San Diego Gas and Electric, and standards requires ‘‘considerable effort,’’ 15 81 FR at 62682; and 82 FR at 29231–29232. Southern California Edison) (CA IOUs) (#33–07). 16 82 FR 29231. 19 Joint Commenters, Jieun Rim, and ASAP et al. a fact reflected in EPCA’s five-year lead- 17 82 FR 1786 (Jan. 6, 2017); and 82 FR 24211 supported the proposal. AHAM stated that it did (May 26, 2017). not oppose the labeling. 20 See ASAP et al. and AHAM.

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in period for DOE standards. According online labels accessed through websites ‘‘unnecessarily prescriptive.’’ Second, as to AHAM, the pre-development, or QR codes. discussed in section D, both AHAM and development, and tooling phases of These commenters also discussed the AHRI recommended the Commission launching a new product take years to importance of updating the efficiency completely revise the Rule to transition complete and require extensive descriptors. In preparation for the DOE to online or virtual energy labels. company resources. In its view, change, AHRI’s members are designing, The Joint Commenters and the CA instituting a label mandate prior to the testing, certifying, and introducing new IOUs rejected the notion that the Rule’s DOE compliance date would require equipment. They are also educating requirements for label layout, type style companies to divert resources from industry members and consumers by and setting, and label adhesion are too developing new, more efficient products modifying AHRI’s product directory and prescriptive. In the CA IOUs’ view, to labeling. AHAM also explained that certification program. AHRI expects increased flexibility in the labeling aligning the compliance dates with the manufacturers to release products with requirements ‘‘could result in poor or DOE standards and EnergyGuide labels updated efficiency descriptors prior to inconsistent label quality that could would allow manufacturers to engage in the 2023 compliance deadline. DOE has inhibit consumers from making the extensive development and testing issued guidance allowing early informed decisions regarding product activities required to innovate and bring compliance with the test procedures, as performance.’’ Further, they asserted more efficient products to market, as long as the represented efficiencies that uniform presentation facilitates well as to comply with regulatory comply with the 2023 minimum effective ‘‘information delivery’’ and requirements. requirements. Given this timing, AHRI avoids ‘‘unnecessary confusion.’’ The In contrast, the Joint Commenters, urged the Commission to complete label CA IOUs further suggested the labels ASAP et al., and the California Investor- updates by summer 2021, so would better serve consumers if they Owned Utilities (CA IOUs) disagreed. manufacturers may release compliant appeared on both packages and the The Joint Commenters argued products as early as January 2022. In products themselves. Similarly, the contrast, Goodman urged the Joint Commenters described the label consumers who currently lack the Commission to issue the updates earlier, specifications as ‘‘vital to the success of protection of a DOE minimum efficiency by December 2020, to give this program’’ and contended the standard should have access to labels manufacturers even more time. questions in the NPRM ignore the sooner to help identify and avoid To minimize market confusion from ‘‘unique context and history of the inefficient models. Given the delays in such early compliance, AHRI is EnergyGuide label program.’’ In their the proceeding caused by the DOE developing a communications campaign view, because the EnergyGuide label has litigation, these commenters argued ‘‘to inform distributors, contractors, more information (e.g., operating costs, manufacturers have had ‘‘ample time to regulators, and building inspectors efficiency ratings, comparative range make the investments they have claimed about the transition.’’ AHRI did not offer bars, key product features, and are necessary to deploy the labels.’’ In any specific proposals for addressing explanatory statements) than many addition, with the issuance of DOE’s test the transition on the physical label other required disclosures in other procedure in 2016, manufacturers must, itself. It also opposed any FTC mandate programs (e.g., labels for textiles and pursuant to EPCA (42 U.S.C. 6293(c)), for two separate labels requiring leather goods), the energy labels require disclose the DOE results in any energy disclosures of the old and new metrics. a format ‘‘highly standardized to ease representations they make. Thus, Instead, it recommended a transition to comparisons.’’ In addition, they argued according to the Joint Commenters, an ‘‘electronic label’’ beginning in 2023 allowing variability in layout and type manufacturers ‘‘have had more than as discussed further below. Prior to that style would hinder the label’s three years to gain familiarity with the date, under AHRI’s proposal, effectiveness in assisting consumers test procedures and to understand how manufacturers choosing to display the with their purchasing decisions. different basic models perform under new efficiency descriptor earlier would Finally, the Joint Commenters test.’’ The CA IOUs also noted use the physical EnergyGuide label asserted the NPRM’s questions manufacturers are currently reporting along with a smaller label containing regarding label flexibility ‘‘exhibits their models’ efficiency ratings to the regional installation information, as amnesia as to the widespread California state database. ASAP et al. well as a QR (or equivalent) link to an noncompliance that the inadequate agreed FTC should require labeling updated FTC electronic label. specificity in [the FTC’s] prior sooner, stating: ‘‘[l]abeling in advance of Finally, on a separate issue involving regulations had fostered.’’ The the compliance date of the DOE central air conditioners, Goodman commenters cited past store visits standards will provide consumers with suggested the Commission modify range demonstrating ‘‘the use of adhesives information to compare portable AC information for split-systems to revert to varied widely and that certain units as well as an indication that a format that appeared on labels prior to approaches were associated with higher portable ACs are less efficient than room 2016. In its view, the current label, rates of missing or detached labels.’’ The ACs.’’ which limits the efficiency ratings to a Joint Commenters noted that, in B. Energy Efficiency Descriptor single value, leads to consumer response to these findings, FTC added Transition confusion because the actual efficiency ‘‘specificity to its regulations governing rating for a system depends on the adhesives.’’ In their view, reducing this AHRI, Goodman, and the CA–IOUs combination of the outdoor condenser specificity would ‘‘only encourage a generally supported the proposal to and indoor unit. return to labelling practices that deprive update the efficiency descriptors on the consumers of access to the important label. No commenter opposed the C. Label Burdens information that EnergyGuide labels proposal. However, AHRI and Goodman Commenters offered a variety of views provide.’’ urged the Commission to issue these regarding the Rule’s approach to In contrast, Goodman, a heating and updates as part of a broader overhaul to labeling. First, the Joint Commenters, cooling equipment manufacturer, the Rule, which, as discussed in section the CA IOUs, and Goodman offered offered several detailed suggestions to V.C., would involve a transition from differing views on whether the Rule’s eliminate specific labeling requirements physical labels on individual units to labeling requirements are in § 305.20. It argued that these changes

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would simplify the Rule and free significant opportunities exist to permit shelf’’ in retail stores and, for new home ‘‘businesses from unnecessarily ‘‘the electronic delivery of label purchases, a builder (not the consumer) prescriptive requirements.’’ Specifically, information.’’ It noted the Commission typically chooses equipment. In Goodman recommended the Rule has already laid the groundwork for addition, contractors usually sell specify only minimum dimensions such a shift by requiring manufacturers replacement products in the consumer’s instead of the current range of widths to provide electronic access to label home, often in urgent situations. In such and lengths and include only whole content (e.g., § 305.9 (online availability transactions, contractors usually number minimums (e.g., 7 inches for the of labels) and § 305.11 (submission of provide homeowners with information length as opposed to 73⁄8 inches). It also website address for online labels)). With about their products using the suggested removal of requirements these regulatory requirements in place, ‘‘manufacturer’s literature, the AHRI related to picas for copy set, the AHAM predicted a transition to Directory of Certified Product centering of text, and type style and electronic labels would involve a ‘‘small Performance, energy code requirements, setting, which includes requirements for step’’ that would ‘‘dramatically reduce incentive programs, and specific design a uniform font type. Goodman also regulatory burden and cost’’ and features.’’ AHRI also argued, given the recommended elimination of the eliminate the redundancy of requiring many different efficiency ratings of existing paper stock requirement (‘‘58 labels in both digital and paper format. various outdoor-indoor unit pounds per 500 sheets or equivalent’’) AHAM asserted such a change would combinations, ‘‘the actual value of the and minimum peel adhesion capacity allow consumers ‘‘to access the content physical label is questionable at best.’’ (‘‘12 ounces per square inch’’). Finally, in the form and manner that best suits Accordingly, not only are consumers it claimed the suggested minimum peel them’’ and allow them to ‘‘readily unlikely to view the label prior to adhesion capacity in § 305.20(d) ‘‘is access the content wherever they may purchase, information provided directly typically taken to be’’ a requirement be researching their purchase.’’ It also by the contractor, including efficiency despite the Rule’s language to the suggested such a shift would allow ratings for various unit combinations, is contrary. retailers to access labels from the DOE ‘‘significantly more accurate.’’ Compliance Certification Management In lieu of the current labeling D. Transition to Electronic Labeling System (CCMS) and provide flexibility approach, AHRI recommended a Three commenters discussed issues to ‘‘present the label content through modified, smaller label giving both beyond whether the Rule’s specific label printouts, electronic displays, or other electronic access to consumer requirements should be less means’’ suitable to consumer needs. In information online (e.g., through a QR prescriptive. Specifically, AHAM, addition, an online format would allow code), as well as regional standards AHRI, and Goodman urged the manufacturers to more easily update compliance statements in ‘‘clear text.’’ Commission to consider ‘‘whether labels and make corrections to online In AHRI’s view, this approach would physical labels continue to provide content. Finally, AHAM urged the bring ‘‘the cost-benefit equation’’ of the value to consumers.’’ AHAM, whose Commission to coordinate such efforts labeling program ‘‘into balance.’’ It members manufacture large household with Canada to ‘‘align data elements, would also allow consumers to learn appliances, such as refrigerators and reporting and content.’’ about the product’s efficiency, while dishwashers, argued the ‘‘showroom AHRI and Goodman offered similar dramatically reducing the burden focus’’ of the label is outdated and suggestions but focused their comments associated with affixing labels to the recommended a ‘‘transition away from on specific aspects of heating and equipment. physical labels’’ and a shift to a program cooling equipment. AHRI noted the FTC V. Final Amendments providing label content solely online. In has the discretion under EPCA (42 addition to helping manufacturers by U.S.C. 6294(a)) to discontinue the use of The Commission issues the final significantly reducing compliance costs, EnergyGuide labels for central air amendments as proposed, with AHAM argued such an approach would conditioners and heat pumps if it modifications discussed below. The help consumers by reflecting evolving determines the label does not assist amendments finalize the labeling shopping patterns. According to AHAM, consumers in making purchasing requirements for portable air the majority of consumers research decisions. It agreed with AHAM that the conditioners with a compliance date appliances online before entering a store FTC has ‘‘already taken the most coinciding with the DOE standards. or purchasing from a website. Moreover, dramatic step forward in the virtual Additionally, the amendments contain energy efficiency is not a primary factor revolution by requiring all the proposed changes to the efficiency in consumers’ appliance purchases. manufacturers to have a pdf or link descriptors on central air conditioner Instead, according to AHAM, consumers version of its FTC label available labels. The Commission, however, focus on other factors, primarily online.’’ Nevertheless, according to declines to propose additional wide- purchase ‘‘cost.’’ Should the FTC retain AHRI, the label’s small value for heating ranging changes (e.g., a transition to requirements for a physical label, and cooling equipment renders its electronic labeling) to the EnergyGuide AHAM recommended more flexible administrative burden ‘‘outsized.’’ program at this time. Instead, the requirements, but also urged the However, as discussed below, AHRI did Commission may seek further comment Commission to retain the existing label not recommend the ‘‘wholesale on these issues, including the specifications as a safe harbor. retirement of EnergyGuide labels,’’ but elimination of physical labels, in a According to AHAM, companies have rather a ‘‘modernization’’ using QR future proceeding, where the invested time and resources in codes and electronic labels to inform Commission could gather the evidence developing labels compliant with the consumers without requiring necessary to fully consider significant existing requirements. A safe harbor ‘‘anachronistic prescriptive stickers.’’ amendments to the entire Rule. would allow them to benefit from these In discussing the Rule’s current investments and provide more certainty approach, AHRI argued the label on A. Portable Air Conditioner Labels even if the Commission shifts to less central air conditioners does not help As proposed in the NPRM and detailed regulations. consumers with their purchasing supported by commenters, the In AHAM’s view, conditions have decisions because consumers generally Commission adopts the proposed changed even in the last decade, and do not buy these products ‘‘off-the- amendments containing new labeling

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rules for portable air conditioners. As portable air conditioner labels in data to aid consumer purchasing detailed in this and previous notices, response to comments.26 First, the final decisions. Although these proposals these products are common in the Rule requires manufacturers to warrant further exploration, such broad marketplace, vary in energy efficiency, determine model capacity using the issues would require additional rounds and use energy similar to, or greater DOE testing requirements specifically of notice and comment to consider and than, currently labeled room air applicable to portable air conditioners. develop. Accordingly, the Commission conditioners.21 Further, energy labels Second, the final amendments contain a may consider those proposals during a for these products are likely to assist small change to the language in future proceeding to avoid delay in consumers with purchasing decisions § 305.18(a)(9) to clarify that the promulgating the present amendments by allowing them to compare the energy comparative information on the portable for portable air conditioner labels and costs of competing models and, air conditioners applies to models of update to efficiency descriptors for consequently, save significantly on their similar capacity only (without the central air conditioners. electric bills. In addition, there is no various configurations applicable to These broad industry suggestions are evidence labeling is economically or room air conditioners).27 part of a larger inquiry about the Rule’s technologically infeasible (i.e., that the future, particularly as online B. Energy Efficiency Descriptor costs of labeling substantially outweigh information continues to become more Transition consumer benefits).22 prevalent and consumer shopping After considering the comments, the The final Rule adopts the proposed habits change. EPCA’s basic labeling Commission adjusts the compliance amendments to require manufacturers to provisions, developed in the 1970’s, are date to October 1, 2022.23 As some update the efficiency descriptors for predicated upon an understanding that commenters noted, manufacturers have central air conditioners to conform to consumers routinely examine and sufficient information to create labels pending DOE changes. The change for purchase products in retail showrooms because, pursuant to 42 U.S.C. 6293(c), all applicable references in Part 305 will with little prior information. Further, to they have been testing their products become effective on January 1, 2023 to ensure any covered product displayed since 2016 using the DOE procedure to ensure consistency with the new DOE in a showroom bears a label, the Rule substantiate any energy-related claims requirements. To aid the transition, requires manufacturers to affix the label (including unit capacity) for all their manufacturers may begin using the new on every unit it produces, apparently models. Therefore, the proposed 2025 information prior to January 1, 2023 in based on the expectation that any unit compliance date appears to be overly a manner consistent with DOE may be displayed in a store. long, particularly given the expected guidance. Given the relatively small Over the years, however, buying consumer benefits from labeling very differences produced by the old and the patterns have changed. Consumers now low efficiency units prior to the DOE new rating methods, the amendments frequently compare and purchase standards. The Commission, however, do not require dual labels or any products without ever visiting a store. understands such packaging changes additional explanatory information. As To help consumers in this evolving can take time, particularly where indicated in its comments, AHRI is marketplace, the Commission’s manufacturers must redesign their box developing a communications campaign revisions in the last several years reflect labels to accommodate the EnergyGuide. to help various entities with the these new buying patterns. Specifically, Accordingly, the final amendments transition to the new descriptors. In the FTC previously updated the Rule establish an October 2022 compliance addition, as part of the scheduled 2022 with clear requirements that retailers date to provide companies ample time update to comparability ranges for all display labels on websites (§ 305.27), for to incorporate the label into packaging product classes (§ 305.12), the manufacturers to make their labels while getting these labels into the Commission will update ranges in accessible online (§ 305.9), and for market sooner than originally proposed. Appendix H and I, as well as applicable manufacturers to submit links to those As the Commission has noted in the numbers and terms on the sample labels labels as part of their routine data past, manufacturers generally deploy in Appendix L. reports filed through DOE’s CCMS (§ 305.11). their lines for these types of products on C. Label Burdens and Electronic Further amendments may reduce an annual basis beginning in October of Labeling each year.24 The final compliance date, burdens while ensuring energy which coincides with the beginning of The final amendments do not make information is available to consumers. the model year, will allow any broad changes to the Rule, although For instance, the Commission could manufacturers to incorporate the commenters recommended a wide array examine whether the Rule should changes into their normal production of potential changes. For instance, both continue to require manufacturers to schedules with minimal disruption. In AHRI and AHAM recommended a affix a display-ready EnergyGuide label addition, the Rule allows manufacturers transition away from the current on every appliance typically displayed to incorporate the label into the primary physical label to a system that relies on in showrooms. Indeed, only a tiny packaging display or affix them to label electronic web-based labels or energy fraction of units shipped actually appear packaging (relieving them from in retail store displays, while the costs redesigning boxes for models scheduled 26 The final amendments also contain minor of affixing display-ready labels to all changes in section 305.27 (Paper Catalogs and to be phased out before the 2025 websites) to include references to portable air units can impose significant burden. On standards).25 conditioners. the other hand, past commenters have The final amendments also contain 27 As with the room air conditioner labels, the noted that consumers use the label several other minor changes for the portable air conditioner labels include the operating affixed to their old product in choosing assumptions behind the energy cost estimates. In a new one. 21 addition, the amendments do not contain 80 FR at 67357–58. requirements related to the need for ducting. In addition, the Commission could 22 See 80 FR at 67357 and 81 FR at 62683. Manufacturers have an incentive to ensure consider changes to the label content to 23 Specifically, manufacturers must include the consumers understand how to operate their help consumers better compare new label on all units produced on or after that products properly and should not need a mandate products and understand issues not date. from the FTC to do so. However, should problems 24 83 FR 7593, 7594 (Feb. 22, 2018). arise in the marketplace, the Commission may currently communicated by the label, 25 80 FR 67285, 67293 (Nov. 2, 2015). reconsider such requirements in the future. such as climate change impacts, Smart

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Grid technologies, and better ways to information collection requirements as manufacturers).29 Staff estimates that display comparative energy cost defined by the Paperwork Reduction information processing staff, at an information. However, without further Act (‘‘PRA’’).28 Under the PRA, an hourly rate of $16.24,30 will typically commenter input, we do not know how agency may not collect or sponsor the perform the required tasks, for an valuable this information would be for collection of information, nor may it estimated annual labor cost of $10,962. consumers, and how easy it would be to impose an information collection Labeling: The amendments require convey such information with existing requirement, unless it displays a that manufacturers label portable air DOE-generated data. currently valid Office of Management conditioners. The burden imposed by These issues represent a few of many and Budget (‘‘OMB’’) control number. this requirement consists of the time possible issues the Commission could OMB has approved the Rule’s existing needed to draft labels and incorporate consider in a future proceeding. In information collection requirements them onto package designs. Since EPCA weighing any alternatives to the Rule, through December 31, 2022 (OMB and the Rule specify the content and the Commission would need to ensure Control No. 3084–0069). format for the required labels and FTC any new approach is consistent with its The amendments include new staff provide online label templates, existing authority under EPCA. The labeling requirements for portable air manufacturers need only input the Commission must also ensure conditioners that constitute information energy consumption figures and other consumers have access to clear, truthful collections under the PRA. The product-specific information derived energy information to assist them in Commission submitted these proposed from testing. FTC staff estimates the their purchasing decisions while information collections for review by time to incorporate the required minimizing burdens placed on industry OMB in conjunction with its information into labels and label members. Fully evaluating these issues publication of the NPRM. The covered products is five hours per basic requires a more extensive proceeding Commission received no comments model. Accordingly, staff estimates that focused from the outset at broad issues pertaining to its PRA estimates. OMB the approximate annual burden affecting the Rule in the 21st century. has approved these amended involved in labeling covered products is The Commission also declines to information collection requirements 750 hours [150 basic models × 5 hours]. propose amendments to eliminate the under the existing control number for Staff estimates that information current physical labels for central air the Rule (3084–0069). processing staff, at an hourly rate of conditioners and replace them with a Burden estimates below are based on $16.24,31 will typically perform the smaller label with a QR code (or its Census data, DOE figures and estimates, required tasks, for an estimated annual equivalent) linking consumers to online public comments, general knowledge of labor cost of $12,180. content as AHRI and Goodman manufacturing practices, and trade Testing: Manufacturers of portable air recommended. Such substantial changes association advice and figures. The FTC conditioners must test each basic model to the labeling program would require estimates there are about 150 basic they produce to determine energy usage, further study and consideration in a models of portable air conditioners (i.e., but the majority of tests conducted are future rulemaking proceeding. In the units with essentially identical physical required by DOE rules. As a result, it is meantime, the updated EnergyGuide and electrical characteristics). In likely only a small portion of the tests label for central air conditioners, which addition, FTC staff estimates there are conducted are attributable to the Rule’s contains both EPCA-mandated energy 45 portable air conditioner requirements. In addition, efficiency ratings and regional standards manufacturers and 1,500,000 portable manufacturers need not subject each information for installers, will continue air conditioner units shipped each year basic model to testing annually; they to aid both consumers and industry in the U.S. must retest only if the product design members. Reporting: The Rule requires changes in such a way as to affect Finally, the Commission may manufacturers of covered products to energy consumption. FTC staff estimates consider changes to the detailed label annually submit a report for each model manufacturers will require requirements (e.g., the changes to in current production containing the approximately 36 hours for testing of current label layout and content same information that must be portable air conditioners,32 and that advocated by Goodman) in a future submitted to the Department of Energy 25% of all basic models are tested proceeding. Some of the Rule’s detailed pursuant to 10 CFR part 429. In lieu of annually due to the Rule’s requirements. requirements mentioned in the NPRM submitting the required information to Accordingly, the estimated annual may have indeed become obsolete. At the Commission, manufacturers may testing burden for portable air the same time, detailed, uniform submit such information to DOE requirements for consumer labels like directly via the agency’s Compliance 29 In earlier comments, AHAM (#681–00012) the EnergyGuide provide benefits to Certification Management System, estimated the data entry involved in filing reports available at https://regulations.doe.gov/ with the FTC is not particularly burdensome, but consumers by presenting information in estimated that other tasks involved in reporting a format that allows consumers to easily ccms, as provided by 10 CFR 429.12. (such as performing the required testing and compare products across multiple Because manufacturers are already gathering information) could take as long as 40 categories. Moreover, the FTC’s online, required to submit these reports to DOE, hours per manufacturer. As noted above, however, testing and reporting are required and accounted for editable EnergyGuide templates already FTC staff estimates any additional in DOE regulations. As a result, staff estimates that include all the label’s general burden associated with providing the the primary burdens associated with reporting are information in the size, font, and information to the FTC is minimal. FTC due to DOE requirements. location required by the Rule and thus staff estimates the average reporting 30 These labor cost estimates are derived from the burden for manufacturers of portable air Bureau of Labor Statistics figures in ‘‘Table 1.’’ largely free manufacturers from having National employment and wage data from the to navigate the detailed format conditioners will be approximately 15 Occupational Employment Statistics survey by requirements. hours per manufacturer. Based on this occupation, May 2018,’’ available at: https:// estimate, the annual reporting burden www.bls.gov/news.release/ocwage.t01.htm. VI. Paperwork Reduction Act for manufacturers of portable air 31 Id. The current Rule contains × 32 AHAM estimated manufacturers would require conditioners is 675 hours (15 hours 45 32 hours per model for testing and up to 4 hours recordkeeping, disclosure, testing, and for preparing the test data. AHAM Comment, #681– reporting requirements that constitute 28 44 U.S.C. 3501 et seq.; see also 5 CFR 1320.3(c). 0016.

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conditioners is 1,368 hours ((150 basic The Commission does not anticipate discussed above. The amendments models × 25%) × 36 hours). Staff that the amendments will have a likely will increase compliance burdens estimates that engineering technicians, significant economic impact on a by extending the labeling requirements at an hourly rate of $28.37,33 will substantial number of small entities. to portable air conditioners. The typically perform the required tasks, for The Commission recognizes that some Commission anticipates that the label an estimated annual labor cost of of the affected manufacturers may design change will be implemented by $38,300. qualify as small businesses under the graphic designers. Recordkeeping: The Rule also requires relevant thresholds. The Commission E. Description of Steps Taken To manufacturers of covered products to estimates that the amendments will Minimize Significant Economic Impact, retain records of test data generated in apply to 300 online and paper catalog if Any, on Small Entities, Including performing the tests to derive sellers of covered products and about 45 Alternatives information included on labels. See 16 portable air conditioner manufacturers. CFR 305.21. The FTC estimates the The Commission expects that The Commission sought comment and annual recordkeeping burden for approximately 150 of these various information on the need, if any, for manufacturers of portable air entities qualify as small businesses. alternative compliance methods that conditioners will be approximately one Although the Commission has would reduce the economic impact of minute per basic model to store relevant certified under the RFA that the the Rule on such small entities. To data. Accordingly, the estimated annual amendments would not have a allow time for industry to come into recordkeeping burden would be significant impact on a substantial compliance with the revised Rule and approximately 3 hours (150 basic number of small entities, the minimize the impact of the amendments models × one minute). Staff estimates Commission has determined, on covered entities, the Commission has that information processing staff, at an nonetheless, that it is appropriate to given manufacturers until October 1, hourly rate of $16.24,34 will typically publish an FRFA in order to explain the 2022 to implement portable air perform the required tasks, for an impact of the amendments on small conditioner labels. The Commission estimated annual labor cost of $50. entities as follows: may consider other proposals related to Online and Retail Catalog electronic labeling and additional issues A. Description of the Reasons That Disclosures: Staff estimates there are in a future proceeding. approximately 400 sellers of products Action by the Agency Is Being Taken covered under the Rule who are subject Based upon the record, including VIII. Other Matters to the Rule’s catalog disclosure public comments, the Commission is Pursuant to the Congressional Review requirements. Staff has previously amending the Rule to expand product Act (5 U.S.C. 801 et seq.), the Office of estimated covered online and catalog coverage and make additional Information and Regulatory Affairs sellers spend approximately 17 hours improvements to the Rule to help designated this rule as not a ‘‘major per year to incorporate relevant product consumers in their purchasing decisions rule,’’ as defined by 5 U.S.C. 804(2). data for products that are currently for portable air conditioners. covered by the Rule. Staff estimates the Final Rule Language B. Issues Raised by Comments in portable air conditioner requirements Response to the IRFA List of Subjects in 16 CFR Part 305 will add one additional hour per year in incremental burden per seller. Staff The Commission did not receive any Advertising, Energy conservation, estimates these additions will result in comments specifically related to the Household appliances, Labeling, an incremental burden of 400 hours impact of the final amendments on Reporting and recordkeeping (400 sellers × one hour annually). Staff small businesses. In addition, the Chief requirements. estimates that information processing Counsel for Advocacy of the Small For the reasons stated above, the staff, at an hourly rate of $16.24,35 will Business Administration did not submit Commission amends part 305 of title 16 typically perform the required tasks, for comments. of the Code of Federal Regulations as an estimated incremental annual labor C. Estimate of Number of Small Entities follows: cost of $6,496. to Which the Amendments Will Apply Estimated annual non-labor cost PART 305—ENERGY AND WATER USE burden: Staff anticipates that Under the Small Business Size LABELING FOR CONSUMER manufacturers are not likely to require Standards issued by the Small Business PRODUCTS UNDER THE ENERGY any significant capital costs to comply Administration, appliance POLICY AND CONSERVATION ACT with the amendments. manufacturers qualify as small (‘‘ENERGY LABELING RULE’’) businesses if they have fewer than 500 VII. Regulatory Flexibility Act employees. Catalog sellers qualify as ■ 1. The authority citation for part 305 The Regulatory Flexibility Act (RFA), small businesses if their sales are less continues to read as follows: 5 U.S.C. 601 through 612, requires the than $8.0 million annually. The Authority: 42 U.S.C. 6294. Commission provide an Initial Commission estimates that there are ■ Regulatory Flexibility Analysis (IRFA) approximately 150 entities subject to the 2. In part 305, effective January 1, with a proposed rule and a Final final amendments that qualify as small 2023: ■ Regulatory Flexibility Analysis (FRFA), businesses. The Commission estimates a. Revise all references to ‘‘seasonal with the final rule, if any, unless the that the amendments will not have a energy efficiency ratio (SEER)’’ to read Commission certifies that the rule will significant impact on small businesses. ‘‘seasonal energy efficiency ratio 2 not have a significant economic impact (SEER2)’’; D. Projected Reporting, Recordkeeping, ■ b. Revise all references to ‘‘SEER’’ to on a substantial number of small and Other Compliance Requirements entities. See 5 U.S.C. 603 through 605. read ‘‘SEER2’’; The amendments will slightly ■ c. Revise all references to ‘‘heating 33 See supra note 20. increase reporting, recordkeeping, and seasonal performance factor’’ to read 34 Id. disclosure requirements associated with ‘‘heating seasonal performance factor 35 Id. the Commission’s labeling rules as 2’’;

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■ d. Revise all references to ‘‘HSPF’’ to (3) The requirements of this part shall TABLE 1 TO § 305.11(b)(1)— read ‘‘HSPF2’’; not apply to any portable air conditioner Continued ■ e. Revise all references to ‘‘Energy produced before October 1, 2022. Efficiency Ratio’’ to read ‘‘Energy * * * * * Deadline Efficiency Ratio 2’’; and ■ Product category for data 7. In § 305.10, effective October 1, submission ■ f. Revise all references to ‘‘EER’’ to 2022, revise paragraph (f) to read as read ‘‘EER2.’’ follows: Medium base compact fluores- ■ cent lamps ...... Mar. 1. 3. In § 305.2, effective October 1, § 305.10 Determinations of capacity. 2022, redesignate paragraph (l)(23) as General service incandescent (l)(24) and add new paragraph (l)(23) to * * * * * lamps ...... Mar. 1. Televisions ...... June 1. read as follows: (f) Room air conditioners and portable air conditioners. The capacity for room § 305.2 Definitions. air conditioners shall be the cooling * * * * * * * * * * capacity in Btu per hour, as determined ■ 9. In § 305.13, effective October 1, (l) * * * according to appendix F to 10 CFR part 2022, revise the section heading and (23) Portable air conditioners. 430, subpart B, but rounded to the paragraph (e)(3) to read as follows: nearest value ending in hundreds that * * * * * will satisfy the relationship that the § 305.13 Layout, format, and placement of ■ 4. In § 305.2, effective January 1, 2023, energy efficiency value used in labels for refrigerators, refrigerator- revise paragraph (p) to read as follows: representations equals the rounded freezers, freezers, dishwashers, clothes washers, water heaters, room air value of capacity divided by the value § 305.2 Definitions. conditioners, portable air conditioners, and of input power in watts. If a value pool heaters. * * * * * ending in hundreds will not satisfy this * * * * * (p) Energy efficiency rating means the relationship, the capacity may be following product-specific energy usage rounded to the nearest value ending in (e) * * * descriptors: Annual fuel utilization 50 that will. The capacity for portable (3) Package labels for certain efficiency (AFUE) for furnaces; air conditioners shall be determined products. Labels for electric combined energy efficiency ratio (CEER) according to appendix CC to 10 CFR instantaneous water heaters shall be for room and portable air conditioners; part 430, subpart B, with rounding printed on or affixed to the product’s seasonal energy efficiency ratio 2 determined in accordance with 10 CFR packaging in a conspicuous location. (SEER2) for the cooling function of part 430. Labels for room air conditioners produced on or after October 1, 2019 central air conditioners and heat pumps; * * * * * heating seasonal performance factor 2 and portable air conditioners, shall be ■ 8. In § 305.11, effective October 1, (HSPF2) for the heating function of heat printed on or affixed to the principal 2022, revise paragraph (b)(1) to read as pumps; airflow efficiency for ceiling display panel of the product’s follows: fans; and, thermal efficiency (TE) for packaging. The labels for electric pool heaters, as these descriptors are § 305.11 Submission of data. instantaneous water heaters, room air determined in accordance with tests * * * * * conditioners, and portable air prescribed under section 323 of the Act (b)(1) All data required by paragraph conditioners shall be black type and (42 U.S.C. 6293). These product-specific (a) of this section except serial numbers graphics on a process yellow or other energy usage descriptors shall be used shall be submitted to the Commission neutral contrasting background. in satisfying all the requirements of this annually, on or before the following * * * * * part. dates: ■ 10. In § 305.18, effective October 1, * * * * * 2022, revise the section heading and ■ 5. In § 305.3, effective October 1, TABLE 1 TO § 305.11(b)(1) paragraph (a)(9) to read as follows: 2022, add paragraph (j) to read as Deadline § 305.18 Label content for room air follows: Product category for data conditioners and portable air conditioners. submission § 305.3 Description of appliances and (a) * * * consumer electronics. Refrigerators ...... Aug. 1. (9) Labels must contain a statement as * * * * * Refrigerators-freezers ...... Aug. 1. illustrated in the prototype labels in (j) Portable air conditioner means a Freezers ...... Aug. 1. appendix L of this part and specified as portable encased assembly, other than a Central air conditioners ...... July 1. follows (fill in the blanks with the packaged terminal air conditioner, room Heat pumps ...... July 1. appropriate model type, year, energy air conditioner, or dehumidifier, that Dishwashers ...... June 1. type, and energy cost figure): Water heaters ...... May 1. delivers cooled, conditioned air to an Room air conditioners ...... July 1. Your costs will depend on your utility enclosed space, and is powered by Portable air conditioners ...... Feb. 1. rates and use. single-phase electric current. It includes Furnaces ...... May 1. Cost range based only on models [of a source of refrigeration and may Pool heaters ...... May 1. similar capacity; of similar capacity include additional means for air Clothes washers ...... Oct. 1. without reverse cycle and with louvered circulation and heating. Fluorescent lamp ballasts ...... Mar. 1. sides; of similar capacity without Showerheads ...... Mar. 1. ■ 6. In § 305.7, effective October 1, reverse cycle and without louvered Faucets ...... Mar. 1. sides; with reverse cycle and with 2022, add paragraph (e)(3) to read as Water closets ...... Mar. 1. follows: Ceiling fans ...... Mar. 1. louvered sides; or with reverse cycle Urinals ...... Mar. 1. and without louvered sides]. § 305.7 Prohibited acts. Metal halide lamp fixtures ...... Sept. 1. Estimated annual energy cost is based * * * * * General service fluorescent on a national average electricity cost of (e) * * * lamps ...... Mar. 1. ll cents per kWh and a seasonal use

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of 8 hours use per day over a 3-month (ii) A map appropriate for the model All websites advertising covered period. and accompanying text as illustrated in refrigerators, refrigerator-freezers, For more information, visit the sample label 7 in appendix L of this freezers, room air conditioners, portable www.ftc.gov/energy. part. air conditioners, clothes washers, * * * * * (iii) A statement that reads: dishwashers, ceiling fans, pool heaters, ■ 11. In § 305.20, effective January 1, Energy Efficiency Ratio 2 (EER2): The central air conditioners, heat pumps, 2023, revise paragraphs (g)(11) through installed system’s minimum EER2 is furnaces, general service lamps, (14) to read as follows: ll. specialty consumer lamps (for products (13) For any split system central air offered for sale after May 2, 2018), and § 305.20 Labeling for central air conditioner with a rated cooling conditioners, heat pumps, and furnaces. televisions must display, for each capacity of at least 45,000 Btu/h and a model, a recognizable and legible image * * * * * minimum rated efficiency rating less of the label required for that product by (g) * * * than 13.8 SEER2, and any split-system this part. The website may hyperlink to (11) For any single-package air central air conditioners with a rated the image of the label using the sample conditioner with a minimum Energy cooling capacity less than 45,000 Btu/h Efficiency Ratio 2 (EER2) of at least 10.6, and minimum efficiency ratings of less EnergyGuide and Lighting Facts icons any split system central air conditioner than 14.3 SEER2, the label must contain depicted in appendix L of this part. The with a rated cooling capacity of at least the following regional standards website must hyperlink the image in a 45,000 Btu/h and minimum efficiency information: way that does not require consumers to ratings of at least 13.8 SEER2 and 11.2 (i) A statement that reads: save the hyperlinked image in order to EER2 or at least 15.2 SEER2 and 9.8 Notice view it. EER2, and any split-system central air Federal law allows this unit to be * * * * * conditioners with a rated cooling installed only in: AK, CO, CT, ID, IL, IA, (b) * * * capacity less than 45,000 Btu/h and IN, KS, MA, ME, MI, MN, MO, MT, ND, minimum efficiency ratings of at least NE, NH, NJ, NY, OH, OR, PA, RI, SD, (1) * * * (i) Products required to bear 14.3 SEER2 and 11.7 EER2 or at least UT, VT, WA, WV, WI, and WY. Federal EnergyGuide or Lighting Facts labels. 15.2 SEER2 and 9.8 EER2, the label law prohibits installation of this unit in All paper catalogs advertising covered must contain the following regional other states. products required by this part to bear standards information: (ii) A map appropriate for the model EnergyGuide or Lighting Facts labels (i) A statement that reads: and accompanying text as illustrated in illustrated in appendix L of this part Notice the sample label 7 in appendix L of this (refrigerators, refrigerator-freezers, Federal law allows this unit to be part. freezers, room air conditioners, portable installed in all U.S. states and (iii) A statement that reads: air conditioners, clothes washers, territories. Energy Efficiency Ratio 2 (EER2): The dishwashers, ceiling fans, pool heaters, (ii) For split systems, a statement that installed system’s minimum EER2 is central air conditioners, heat pumps, reads: ll. Energy Efficiency Ratio 2 (EER2): The furnaces, general service fluorescent (14) For any single-package air lamps, general service lamps, and installed system’s minimum EER2 is conditioner with a minimum EER2 ll televisions) must either display an . below 10.6, the label must contain the (iii) For single-package air image of the full label prepared in following regional standards conditioners, a statement that reads: accordance with this part, or make a text Energy Efficiency Ratio 2 (EER2): This information: disclosure as follows: (i) A statement that reads: model’s EER2 is [ll]. * * * * * (12) For any split system central air Notice conditioner with a rated cooling Federal law allows this unit to be (B) Room air conditioners, portable capacity of at least 45,000 Btu/h and installed only in: AK, AL, AR, CO, CT, air conditioners, and water heaters. The minimum efficiency ratings of at least DC, DE, FL, GA, HI, ID, IL, IA, IN, KS, capacity of the model determined in 13.8 SEER2 but lower than 11.2 EER2 or KY, LA, MA, ME, MD, MI, MN, MO, accordance with this part, the estimated at least 15.2 SEER2 but lower than 9.8 MS, MT, NC, ND, NE, NH, NJ, NY, OH, annual operating cost determined in EER2, and any split-system central air OK, OR, PA, RI, SC, SD, TN, TX, UT, accordance with this part, and a conditioners with a rated cooling VA, VT, WA, WV, WI, WY and U.S. disclosure stating ‘‘Your operating costs capacity less than 45,000 Btu/h and territories. Federal law prohibits will depend on your utility rates and minimum efficiency ratings of at least installation of this unit in other states. use. The estimated operating cost is 14.3 SEER2 but lower than 11.7 EER2 or (ii) A map appropriate for the model based on a [electricity, natural gas, at least 15.2 SEER2 but lower than 9.8 and accompanying text as illustrated in propane, or oil] cost of [$ llper kWh, EER2, the label must contain the the sample label 7 in appendix L of this therm, or gallon]. For more information, following regional standards part. visit www.ftc.gov/energy.’’ * * * * * information: * * * * * (i) A statement that reads: ■ 12. In § 305.27, effective October 1, Notice 2022, revise the section heading and ■ 13. Effective October 1, 2022, Federal law allows this unit to be paragraphs (a)(1)(i), (b)(1)(i) redesignate appendix E to part 305 as installed only in: AK, AL, AR, CO, CT, introductory text, and (b)(1)(i)(B) to read appendix E1 and add appendix E2 to DC, DE, FL, GA, HI, ID, IL, IA, IN, KS, as follows: part 305. KY, LA, MA, ME, MD, MI, MN, MO, The addition reads as follows: MS, MT, NC, ND, NE, NH, NJ, NY, OH, § 305.27 Paper catalogs and websites. OK, OR, PA, RI, SC, SD, TN, TX, UT, (a) * * * VA, VT, WA, WV, WI, WY and U.S. (1) * * * territories. Federal law prohibits (i) Products required to bear installation of this unit in other states. EnergyGuide or Lighting Facts labels.

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Appendix E2 to Part 305—Portable Air ■ 14. Effective October 1, 2022, revise §§ 305.16, 305.18 and 305.27 for Conditioners appendix K2 to part 305 to read as dishwashers, room air conditioners, and follows: portable air conditioners. This Table is RANGE INFORMATION based on information published by the Appendix K2 to Part 305— U.S. Department of Energy in 2017. Range of Representative Average Unit Energy estimated Seasonally adjusted cooling annual energy Costs for Dishwasher, Room Air capacity range costs Conditioner, Portable Air Conditioner (Btu/h) (dollars/year) Labels Low High This Table contains the representative Less than 6,000 Btu ...... $48 $98 unit energy costs that must be utilized 6,000 to 7,999 Btu ...... 87 120 to calculate estimated annual energy 8,000 or greater Btu ...... 104 135 cost disclosures required under

As required by Type of energy In commonly used terms DOE test procedure

Electricity ...... ¢13.00/kWh1 ...... $.1300/kWh. Natural Gas ...... $1.05/therm 2 or $10.86/MCF 3 ...... $0.00001052/Btu. No. 2 Heating Oil ...... $2.59/gallon 4 ...... $0.00001883/Btu. Propane ...... $1.53/gallon 5 ...... $0.00001672/Btu. Kerosene ...... $3.01/gallon 6 ...... $0.00002232/Btu. 1 kWh stands for kilowatt hour. kWh = 3,412 Btu (British thermal units). 2 therm = 100,000 Btu. 3 MCF stands for 1,000 cubic feet. For the purposes of this table, one cubic foot of natural gas has an energy equivalence of 1,032 Btu. 4 For the purposes of this table, one gallon of No. 2 heating oil has an energy equivalence of 137,561 Btu. 5 For the purposes of this table, one gallon of liquid propane has an energy equivalence of 91,333 Btu. 6 For the purposes of this table, one gallon of kerosene has an energy equivalence of 135,000 Btu.

By direction of the Commission, prescriptive aspects of the Rule.2 I was Commission explains that revising other Commissioner Wilson dissenting. pleased to receive many interesting and aspects of the labeling obligations April J. Tabor, thoughtful comments submitted by imposed by the Rule will require further Acting Secretary. stakeholders. For example, industry exploration. I see no reason for the members explained that changes in the Commission to forego that exploration Editorial Note: The Office of the Federal market and consumer behavior indicate now. We can both finalize these changes Register received this document on December that affixed labels with detailed and ask stakeholders for additional 23, 2020. information may have ceased to provide input on how to improve the rest of the 3 Note: The following will not appear in the benefits to consumers. Industry Rule. Code of Federal Regulations. members also proposed providing the The FTC promulgated the Energy labeling information online or through Labeling Rule in the 1970s, an era when Dissenting Statement of Commissioner QR codes at brick-and-mortar locations.4 the agency was engaged in prolific 5 Christine S. Wilson Making this information easier to access rulemaking. As I have noted in the digital era could foster greater previously,6 no area of commerce was Today’s Commission action finalizes competition among appliance too straightforward or mundane to required changes to the Energy Labeling manufacturers and more informed escape the Commission’s notice: • Rule, but fails to remove prescriptive purchasing decisions by consumers. The Rule on Misbranding and aspects of the Rule that I believe are Rather than act on these comments or Deception as to Leather Content of unnecessary and that could hinder proposals, though, the Commission has 5 important aspects of competition. For chosen to finalize only the air See, e.g., Timothy J. Muris, Paper: Will the conditioning proposals necessary to FTC’s Success Continue?, George Mason Law & the reasons described below, I dissent. Economics No. 18 (Sept. 24, 2018) (discussing the conform to Department of Energy The current amendments were successes and failures of the FTC’s enforcement changes. The Federal Register Notice efforts including the aggressive rulemaking proposed in March 2020. At that time, approved by a majority of the activities in the 1970s), available at: https:// and at my urging,1 the Commission also papers.ssrn.com/sol3/papers.cfm?abstract_ id=3254294; Timothy J. Muris, Rules Without sought comment on the more 2 See Concurring Statement of Commissioner Reason, AEI J. on Gov’t and Society (Sept/Oct. Christine S. Wilson on the Notice of Proposed 1982) (describing failed FTC rulemaking 1 See Dissenting Statement of Commissioner Rulemaking: Energy Labeling Rule (Mar. 20, 2020), proceedings), available at: https://www.cato.org/ Christine S. Wilson on the Notice of Proposed https://www.ftc.gov/system/files/documents/ sites/cato.org/files/serials/files/regulation/1982/9/ _ _ _ Rulemaking: Energy Labeling Rule (Dec. 10, 2018) public statements/1569815/r611004 wilson v6n5-4.pdf; Teresa Schwartz, Regulating Unfair _ _ (expressing my view that the Commission should statement energy labeling.pdf. Practices Under The FTC Act: The Need For a Legal seek comment on the prescriptive labeling 3 See, e.g., Air-Conditioning, Heating and Standard of Unfairness, 11 Akron Law Rev. 1 (1978) requirements), https://www.ftc.gov/public- Refrigeration Institute (AHRI) Comment (#33–09), (explaining that the judicial reversals of FTC statements/2018/12/dissenting-statement- available at: https://www.regulations.gov/ regulations resulted from a failure to establish an commissioner-christine-s-wilson-notice-proposed; document?D=FTC-2020-0033-0009; Association of adequate legal basis for the regulations), available See Dissenting Statement of Commissioner Home Appliance Manufacturers (AHAM) Comment at: https://ideaexchange.uakron.edu/ Christine S. Wilson on the Notice of Proposed (#33–04), available at: https://www.regulations.gov/ akronlawreview/vol11/iss1/1/. Rulemaking: Energy Labeling Rule (Oct. 22, 2019) document?D=FTC-2020-0033-0004; Goodman 6 See Concurring Statement of Commissioner (urging the Commission to seek comment on the Manufacturing Comment (#33–08), available at: Christine S. Wilson, Amplifier Rule (Dec. 17, 2020), labeling requirements), https://www.ftc.gov/system/ https://www.regulations.gov/document?D=FTC- https://www.ftc.gov/system/files/documents/ files/documents/public_statements/1551786/ 2020-0033-0008. public_statements/1585038/csw_amplifier_rule_ r611004_wilson_dissent_energy_labeling_rule.pdf. 4 Id. stmt_11192020.pdf.

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Waist Belts prescribed unlawful The Commission last conducted a full December 2, 2020. The final regulations practices in connection with the sale of review of the Energy Labeling Rule in provide guidance on how an exempt belts when not offered for sale as part 2015; under our 10-year regulatory organization subject to the unrelated of a garment. Among other things, the schedule, the next review is scheduled business income tax determines if it has Rule prohibited the sale of belts that for 2025. However, since 2015, the more than one unrelated trade or looked like leather, but that were made Commission has sought comment on business, and, if so, how the exempt of split, ground, pulverized, or shredded provisions of this Rule at least three organization calculates unrelated leather or non-leather material, absent times, including the current proceeding, business taxable income. disclosures.7 and has made numerous amendments.13 DATES: These corrections are effective • The Guides for Shoe Content This piecemeal approach has clarified on February 12, 2021 and are applicable Labeling and Advertising required the Rule’s requirements—and I on December 2, 2020. leather, split leather, and concealed appreciate FTC staff’s efforts to keep FOR FURTHER INFORMATION CONTACT: insoles ‘‘containing . . . non-leather this Rule clear and current—but the Jonathan A. Carter at (202) 317–5800 or material which are concealed from Commission can and should do more. Stephanie N. Robbins at (202) 317–4086 view, but which also contain other Specifically, the Commission should (not toll-free numbers). visible parts of leather,’’ to bear a label conduct a full review of the Rule to SUPPLEMENTARY INFORMATION: clearly disclosing the presence of the consider removing all dated and non-leather innersole.8 prescriptive provisions, and to consider Background • The Hosiery Guides established that the recent comments suggesting The final regulations (TD 9933) that the term ‘‘long staple cotton’’ used to changes. Nothing prevents the are the subject of this correction are describe hosiery ‘‘is understood to mean Commission from conducting this issued under section 512 of the Internal 1 ″ cotton fiber which is not less than 1 ⁄8 review now—we do not have to wait Revenue Code. in length of staple’’ and that the term until the 10-year anniversary. I urge the ‘‘lisle’’ represents hosiery ‘‘made of yarn Commission to act on these comments, Need for Correction composed of two or more ply of combed eliminate the more prescriptive aspects As published the final regulations (TD long staple cotton fiber.’’ 9 of the Rule, and maximize the positive 9933) contain errors that needs to be A federal statute mandated that the impact of this Rule for consumers. If we corrected. FTC promulgate the Energy Labeling are statutorily mandated to maintain Correction of Publication Rule.10 The FTC must implement the this Rule, we should endeavor to make will of Congress, but it need not adopt it beneficial for consumers and Accordingly, the final regulations (TD a prescriptive approach while doing so. competition. 9933), that are the subject of FR Doc. Here, the FTC itself has chosen to [FR Doc. 2020–28880 Filed 2–11–21; 8:45 am] 2020–25954, published on December 2, 2020 (85 FR 77952), are corrected to specify the trim size dimensions for BILLING CODE 6750–01–P labels, including the precise width read as follows: (between 51⁄4″ to 5 1⁄2″) and length 1. On page 77952, the third column, (between 7 3⁄8″ and 7 5⁄8″); the number the seventeenth line from the top of the DEPARTMENT OF THE TREASURY of picas for the copy set (between 27 second full paragraph, the language ‘‘balances legislative’’ is corrected to and 29); the type style (Arial) and Internal Revenue Service setting; the weight of the paper stock on read ‘‘balances the legislative’’. 2. On page 77954, the third column, which the labels are printed (not less 26 CFR Part 1 than 58 pounds per 500 sheets or the first line of the first full paragraph, equivalent); and a suggested minimum [TD 9933] the language ‘‘Because the NAICS’’ is corrected to read ‘‘Because NAICS’’. peel adhesive capacity of 12 ounces per RIN 1545–BO79 square inch.11 I urged the Commission 3. On page 77961, the second column, take the opportunity to review these the third line from the bottom of the Unrelated Business Taxable Income first partial paragraph, the language detailed labeling requirements in 2018, Separately Computed for Each Trade and again in 2019, when the ‘‘rule’’ is corrected to read ‘‘test’’. or Business; Correction 4. On page 77964, the second column, Commission sought comment and removing the language ‘‘of the revised other sections of this Rule.12 AGENCY: Internal Revenue Service (IRS), Treasury. supported organization’’ from the third and fourth lines from the bottom of the 7 16 CFR 405.4, https://www.ftc.gov/sites/default/ ACTION: Final rule; correction. files/documents/federal_register_notices/trade- last full paragraph. regulation-rule-misbranding-and-deception-leather- SUMMARY: This document contains 5. On page 77964, the third column, content-waist-belts-16-cfr-part-405/ corrections to the final regulations the second line from the bottom of the 960522traderegulationruleonmisbranding.pdf. last partial paragraph, the language 8 16 CFR 231.3, https://www.ftc.gov/sites/default/ (Treasury Decision 9933) that published files/documents/federal_register_notices/guides- in the Federal Register on Wednesday, ‘‘Accordingly, the’’ is corrected to read luggage-and-related-products-industry-guides-shoe- ‘‘The’’. content-labeling-and-advertising-and-guides/ wilson-notice-proposed; Dissenting Statement of 6. On page 77965, the second column, 950918luggageandrelatedproducts.pdf. Commissioner Christine S. Wilson on the Notice of the thirteenth line from the top of the 9 16 CFR 22.3, https://www.ftc.gov/sites/default/ Proposed Rulemaking: Energy Labeling Rule (Oct. _ _ first partial paragraph, the language files/documents/federal register notices/guides- 22, 2019), https://www.ftc.gov/system/files/ ‘‘owns interest’’ is corrected to read hosiery-industry-16-cfr-part-22/ documents/public_statements/1551786/r611004_ 960202hosieryindustry.pdf. wilson_dissent_energy_labeling_rule.pdf. ‘‘owns the interest’’. 10 Energy Policy and Conservation Act, 42 U.S.C. 13 See 81 FR 62861 (Sept. 12, 2016) (seeking 7. On page 77965, the third column, 6295. comment on proposed amendments regarding the third line from the bottom of the 11 See 16 CFR §§ 305.13 and 305.20 portable air conditioners, ceiling fans, and electric first full paragraph, the language ‘‘E.O.;’’ 12 Dissenting Statement of Commissioner water heaters); 84 FR 9261 (Mar. 14, 2019) is corrected to read ‘‘exempt Christine S. Wilson on the Notice of Proposed (proposing amendments to organize the Rule’s Rulemaking: Energy Labeling Rule (Dec. 10, 2018), product descriptions); 85 FR 20218 (Apr. 10, 2020) organization’’. https://www.ftc.gov/public-statements/2018/12/ (seeking comment on proposed amendments 8. On page 77967, the second column, dissenting-statement-commissioner-christine-s- regarding central and portable air conditioners). the fifth line from the bottom of the first

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partial paragraph, the language partial paragraph, the language ‘‘rules Correction of Publication ‘‘Accordingly,’’ is corrected to read are’’ is corrected to read ‘‘rules is’’. Accordingly, 26 CFR part 1 is ‘‘Therefore,’’. Crystal Pemberton, corrected by making the following 9. On page 77968, the first column, Senior Federal Register Liaison, Publications correcting amendments: the first full paragraph of the first and and Regulations Branch, Legal Processing second sentences, the language Division, Associate Chief Counsel (Procedure PART 1—INCOME TAXES ‘‘Furthermore, allowing an exempt and Administration). ■ Paragraph 1. The authority citation organization to elect to treat the debt- Editorial note: This document was for part 1 continues to read in part as financed income as part of a 2-digit received for publication by the Office of the follows: NAICS code, instead of including such Federal Register on January 6, 2021. income as part of an organization’s [FR Doc. 2021–00342 Filed 2–11–21; 8:45 am] Authority: 26 U.S.C. 7805 * * * investment activities, would not reduce BILLING CODE 4830–01–P § 1.512(a)–6 [Amended] the burden upon the exempt ■ organization or the burden on the IRS. Par. 2. Section 1.512(a)–6 is amended: ■ Such income would still need to be DEPARTMENT OF THE TREASURY a. In paragraph (a)(3)(i) by adding a identified as debt-financed income and semicolon after the word ‘‘year’’. ■ an additional determination of the Internal Revenue Service b. In the third sentence of paragraph underlying activity would also need to (h)(2) by removing the language ‘‘trade be made to determine a 2-digit NAICS 26 CFR Part 1 or business’’ and adding in its place ‘‘trades or businesses’’. code.’’ is corrected to read ‘‘Furthermore, allowing an exempt [TD 9933] Crystal Pemberton, organization to elect to treat the debt- Senior Federal Register Liaison, Legal financed income as part of a NAICS 2- RIN 1545–BO79 Processing Division, Associate Chief Counsel, digit code, instead of including such (Procedure and Administration). Unrelated Business Taxable Income income as part of an organization’s Editorial Note: This document was investment activities, would not reduce Separately Computed for Each Trade or Business; Correction received for publication by the Office of the the burden on the exempt organization Federal Register on January 6, 2021. or the burden on the IRS. Such income AGENCY: Internal Revenue Service (IRS), [FR Doc. 2021–00341 Filed 2–11–21; 8:45 am] would still need to be identified as debt- Treasury. BILLING CODE 4830–01–P financed income and an additional ACTION: Correcting amendment. determination of the underlying activity would also need to be made to SUMMARY: This document contains DEPARTMENT OF THE INTERIOR determine a NAICS 2-digit code.’’ corrections to the final regulations 10. On page 77968, the second (Treasury Decision 9933) that published Office of Natural Resources Revenue column, the fourth line from the bottom in the Federal Register on Wednesday, of the last partial paragraph, the December 2, 2020. The final regulations 30 CFR Parts 1206 and 1241 provide guidance on how an exempt language ‘‘(Form 1120S)’’ is corrected to [Docket No. ONRR–2020–0001; DS63644000 read ‘‘(Form1120–S)’’. organization subject to the unrelated DRT000000.CH7000 212D1113RT] business income tax determines if it has 11. On page 77968, the third column, more than one unrelated trade or RIN 1012–AA27 the fourth line from the bottom of the business, and, if so, how the exempt first paragraph, the language ‘‘1120S) is organization calculates unrelated ONRR 2020 Valuation Reform and Civil needed’’ is corrected to read ‘‘1120–S) is business taxable income. Penalty Rule: Delay of Effective Date; necessary’’. Request for Public Comment DATES: These corrections are effective 12. On page 77970, the third column, on February 12, 2021 and are applicable AGENCY: Office of Natural Resources the tenth line from the top of the first on December 2, 2020. Revenue (‘‘ONRR’’), Interior. full paragraph, the language ‘‘describe’’ FOR FURTHER INFORMATION CONTACT: ACTION: is corrected to read ‘‘described’’. Final rule; delay of effective Jonathan A. Carter at (202) 317–5800 or date and opening of comment period. 13. On page 77971, the first column, Stephanie N. Robbins at (202) 317–4086 the fifth and sixth line from the top of (not toll-free numbers). SUMMARY: In accordance with the January 20, 2021 White House the first full paragraph, the language SUPPLEMENTARY INFORMATION: ‘‘Hospitality’’ is corrected to read ‘‘the Memorandum on Regulatory Freeze Hospitality’’ and ‘‘and Club’’ is Background Pending Review and the Office of corrected to read ‘‘and the Club’’. The final regulations (TD 9933) that Management and Budget Memorandum 14. On page 77971, the third column, are the subject of this correction are M–21–14 of the same date, this action removing the language, ‘‘in the issued under section 512 of the Internal delays the effective date of the final rule entitled ‘‘ONRR 2020 Valuation Reform proposed regulations’’ in the third and Revenue Code. and Civil Penalty Rule’’ that published fourth line from the top of the partial Need for Correction in the Federal Register on January 15, paragraph. As published on December 2, 2020 2021 (‘‘2020 Rule’’). In addition, this 15. On page 77972, the third column, (85 FR 77952), the final regulations (TD action opens a 30-day comment period the second line of the second paragraph, 9933) contain errors that needs to be to allow interested parties to comment the language ‘‘an organization’’ is corrected. on the impact of the delay to the 2020 corrected to read ‘‘an exempt Rule’s effective date as well as issues of organization’’. List of Subjects in 26 CFR Part 1 fact, law, and policy raised by that rule. 16. On page 77978, the first column, Income taxes, Reporting and DATES: Effective date: This action is the third line from the top of the last recordkeeping requirements. effective February 12, 2021. The

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effective date of the 2020 Rule, for violations of certain statutes, Accordingly, this action delays the published in the Federal Register at 86 regulations, leases, and orders effective date of the 2020 Rule and FR 4612, is delayed for 60 days, from associated with mineral leases. In opens a 30-day comment period on the February 16, 2021 to April 16, 2021. addition, the rule, referred to as the facts, law, and policy underlying the Comment Period: To be assured 2020 Rule, made some minor, non- rule as well as the effect of the delay. consideration, comments must be substantive corrections to ONRR’s ONRR is delaying the effective date of received at one of the addresses regulations. The 2020 Rule had an its 2020 Rule from February 16, 2021, to provided below, by 11:59 p.m. EST on effective date of February 16, 2021, and, April 16, 2021. March 15, 2021. for amendments to 30 CFR part 1206, a The 60-day delay of the 2020 Rule’s ADDRESSES: You may submit comments compliance date of May 1, 2021. effective date—based on the good cause articulated below—is for the purpose of to ONRR using either of the following II. Purpose of This Action methods. Please reference the reviewing any questions of fact, law, Regulation Identifier Number (‘‘RIN’’) On January 20, 2021, the Assistant to and policy that are raised by that rule for this action, ‘‘RIN 1012–AA27’’ in the President and Chief of Staff issued as well as the effect of the delay, your comment: a memorandum entitled ‘‘Regulatory consistent with the Regulatory Freeze • Electronically via the Federal Freeze Pending Review’’ (‘‘Regulatory Memorandum and OMB Memorandum eRulemaking Portal: Please visit https:// Freeze Memorandum’’) which, along M–21–14. To that end, ONRR invites the www.regulations.gov. In the Search Box, with the guidance on implementation of public to submit comment on any issue enter Docket ID ‘‘ONRR–2020–0001’’ the memorandum issued by the Office of fact, law, or policy raised by the 2020 and click ‘‘search’’ to view the of Management and Budget (‘‘OMB’’) in Rule, including, without limitation, publications associated with the docket Memorandum M–21–14 dated January comment on the following: folder. Locate the document with an 20, 2021, directs agencies to consider 1. The 2020 Rule was premised, in open comment period and then click delaying the effective date of rules part, on certain Executive Orders that ‘‘Search.’’ Follow the instructions to published in the Federal Register that are no longer in effect, including submit your public comments prior to have not yet become effective, Executive Orders 13783 ‘‘Promoting the close of the comment period. consistent with applicable law, for the Energy Independence and Economic • Email Submissions: For comments purpose of reviewing any questions of Growth,’’ 13795 ‘‘Implementing an sent via email, please address them to fact, law, and policy the rules may raise. America-First Offshore Energy Dane Templin, Regulations Supervisor, The OMB memorandum directed that Strategy,’’ and 13892 ‘‘Promoting the at [email protected] and Luis the decision to delay should include Rule of Law Through Transparency and Aguilar, Regulatory Specialist, at consideration of whether: Fairness in Civil Administrative [email protected] with ‘‘RIN 1012– (1) The rulemaking process was Enforcement and Adjudication.’’ Also, AA27’’ listed in the subject line of your procedurally adequate; new Executive Orders, including (2) the rule reflected proper message. Email submissions must be Executive Orders 13990 ‘‘Protecting consideration of all relevant facts; postmarked on or before the close of the Public Health and the Environment and (3) the rule reflected due comment period. Restoring Science to Tackle the Climate consideration of the agency’s statutory Instructions: All comments must Crisis,’’ 13992 ‘‘Revocation of Certain or other legal obligations; include the agency name and docket Executive Orders Concerning Federal number or RIN for this rulemaking. All (4) the rule is based on a reasonable judgment about the legally relevant Regulation,’’ and 14008 ‘‘Tackling the comments, including any personal Climate Crisis at Home and Abroad,’’ identifying information or confidential policy considerations; (5) the rulemaking process was open have been issued from and after January business information contained in a and transparent; 20, 2021. Does the repeal of prior comment, will be posted without (6) objections to the rule were Executive Orders and issuance of new change to https://www.regulations.gov. adequately considered, including Executive Orders demonstrate a change Docket: For access to the docket to whether interested parties had fair in policy meriting or requiring read background documents or opportunities to present contrary facts reconsideration of some or all of the comments received, go to https:// and arguments; 2020 Rule? www.regulations.gov and locate the (7) interested parties had the benefit 2. The 2020 Rule reinstituted an docket folder by searching the Docket ID of access to the facts, data, or other allowance for certain deepwater oil and (ONRR–2020–0001) or RIN number (RIN analyses on which the agency relied; gas gathering costs based, at least in 1012–AA27). and part, on declining oil and gas FOR FURTHER INFORMATION CONTACT: For (8) the final rule found adequate production and revenues from the Gulf questions on procedural issues, contact support in the rulemaking record. of Mexico, which allowance is Dane Templin, Regulations Supervisor, In light of the withdrawal of existing estimated to reduce royalty due the at (303) 231–3149 or Dane.Templin@ and issuance of new Executive Orders United States by $32.9 million per year. onrr.gov. relevant to the matters addressed in the Is this allowance consistent with the SUPPLEMENTARY INFORMATION: 2020 Rule after its publication date, current law and policy of the United which are discussed further below, and States? I. Background protracted litigation over ONRR’s recent 3. The 2020 Rule reinstituted On January 15, 2021, ONRR published rulemakings, ONRR concludes that extraordinary processing allowances, a final rule in the Federal Register, at postponement of the 2020 Rule and which allowances are estimated to 86 FR 4612, to amend certain invitation for public comment is reduce royalty due the United States by regulations that inform the manner in appropriate under criteria three and four $11.1 million per year. Are which ONRR values oil and gas above. Further, ONRR appreciates the extraordinary processing allowances produced from Federal leases for royalty strong public interest in its rulemakings consistent with the current law and purposes; values coal produced from and is especially interested in public policy of the United States in the Federal and Indian leases for royalty comments on each of the eight decision limited circumstances described in the purposes; and assesses civil penalties criteria with respect to the 2020 Rule. 2020 Rule?

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4. Should the Department of the 10. Should the 2020 Rule be requirements, which require extensive Interior (‘‘the Department’’) consider amended, rescinded, delayed pending IT system, accounting, and other science on the source and impacts of further review by the agency, or allowed business process modifications, until it climate change in setting royalty and to go into effect? is certain that all public comments, revenue management policy? III. Good Cause Under the including any additional comments that 5. The 2020 Rule extended an option Administrative Procedure Act are submitted in the new comment given to oil and gas lessees under an period, are received and considered. To This rule’s delay of the 2020 Rule’s ONRR 2016 rulemaking to use an index- do otherwise could potentially result in effective date, without prior opportunity based valuation method to value gas and uncertainty and confusion regarding natural gas liquids for royalty purposes. for public comment, will become effective immediately upon publication reporting and payment requirements The option—previously only available that could lead to duplication of effort, for non-arm’s-length transactions—was in the Federal Register. The immediate effective date is based on the good cause an unnecessary increase in extended to arm’s-length transactions. administrative costs, and strain placed The economic analysis of the extension exceptions in 5 U.S.C. 553(b)(B) and on lessees and recipient states as ONRR of the option to arm’s-length (d)(3), in that seeking public comment is and the public struggle with application transactions assumed as fact that one- impractical and contrary to the public half of eligible lessees would elect the interest. and interpretation of the valuation and The 60-day delay in the effective date option and that one-half would not. As payment rules. of the 2020 Rule is necessary to allow a result, the rule concluded that those This action delays the effective date of opportunity for further review and lessees that elect the index-based the 2020 Rule that was promulgated consideration of that rule, consistent valuation option may pay an additional through notice and comment with the January 20, 2021 White House $26.76 million per year in royalties, rulemaking. A delay in the effective date Memorandum on Regulatory Freeze though the election could save those Pending Review and the Office of and opening of a new 30-day comment lessees approximately $1.35 million in Management and Budget Memorandum period is necessary to ensure that ONRR administrative costs. ONRR assumed as M–21–14 of same date on has the opportunity to receive and is fact that a significant number of lessees implementation of the White House able to consider additional public will elect the index-based valuation Memorandum, as well as the comments to fully inform its decisions option even though doing so would withdrawal of the Executive Orders on in light of current law and policy before result in their paying royalties which the 2020 Rule was, in part, based the 2020 Rule becomes effective. exceeding the administrative cost and the issuance of new Executive The White House memorandum also savings they would realize. If that Orders. Given the imminence of the assumption of fact is flawed, is the recommends that, for rules postponed 2020 Rule’s effective date, seeking prior for further review, agencies consider resulting conclusion still appropriate public comment on this short delay and supported by current law and opening a 30-day comment period to would interfere with the public’s allow interested parties to provide policy? interest in the orderly promulgation and comments about issues of fact, law, and 6. Does the index-based valuation implementation of regulations. A period policy raised by those rules, and option adopted in the 2020 Rule support of public notice and comment of any ONRR’s goals of clarity, early certainty, appreciable length would mean that the consider any requests for and transparency in royalty valuation? rule would go into effect before the reconsideration involving such rules. 7. The Department has long viewed agency was able to undertake a Consistent with this guidance, after the gross proceeds received under an meaningful review of the 2020 Rule. reviewing comments received pursuant arm’s-length contract between Subsequent action to modify or rescind to this notice, ONRR may determine independent persons who are not an effective rule would then create there is a need to postpone the effective affiliates and who have opposing further confusion among regulated date further to allow additional time to economic interests to be the best entities and other interested parties. consider issues of fact, law, and policy indicator of value in most In the questions posed for comment in or to reconsider the 2020 Rule. circumstances. See, e.g., 53 FR 1186 this document, the Department has This rule provides notice and invites (Jan. 15, 1988); 81 FR 43338 (July 1, identified several factors illustrating public comments on a potential further 2016). Should ONRR have given lessees potential weaknesses of the 2020 Rule extension and requests interested the option to substitute an index-based and the need for additional public parties to provide comments about value for one based on arm’s-length participation. Delaying the effective date sales, including in situations where that provides certainty for the regulated issues of fact, law, and policy raised by election may reduce the royalties owed industry while ONRR reconsiders the the rule, so that ONRR can consider any to the United States? 2020 Rule, and prevents a situation requests for reconsideration involving 8. OMB Memorandum M–21–14 wherein regulated entities would update the rule. As part of a further delay, requires agencies to consider, among their reporting systems in anticipation ONRR may also invite additional public other things, whether the rulemaking of compliance with a rule that may be comments on whether the rule should process was procedurally adequate and subject to further revision, following be amended, rescinded, delayed whether interested parties had a fair notice and comment. The extensive pending further review by the agency, or opportunity to present contrary facts litigation on prior ONRR’s rulemakings allowed to go into effect. and arguments. Do you believe further highlights the need for ONRR to For the reasons stated above, ONRR procedural issues exist in the 2020 take steps that ensure transparency and finds that there is good cause under 5 Rule’s rulemaking process and, if so, provide certainty in the adequacy and U.S.C. 553(b)(B) and (d)(3) to publish what are those issues and what could finality of the 2020 Rule. Thus, ONRR this action without prior notice and ONRR do to remedy those issues? finds that it would be contrary to the comment, and for this action to become 9. What would be the impact of a public interest for the 2020 Rule to effective immediately upon publication potential further delay of 60 to 120 days become effective, with its accompanying in the Federal Register. in the effective date of the 2020 Rule? changes in reporting and payment

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List of Subjects LIBRARY OF CONGRESS and school psychologists in the list of persons who may certify eligibility for 30 CFR Part 1206 36 CFR Part 701 the program. • Coal, Continental shelf, Geothermal [Docket No. 2021–2] To remove the requirement for energy, Government contracts, Indians- certification by a medical doctor for lands, Mineral royalties, Oil and gas Loans of Library Materials for Blind those with reading disabilities, who may exploration, Public lands-mineral and Other Print-Disabled Persons now be certified for participation in the resources, Reporting and recordkeeping program by the same persons who are requirements. AGENCY: Library of Congress. authorized to certify other print- ACTION: Final rule. disabled individuals for participation in 30 CFR Part 1241 the program. Administrative practice and SUMMARY: The Library of Congress is procedure, Coal, Geothermal energy, adopting amendments to its regulations List of Subjects in 36 CFR Part 701 Indians-lands, Mineral royalties, Natural regarding loans of library materials for Libraries, Seals and insignia. gas, Oil and gas exploration, Penalties, blind and other print-disabled persons, Final Regulation Public lands-mineral resources. as authorized by Title XIV of the Library of Congress Technical Corrections Act For the reasons set forth in the Rachael S. Taylor, of 2019, to amend terminology, the preamble, the Library of Congress Senior Advisor to the Secretary and exercising description of services, and certification amends 36 CFR part 701 as follows: the delegated authority of the Assistant requirements, and to memorialize Secretary—Policy, Management, and Budget. existing practices in the Library of PART 701—PROCEDURES AND [FR Doc. 2021–03052 Filed 2–10–21; 4:15 pm] Congress’s National Library Service for SERVICES BILLING CODE 4335–30–P the Blind and Print Disabled (NLS). ■ DATES: Effective February 12, 2021. 1. The authority citation for part 701 continues to read as follows: FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF THE INTERIOR Emily Vartanian, Senior Counsel, Authority: 2 U.S.C. 136; 18 U.S.C. 1017. National Park Service Library of Congress Office of the General ■ 2. Revise § 701.6 to read as follows: Counsel, 202–707–7205, [email protected]. § 701.6 Loans of library materials for blind SUPPLEMENTARY INFORMATION: The 36 CFR Part 7 and other print-disabled persons. Librarian of Congress is authorized to [Docket ID: NPS–2018–0001; NPS–GLCA– make regulations with respect to the (a) Program. Under the Act of March 27587; PPIMGLCAS1; PPMPSAS1Z.YP0000] Library of Congress (2 U.S.C. 136). Since 3, 1931 (46 Stat. 1487), as amended (2 U.S.C. 135a), the Library of Congress’s RIN 1024–AD93 neither the Federal Register Act nor the Administrative Procedure Act has National Library Service for the Blind Glen Canyon National Recreation Area; binding effect on the legislative branch, and Print Disabled (NLS) provides Motor Vehicles the Library of Congress is not required accessible reading material for the use of to publish its regulations in the CFR. blind and other print-disabled residents Correction However, because the purpose of the of the United States, including the In rule document 2020–28464, CFR is to ‘‘notify industry, general several States, Insular Possessions, and appearing on pages 3804–3815 in the business, and the people’’ (Toledo, P & the District of Columbia, and United issue of the January 15, 2021, make the W.R.R. v. Stover, 60 F. Supp. 587 (S.D. States citizens domiciled abroad. NLS following corrections: Ill. 1945)), it is appropriate for the loans literary works and specialized 1. On page 3804, in the first column, Library to continue publishing those music materials in raised characters DATES should read: regulations which affect the rights and (braille), on sound reproduction recordings, or in any other accessible ‘‘DATES: This rule is effective on responsibilities of, and restrictions on, format. NLS also loans devices February 16, 2021.’’ the public. The Library of Congress is amending necessary to reproduce accessible § 7.70 [Corrected] this regulation for the following reasons: formats, including sound reproducers • and refreshable braille displays, and ■ 2. On page 3813, in the second To amend the regulation consistent makes audio and braille reading column, paragraph (f)(2)(i) should read: with Title XIV of the Library of Congress material available for electronic ‘‘(i) The provisions in this paragraph Technical Corrections Act of 2019. • To amend the terminology to refer download. (f)(2) are effective beginning on May 17, (b) Eligibility. (1) Individuals who 2021.’’ to ‘‘blind and print-disabled’’ persons rather than ‘‘blind and other physically meet the definition of ‘‘eligible person’’ § 7.70 [Corrected] handicapped’’ persons. in 17 U.S.C. 121 are eligible for NLS’s • To amend the terminology to refer loan services. An ‘‘eligible person’’ thus ■ 3. On same page, in the third column, to ‘‘eligible persons’’ consistent with the means an individual who, regardless of paragraph (f)(3)(ii) introductory text Marrakesh Treaty Implementation Act any other disability— should read: amending 17 U.S.C. 121. (i) Is blind; ‘‘(ii) Motor vehicles may be used off • To amend the description of (ii) Has a visual impairment or GMP roads at the locations and subject services to include internet-enabled/ perceptual or reading disability that to the management prescriptions in the electronic services. cannot be improved to give visual table below, except for vehicle-free • To memorialize the existing function substantially equivalent to that zones where off-road vehicle use is practice under which persons seeking of a person who has no such prohibited. Permit requirements in approval to use NLS’s services must impairment or disability and so is Table 1 to paragraph (f)(3)(ii) are certify eligibility using a form provided unable to read printed works to effective beginning on May 17, 2021.’’ by NLS or by network libraries. substantially the same degree as a [FR Doc. C1–2020–28464 Filed 2–11–21; 8:45 am] • To include certified psychologists, person without an impairment or BILLING CODE 1301–00–D educators, certified reading specialists, disability; or

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(iii) Is otherwise unable, through format, and musical scores, with requirements for the 2015 O3 physical disability, to hold or instructional texts, and other NAAQS. manipulate a book or to focus or move specialized materials used in furthering the eyes to the extent that would be educational, vocational, and cultural DATES: This rule is effective on March normally acceptable for reading. opportunities in the field of music 15, 2021. (2) Eligibility must be certified by one published in any accessible format, to ADDRESSES: The EPA has established a of the following: doctor of medicine, authorized entities located in a country docket for this action under Docket ID doctor of osteopathy, ophthalmologist, that is a party to the Marrakesh Treaty, No. EPA–R06–OAR–2019–0616. All optometrist, psychologist, registered if any such items are delivered to documents in the docket are listed on nurse, therapist, and professional staff authorized entities through online, not the https://www.regulations.gov of hospitals, institutions, and public or physical, means. This authorization is website. Although listed in the index, welfare agencies (such as an educator, a codified at 2 U.S.C. 135a. In some information is not publicly social worker, case worker, counselor, implementing this authority, the available, e.g., Confidential Business rehabilitation teacher, certified reading Librarian shall comply with section Information or other information whose specialist, school psychologist, 121A of title 17, United States Code, disclosure is restricted by statute. superintendent, or librarian). and shall contractually require that the Certain other material, such as (c) Application. Individuals seeking to recipient authorized entity likewise receive service from NLS shall submit a copyrighted material, is not placed on administer all materials received from the internet. Publicly available docket fully and properly completed NLS in compliance with section 121A of application form, available on NLS’s materials are available electronically title 17. through https://www.regulations.gov. website and from network libraries. (i) Contact information. For more Eligible persons whose applications for information, contact the Director, FOR FURTHER INFORMATION CONTACT: NLS service are approved are referred to National Library Service for the Blind Robert M. Todd, EPA Region 6 Office, in this section as ‘‘NLS patrons.’’ and Print Disabled, Library of Congress, Infrastructure & Ozone Section, 214– (d) Lending preference. In the lending Washington, DC 20542, or visit the NLS 665–2156, [email protected]. Out of of items under paragraph (a) of this website at http://www.loc.gov/nls. an abundance of caution for members of section, the Librarian shall at all times the public and our staff, the EPA Region give preference to: Dated: February 8, 2021. Carla D. Hayden, 6 office may be closed to the public to (1) The needs of the blind and reduce the risk of transmitting COVID– Librarian of Congress. visually disabled; and 19. Please call or email the contact (2) The needs of eligible persons who [FR Doc. 2021–02837 Filed 2–11–21; 8:45 am] listed above if you need alternative have been honorably discharged from BILLING CODE 1410–30–P access to material indexed but not the Armed Forces of the United States. (e) Loans to institutions. NLS’s provided in the docket. accessible reading materials and devices SUPPLEMENTARY INFORMATION: may be loaned to institutions such as ENVIRONMENTAL PROTECTION Throughout this document ‘‘we,’’ ‘‘us,’’ nursing homes and hospitals; to schools AGENCY and ‘‘our’’ means the EPA. for the blind and print-disabled; and to public or private schools. However, 40 CFR Part 52 I. Background these materials and devices may only be [EPA–R06–OAR–2019–0616; FRL–10018– The background for this action is used by eligible persons. 28–Region 6] discussed in detail in our June 30, 2020, (f) Loans through network libraries. proposal (85 FR 39128). In that Libraries designated by the Librarian of Air Plan Approval; Arkansas; document we proposed to approve Congress serve as state, local or regional Infrastructure for the 2015 Ozone elements of a SIP submission from the centers for the direct loan of accessible National Ambient Air Quality State of Arkansas for the 2015 O3 reading materials and the loan and Standards repair of devices to NLS patrons in NAAQS. Specifically, we proposed to specific geographic areas. These AGENCY: Environmental Protection approve the Arkansas i-SIP submission network libraries also publicize the Agency (EPA). because it demonstrates compliance with CAA sections 110(a)(1) and program to NLS patrons and prospective ACTION: Final rule. patrons and process applications for 110(a)(2)(A) through (C) and (E) through service. SUMMARY: Pursuant to the Federal Clean (M), as applicable. We also proposed (g) Loans of musical materials. NLS Air Act (CAA or the Act), the that Arkansas’ i-SIP submission maintains a special collection of Environmental Protection Agency (EPA) demonstrates compliance with CAA accessible musical scores, instructional is approving elements of a State section 110(a)(2)(D)(i)(II), Interference texts, and other specialized materials for Implementation Plan (SIP) submission with Prevention of Significant patrons in furthering their educational, from the State of Arkansas (State) for the Deterioration (often referred to as prong vocational, and cultural opportunities in 2015 Ozone (O3) National Ambient Air 3) and CAA section 110(a)(2)(D)(ii), the field of music. These materials are Quality Standards (NAAQS). The State’s Interstate Pollution Abatement (which not housed in network libraries but are submission addresses structural SIP refers to CAA section 126) and loaned directly by NLS to patrons. requirements for implementation, International Air Pollution (which refers (h) International service. The maintenance, and enforcement of the to CAA section 115). EPA intends to Librarian of Congress is authorized by 2015 O3 NAAQS (infrastructure SIP or address the remaining portions of the Public Law 116–94, Title XIV, the i-SIP). The i-SIP ensures that the October 4, 2019, infrastructure SIP Library of Congress Technical Arkansas SIP is adequate to meet the submission, addressing CAA section Corrections Act of 2019, to provide State’s responsibilities under the CAA 110(a)(2)(D)(i)(I), often referred to as literary works published in raised for this NAAQS. We are also approving interstate transport prongs 1 and 2, and characters, on sound-reproduction changes to certain existing State CAA section 110(a)(2)(D)(i)(II), often recordings, or in any other accessible regulations to make them consistent referred to as interstate transport prong

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4, in separate actions.1 We also the state, under sections 110(m) and administration of all activities that the proposed to approve changes to the 179(a)(4) of the Act, if the EPA finds the Department is empowered to perform by State’s Regulation 19 definition of state fails to implement any requirement law, including, but not limited to, the ‘‘National Ambient Air Quality of an approved SIP; and to take employment and supervision of such Standards’’ and Appendix B of the measures to address specific permit technical, legal, and administrative staff, Regulation 19 to be consistent with the deficiencies pursuant to the EPA’s case- within approved appropriations, as is 2015 O3 NAAQS. We received by-case permitting oversight and necessary to carry out the comments on the proposed approval enforcement authorities under sections responsibilities vested with ADEQ. from one commenter (‘‘Commenter’’). 165(a)(2) and 167 of the Act. The Moreover, the State receives federal The comments are posted and available appropriateness of employing these grants under CAA sections 103 and 105 through the regulations.gov website authorities depends on the nature and to assist it in carrying out the SIP. (Docket EPA–R06–OAR–2019–0616). extent of the implementation problems Section 103 funding supports specific, The comments and our responses at issue. non-recurring projects within the air follow. Also, the commenter did not provide program and thus, the amount of an example of which part of the SIP the funding can vary widely from year to II. Response to Comments ADEQ is not currently implementing. year. Section 105 supports the Comment: The commenter states that As discussed in our proposal, ADEQ foundation of the State’s air quality EPA should not approve the state’s maintains an adequate monitoring program, including the air monitoring infrastructure SIP submission because it program, has a permitting program, network and annual air quality program is ‘‘inconsistent with federal laws.’’ adopts rules as necessary, conducts activities. Section 105 funding levels are Response: EPA disagrees with this inspections, investigations and takes relatively consistent, varying not more comment. The commenter does not enforcement actions when appropriate. than about 10% from year to year. identify the specific requirements that EPA performs oversight of the air Section 105 funds require a 40% match the state has not met, nor do they program through the annual air from the State, while section 103 funds explain the basis for this concern. As monitoring network plan review, do not require a match. During the explained in the proposal for this midyear and end of year reviews on the upcoming fiscal year (FY2021), ADEQ action, and in this final action, EPA has Section 103 and 105 grants programs, will receive $1,139,737 in section 105 evaluated the state’s infrastructure SIP and enforcement framework reviews of grant funding. For FY2020/2021 ADEQ submission for compliance with the the state’s enforcement programs. EPA will receive $1,137,068 in section 103 statutory requirements of CAA section also maintains on-going grant funding. This federal funding 110(a)(1) and (2), as applicable, and in communications with the state, supplements the state’s air program light of the agency’s 2013 guidance for providing input on implementation implementation funding mechanisms. 2 issues, and sharing guidance and infrastructure SIP submissions. This is As explained in the proposal, EPA has information through regular conference the federal law and guidance that is concluded that ADEQ has adequate calls. A lack of adequate funding for the relevant in the context of a state’s personnel, funding, and authority ADEQ’s operation would impact infrastructure SIP submission. The through these provisions in order to implementation of programs we agency has concluded in this action that carry out the state’s implementation regularly discuss and review with the the state has met the infrastructure SIP plan. requirements for the 2015 O3 NAAQS. state. Such concerns have not been noted by the EPA. Comment: The commenter supported Comment: The commenter asserts that concerns about the adequacy of the EPA must make sure the State is Comment: The commenter questioned EPA’s approval of the infrastructure SIP State agency’s funding with statements implementing its SIP. attributed to the State’s Governor. Response: In acting on infrastructure because EPA must review ‘‘the finances’’ of the state agency Response: The commenter did not SIP submissions, EPA is required to provide enough information for the EPA evaluate the submitting state’s SIP for implementing the SIP to ‘‘ensure the financial health of the agency.’’ to be able to verify the quote or its compliance with statutory and context. The EPA of course agrees with regulatory structural SIP requirements, Response: EPA agrees that in order to address the requirements of section the statements attributed to the not for the state’s implementation of its Governor that state agencies need SIP. See Montana Envtl. Info. Ctr. v. 110(a)(2)(E)(i), states must establish that they have adequate funding to adequate funding to protect public Thomas, 902 F.3d 971 (9th Cir. 2018). implement their SIP. Accordingly, EPA health and the environment. Regardless, To the extent there were any concerns did evaluate this element. In its even taken at face value the EPA does with respect to the state’s infrastructure SIP submission, the state not believe that the statement implementation of the 2015 O NAAQS, 3 indicated it has met the requirements of establishes that the State in fact has EPA has other authorities to address the CAA. Section 110(a)(2)(E) requires inadequate resources for the purposes of such concerns. For example, the CAA that the state provide for adequate implementing the State’s SIP. As provides the EPA the authorities to personnel, funding, and legal authority previously explained, the EPA has issue a SIP call, under section 110(k)(5) to carry out its SIP. Ark. Code Ann. § 8– considered the resources of the State as to correct SIP inadequacies; to make a 1–103(1)(A), § 8–1–103(3) and § 8–1– established in the infrastructure SIP finding of failure to implement and 103(5) grants ADEQ the authority to submission and considers them impose appropriate sanctions against establish, and collect fees for issuance, adequate at this time. annual review, and modification of air Comment: The commenter further 1 Earlier this year we proposed to approve the Arkansas submittal for interstate transport prong 4 permits. Regulation No. 9, Fee asserted that the EPA should disapprove (visibility protection). See 85 FR 14847 (March 16, Regulation, Chapter 5, contains the air the State’s infrastructure SIP for the 2020). permit fees applicable to non-part 70 2015 O3 NAAQS based on concerns 2 ‘‘Guidance on Infrastructure State permits, part 70 permits, and general about the impacts that the COVID–19 Implementation Plan (SIP) Elements under Clean Air Act Sections 110(a)(1) and 110(a)(2),’’ permits. Ark. Code Ann. § 8–1– pandemic will have on the State’s Memorandum from Stephen D. Page, September 13, 202(b)(2)(D) states that the Director of finances and staff for implementing the 2013. ADEQ’s duties include the day-to-day SIP.

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Response: The EPA acknowledges the reasons, EPA does not agree that it must submittal for the 2015 O3 NAAQS as commenter’s concern that the ongoing disapprove the infrastructure SIP detailed in Table 1 of this final action. COVID–19 pandemic may have negative submission. If the adequacy of The agency will take action on those impacts on the State maintaining Arkansas’ resources to carry out its SIP portions of the submission addressing adequate resources to meet its SIP is substantially affected in the future, CAA section 110(a)(2)(D)(i)(I), prongs 1 obligations. As discussed above, EPA EPA has the statutory authority to and 2, Significant Contribution to has concluded that Arkansas has address this issue through means other Nonattainment and Interference with provided assurances in the than disapproving the infrastructure SIP Maintenance in other states, and CAA infrastructure SIP submission for the submission at this time. section 110(a)(2)(D)(i)(II), prong 4, 2015 O3 NAAQS that it has adequate III. Final Action Interference with Visibility Protection in personnel and funding to carry out its We are approving portions of the other states in separate, future actions. SIP obligations at this time. For these October 25, 2018, Arkansas i–SIP

TABLE 1—FINAL ACTION ON ARKANSAS INFRASTRUCTURE AND TRANSPORT SIP SUBMITTALS FOR THE 2015 OZONE NAAQS

Proposed Element action

(A): Emission limits and other control measures ...... A (B): Ambient air quality monitoring and data system ...... A (C)(i): Enforcement of SIP measures ...... A (C)(ii): PSD program for major sources and major modifications ...... A (C)(iii): Permitting program for minor sources and minor modifications ...... A (D)(i)(I): Contribute to nonattainment/interfere with maintenance of NAAQS (prongs 1 and 2) ...... SA (D)(i)(II): PSD (prong 3) ...... A (D)(i)(II): Visibility Protection (prong 4) ...... SA (D)(ii): Interstate and International Pollution Abatement ...... A (E)(i): Adequate resources ...... A (E)(ii): State boards ...... A (E)(iii): Necessary assurances with respect to local agencies ...... A (F): Stationary source monitoring system ...... A (G): Emergency power ...... A (H): Future SIP revisions ...... A (I): Nonattainment area plan or plan revisions under part D ...... + (J)(i): Consultation with government officials ...... A (J)(ii): Public notification ...... A (J)(iii): PSD ...... A (J)(iv): Visibility protection ...... + (K): Air quality modeling and data ...... A (L): Permitting fees ...... A (M): Consultation and participation by affected local entities ...... A Key to Table 1: A: Approved, +: Not germane to infrastructure SIPs. SA: EPA is acting on this infrastructure requirement in a separate rulemaking action.

Based upon our review of the State’s by reference of a revision to Regulation V. Statutory and Executive Order infrastructure SIP submission for the 19, Chapter 2, Definitions and Appendix Reviews 2015 O3 NAAQS and relevant statutory B, Regulations of the Arkansas Plan of and regulatory authorities and Implementation for Air Pollution Under the Clean Air Act, the provisions referenced in this submission control. EPA has made, and will Administrator is required to approve a or referenced in the EPA-approved continue to make, these materials SIP submission that complies with the Arkansas SIP, EPA finds that the state generally available through provisions of the Act and applicable has established that it has met the www.regulations.gov and at the EPA Federal regulations. 42 U.S.C. 7410(k); infrastructure SIP requirements of CAA Region 6 Office (please contact the 40 CFR 52.02(a). Thus, in reviewing SIP sections 110(a)(1) and (2), as applicable, person identified in the FOR FURTHER submissions, the EPA’s role is to except as noted in Table 1 of this final INFORMATION CONTACT section of this approve state choices, provided that action. preamble for more information). they meet the criteria of the Clean Air We are also approving the submitted Therefore, these materials have been Act. Accordingly, this action merely changes to the state’s Regulation 19 approves state law as meeting Federal Definitions and Appendix B that approved by the EPA for inclusion in the SIP, have been incorporated by requirements and does not impose reference the 2015 O3 NAAQS. reference by the EPA into that plan, are additional requirements beyond those IV. Incorporation by Reference fully federally enforceable under imposed by state law. For that reason, In this document, EPA is finalizing sections 110 and 113 of the CAA as of this action: regulatory text that includes the effective date of the final rulemaking • Is not a ‘‘significant regulatory incorporation by reference. In of the EPA’s approval, and will be action’’ subject to review by the Office accordance with requirements of 1 CFR incorporated by reference in the next of Management and Budget under 51.5, EPA is finalizing the incorporation update to the SIP compilation. Executive Orders 12866 (58 FR 51735,

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October 4, 1993) and 13563 (76 FR 3821, tribe has jurisdiction. In those areas of List of Subjects in 40 CFR Part 52 January 21, 2011); Indian country, the rule does not have • Environmental protection, Air Does not impose an information tribal implications and will not impose pollution control, Incorporation by collection burden under the provisions substantial direct costs on tribal reference, Ozone. of the Paperwork Reduction Act (44 governments or preempt tribal law as U.S.C. 3501 et seq.); specified by Executive Order 13175 (65 Dated: February 5, 2021. • Is certified as not having a FR 67249, November 9, 2000). David Gray, significant economic impact on a The Congressional Review Act, 5 Acting Regional Administrator, Region 6. substantial number of small entities U.S.C. 801 et seq., as added by the Small For the reasons stated in the under the Regulatory Flexibility Act (5 Business Regulatory Enforcement preamble, the Environmental Protection U.S.C. 601 et seq.); Fairness Act of 1996, generally provides Agency amends 40 CFR part 52 as • Does not contain any unfunded that before a rule may take effect, the follows: mandate or significantly or uniquely agency promulgating the rule must affect small governments, described in submit a rule report, which includes a PART 52—APPROVAL AND the Unfunded Mandates Reform Act of copy of the rule, to each House of the PROMULGATION OF 1995 (Pub. L. 104–4); IMPLEMENTATION PLANS • Does not have federalism Congress and to the Comptroller General of the United States. EPA will submit a implications as specified in Executive ■ report containing this action and other 1. The authority citation for part 52 Order 13132 (64 FR 43255, August 10, continues to read as follows: 1999); required information to the U.S. Senate, Authority: 42 U.S.C. 7401 et seq. • Is not an economically significant the U.S. House of Representatives, and the Comptroller General of the United regulatory action based on health or Subpart E—Arkansas safety risks subject to Executive Order States prior to publication of the rule in the Federal Register. A major rule 13045 (62 FR 19885, April 23, 1997); ■ 2. Amend § 52.170 by: cannot take effect until 60 days after it • Is not a significant regulatory action ■ a. In paragraph (c) in the table titled is published in the Federal Register. subject to Executive Order 13211 (66 FR ‘‘EPA-Approved Regulations in the This action is not a ‘‘major rule’’ as 28355, May 22, 2001); Arkansas SIP’’: defined by 5 U.S.C. 804(2). • Is not subject to requirements of ■ i. Revising the entry for Regulation 19, section 12(d) of the National Under section 307(b)(1) of the Clean Chapter 2 (Definitions) and Technology Transfer and Advancement Air Act, petitions for judicial review of ■ ii. Revising the entry for Regulation Act of 1995 (15 U.S.C. 272 note) because this action must be filed in the United 19, Appendix B (National Ambient Air application of those requirements would States Court of Appeals for the Quality Standards List). be inconsistent with the CAA; and appropriate circuit by April 13, 2021. ■ b. In paragraph (e), in the table titled • Does not provide EPA with the Filing a petition for reconsideration by ‘‘EPA-Approved Non-regulatory discretionary authority to address, as the Administrator of this final rule does Provisions and Quasi-Regulatory appropriate, disproportionate human not affect the finality of this action for Measures in the Arkansas SIP’’ adding health or environmental effects, using the purposes of judicial review nor does an entry at the end for ‘‘Infrastructure practicable and legally permissible it extend the time within which a for the 2015 O3 NAAQS’’. methods, under Executive Order 12898 petition for judicial review may be filed, The revisions and additions read as (59 FR 7629, February 16, 1994). and shall not postpone the effectiveness follows: In addition, the SIP is not approved of such rule or action. This action may to apply on any Indian reservation land not be challenged later in proceedings to § 52.170 Identification of plan. or in any other area where EPA or an enforce its requirements. (See section * * * * * Indian tribe has demonstrated that a 307(b)(2).) (c) * * *

EPA-APPROVED REGULATIONS IN THE ARKANSAS SIP

State State citation Title/subject approval/ EPA approval date Explanation submittal date

Regulation No. 19: Regulations of the Arkansas Plan of Implementation for Air Pollution Control

*******

Chapter 2: Definitions

Chapter 2 ...... Definitions ...... 9/27/2019 2/12/2021, [Insert Federal Register citation].

*******

Appendix B: National Ambient Air Quality Standards List

Appendix B ...... National Ambient Air Qual- 9/27/2019 2/12/2021, [Insert Federal ity Standards List. Register citation].

*******

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EPA-APPROVED REGULATIONS IN THE ARKANSAS SIP—Continued

State State citation Title/subject approval/ EPA approval date Explanation submittal date

*******

(e) * * *

EPA-APPROVED NON-REGULATORY PROVISIONS AND QUASI-REGULATORY MEASURES IN THE ARKANSAS SIP

State Control measures Applicable geographic or submittal/ EPA approval date Explanation nonattainment area effective date

******* Infrastructure for the 2015 Statewide ...... 9/27/2019 2/12/2021, [Insert Federal Approval for 110(a)(2)(A), (B), (C), O3 NAAQS. Register citation]. (D)(i) (portion pertaining to PSD), (D)(ii), (E), (F), (G), (H), (J), (K), (L) and (M).

[FR Doc. 2021–02760 Filed 2–11–21; 8:45 am] Washington, and Waukesha). EPA SUPPLEMENTARY INFORMATION: BILLING CODE 6560–50–P proposed to approve this action on Throughout this document whenever September 25, 2020 and received no ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean comments. EPA. ENVIRONMENTAL PROTECTION AGENCY DATES: This final rule is effective on I. Background Information March 15, 2021. On September 25, 2020, EPA 40 CFR Part 52 ADDRESSES: EPA has established a proposed to approve revisions to docket for this action under Docket ID Wisconsin’s VOC RACT rules for [EPA–R05–OAR–2019–0700; FRL–10018– lithographic printing facilities contained 39–Region 5] No. EPA–R05–OAR–2019–0700. All documents in the docket are listed on in the Wisconsin Administrative Code Air Plan Approval; Wisconsin; VOC the www.regulations.gov website. Chapter NR 422, Sections NR 422.02, RACT Requirements for Lithographic Although listed in the index, some 422.142, and 422.143 (85 FR 60413). An Printing Facilities information is not publicly available, explanation of the Clean Air Act i.e., Confidential Business Information requirements, a detailed analysis of the AGENCY: Environmental Protection (CBI) or other information whose revisions, and EPA’s reasons for Agency (EPA). disclosure is restricted by statute. proposing approval were provided in ACTION: Final rule. Certain other material, such as the notice of proposed rulemaking and copyrighted material, is not placed on will not be restated here. The public SUMMARY: The Environmental Protection the internet and will be publicly comment period for this proposed rule Agency (EPA) is approving a State available only in hard copy form. ended on October 26, 2020. EPA Implementation Plan (SIP) revision Publicly available docket materials are received no comments on the proposal. submitted by the Wisconsin Department available either through of Natural Resources (WDNR or II. Final Action www.regulations.gov or at the Wisconsin) on December 13, 2019. Environmental Protection Agency, EPA is approving revisions to the Wisconsin requests that EPA approve Region 5, Air and Radiation Division, 77 Wisconsin SIP rules relating to the rules related to control of volatile West Jackson Boulevard, Chicago, control of VOC emissions from offset organic compound (VOC) emissions Illinois 60604. This facility is open from lithographic printing operations (WI from offset lithographic printing 8:30 a.m. to 4:30 p.m., Monday through Admin Code NR 422.02, 422.142, operations into Wisconsin’s SIP. These Friday, excluding Federal holidays and 422.143) submitted on December 13, revisions include amendments to the facility closures due to COVID–19. We 2019. These rules are approvable Wisconsin Administrative Code (WAC), recommend that you telephone because they are consistent with the Chapter NR 422. These revisions are Kathleen Mullen, Environmental latest CTG for Offset Lithographic approvable because they are consistent Engineer, at (312) 353–3490, before Printing and Letterpress Printing issued with the latest Control Techniques visiting the Region 5 office. by EPA in 2006, clarify the existing state Guideline (CTG) for Offset Lithographic VOC RACT requirements for Printing and Letterpress Printing, FOR FURTHER INFORMATION CONTACT: lithographic printing operations located published by EPA in 2006, and such Kathleen Mullen, Environmental in nine counties in Wisconsin, and revisions clarify and streamline the VOC Engineer, Attainment Planning and streamline the implementation of these reasonably available control technology Maintenance Section, Air Programs state rules. (RACT) requirements for lithographic Branch (AR–18J), Environmental printing facilities located in nine Protection Agency, Region 5, 77 West III. Incorporation by Reference counties in Wisconsin (Kenosha, Jackson Boulevard, Chicago, Illinois In this rule, EPA is finalizing Kewaunee, Manitowoc, Milwaukee, 60604, (312) 353–3490, regulatory text that includes Ozaukee, Racine, Sheboygan, [email protected]. incorporation by reference. In

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accordance with requirements of 1 CFR Act of 1995 (15 U.S.C. 272 note) because Dated: February 3, 2021. 51.5, EPA is finalizing the incorporation application of those requirements would Cheryl Newton, by reference of the Wisconsin be inconsistent with the Clean Air Act; Acting Regional Administrator, Region 5. Regulations described in the and For the reasons stated in the amendments to 40 CFR part 52 set forth • Does not provide EPA with the preamble, EPA amends 40 CFR part 52 below. EPA has made, and will continue discretionary authority to address, as as follows: to make, these documents generally appropriate, disproportionate human available through www.regulations.gov, PART 52—APPROVAL AND and at the EPA Region 5 Office (please health or environmental effects, using PROMULGATION OF contact the person identified in the FOR practicable and legally permissible IMPLEMENTATION PLANS FURTHER INFORMATION CONTACT section of methods, under Executive Order 12898 this preamble for more information). (59 FR 7629, February 16, 1994). ■ 1. The authority citation for part 52 In addition, the SIP is not approved continues to read as follows: IV. Statutory and Executive Order to apply on any Indian reservation land Authority: 42 U.S.C. 7401 et seq. Reviews or in any other area where EPA or an ■ 2. Section 52.2570 is amended by Under the Clean Air Act, the Indian tribe has demonstrated that a adding paragraph (c)(141) to read as Administrator is required to approve a tribe has jurisdiction. In those areas of follows: SIP submission that complies with the Indian country, the rule does not have provisions of the Clean Air Act and tribal implications and will not impose § 52.2570 Identification of plan. applicable Federal regulations. 42 substantial direct costs on tribal * * * * * U.S.C. 7410(k); 40 CFR 52.02(a). Thus, governments or preempt tribal law as (c) * * * in reviewing SIP submissions, EPA’s specified by Executive Order 13175 (65 (141) On December 13, 2019, the role is to approve state choices, Wisconsin Department of Natural FR 67249, November 9, 2000). provided that they meet the criteria of Resources submitted a State the Clean Air Act. Accordingly, this The Congressional Review Act, 5 Implementation Plan revision request action merely approves state law as U.S.C. 801 et seq., as added by the Small regarding the state’s volatile organic meeting Federal requirements and does Business Regulatory Enforcement compound (VOC) reasonably available not impose additional requirements Fairness Act of 1996, generally provides control technology (RACT) rules for beyond those imposed by state law. For that before a rule may take effect, the offset lithographic printing operations. that reason, this action: agency promulgating the rule must These revisions include amendments to • Is not a significant regulatory action submit a rule report, which includes a Wisconsin Administrative Code Chapter subject to review by the Office of copy of the rule, to each House of the NR 422 that are consistent with the Management and Budget under Congress and to the Comptroller General latest CTG issued by EPA in 2006 and Executive Orders 12866 (58 FR 51735, of the United States. EPA will submit a clarify and streamline the VOC RACT October 4, 1993) and 13563 (76 FR 3821, report containing this action and other requirements for lithographic printing January 21, 2011); required information to the U.S. Senate, facilities located in nine counties in • Is not an Executive Order 13771 (82 the U.S. House of Representatives, and Wisconsin (Kenosha, Kewaunee, FR 9339, February 2, 2017) regulatory Manitowoc, Milwaukee, Ozaukee, action because it is not a significant the Comptroller General of the United States prior to publication of the rule in Racine, Sheboygan, Washington, and regulatory action under Executive Order Waukesha). the Federal Register. A major rule 12866; (i) Incorporation by reference. • Does not impose an information cannot take effect until 60 days after it Wisconsin Administrative Code NR collection burden under the provisions is published in the Federal Register. 422.02 ‘‘Definitions.’’, NR 422.142 of the Paperwork Reduction Act (44 This action is not a ‘‘major rule’’ as ‘‘Lithographic Printing—Part 1.’’, and U.S.C. 3501 et seq.); defined by 5 U.S.C. 804(2). NR 422.143 ‘‘Lithographic Printing— • Is certified as not having a Under section 307(b)(1) of the Clean Part 2.’’, as published in the Wisconsin significant economic impact on a Air Act, petitions for judicial review of Administrative Register June 2019, No. substantial number of small entities this action must be filed in the United 762, effective July 1, 2019. under the Regulatory Flexibility Act (5 States Court of Appeals for the (ii) [Reserved] U.S.C. 601 et seq.); appropriate circuit by April 13, 2021. [FR Doc. 2021–02745 Filed 2–11–21; 8:45 am] • Does not contain any unfunded Filing a petition for reconsideration by BILLING CODE 6560–50–P mandate or significantly or uniquely affect small governments, as described the Administrator of this final rule does in the Unfunded Mandates Reform Act not affect the finality of this action for FEDERAL COMMUNICATIONS of 1995 (Pub. L. 104–4); the purposes of judicial review nor does • Does not have federalism it extend the time within which a COMMISSION petition for judicial review may be filed, implications as specified in Executive 47 CFR Part 54 Order 13132 (64 FR 43255, August 10, and shall not postpone the effectiveness 1999); of such rule or action. This action may [WC Dkt. No. 17–310; DA 20–1420; FRS • Is not an economically significant not be challenged later in proceedings to 17373] regulatory action based on health or enforce its requirements. (See section Promoting Telehealth in Rural America safety risks subject to Executive Order 307(b)(2).) 13045 (62 FR 19885, April 23, 1997); AGENCY: Federal Communications List of Subjects in 40 CFR Part 52 • Is not a significant regulatory action Commission. subject to Executive Order 13211 (66 FR Environmental protection, Air ACTION: Final rule and order; 28355, May 22, 2001); notification of operational date. • Is not subject to requirements of pollution control, Incorporation by reference, Intergovernmental relations, Section 12(d) of the National SUMMARY: In this document, the Federal Technology Transfer and Advancement Ozone, Volatile organic compounds. Communications Commission

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(Commission) announces the effective for the remainder of funding administrative requirements to increase operational date of certain rules for year 2020. The December 2019 Public broadband connectivity and funding year 2020. Notice pushed back the operational administrative flexibility for health care DATES: This Order is effective March 15, dates to funding year 2021 for all rule providers. 2021. changes requiring approval pursuant to 4. The Order will become effective March 15, 2021. Any program FOR FURTHER INFORMATION CONTACT: the Paperwork Reduction Act (PRA). participants seeking site and service Bryan Boyle, Telecommunications Now that such PRA approval (eff. June substitutions or SPIN changes for the Access Policy Division, Wireline 19, 2020 (85 FR 37022) has been portion of funding year 2020 prior to the Competition Bureau at (202) 418–7400 obtained and in light of changed effective date of the Order may seek a or TTY: (202) 418–0484 or via email: circumstances arising from the COVID– waiver of the Commission’s rules. [email protected]. 19 emergency, the Bureau recognizes that making these aforementioned rules Additionally, in the event that a SUPPLEMENTARY INFORMATION: This is a operational for funding year 2020 could program participant is negatively synopsis of the Order in WC Docket No. provide helpful flexibility to health care impacted by any of the actions taken in 17–310; DA 20–1420, adopted and providers during the current funding the Order, it may file a petition for released November 30, 2020. Due to the year. Accordingly, the Bureau amends waiver seeking relief from the updated COVID–19 pandemic, the Commission’s the earlier action in the December 2019 effective date and request to use the headquarters will be closed to the Public Notice so that the updated site rules predating the Promoting general public until further notice. The and service substitution rules, corrective Telehealth Report and Order through full text of this document is available at and operational SPIN change rules, and funding year 2020. the following internet address: https:// service delivery deadline and invoicing 5. The Universal Service docs.fcc.gov/public/attachments/DA-20- deadline extension rules will become Administrative Company (USAC), the 1420A1.pdf. operational for the remainder of funding Universal Service Administrator, is I. Introduction year 2020, on March 15, 2021. currently working to implement technology changes that will allow 1. The Wireline Competition Bureau 3. The COVID–19 pandemic has program participants to make filings (Bureau) amends the prior decision, caused an unprecedented medical requesting changes consistent with the adopted in the December 2019 Public emergency, highlighting the need for Promoting Telehealth Report and Order. Notice (DA 19–1253), to delay the remote telehealth options to treat and In conjunction with the implementation implementation date of certain rule save the lives of Americans. The Bureau of the new rules, USAC is updating its changes introduced in the Promoting anticipates that the rule changes that are information technology systems to allow Telehealth Report and Order (FCC 19– made operational for the remainder of program participants to file the 78). Specifically, in light of changed funding year 2020 will help health care appropriate forms; however, those circumstances, the Bureau finds that the providers with changing circumstances changes have not been implemented. rules should be implemented as soon as as they serve patients in rural areas Currently, USAC is working under a possible, and hence the Order during this COVID–19 pandemic. The schedule stemming from the December accelerates the operational date of those Bureau takes this action to amend the 2019 Public Notice, in which the rules, thereby ensuring that the updated operational date of the rules to provide changes were to be implemented prior site and service substitution rules, health care providers with increased to the start of funding year 2021. The corrective and operational Service flexibility to make changes to funding Commission expects that USAC will Provider Identification Number (SPIN) requests and seek extensions of RHC have implemented all technology change rules, service delivery deadline Program deadlines. The rules that are deployments related to these rule extension rules, and invoicing deadline the subject of the Order were intended changes before the end of funding year extension rules adopted in the to harmonize requirements between the 2020. Because invoice extension Promoting Telehealth Report and Order Telecom and Healthcare Connect Fund requests and service delivery deadline will be fully effective for the remainder Programs and reduce administrative requests occur at the end of the funding of funding year 2020. The Bureau burdens on health care providers. year, there should be no need for health anticipates that this action will help Amending the operational date of the care providers to make these requests Rural Health Care (RHC) Program rules will, among other things, allow before USAC is in position to accept participants, now faced with the health care providers to seek extensions such requests. Some health care challenges of the COVID–19 pandemic, of the service delivery deadlines and providers, however, will likely wish to address changing circumstances in the invoice deadlines, make site and service make SPIN change and site and service current funding year and beyond. substitution requests, and make SPIN substitution requests mid-year. To changes. The COVID–19 pandemic is a ensure that the changes can be II. Discussion heavy burden on health care providers, requested throughout the year, the 2. Through the Order the Bureau and the amendment of the operational Commission directs USAC to develop ensures that the rule changes in the date of the rules will assist program and publicize within 30 days of the Promoting Telehealth Report and Order participants as they work to treat Federal Register publication, an interim adopting site and service substitutions patients during the health emergency. system for processing site and service for the Telecom Program, amending the Accordingly, the Bureau finds good substitutions and SPIN changes that will SPIN change process to allow for cause exists given the urgent health care be available until USAC launches its corrective and operational changes crisis to dispense with additional notice permanent technological solution. across both the Healthcare Connect and comment, to the extent such notice Fund and Telecom Programs, and comment would normally be III. Ordering Clauses establishing a service delivery deadline appropriate, before taking this action. 6. Accordingly, it is ordered that of June 30 while permitting a one-year The Bureau notes that the Order is pursuant to the authority in sections 1– extension of the service delivery consistent with the its prior actions in 4 and 254 of the Communications Act deadline, and permitting a one-time response to the COVID–19 pandemic, of 1934, as amended, 47 U.S.C. 151–154 120-day invoice filing extension will be waiving filing deadlines and other and 254, and pursuant to §§ 0.91 and

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0.291 of the Commission’s rules, 47 CFR support of these services. Accordingly, 3. Subsequent to adoption of the 2015 0.91 and 0.291, amending the the Commission terminates this docket. NPRM, the Commission took a number operational date of §§ 54.624, 54.625, DATES: The decision is effective of significant steps to ensure that white 54.626, and 54.627 of the Commission’s February 12, 2021. space device and wireless microphone rules, 47 CFR 54.624, 54.625, 54.626, FOR FURTHER INFORMATION CONTACT: operations can flourish. In responding and 54.627, as indicated herein. Shaun Maher, [email protected] of to the 2015 NPRM, white space device 7. It is further ordered that, pursuant the Media Bureau, (202) 418–2324. proponents cited the need to create certainty that vacant channels would be to § 1.102(b)(1) of the Commission’s SUPPLEMENTARY INFORMATION: This is a rules, 47 CFR 1.102(b)(1), the order shall summary of the Commission’s Report available for their use in order to be effective March 15, 2021. and Order (R&O), MB Docket Nos. 15– promote greater innovation in new Federal Communications Commission. 146; GN Docket No. 12–268; FCC 20– devices and services, including increased access to broadband services Cheryl L. Callahan, 175, adopted on December 8, 2020 and released December 9, 2020. The full text across the country. The Commission Assistant Chief, Telecommunications Access believes that its more recent actions in Policy Division Wireline Competition Bureau. of this document is available for download at https://www.fcc.gov/edocs. other proceedings have helped to create Editorial note: This document was To request materials in accessible such certainty by allowing for more received for publication at the Office of the robust service and efficient spectral use Federal Register on January 8, 2021. formats for people with disabilities (braille, large print, electronic files, in the post-Incentive Auction television [FR Doc. 2021–00588 Filed 2–11–21; 8:45 am] audio format), send an email to fcc504@ band as well as in the 600 MHz guard BILLING CODE 6712–01–P fcc.gov or call the Consumer & bands and 600 MHz wireless services Governmental Affairs Bureau at 202– and by revising the rules to allow for 418–0530 (voice), 202–418–0432 (tty). enhanced fixed white space device FEDERAL COMMUNICATIONS operations in rural areas. The COMMISSION Synopsis Commission finds that these actions have achieved the benefits sought by 47 CFR Parts 73 and 74 1. In this Order, the Commission declines to adopt the proposals in the white space device proponents and 2015 NPRM finding that support of obviate the need to impose the [MB Docket Nos. 15–146; GN Docket No. white space device and wireless burdensome vacant channel 12–268; FCC 20–175; FRS 17303] microphone users is now more preservation requirement on television effectively being achieved through other broadcasters. Similarly, when Amendment of the Commission’s responding to the 2015 NPRM, wireless Rules To Provide for the Preservation Commission proceedings, and, as a result, the proposals to preserve a microphone users expressed concerns of One Vacant Channel in the UHF about the reduced amount of spectrum Television Band for Use by White vacant channel for shared use by white space devices and wireless microphone that would be available for use by Space Devices and Wireless wireless microphones in the repacked Microphones operations do not serve the public interest. TV bands, and they cited to such AGENCY: Federal Communications 2. The Commission finds that the concerns to support their call to Commission. spectrum landscape has changed preserve a vacant channel for shared use with white space devices. Once again, ACTION: Final rule. significantly since 2015. Without question, today’s TV band is smaller the Commission believes that the steps SUMMARY: In this Report and Order and more densely packed than it was at it has taken in other proceedings since (Order), the Federal Communications the time the Commission adopted the the 2015 NPRM will ensure that Commission declines to adopt rules 2015 NPRM. To illustrate, at the time wireless microphone operators have proposed in the Commission’s 2015 the 2015 NPRM was adopted, there were access to sufficient spectrum, including Notice of Proposed Rulemaking, 30 FCC 1,384 full power and Class A televisions spectrum outside of the broadcast Rcd 6711 (2015) (2015 NPRM) in this stations operating on UHF channels 21 television band, to meet their needs. proceeding and, therefore, terminates through 51 for an average of 46 stations These actions underscore the the proceeding. While the Commission per channel. Today, there are 1,088 such conclusion that the regulatory approach continues to support unlicensed white stations operating on channels 21 proposed in the 2015 NPRM is no longer space devices and wireless microphone through 36, an average of 68 stations per needed and is outweighed by the user operations and continues to believe channel, many with expanded facilities. burden that such an action would place they serve important interests, based on In addition, the TV band is more on the broadcast users of the TV band. the record of this proceeding and in densely packed as a result of changes 4. White Space Devices. In August light of other actions it has taken during made by stations after the Incentive 2015, recognizing the significantly the years since the rules were proposed, Auction and because reverse auction altered regulatory landscape for coupled with the increased burden that winners continue to operate in the new unlicensed white space devices in the its 2015 proposal would place on the TV band. Analyses using the broadcast television bands, the use by broadcasters of spectrum in the Commission’s TVStudy software reveal Commission adopted its White Spaces more consolidated TV band that now that there are numerous major R&O, 30 FCC Rcd 9551. In that exists following the Incentive Auction, metropolitan areas in the United States proceeding, the Commission modified the Commission finds that the rules that have no vacant, 6 MHz channels. several rules to allow for more robust proposed in the 2015 NPRM would not This reality undermines the service and efficient spectral use in the serve the public interest. In reaching Commission’s goal of creating a post-Incentive Auction television band this conclusion, the Commission finds nationwide solution as proponents of as well as in the 600 MHz guard bands other actions it has taken since the 2015 the 2015 NPRM proposal argued on and 600 MHz wireless services band NPRM to support white space devices behalf of the proposal on the grounds that would be created as a result of and wireless microphones are the that such a nationwide vacant channel repurposing the television bands preferred avenues for the continued was essential. following the Incentive Auction.

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Specifically, the Commission enabled these bands. Finally, the Commission for use in UHF spectrum in the 900 lower powered operations closer to sought comment on whether it should MHz band. television stations, as well as higher permit use of a terrain-based model 9. In 2017, in the Wireless powered operations in less-congested (e.g., Longley-Rice Irregular Terrain Microphones Reconsideration Order rural areas that enhance broadband Model) when determining available TV and Further Notice, 32 FCC Rcd 6077, services in these areas. The Commission channels for white space device the Commission furthered its goal of also established rules permitting white operations, which if adopted could promoting wireless microphone space device operations on spectrum potentially expand the areas available operations and ensuring sufficient outside of the broadcast television band for white space device operations in this spectrum would be available following in the 600 MHz guard bands (including spectrum. the Incentive Auction and repacking duplex gap) and the 600 MHz wireless 7. In the 2015 vacant channel process. Specifically, it made technical service band, and on channel 37. proceeding, white space device revisions to rules it had adopted for 5. In the Commission’s White Spaces proponents argued that the proposals in both licensed and unlicensed wireless Reconsideration Order, 34 FCC Rcd the 2015 NPRM would ensure that the microphone operations in the TV bands, 1827, in that proceeding, it took public has access to these services and and in the 600 MHz guard band and additional action to promote white would help promote investment and duplex gap, as well as to rules for spaces operations. Recognizing that innovation in these technologies. The licensed wireless microphone white space device operations served to Commission’s more recent actions, operations in several frequency bands provide vital links for broadband however, reflect the subsequent outside of the TV and 600 MHz bands, services to Americans especially in rural evolution of white space device including the UHF spectrum in the 900 and underserved areas, the Commission operations, as indicated by support from MHz band. It also issued a Further increased the maximum permissible major white space device proponents Notice of Proposed Rulemaking seeking fixed white space device antenna height over the last few years, to focus on rural to ensure that certain professional above ground level in less congested and underserved areas where a theater, music, performing arts, or areas such as rural areas. substantial amount of spectrum remains similar organizations that currently 6. In 2020, the Commission initiated available for white space devices after operate wireless microphones on an a new proceeding proposing actions to repacking. The Commission finds that unlicensed basis can obtain licenses to ‘‘spur the continued growth of the white these alternative actions are an effective operate in the broadcast television space device ecosystem’’ that had been means for the Commission to support bands as well as other frequency bands, evolving. In the White Spaces NPRM, 35 white space device operations and the including UHF spectrum in the 900 FCC Rcd 2101, the Commission focused white space device ecosystem as it has MHz band, if necessary, to ensure that chiefly on providing additional evolved since 2015. We conclude that they can provide the public interest opportunities for unlicensed white the rationale behind the Commission’s benefits of significantly enhanced event space devices operating in the broadcast tentative conclusion concerning the productions to the American people. television bands to deliver wireless need to preserve a vacant channel in the 10. The Commission is not persuaded broadband services in rural and broadcast television band to provide by wireless microphone commenters in underserved areas and applications certainty for the white space device the dormant docket proceeding who associated with the Internet of Things industry no longer holds. maintain that the Commission should (IoT). The Commission initiated the 8. Wireless microphones. In 2015, in refresh the record in this proceeding proceeding largely in response to a proceeding that had been initiated to and adopt the vacant channel Microsoft’s 2019 petition for explore steps to address wireless preservation proposals. The rulemaking, which had proposed microphone users’ long-term needs Commission finds that these proposals revisions to promote greater flexibility following the Incentive Auction and are no longer necessary to further their for white space device operations in repacking of the broadcast television stated objective. rural areas; which had garnered broad band, the Commission adopted several 11. Public Interest Analysis. While the support from many white space device changes to ensure sufficient spectrum Commission recognizes the important proponents. On October 28, 2020, the would continue to available for wireless benefits provided by white space Commission issued a Report and Order microphone use. With respect to the devices and wireless microphones in and Further Notice of Proposed reconfigured broadcast television band the TV bands, it finds that the other Rulemaking, FCC 20–156, adopting new following the Incentive Auction and actions that the Commission has taken targeted rules with this focus, which repacking, the Commission revised its to support these users subsequent to will benefit American consumers in rules to provide more opportunities for issuance of the 2015 NPRM provide a rural and underserved areas while wireless microphones to access better alternative for addressing their protecting broadcast television stations spectrum by allowing greater use of the needs than through efforts to preserve a and other protected services initiated VHF broadcast television channels and vacant channel. Moreover, the from harmful interference. Specifically, more co-channel operations with Commission can no longer say that the the Commission permitted higher power television stations, and adopted more 2015 NPRM’s proposals ‘‘will not and higher antennas for fixed white efficient analog and digital technical significantly burden broadcast space devices in ‘‘less congested’’ standards to ensure more efficient use of applicants.’’ NAB has stated the vacant geographic areas where there continue the available spectrum. The channel proposals ‘‘would impose to be vacant TV channels available for Commission also expanded eligibility significant burdens on broadcasters both use by white space devices (and for the licensed use of the 600 MHz by restricting innovation and by wireless microphones), and permitted duplex gap to all entities now eligible to imposing new and costly administrative higher power mobile operation within hold wireless microphone licenses to burdens on broadcasters seeking to ‘‘geo-fenced’’ areas in these ‘‘less use television band spectrum. The construct new or modified facilities.’’ congested’’ areas. The Commission also Commission also took several actions to The Commission agrees. In light of adopted rule changes designed to promote use of spectrum bands outside changed circumstances the Commission facilitate the development of new and of the broadcast television band, concludes that it should not deviate innovative narrowband IoT services in including providing new opportunities from previous Commission decisions

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that use of the TV bands by primary and Federal Communications Commission. in accessible formats for people with secondary broadcast users have priority Marlene Dortch, disabilities (e.g., Braille, large print, over wireless microphones and white Secretary. electronic files, audio format) or to space devices. The Commission believes request reasonable accommodations that preserving robust over-the-air Editorial Note: The Office of the Federal (e.g., accessible format documents, sign Register received this document on December language interpreters, CART), send an broadcast television service remains an 15, 2020. important spectrum allocation priority, email to [email protected] or call the especially to rural areas without [FR Doc. 2020–28025 Filed 2–11–21; 8:45 am] FCC’s Consumer and Governmental adequate MVPD and broadband service BILLING CODE 6712–01–P Affairs Bureau at (202) 418–0530 (voice). alternatives. In addition, the Commission has recognized the promise FEDERAL COMMUNICATIONS Synopsis of next generation ATSC 3.0 service by COMMISSION 1. On reconsideration of the Broadnet over-the-air television broadcasters to Declaratory Ruling, the Commission expand the universe of potential uses of 47 CFR Chapter I reverses its previous order to the extent broadcast spectrum capacity for new [CG Docket No. 02–278; FCC 20–182; FRS that it provided that a contractor making and innovative services in ways that 17356] calls on behalf of the federal will complement the nation’s government was not a ‘‘person’’ subject burgeoning 5G networks and usher in a Government and Government to the restrictions in section 227(b)(1) of new wave of innovation and Contractor Calls Under the Telephone the TCPA. The Commission also opportunity. As NAB and a number of Consumer Protection Act of 1991 clarifies that a state government caller making calls in the conduct of official broadcasters noted in their 2015 AGENCY: Federal Communications government business is not a ‘‘person’’ comments, adoption of the proposed Commission. subject to section 227(b)(1) of the TCPA, rules would serve to freeze full power ACTION: Adjudicatory ruling. stations in place and hamstring their while a state or local government ability to expand or innovate to better SUMMARY: In this document, the contractor, like a federal contractor, is a serve their viewers. Having restructured Commission finds that state government ‘‘person’’ and thus not exempt from the TCPA’s restrictions. Finally, the the TV band, the Commission finds that callers, like federal government callers, Commission clarifies that a local to now adopt a requirement that are not ‘‘persons’’ for purposes of the Telephone Consumer Protection Act government is a ‘‘person’’ subject to the primary and/or secondary television TCPA. As such, the Commission grants stations protect spectrum availability for (TCPA) because they are sovereign entities. The Commission also clarifies in part the National Consumer Law white space devices and wireless Center (NCLC) petition for microphones in the smaller, more that a local government caller is a ‘‘person’’ subject to the TCPA. On reconsideration, denies the Professional densely packed television band, would reconsideration of the Broadnet Services Council (PSC) petition for not serve the public interest. Moreover, Declaratory Ruling, the Commission reconsideration, reverses the NAB points out that the proposals reverses its previous order to the extent Commission’s Broadnet Declaratory would require ‘‘novel engineering that it provided that a contractor making Ruling in part, and grants in part and studies’’ that ‘‘would be expensive and calls on behalf of the federal denies in part Broadnet’s petition for time-consuming, particularly for smaller government was not a ‘‘person’’ subject declaratory ruling. broadcasters’’ where ‘‘the cost of to the restrictions of the TCPA. The A. Federal Contractors are Subject to conducting such studies is likely to be Commission also clarifies that a state or Section 227(b)(1) of the TCPA multiples of current engineering design local government contractor, like a 2. The Commission finds that a costs.’’ Significantly, television stations federal government contractor, is a would bear the administrative burden of federal government contractor is a ‘‘person’’ and thus not exempt from the ‘‘person’’ under section 227(b)(1). The studying and proving the availability of TCPA’s restrictions. This action was term ‘‘person’’ as used in the TCPA and channels for other users in order to have taken in response to petitions that defined in the Communications Act an application that is otherwise in the sought clarification of these issues and (Act) expressly includes an ‘‘individual, public interest granted—both in removes any uncertainty on when partnership, association, joint-stock congested areas where a vacant channel governmental callers or contractors company, trust, or corporation’’ ‘‘unless may not be available in the television making calls on their behalf are required the context otherwise requires.’’ Every band and in less congested areas where to obtain the prior express consent of federal contractor, including those more spectrum is available such that called parties. acting as agents, falls within one of analysis is not warranted. Therefore, the DATES: Effective February 12, 2021. these categories. And, unlike the federal Commission finds that, on balance, FOR FURTHER INFORMATION CONTACT: government itself, there is no seeking to preserve a vacant channel for Richard D. Smith of the Consumer and longstanding presumption that a federal shared use by white space devices and Governmental Affairs Bureau at (717) contractor is not a ‘‘person.’’ Nor does wireless microphone operations at this 338–2797 or [email protected]; or the Commission find any ‘‘context that time, considering all of the actions that Kristi Thornton at (202) 418–2467 or otherwise requires’’ it to ignore the the Commission has taken since 2015 to [email protected]. express language of the Act’s definition promote those users’ interests, are SUPPLEMENTARY INFORMATION: This is a of the term ‘‘person’’ in this situation. outweighed by the burdens of the summary of the Commission’s Order on Absent any applicable presumption to proposals on broadcasters and the Reconsideration, document FCC 20– the contrary, the express definition of Commission terminates the proceeding. 182, released on December 14, 2020. ‘‘person’’ as contained in the Act is The full text of document FCC 20–182 controlling. is available online at https:// 3. Federal government contractors docs.fcc.gov/public/attachments/FCC- may obtain consumers’ prior express 20-182A1.pdf. To request this document consent to make calls covered by the

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TCPA. Such contractors may also but rather that Broadnet’s government ‘‘persons’’ within the meaning of section qualify for forms of derivative immunity client is the maker of the call because 227(b)(1) and are, therefore, subject to when making calls on behalf of the that government client is so involved in the TCPA. Specifically, the Commission federal government—the Commission placing the call as to be deemed to have finds that the definition of ‘‘person’’ does not alter or impair the ability of initiated it. encompasses local governments because contractors to invoke derivative they are not sovereign entities and have B. State Governments and State immunity from liability when making generally been treated as persons subject Government Contractors calls on behalf of the federal to suit. In addition, the Commission government. 8. The Commission clarifies that state finds that, even if the definition of 4. In this document, the Commission government callers in the conduct of ‘‘person’’ is ambiguous as applied to finds that it incorrectly applied official business likewise do not fall local governments, the underlying precedent on agency to federal within the meaning of ‘‘person’’ in policy goals and legislative history of government-contractor relationships in section 227(b)(1), while state the TCPA support a finding that TCPA the Broadnet Declaratory Ruling. contractors, like their federal restrictions apply to local government Specifically, the Commission grounded counterparts, are ‘‘person[s]’’ under that entities. its decision in the DISH Declaratory provision. As the Commission has 13. The law has long recognized that Ruling, which pertained to a non- noted, there is a ‘‘longstanding a municipal corporation is a local governmental ‘‘person’’ subject to the interpretive presumption’’ that the word political entity, such as a city or town, TCPA and whether it is vicariously ‘person’ does not include the sovereign formed by charter from the state. liable for the actions of its non- . . . [except] upon some affirmative Municipal corporations, like private governmental agents. As a result, the showing of statutory intent to the corporations, have been ‘‘treated alike in Commission finds that precedent does contrary.’’ The Supreme Court has terms of their legal status as persons not bear on the issues here—which confirmed that this presumption is capable of suing and being sued.’’ ‘‘The callers are TCPA ‘‘persons’’—but applicable to state governments. archetypal American corporation of the instead involved principals and agents Moreover, neither the TCPA nor the eighteenth century [was] the that were undoubtedly ‘‘persons.’’ Communications Act defines ‘‘person’’ municipality,’’ and local governments 5. Maker of the Call. In this document, to include state governmental entities. generally are incorporated under state the Commission finds that a federal 9. This clarification is limited to calls law and operate pursuant to a charter contractor may be able to avoid liability made by state government callers in the outlining their incorporation. The under the TCPA if it is not the ‘‘maker conduct of official business and does Commission further notes that all states of the call.’’ The Commission previously not exempt other types of calls made by have adopted some form of municipal clarified that a caller may be found to state officials, such as those related to corporate structure and that the federal have made or initiated a call in one of campaigns for re-election. Nevertheless, government often treats incorporated two ways: First, by ‘‘tak[ing] the steps the Commission encourages state and non-incorporated areas similarly. necessary to physically place a governments to make efforts to honor 14. The Commission finds that the telephone call’’; and second, by being consumer requests to opt out of such lack of any clear indication that ‘‘so involved in the placing of a specific exempted calls to minimize any Congress intended to exclude local telephone call as to be directly liable for consumer privacy implications. governments from the TCPA is evidence making it.’’ The Commission stated that, 10. The Commission states that it is that Congress intended such in determining the maker of the call, it limiting its interpretation of ‘‘person’’ as government entities to fall under its would consider ‘‘the totality of the facts excluding state governments to the purview. and circumstances surrounding the specific statutory provision before it: 15. The Commission further finds that placing of a particular call to determine: Section 227(b)(1) of the TCPA. As in the the underlying goals and legislative (1) Who took the steps necessary to Broadnet Declaratory Ruling, the history of the TCPA separately show physically place the call; and (2) Commission makes no finding with that Congress intended local whether another person or entity was so respect to the meaning of ‘‘person’’ as governments to be subject to the law’s involved in placing the call as to be used elsewhere in the Act. restrictions. Congress’ intent to prohibit deemed to have initiated it, considering 11. For the same reasons the nuisance calls to consumers is the goals and purposes of the TCPA.’’ Commission found federal contractors instructive in the Commission’s 6. In this document, the Commission are ‘‘persons’’ under section 227(b)(1) of interpretation of any ambiguity within states that it will continue to apply this the TCPA, the Commission now finds the statute. Because of Congress’ clear analysis to assess TCPA liability of that contractors acting on behalf of state intent to protect consumers, the parties, including government governments are likewise ‘‘persons.’’ Commission interprets any ambiguity to contractors, on a case-by-case basis. Such contractors fall within the express the benefit of the consumer. Based on these fact-specific criteria, language of the Communications Act’s 16. The Commission also clarifies that Broadnet states that its ‘‘government definition of ‘‘person’’ and it finds no a local government contractor is a customers, and not Broadnet, make all compelling argument to the contrary. As ‘‘person,’’ as that term is used in section decisions regarding whether to make a with federal contractors, this ruling 227(b)(1) of the TCPA. Because local call, the timing of the call, the call leaves it to the courts to apply the body governments and their contractors are recipients, and the content of the call.’’ of existing immunity law to state ‘‘persons,’’ they are subject to section It further states that its ‘‘government contractors and to make determinations 227(b)(1) of the TCPA and must abide customer takes the steps physically of derivative immunity on a case-by- by the requirements contained therein, necessary to initiate a telephone town case basis. including obtaining prior express [hall] call,’’ while Broadnet’s role is to consent when making autodialed or ‘‘manage the technical aspects of the C. Local Governments and Local artificial or prerecorded voice calls to service and to ensure that its customers Government Contractors certain types of telephone numbers such do not use the platform unlawfully.’’ 12. The Commission clarifies that as wireless numbers. 7. The Commission finds that local government entities, including 17. As with other ‘‘persons’’ subject to Broadnet is not the maker of the call, counties, cities, and towns, are the TCPA, local governments and their

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contractors may avail themselves of the I. Background Stevens Fishery Conservation and TCPA’s exemptions to the prior express GSA has been conducting a regulatory Management Act (MSA) to approve and consent requirement, such as calls made review initiative to identify areas which implement rebuilding plans for ‘‘emergency purposes.’’ Nothing in might be revised or eliminated. Upon recommended by the Pacific Fishery the Commission’s decision impedes the review of GSAR part 553, we uncovered Management Council (Council) for three ability of local governments or a discrepancy between the Code of overfished salmon stocks: Juan de Fuca, contractors to make emergency calls to Federal Regulations (CFR) and Queets, and Snohomish natural coho wireless telephone numbers when such acquisition.gov. The current language in salmon. NMFS determined in 2018 that calls are necessary to protect the health subpart 553.2 in the CFR was published these stocks were overfished under the and safety of citizens. The Commission in the Federal Register, Vol. 64, No. MSA, due to spawning escapement has recently confirmed, for example, 131, on July 9, 1999 and has not falling below the required level for the that government officials and public changed since. However, 3-year period 2014–2016. The MSA health care authorities, as well as a acquisition.gov has no such language. It requires overfished stocks to be rebuilt, person under the express direction of is determined that all of the guidance in generally within 10 years. such organizations and acting on its GSAR Part 553 in the CFR should be DATES: This final rule is effective March behalf, can make automated calls removed. 15, 2021. directly related to the imminent health FOR FURTHER INFORMATION CONTACT: or safety risks arising out of the COVID– II. Discussion of the Rule Peggy Mundy at 206–526–4323. 19 pandemic without the prior express This direct final rule amends the SUPPLEMENTARY INFORMATION: consent of the called party. GSAR to remove regulations regarding Federal Communications Commission. forms from subpart 553.2 and section Background Marlene Dortch, 553.300. The subpart has no content, On June 18, 2018, NMFS notified the Secretary, Office of the Secretary. just the header of ‘‘Illustrations of Council that three stocks of coho salmon Forms’’. There is no prescription managed under the Council’s Pacific Editorial Note: The Office of the Federal information that follows. In addition, Coast Salmon Fishery Management Plan Register received this document on December text at 553.300 contains erroneous (FMP) met the overfished criteria of the 28, 2020. information on how to obtain copies of FMP and the MSA, and the overfished [FR Doc. 2020–29016 Filed 2–11–21; 8:45 am] forms. Therefore, the entirety of GSAR determinations were announced in the BILLING CODE 6712–01–P Part 553 is unnecessary. Federal Register on August 6, 2018 (83 List of Subjects in 48 CFR Part 553 FR 38292). Overfished is defined in the FMP to be when the 3-year geometric GENERAL SERVICES Government procurement. mean of a salmon stock’s annual ADMINISTRATION Jeffrey A. Koses, spawning escapement falls below the reference point known as the minimum 48 CFR Part 553 Senior Procurement Executive, Office of Acquisition Policy, Office of Governmentwide stock size threshold (MSST). The 3-year [GSAR Case 2021–G509; Docket No. 2021– Policy, General Services Administration. geometric mean of spawning 0005; Sequence No. 1] escapement fell below MSST for all PART 553 [REMOVED AND three coho salmon stocks for the period General Services Administration RESERVED] 2014–2016. In response to the Acquisition Regulation; Removing overfished determination, the Council Erroneous Guidance on Illustration of ■ Therefore, under the authority of 41 developed rebuilding plans for these Forms U.S.C. 121(c), GSA removes and stocks, and the rebuilding plans were reserves 48 CFR part 553. transmitted to NMFS on October 17, AGENCY: Office of Acquisition Policy, [FR Doc. 2021–02815 Filed 2–11–21; 8:45 am] General Services Administration (GSA). 2019, for approval and implementation. BILLING CODE 6820–61–P NMFS published a proposed rule (85 FR ACTION: Final rule. 61912, October 1, 2020) describing the SUMMARY: The General Services rebuilding plans and soliciting Administration (GSA) is issuing this DEPARTMENT OF COMMERCE comments from the public on the direct final rule amending the General proposed rule and on the draft National Oceanic and Atmospheric Services Administration Acquisition environmental assessments (EAs) that Administration Regulation (GSAR) to make a needed were prepared under the National technical amendment. This technical Environmental Policy Act (NEPA). 50 CFR Part 660 amendment is to correct the Code of In this final rule, NMFS approves and Federal Regulations and remove [Docket No. 210205–0015] implements the rebuilding plans for the three overfished coho salmon stocks. erroneous guidance on the illustration RIN 0648–BJ05 of forms. For Juan de Fuca and Queets natural coho, this rule adopts the existing DATES: Effective: March 15, 2021. Fisheries Off West Coast States; West harvest control rules, which use an FOR FURTHER INFORMATION CONTACT: Ms. Coast Salmon Fisheries; Rebuilding annual abundance-based stepped Adina Torberntsson, Procurement Coho Salmon Stocks harvest rate control rule with stock- Analyst, at [email protected] for AGENCY: National Marine Fisheries specific abundance levels governing the clarification of content. For information Service (NMFS), National Oceanic and total exploitation rates applied to pertaining to status or publication Atmospheric Administration (NOAA), forecast stock abundance levels. For schedules, contact the Regulatory Commerce. Snohomish natural coho, this final rule Secretariat Division at 202–501–4755 or ACTION: Final rule. amends the existing harvest control rule [email protected]. Please cite GSAR by adding a 10-percent buffer to the Case 2021–G509. SUMMARY: NMFS issues this final rule existing escapement goal and adjusting SUPPLEMENTARY INFORMATION: under the authority of the Magnuson- the abundance steps during the

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rebuilding period. Additional (STT’s) analysis, as detailed in the EAs, Classification information on these plans is available determined that freshwater and marine Pursuant to section 304(b)(1)(A) of the in the preamble of the proposed rule habitat conditions were the primary MSA, the NMFS Assistant and is not repeated here. cause of these stocks meeting the FMP’s Administrator has determined that this Response to Comments criteria for being overfished rather than final rule is consistent with the FMP, fishing. In addition, exploitation rates other provisions of the MSA, and other On October 1, 2020, NMFS published on these coho salmon stocks in Council- a proposed rule and requested public applicable law. managed fisheries are a small fraction of This final rule has been determined to comment on the proposed rule (85 FR the total exploitation rates in all be not significant for purposes of 61912). The comment period ended on fisheries, which include Alaskan and Executive Order 12866. November 2, 2020. Concurrent with the Canadian fisheries, and non-Council The Chief Counsel for Regulation of comment period on the proposed rule, pre-terminal and terminal fisheries. The the Department of Commerce certified NMFS made the related draft EAs STT’s analysis included exploitation to the Chief Counsel for Advocacy of the available online for public comment. rates for the overfished coho stocks in Small Business Administration during Eight individuals submitted comments all fisheries for the period 2004–2017. the proposed rule stage that this action on the proposed rule; no comments For Juan de Fuca coho, the overall would not have a significant economic were submitted on the draft EAs. Most annual exploitation rate averaged 10.5 impact on a substantial number of small comments were supportive of regulating percent and the Council-area annual entities. The factual basis for the fishing, but did not express specific exploitation rate averaged 2.3 percent. certification was published in the support for, or opposition to, the For Queets coho, the overall annual proposed rule and is not repeated here. proposed rebuilding plans. Specific exploitation rate averaged 38.5 percent No comments were received regarding comments and responses are discussed and the Council-area annual this certification. As a result, a below. Comment 1: Two commenters exploitation rate averaged 7.2 percent. regulatory flexibility analysis was not expressed concern about ensuring For Snohomish coho, the overall annual required and none was prepared. This final rule contains no compliance with fishery regulations. exploitation rate averaged 22.8 percent Response: NMFS agrees that and the Council-area annual information collection requirements compliance with fishery regulations is exploitation rate averaged 1.9 percent. under the Paperwork Reduction Act of important. NMFS’ Office of Law Adding an additional 30 percent buffer 1995. This final rule was developed after Enforcement participates on the to the already constrained exploitation meaningful collaboration with the tribal Council’s Enforcement Consultants rates in Council-area fisheries would representative on the Council; the tribal advisory body, along with have a severe impact on the fishing representative has agreed with the representatives from state police community, especially in the area from provisions that apply to tribal vessels. agencies, state fish and wildlife the U.S./Canada border to Cape Falcon, agencies, and the Coast Guard. The OR, and would not result in rebuilding List of Subjects in 50 CFR Part 660 Enforcement Consultants provide advice these stocks substantially sooner than under the Council’s rebuilding plans. Fisheries, Fishing, Recordkeeping and to the Council about whether proposed reporting requirements. management actions are enforceable and Comment 4: One comment opposed how they affect safety at sea. These the rebuilding plans on the basis that Dated: February 8, 2021. agencies also work to enforce fishery they did not sufficiently address the Samuel D. Rauch, III, regulations at sea and at various fishing impact of freshwater habitat and water Deputy Assistant Administrator for ports on the West Coast. The input of quality on marine survival of salmon. Regulatory Programs, National Marine Fisheries Service. these agencies was considered in the Response: NMFS understands and development of the Council’s proposal, agrees with the concern about For the reasons set out in the as included in the proposed rule. freshwater habitat for coho salmon. The preamble, 50 CFR part 660 is amended Comment 2: One comment was STT’s analysis found that both as follows: specifically supportive of the proposed freshwater and marine productivity rebuilding plans as described in the PART 660—FISHERIES OFF WEST were the primary causes of these coho proposed rule and felt they would COAST STATES stocks meeting the overfished criteria, benefit both fish and fishermen. rather than fishery impacts. These ■ Response: NMFS agrees that the 1. The authority citation for part 660 rebuilding plans have been developed Council’s recommended rebuilding continues to read as follows: pursuant to the MSA, which regulates plans are the most appropriate response Authority: 16 U.S.C. 1801 et seq., 16 U.S.C. fishing in the exclusive economic zone to rebuild the overfished coho salmon 773 et seq., and 16 U.S.C. 7001 et seq. (EEZ). NMFS’s authority in adopting stocks at this time, as they rebuild the ■ these rebuilding plans is therefore 2. In § 660.413, add paragraphs (c) overfished stocks in the shortest time limited to that scope. The Council may through (e) to read as follows: possible while taking into account the direct its Habitat Committee to work needs of the fishing communities, as § 660.413 Overfished species rebuilding with state, federal, and tribal fishery required by the MSA. plans. Comment 3: One comment opposed managers to review freshwater habitat * * * * * the proposed rebuilding plans as not conditions and develop (c) Juan de Fuca coho. The Juan de being sufficiently restrictive of fishery recommendations for habitat Fuca coho salmon stock was declared impacts and suggested applying a 30- recommendations and restoration as an overfished in 2018. The target year for percent buffer on exploitation rates. action separate and apart from these rebuilding Juan de Fuca coho is 2023. Response: NMFS disagrees with the rebuilding plans. The harvest control rule during the suggestion that there is a need for more Changes From Proposed Rule rebuilding period for Juan de Fuca coho restrictive exploitation rates at this time. is the abundance-based stepped harvest For all three coho salmon stocks, the There are no changes made to the rate as shown in table 1 to this Council’s Salmon Technical Team’s regulatory text of the proposed rule. paragraph (c).

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TABLE 1 TO PARAGRAPH (c)

Juan de Fuca coho stepped harvest rates Total allowable Abundance category Age-3 ocean abundance exploitation rate (percent)

Normal ...... Greater than 27,445 ...... 60 Low ...... Between 11,679 and 27,445 ...... 40 Critical ...... 11,679 or less ...... 20

(d) Queets coho. The Queets coho Queets coho is 2019. The harvest abundance-based stepped harvest rate as salmon stock was declared overfished in control rule during the rebuilding shown in table 2 to this paragraph (d). 2018. The target year for rebuilding period for Queets coho is the

TABLE 2 TO PARAGRAPH (d)

Queets coho stepped harvest rates Total allowable Abundance category Age-3 abundance exploitation rate (percent)

Normal ...... Greater than 9,667 ...... 65 Low ...... Between 7,250 and 9,667 ...... 40 Critical ...... Less than 7,250 ...... 20

(e) Snohomish coho. (1) The year for rebuilding Snohomish coho is coho is the abundance-based stepped Snohomish coho salmon stock was 2020. The harvest control rule during harvest rate as shown in table 3 to this declared overfished in 2018. The target the rebuilding period for Snohomish paragraph (e).

TABLE 3 TO PARAGRAPH (e)(1)

Snohomish coho stepped harvest rates Total allowable Abundance category Age-3 abundance exploitation rate (percent)

Normal ...... Greater than 137,000 ...... 60 Low ...... Between 51,667 and 137,000 ...... 40 Critical ...... Less than 51,667 ...... 20

(2) In years when Snohomish coho the total allowable exploitation rate will spawning escapement of 55,000 abundance is forecast to exceed 137,000, be limited to target achieving a Snohomish coho. [FR Doc. 2021–02834 Filed 2–11–21; 8:45 am] BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 86, No. 28

Friday, February 12, 2021

This section of the FEDERAL REGISTER portions of the proposed rule are with greater flexibility to structure its contains notices to the public of the proposed described in SUPPLEMENTARY access requirements, and to tailor its issuance of rules and regulations. The INFORMATION. rule enforcement program and purpose of these notices is to give interested ADDRESSES: Comments previously disciplinary procedures and sanctions, persons an opportunity to participate in the to its trading operations and market. rule making prior to the adoption of the final submitted in response to the NPRM rules. remain on file at the Commodity The proposed rules also would have Futures Trading Commission, Three made non-substantive amendments and Lafayette Centre, 1155 21st Street NW, various conforming changes to other COMMODITY FUTURES TRADING Washington, DC 20581 and may also be Commission regulations. COMMISSION accessed via the CFTC Comments In response to the NPRM, the Portal: https://comments.cftc.gov. Commission received fifty-six comment 17 CFR Parts 9, 36, 37, 38, 39, and 43 FOR FURTHER INFORMATION CONTACT: letters from SEFs, market participants, RIN 3038–AE25 Roger Smith, Associate Chief Counsel, industry trade associations, public Division of Market Oversight, (202) 418– interest organizations, and other Swap Execution Facilities and Trade 5344, [email protected], Commodity interested parties. The NPRM Execution Requirement Futures Trading Commission, 525 West comprehensively sought to amend the Monroe Street, Suite 1100, Chicago, IL SEF regulatory framework. For example, AGENCY: Commodity Futures Trading 60661; or David E. Aron, Acting one commenter characterized the NPRM Commission. Associate Director, Division of Data, as a ‘‘fundamental reconstruction of the ACTION: Proposed rule; partial (202) 418–6621, [email protected], ‘SEF ecosystem,’ ’’ and ‘‘[the NPRM withdrawal. Commodity Futures Trading would] change many of the ways in Commission, Three Lafayette Centre, which market participants interact with, SUMMARY: On November 30, 2018, the 1155 21st Street NW, Washington, DC and trade on, SEFs. This reconstruction Commodity Futures Trading 20581. of the existing ecosystem would present Commission (‘‘CFTC’’ or the tall operational challenges and impose ‘‘Commission’’) published a ‘‘Swap SUPPLEMENTARY INFORMATION: On substantial costs on all market Execution Facilities and Trade November 30, 2018, the Commission participants....’’3 Several Execution Requirement’’ notice of published the NPRM, which proposed a commenters expressed concern over the proposed rulemaking (‘‘NPRM’’) in the comprehensive foundational shift in the 1 magnitude of changes behind the Federal Register. While the Commission regulatory framework for SEFs. In NPRM. Therefore, to avoid potential and has adopted certain proposals from the particular, if adopted, the NPRM would unintended adverse market impacts NPRM, in light of feedback the have, among other things, (i) required caused by comprehensive and far- Commission received in response to the that certain swaps broking entities, reaching changes, several commenters remaining proposals in the NPRM, the including interdealer brokers, and preferred that the Commission adopt a Commission has determined to not aggregators of single-dealer platforms more ‘‘targeted’’ approach. proceed with those unadopted register as SEFs pursuant to the proposals relating to the regulation of registration requirement under CEA The Commission, at the time, swap execution facilities (‘‘SEFs’’) and section 5h(a)(1); 2 (ii) broadened the proposed the NPRM based on particular the trade execution requirement scope of the trade execution views regarding the need for a (‘‘Determination’’). In separate final requirement, but provided certain comprehensive revamping of the rules, the Commission adopted the exemptions; (iii) allowed a SEF to offer regulatory framework for SEFs. In light following portions of the NPRM: Two flexible execution methods for swaps of feedback the Commission received in exemptions, pursuant to Commodity subject to the trade execution response to the NPRM, and upon further Exchange Act (‘‘CEA’’) section 4(c), from requirement; and (iv) established consideration, the Commission believes the trade execution requirement in CEA disclosure-based trading and execution that rather than comprehensively section 2(h)(8); and final rules related to rules applicable to any SEF execution amending the fundamentals audit trail requirements for post-trade method. In conjunction with flexible underpinning the SEF regime, the allocations, SEF financial resource execution methods, the Commission Commission should instead work to requirements, and SEF chief compliance also proposed limits on the scope of improve the SEF framework through officer requirements (collectively, the trading-related communications (‘‘pre- targeted rulemakings that address ‘‘Final Rules’’). As such, this execution communications’’) that SEF distinct issues. The Commission agrees withdrawal does not impact or alter any participants may conduct away from a with commenters that this approach of those sections of the NPRM that are SEF’s trading system or platform, as will help the Commission avoid being adopted in the Final Rules. In well as proficiency requirements for unintended adverse market impacts light of the Determination, the certain SEF employees who facilitate caused by the comprehensive and far- Commission has decided to withdraw trading. Additionally, the Commission reaching changes of the NPRM. the unadopted portions of the NPRM. proposed amendments to impartial Therefore, the Commission has access rules that would provide a SEF DATES: The Commission is withdrawing determined to withdraw the unadopted unadopted portions of the proposed rule portions of the pending NPRM in order 1 See the NPRM, 83 FR 61946 (Nov. 30, 2018), published in the Federal Register on available at: https://www.cftc.gov/sites/default/ to allow the Commission to propose and November 30, 2018 at 83 FR 61946 as files/2018-11/2018-24642a.pdf. of February 12, 2021. The affected 2 7 U.S.C. 7b–3(a)(1). 3 Futures Industry Association (‘‘FIA’’) Letter at 7.

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adopt targeted rulemakings to address In particular, our Commission yesterday Appendix 4—Statement of Concurrence specific SEF issues or requirements.4 adopted from the SEF Proposal: (1) Two of Commissioner Rostin Behnam exemptions, pursuant to Commodity Issued in Washington, DC, on December Exchange Act (‘‘CEA’’) section 4(c), from the More than two years ago, in November 23, 2020, by the Commission. trade execution requirement in CEA section 2018, the Commission voted to propose a Christopher Kirkpatrick, 2(h)(8); and (2) final rules related to audit comprehensive overhaul of the existing Secretary of the Commission. trail requirements for post-trade allocations, framework for swap execution facilities SEF financial resource requirements, and (SEFs).1 Today, the Commission issues two Note: The following appendices will not SEF chief compliance officer requirements. rules finalizing aspects of the SEF Proposal appear in the Code of Federal Regulations. With respect to the unadopted portions of the and a withdrawal of the SEF Proposal’s SEF Proposal, the feedback received from unadopted provisions. This is the final step Appendices to Swap Execution market participants and the public made in a long road. Last month, the Commission Facilities and Trade Execution clear that moving forward would require finalized rules emanating from the SEF Requirement—Commission Voting significantly more work and a re-proposal of Proposal regarding codification of existing the rules. Therefore, I believe it is no-action letters regarding, among other Summary, Chairman’s Statement, and 2 Commissioners’ Statements appropriate to withdraw those unadopted things, package transactions. Today’s final elements. Doing so is also consistent with our rules and withdrawal complete the Appendix 1—Commission Voting Commission’s reasoning for withdrawing Commission’s consideration of the SEF Summary Regulation AT a few months ago—we can Proposal. start a new beginning only once we have Back in November 2018, I expressed On this matter, Chairman Tarbert and ended the prior beginning. concern that finalization of the SEF Proposal Commissioners Quintenz, Behnam, Stump, would reduce transparency, increase and Berkovitz voted in the affirmative. No Appendix 3—Statement of Support of limitations on access to SEFs, and add Commissioner voted in the negative. Commissioner Brian D. Quintenz significant costs for market participants.3 I Appendix 2—Statement of Support of I will vote in favor of withdrawing the also noted that, while the existing SEF Chairman Heath P. Tarbert unadopted provisions from the Commission’s framework could benefit from targeted 2018 proposal comprehensively to amend the changes, particularly the codification of Nearly two thousand years ago, the Stoic regulations applicable to swap execution existing no-action relief, the SEF framework philosopher and statesman Seneca the facilities (SEFs),1 but only because the has in many ways been a success. I pointed Younger observed that ‘‘every new beginning Commission has already adopted many of out that the Commission’s work to promote comes from some other beginning’s end.’’ these proposals, including in the areas of SEF swaps trading on SEFs has resulted in This remains as true today as it was then, and financial resources, audit trail data, and increased liquidity, while adding pre-trade as it was in the 1990s when the band exceptions to the trade execution price transparency and competition. Semisonic built a song around it. requirement, so that the SEF ruleset becomes Nonetheless, I voted to put the SEF Proposal I vote today in support of withdrawing the more practical for market participants. I note out for public comment, anticipating that the remaining unadopted portions of the that many of the finalized provisions are notice and comment process would guide the November 2018 Swap Execution Facilities based on longstanding no-action relief that Commission in identifying a narrower set of (‘‘SEF’’) and Trade Execution Requirement has taken over eight years and a Republican changes that would improve the current SEF proposal (‘‘SEF Proposal’’). With the administration to rationalize the inadequate framework and better align it with the beginning of a new SEF landscape based on ruleset left by the Commission’s prior statutory mandate and the underling policy other rules we are announcing today, it is leadership. objectives shaped after the 2008 financial appropriate to bring that proposal—which I regret significantly, however, that certain crisis.4 More than two years and many was itself a beginning of sorts—to an end. aspects of the 2018 proposal have not been comment letters later, that is exactly what The SEF Proposal, which was championed acted upon or debated as a Commission has happened. The Commission has been by my predecessor Chairman Chris since. In particular, the CEA as amended by precise and targeted in its finalization of Giancarlo, was comprehensive in that it Dodd Frank, legally allows SEFs greater specific provisions from the SEF Proposal sought to codify staff no-action relief and flexibility—specifically through ‘‘any means that provide needed clarity to market otherwise resolve operational concerns of of interstate commerce’’ 2—in which methods participants and promote consistency, SEFs and market participants. It also set forth of execution they may offer for swaps subject competitiveness, and appropriate operational structural reforms to the SEF regime beyond to the trade execution requirement, than the flexibility consistent with the core principles. these operational fixes. The SEF Proposal overly prescriptive and government-knows- In addition to expressing substantive reflected a great deal of time, effort, and best requirement that a SEF may only concerns about the overbreadth of the SEF thought, and resulted in several rules provide either a RFQ-to-3 or a Central Limit ultimately adopted by the Commission. I am Proposal, I also voiced concerns that we were Order Book (CLOB) trading mechanism, as rushing by having a comparatively short 75- grateful indeed for Chairman Giancarlo’s 3 dictated by an existing CFTC rule. Indeed, day comment period.5 In the end, the thought leadership and the path that the SEF such flexibility was recently requested by a Proposal set our agency upon. comment period was rightly extended, and wide range of market participants during the the Commission has taken the time necessary period of COVID-inspired market volatility to carefully evaluate the appropriateness of 4 Concurrently with this withdrawal, the 4 and thin liquidity. If such trade execution the SEF Proposal in consideration of its Commission is adopting the Final Rules to flexibility is necessary to support liquidity in implement various proposals from the NPRM. One regulatory and oversight responsibilities and a stressed environment, why would it not the comments received. I think that the of the Final Rules adopted two CEA section 4(c) benefit the markets more generally in normal exemptions from the trade execution requirement. consideration of the SEF Proposal is an Specifically, this final rulemaking adopted environments? Additionally, such flexibility example of how the process is supposed to proposed § 36.1(c) and § 36.1(e), which were is absolutely consistent with the definition of respectively re-numbered as § 36.1(b) and § 36.1(c) a SEF set forth in the CEA, that establishes 1 Swap Execution Facilities and Trade Execution in the adopting release. See Exemption from Swap a SEF as a multiple-to-multiple trading Requirement, 83 FR 61946 (Nov. 30, 2018) (the Execution Requirement, published in yesterday’s 5 system.’’ ‘‘SEF Proposal’’). issue of the Federal Register. The other adopted 2 various proposals related to audit trail requirements Swap Execution Facility Requirements (Nov. 18, 1 SEFs and Trade Execution Requirement, 83 FR for post-trade allocations, SEF financial resource 2020), https://www.cftc.gov/PressRoom/ 61946 (Nov. 30, 2018). requirements, and SEF chief compliance officer PressReleases/8313-20. 2 requirements. In particular, these final rules Definition of SEF, sec. 1a(50) of the CEA. 3 Statement of Concurrence of Commissioner addressed the proposals for §§ 37.205(a) and (b)(2); 3 CFTC reg. 37.9(a). Rostin Behnam Regarding Swap Execution 37.1301; 37.1302; 37.1303; 37.1304; 37.1305; 4 Comment letter from ISDA, dated May 22, 2020, Facilities and Trade Execution Requirement, 37.1306; 37.1307; and 37.1501. See Swap Execution in response to the Commission’s February 2020 https://www.cftc.gov/PressRoom/ Facilities, published in yesterday’s issue of the proposal on SEF and Real-Time Reporting SpeechesTestimony/behnamstatement110518a. Federal Register. This withdrawal does not impact requirements (85 FR 9407 (Feb. 19, 2020)). 4 Id. or alter any of the Final Rules. 5 Definition of SEF, sec. 1a(50) of the CEA. 5 Id.

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work. When we move too quickly toward the Today’s rulemaking represents a further requirements. As a general matter, I agree finish line and without due consideration of positive step in this targeted approach. that the Commission should clarify certain the surrounding environment, we risk Many commenters to the 2018 SEF NPRM CCO duties and streamline CCO reporting making a mistake that will impact our supported this incremental approach, requirements where information is markets and market participants. advocating discrete amendments rather than duplicative or not useful to the Commission. Finally, I would like to address the wholesale changes. Today, the Commission Although the CCO requirements diverge Commission’s separate vote to withdraw the is adopting two Final Rules that codify somewhat from those for futures commission unadopted provisions of the SEF Proposal. In tailored amendments that received general merchants and swap dealers, the role of SEFs the past, I have expressed concern with such support from commenters. The first rule— is different and therefore, standardization is withdrawals by an agency that has Swap Execution Facilities—amends part 37 not always necessary or appropriate. I expect historically prided itself on collegiality and to address certain operational challenges that that the staff will continue to monitor the working in a bipartisan fashion.6 In the case SEFs face in complying with current effects of all of the changes adopted today of today’s withdrawal, the Commission has requirements, some of which are currently and inform the Commission if it believes voted on all appropriate aspects of the SEF the subject of no-action relief or other further changes to our rules are needed. Proposal through three rules finalized during Commission guidance. The second rule— the past month. The Commission has voted Exemptions from Swap Trade Execution Exemptions From Swap Trade Execution unanimously on all of these rules, including Requirement—exempts two categories of Requirement today’s decision to withdraw the remainder swaps from the trade execution requirement, Commodity Exchange Act (‘‘CEA’’) section from further consideration. While normally a both of which are linked to exceptions to or 2(h)(8) specifies that a swap that is excepted single proposal results in a single final rule, exemptions from the swap clearing from the clearing requirement pursuant to in this instance, multiple final rules have requirement. CEA section 2(h)(7) is not subject to the been finalized emanating from the SEF Swap Execution Facilities: Audit Trail Data, requirement to trade the swap on a SEF. Proposal. This could lead to confusion Financial Resources and Reporting, and Accordingly, swaps that fall into the regarding the Commission’s intentions Requirements for Chief Compliance Officers statutory swap clearing exceptions (e.g., regarding the many unadopted provisions of commercial end-users and small banks) are Commission regulations require a SEF to the SEF Proposal. Under such circumstances, also excepted from the trading mandate. capture and retain all audit trail data I think it is appropriate to provide market However, the Commission has also exempted necessary to detect, investigate, and prevent participants with clarity regarding the SEF from mandatory clearing swaps entered into customer and market abuses, which currently Proposal. Accordingly, I will support today’s by certain entities (e.g., cooperatives, central withdrawal of the SEF Proposal. But rather includes identification of each account to which fills are ultimately allocated.3 banks, and swaps between affiliates) using than viewing it as a withdrawal of the SEF different exemptive authorities from section Proposal, I see it as an affirmation of the Following the adoption of these regulations, SEFs represented that they are unable to 2(h)(7). success of the existing SEF framework and The Exemptions from Swap Trade the careful process to markedly improve the capture post-execution allocation data because the allocations occur away from the Execution Requirement final rule affirms the SEF framework in a measured and thoughtful link between the clearing mandate and the way. SEF, prompting CFTC staff to issue no-action relief. Other parties, including DCOs and trading mandate for swaps that are exempted Appendix 5—Statement of account managers, must capture and retain from the clearing mandate under authorities Commissioner Dan M. Berkovitz post-execution allocation information and other than CEA section 2(h)(7). The produce it to the CFTC upon request, and additional clearing exemptions are typically I support the Commission’s decision to SEFs are required to establish rules that provided by the Commission to limited types withdraw its 2018 proposal to overhaul the allow them obtain this allocation information of market participants, such as cooperatives regulation of swap execution facilities from market participants as necessary to or central banks that use swaps for (‘‘SEFs’’) 1 (‘‘2018 SEF NPRM’’) and proceed fulfill their self-regulatory responsibilities. commercial hedging or have financial instead with targeted adjustments to our SEF Given that staff is not aware of any regulatory structures or purposes that greatly reduce the rules (‘‘Final Rules’’). The two Final Rules gaps that have resulted from SEFs’ reliance need for mandatory clearing and SEF trading. approved today will make minor changes to on the no-action letter, codifying this In addition, limited data provided in the SEF requirements while retaining the alternative compliance framework is release indicates that, at least up to this point progress we have made in moving appropriate. in time, these exempted swaps represent a standardized swaps onto electronic trading This Swap Execution Facility final rule small percentage of the notional amount of platforms, which has enhanced the stability, also will amend part 37 to tie a SEF’s swaps traded. transparency, and competitiveness of our financial resource requirements more closely This final rule also exempts inter-affiliate swaps markets.2 to the cost of its operations, whether in swaps from the trade execution requirement. When the Commission issued the 2018 SEF complying with core principles and These swaps are exempted from the clearing NPRM, I proposed that we enhance the Commission regulations or winding down its requirement primarily because the risks on existing swaps trading system instead of operations. Based on its experience both sides of the swap are, at least in some dismantling it. For example, I urged the implementing the SEF regulatory regime, the respects, held within the same corporate Commission to clarify the floor trader Commission believes that these amended enterprise. As described in the final rule exception to the swap dealer registration resource requirements—some of which release, these swaps may not be traded at requirement and abolish the practice of post- simply reflect current practice—will be arms-length and serve primarily to move risk trade name give-up for cleared swaps. I am sufficient to ensure that a SEF is financially from one affiliate to another within the same pleased that the Commission already has stable while avoiding the imposition of enterprise. Neither market transparency nor acted favorably on both of those matters. unnecessary costs. Additional amendments price discovery would be enhanced by to part 37, including requirements that a SEF including these transactions within the trade 6 Rostin Behnam, Commissioner, CFTC, must prepare its financial statements in execution mandate. For these reasons, I am Dissenting Statement of Commissioner Rostin accordance with U.S. GAAP standards, approving the Exemptions from Swap Trade Behnam Regarding Electronic Trading Risk identify costs that it has excluded in Execution Requirement final rule as a Principles (June 25, 2020), https://www.cftc.gov/ determining its projected operated costs, and sensible exemption consistent with the PressRoom/SpeechesTestimony/behnamstatement notify the Commission within 48 hours if it relevant sections of the CEA. 062520b. is unable to comply with its financial 1 Swap Execution Facilities and Trade Execution resource requirements, will further enhance Conclusion Requirement, 83 FR 61946 (Nov. 30, 2018). the Commission’s ability to exercise it These two Final Rules provide targeted 2 Dissenting Statement of Commissioner Dan M. oversight responsibilities. changes to the SEF regulations based on Berkovitz Regarding Proposed Rulemaking on Swap Finally, this rule makes limited changes to Execution Facilities and Trade Execution experience from several years of Requirement (Nov, 5, 2018), available at https:// the Chief Compliance Officer (‘‘CCO’’) implementing them. These limited changes, www.cftc.gov/PressRoom/SpeechesTestimony/ together with the withdrawal of the berkovitzstatement110518a. 3 17 CFR 37.205(a), b(2)(iv). remainder of the 2018 SEF NPRM, effectively

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leave in place the basic framework of the SEF accompanied by a written comment. compound makes a negligible rules as originally adopted by the The written comment is considered the contribution to tropospheric ozone Commission. This framework has enhanced official comment and should include formation. Compounds that are less market transparency, improved competition, discussion of all points you wish to reactive than, or equally reactive to, lowered transaction costs, and resulted in ethane under certain assumed better swap prices for end users. While it make. EPA will generally not consider may be appropriate to make other comments or comment contents located conditions may be deemed negligibly incremental changes going forward, it is outside of the primary submission (i.e., reactive and, therefore, suitable for important that we affirm the established on the web, cloud, or other file sharing exemption by EPA from the regulatory regulatory program for SEFs to maintain system). For additional submission definition of VOC. EPA lists compounds these benefits and facilitate further expansion methods, please contact the person it has determined to be negligibly of this framework. identified in the FOR FURTHER reactive, and thus excluded from the I thank the staff of the Division of Market INFORMATION CONTACT section. For the regulatory definition of VOC, in 40 CFR Oversight for their work on these two rules full EPA public comment policy, 51.100(s). and their helpful engagement with my office. information about CBI or multimedia On November 28, 2018, EPA added [FR Doc. 2020–28945 Filed 2–11–21; 8:45 am] submissions, and general guidance on cis-1,1,1,4,4,4-hexafluorobut-2-ene (also BILLING CODE 6351–01–P making effective comments, please visit known as HFO–1336mzz-Z; Chemical http://www2.epa.gov/dockets/ Abstract Service (CAS) RN 692–49–9), a commenting-epa-dockets. hydrofluoroolefin, to the list of compounds excluded from the ENVIRONMENTAL PROTECTION FOR FURTHER INFORMATION CONTACT: AGENCY Andrew Lee, Physical Scientist, regulatory definition of VOC because it makes a negligible contribution to Attainment Planning and Maintenance ground-level ozone formation. See 83 40 CFR Part 52 Section, Air Programs Branch (AR–18J), FR 61127. [EPA–R05–OAR–2020–0542; FRL–10017– Environmental Protection Agency, 35–Region 5] Region 5, 77 West Jackson Boulevard, II. The Illinois Submittal Chicago, Illinois 60604, (312) 353–7645, On October 20, 2020, the Illinois Air Plan Approval; Illinois; Volatile [email protected]. The EPA Region Environmental Protection Agency Organic Material Definition Update 5 office is open from 8:30 a.m. to 4:30 (IEPA) submitted amendments to 35 IAC p.m., Monday through Friday, excluding AGENCY: Environmental Protection 211.7150 ‘‘Volatile Organic Material Federal holidays and facility closures Agency (EPA). (VOM) or Volatile Organic Compound due to COVID–19. (VOC)’’ for approval as revisions to the ACTION: Proposed rule. SUPPLEMENTARY INFORMATION: Illinois SIP. Illinois’ SIP currently SUMMARY: The Environmental Protection Throughout this document whenever includes a definition of VOM at 35 IAC Agency (EPA) is proposing to approve a ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean 211.7150. See 81 FR 95475 (Dec. 28, revision to the Illinois State EPA. 2016). Subsection (a) of 35 IAC 211.7150 includes a list of compounds excluded Implementation Plan (SIP). The revision I. Background Information will amend the Illinois Administrative from the regulatory definition of VOC, Code (IAC) by updating the definition of Tropospheric ozone, commonly which reflect some of the compounds volatile organic material (VOM) and known as smog, is formed when VOC EPA has excluded in 40 CFR 51.100(s), volatile organic compounds (VOC) to and nitrogen oxides (NOX) react in the on the basis that they make a negligible exclude (Z)-1,1,1,4,4,4-hexafluorobut-2- atmosphere in the presence of sunlight. contribution to tropospheric ozone ene. This revision is consistent with an Because of the harmful effects of ozone, formation. EPA rulemaking in 2018, which EPA and state governments implement The proposed SIP revision updates exempted this compound from the rules to limit the amount of certain VOC the compounds excluded from the Federal definition of VOC on the basis and NOX that can be released into the definition of VOM to conform to EPA’s that the compound makes a negligible atmosphere. VOC are those compounds recent exemption of a chemical contribution to tropospheric ozone of carbon (excluding carbon monoxide, compound from regulations of ozone formation. carbon dioxide, carbonic acid, metallic precursors. Specifically, the SIP revision carbides or carbonates, and ammonium excludes (Z)-1,1,1,4,4,4-hexafluorobut- DATES: Comments must be received on carbonate) that form ozone through 2-ene from the definition of VOM or or before March 15, 2021. atmospheric photochemical reactions. VOC at 35 IAC 211.7150. Illinois uses ADDRESSES: Submit your comments, VOC have different levels of reactivity; the International Union of Pure and identified by Docket ID No. EPA–R05– they do not react at the same speed or Applied Chemistry (IUPAC) preferred OAR–2020–0542 at http:// form ozone to the same extent. name of (Z)-1,1,1,4,4,4-hexafluorobut-2- www.regulations.gov, or via email to The Clean Air Act (CAA) requires the ene instead of cis-1,1,1,4,4,4- [email protected]. For regulation of VOC for various purposes. hexafluorobut-2-ene when addressing comments submitted at Regulations.gov, Section 302(s) of the CAA specifies that the compound. These changes do not follow the online instructions for EPA has the authority to define the interfere with the Federal listing of submitting comments. Once submitted, meaning of VOC, and hence, what excluded compounds, and provide more comments cannot be edited or removed compounds shall be treated as VOC for specific chemical composition, from Regulations.gov. For either manner regulatory purposes. EPA’s longstanding structural, and isomeric identification of submission, EPA may publish any policy is that compounds of carbon with information. Illinois also lists the comment received to its public docket. negligible reactivity need not be compound by its other identifiers: HFO– Do not submit electronically any regulated to reduce ozone and should be 1336mzz–Z and CAS No. 692–49–9. information you consider to be exempted from the regulatory definition The Illinois Pollution Control Board Confidential Business Information (CBI) of VOC. See 42 FR 35314 (July 8, 1977), (IPCB) held a public hearing on the or other information whose disclosure is 70 FR 54046 (Sept. 13, 2005). proposed SIP revision on July 16, 2020. restricted by statute. Multimedia EPA uses the reactivity of ethane as IPCB received three comments at the submissions (audio, video, etc.) must be the threshold for determining whether a public hearing that resulted in no

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substantial changes to the amendment. VI. Statutory and Executive Order Indian tribe has demonstrated that a IPCB also adopted minor administrative Reviews tribe has jurisdiction. In those areas of changes such as alphabetizing Under the CAA the Administrator is Indian country, the rule does not have compound names and adopting IUPAC required to approve a SIP submission tribal implications and will not impose names for some compounds listed at 35 that complies with the provisions of the substantial direct costs on tribal IAC 211.7150. CAA and applicable Federal regulations. governments or preempt tribal law as 42 U.S.C. 7410(k); 40 CFR 52.02(a). specified by Executive Order 13175 (65 III. EPA’s Analysis of the Proposed SIP FR 67249, November 9, 2000). Revision Thus, in reviewing SIP submissions, EPA’s role is to approve state choices, List of Subjects in 40 CFR Part 52 In 2014, EPA received a petition provided that they meet the criteria of Environmental protection, Air requesting that cis-1,1,1,4,4,4- the CAA. Accordingly, this action pollution control, Incorporation by hexafluorobut-2-ene be exempted from merely approves state law as meeting reference, Intergovernmental relations, VOC control based on its low reactivity, Federal requirements and does not Ozone, Reporting and recordkeeping using ethane as a benchmark. Based on impose additional requirements beyond requirements, Volatile organic the mass maximum incremental those imposed by state law. For that compounds. reactivity value for the compound being reason, this action: less than that of ethane, EPA concluded • Is not a significant regulatory action Dated: February 4, 2021. that this compound makes negligible subject to review by the Office of Cheryl Newton, contributions to tropospheric ozone Management and Budget under Acting Regional Administrator, Region 5. formation. Additionally, EPA Executive Orders 12866 (58 FR 51735, [FR Doc. 2021–02744 Filed 2–11–21; 8:45 am] considered risks not related to October 4, 1993) and 13563 (76 FR 3821, BILLING CODE 6560–50–P tropospheric ozone associated with January 21, 2011); currently allowed uses of the chemical • Is not an Executive Order 13771 (82 to be acceptable. As a result, on FR 9339, February 2, 2017) regulatory DEPARTMENT OF HEALTH AND November 28, 2018, EPA responded to action because SIP approvals are HUMAN SERVICES the petition by amending 40 CFR exempted under Executive Order 12866; 51.100(s) to exclude this chemical • Does not impose an information 42 CFR Part 100 compound from the definition of VOC collection burden under the provisions RIN 0906–AB24 for purposes of preparing SIPs to attain of the Paperwork Reduction Act (44 the national ambient air quality U.S.C. 3501 et seq.); National Vaccine Injury Compensation • standard for ozone under title I of the Is certified as not having a Program: Revisions to the Vaccine CAA. See 83 FR 61127 (Nov. 28, 2018). significant economic impact on a Injury Table; Notice of Proposed EPA’s action became effective on substantial number of small entities Rulemaking; Public Comment Period; January 28, 2019. under the Regulatory Flexibility Act (5 Delay of Effective Date By excluding cis-1,1,1,4,4,4- U.S.C. 601 et seq.); • AGENCY: hexafluorobut-2-ene from the definition Does not contain any unfunded Health Resources and Services of VOM at 35 IAC 211.7150, Illinois’ mandate or significantly or uniquely Administration (HRSA), Department of proposed SIP revision is consistent with affect small governments, as described Health and Human Services (HHS). EPA’s action amending the definition of in the Unfunded Mandates Reform Act ACTION: Notice of proposed rulemaking; VOC at 40 CFR 51.100(s). of 1995 (Pub. L. 104–4); proposed delay of effective date; request • Does not have federalism for comments. IV. What action is EPA taking? implications as specified in Executive Order 13132 (64 FR 43255, August 10, SUMMARY: In accordance with the EPA is proposing to approve the 1999); Presidential directive as expressed in revision to the Illinois SIP at 35 IAC • Is not an economically significant the memorandum of January 20, 2021, 211.7150 submitted on October 20, regulatory action based on health or from the Assistant to the President and 2020. The proposed approval of the safety risks subject to Executive Order Chief of Staff, entitled ‘‘Regulatory revision meets the criteria of the CAA 13045 (62 FR 19885, April 23, 1997); Freeze Pending Review,’’ this action and applicable Federal regulations. • Is not a significant regulatory action proposes, following a brief public comment period, to further delay until V. Incorporation by Reference subject to Executive Order 13211 (66 FR 28355, May 22, 2001); April 23, 2021, the effective date of the In this rule, EPA is proposing to • Is not subject to requirements of rule entitled ‘‘National Vaccine Injury include in a final EPA rule regulatory Section 12(d) of the National Compensation Program: Revisions to the text that includes incorporation by Technology Transfer and Advancement Vaccine Injury Table,’’ published in the reference. In accordance with Act of 1995 (15 U.S.C. 272 note) because Federal Register on January 21, 2021. requirements of 1 CFR 51.5, EPA is application of those requirements would That final rule is scheduled to take proposing to incorporate by reference be inconsistent with the Clean Air Act; effect on February 22, 2021. HHS seeks revisions to 35 IAC 211.7150 ‘‘Volatile and comments on this proposed delay, Organic Material (VOM) or Volatile • Does not provide EPA with the which would allow it additional Organic Compound (VOC)’’, effective discretionary authority to address, as opportunity for review and August 18, 2020. EPA has made, and appropriate, disproportionate human consideration of the new rule. will continue to make, these documents health or environmental effects, using DATES: Written comments and related generally available through practicable and legally permissible material to this proposed rule must be www.regulations.gov and at the EPA methods, under Executive Order 12898 received to the online docket via https:// Region 5 Office (please contact the (59 FR 7629, February 16, 1994). www.regulations.gov on or before person identified in the FOR FURTHER In addition, the SIP is not approved February 16, 2021. INFORMATION CONTACT section of this to apply on any Indian reservation land ADDRESSES: You may submit written preamble for more information). or in any other area where EPA or an comments electronically by the

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following method: Federal eRulemaking with the Regulatory Freeze Bureau) seeks comment on petitions for Portal: http://www.regulations.gov. Memorandum and OMB M–21–14, HHS emergency relief from parties asking the Follow the instructions on the website proposes to delay the effective date of Federal Communications Commission for submitting comments. the final rule revising the Vaccine Injury (Commission) to permit the use of E- Instructions. Include the HHS Docket Table to April 23, 2021, which would be Rate program funds to support remote No. HRSA–2021–0001 in your 60 days beyond its original effective learning during this unprecedented comments. All comments received will date. HHS needs to extend the effective public health emergency. be posted without change to http:// date of the underlying rule by 60 days DATES: Comments are due February 16, www.regulations.gov. Please do not to determine whether its promulgation 2021 and Reply Comments are due include any personally identifiable or raises any legal issues, including but not February 23, 2021. confidential business information you limited to (1) whether the Advisory ADDRESSES: Pursuant to sections 1.415 do not want publicly disclosed. Commission on Childhood Vaccines and 1.419 of the Commission’s rules, 47 FOR FURTHER INFORMATION CONTACT: was properly notified of the proposed CFR 1.415, 1.419, interested parties may Please visit the National Vaccine Injury rule pursuant to 42 U.S.C. 300aa–14(c), file comments on or before February 16, Compensation Program’s website, and (2) whether the public was properly 2021, and reply comments on or before https://www.hrsa.gov/vaccine notified of the entire revised regulation, February 23, 2021. All filings should compensation/, or contact Tamara 42 CFR 100.3(b)–(e) (including the refer to WC Docket No. 21–31. Overby, Acting Director, Division of qualifications and aids to interpretation Comments may be filed by paper or by Injury Compensation Programs, and the coverage provisions), given that using the Commission’s Electronic Healthcare Systems Bureau, HRSA, both the proposed and final rules Comment Filing System (ECFS). See Room 08N146B, 5600 Fishers Lane, published in the Federal Register Electronic Filing of Documents in Rockville, MD 20857; by email at included only the revised Vaccine Rulemaking Proceedings, 63 FR 24121 [email protected]; or by Injury Table itself, but not the entire (1998). telephone at (855) 266–2427. revised regulation. HHS believes that D the proposed delay is reasonable, would Electronic Filers: Comments and SUPPLEMENTARY INFORMATION: HHS replies may be filed electronically using published a notice of proposed allow HHS time to receive public comments, and would not be disruptive the internet by accessing ECFS: http:// rulemaking on July 20, 2020 (85 FR www.fcc.gov/ecfs. 43794), and final rule on January 21, since the underlying rule has not yet D Paper Filers: Parties who choose to 2021 (86 FR 6249). That final rule taken effect and the agency has not yet file by paper must file an original and amended the provisions of 42 CFR 100.3 implemented the rule. one copy of each filing. If more than one by removing Shoulder Injury Related to HHS seeks comment on the proposed docket or rulemaking number appears in Vaccine Administration, vasovagal delay, including the proposed delay’s the caption of this proceeding, filers syncope, and Item XVII from the impact on any legal, factual, or policy must submit two additional copies for Vaccine Injury Table. The January 20, issues raised by the underlying rule and each additional docket or rulemaking 2021, memorandum from the Assistant whether further review of those issues number. to the President and Chief of Staff, warrants such a delay. All other D Filings can be sent by commercial entitled ‘‘Regulatory Freeze Pending comments on the underlying rule will overnight courier or by first-class or Review,’’ instructed federal agencies to be considered to be outside the scope of overnight U.S. Postal Service mail. consider delaying the effective date of this rulemaking. HHS therefore seeks Filings must be addressed to the rules published in the Federal Register, comment by February 16, 2021 on its Commission’s Secretary, Office of the but which have not yet taken effect, for proposal to extend the effective date by Secretary, Federal Communications a period of 60 days so that the new 60 days to April 23, 2021. Commission. Administration may review recently Norris Cochran, D Commercial overnight mail (other published rules for ‘‘any questions of Acting Secretary, Department of Health and fact, law, and policy the rule may raise.’’ than U.S. Postal Service Express Mail Human Services. and Priority Mail) must be sent to 9050 The memorandum notes certain [FR Doc. 2021–03069 Filed 2–11–21; 8:45 am] exceptions that do not apply here. On Junction Drive, Annapolis Junction, MD BILLING CODE 4165–15–P January 20, 2021, the Office of 20701. Management and Budget (OMB) also D U.S. Postal Service first-class, published OMB Memorandum M–21– Express, and Priority mail must be FEDERAL COMMUNICATIONS 14, Implementation of Memorandum addressed to 45 L St NE, Washington, COMMISSION Concerning Regulatory Freeze Pending DC 20554. Effective March 19, 2020, and until Review, which provides guidance 47 CFR Part 54 regarding the Regulatory Freeze further notice, the Commission no Memorandum. See OMB M–21–14, [WC Docket No. 21–31; DA 21–98; FRS longer accepts any hand or messenger Implementation of Memorandum 17466] delivered filings. This is a temporary Concerning Regulatory Freeze Pending measure taken to help protect the health Wireline Competition Bureau Seeks Review, https://www.whitehouse.gov/ and safety of individuals, and to Comment on Petitions for Emergency wp-content/uploads/2021/01/M-21-14- mitigate the transmission of COVID–19. Relief To Allow the Use of E-Rate Regulatory-Review.pdf. OMB M–21–14 FOR FURTHER INFORMATION CONTACT: Funds To Support Remote Learning explains that pursuant to the Regulatory Gabriela Gross, Wireline Competition During the COVID–19 Pandemic Freeze Memorandum, agencies ‘‘should Bureau, (202) 418–7400 or by email at consider postponing the effective dates AGENCY: Federal Communications [email protected]. We ask that for 60 days and reopening the Commission. requests for accommodations be made rulemaking process’’ for ‘‘rules that have ACTION: Solicitation of comments. as soon as possible in order to allow the not yet taken effect and about which agency to satisfy such requests questions involving law, fact, or policy SUMMARY: In this document, the whenever possible. Send an email to have been raised.’’ Id. In accordance Wireline Competition Bureau (the [email protected] or call the Consumer

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and Governmental Affairs Bureau at in these proceedings should familiarize petition for declaratory ruling and (202) 418–0530 themselves with the Commission’s ex waivers asking the FCC to allow E-Rate- SUPPLEMENTARY INFORMATION: This is a parte rules. funded services and equipment to be summary of the Bureau’s Public Notice The COVID–19 pandemic has used off-campus to enable remote in WC Docket No. 21–31; DA 21–98, underscored the critical need for learning for the duration of the released on February 1, 2021. Due to the broadband connections for millions of pandemic. SHLB urges the Bureau, on COVID–19 pandemic, the Commission’s Americans, including students and delegated authority, to declare that headquarters will be closed to the teachers across the country. To mitigate during the pandemic, remote learning general public until further notice. See the spread of the disease, schools and meets the standard of serving an FCC Announces Closure of FCC libraries have shut their doors and ‘‘educational purpose’’ and thus, any Headquarters Open Window and transitioned to remote learning and off-campus use does not need to be Change in Hand-Delivery Policy, Public virtual services, either in whole or in removed from funding requests. SHLB Notice, DA 20–304 (March 19, 2020). part, leaving those students who found also proposes opening a separate https://www.fcc.gov/document/fcc- themselves caught in the ‘‘Homework ‘‘Remote Learning Application Filing closes-headquarters-open-window-and- Gap’’ before the pandemic facing Window’’ to allow applicants to file changes-hand-delivery-policy. The full extraordinary hardship and at risk of new or revised requests for additional E- text of this document is available at the being unable to participate in any Rate funds for off-campus services and following internet address: https:// virtual studies. equipment that facilitate remote As a result of the impact of the www.fcc.gov/document/fcc-seeks- learning during funding years 2020 and COVID–19 pandemic on schools and comment-using-e-rate-funding-support- 2021. SHLB recommends that the FCC libraries, the Commission has received remote-learning. provide unused E-Rate funds to support at least 11 petitions for emergency relief these Remote Learning applications and Proceedings in this document shall be from parties asking the FCC to permit treated as a ‘‘permit-but-disclose’’ use the existing E-Rate discount the use of E-Rate program funds to methodologies to prioritize funding. proceeding in accordance with the support remote learning during this Commission’s ex parte rules. Persons SHLB further requests a waiver of E- unprecedented public health emergency Rate program rules, including the making ex parte presentations must file (collectively, Petitions). By this competitive bidding, application, and a copy of any written presentation or a document, the Bureau seeks comment eligible services rules to facilitate the memorandum summarizing any oral on those Petitions. In so doing, the Remote Learning Application Filing presentation within two business days Bureau highlights three of the petitions, Window. after the presentation (unless a different that together raise most of the issues Last fall, Colorado filed a petition deadline applicable to the Sunshine covered by other Petitioners: A petition requesting waiver of the prohibition on period applies). Persons making oral ex filed by a coalition of E-Rate the use of E-Rate funds and E-Rate- parte presentations are reminded that stakeholders led by the Schools, Health funded facilities and services to allow memoranda summarizing the & Libraries Broadband (SHLB) Coalition, schools to extend their broadband presentation must list all persons a petition for waiver filed on behalf of internet connectivity to students who attending or otherwise participating in the State of Colorado and one filed by lack adequate internet connectivity at the meeting at which the ex parte the State of Nevada, the Nevada State home, and the requirement to cost- presentation was made, and summarize Board of Education, and the Nevada allocate such off-campus use. Colorado all data presented and arguments made Department of Education. explains that temporarily waiving the during the presentation. If the As the pandemic continues to force restrictions on off-campus use of E-Rate- presentation consisted in whole or in schools and libraries across the country supported equipment and services is part of the presentation of data or to remain closed and rely on remote consistent with the Communications arguments already reflected in the learning and virtual services, either in Act, which requires the Commission to presenter’s written comments, whole or in part, the need for broadband provide support for services that ‘‘are memoranda or other filings in the connections—particularly for those essential to education, public health, or proceeding, the presenter may provide students, teachers, staff, and patrons public safety’’ and ‘‘are consistent with citations to such data or arguments in that lack an adequate connection at the public interest, convenience, and his or her prior comments, memoranda, home—is more critical than ever. necessity.’’ Colorado further explains or other filings (specifying the relevant Eligible schools and libraries explain that because the school classroom has page and/or paragraph numbers where that they are hampered in their ability shifted from a shared physical space to such data or arguments can be found) in to address the connectivity needs a virtual space during the pandemic, the lieu of summarizing them in the brought on, and in many cases Commission can and should waive the memorandum. Documents shown or exacerbated, by COVID–19 because of E-Rate program requirements given to Commission staff during ex the restrictions on off-campus use of E- accordingly to provide students with the parte meetings are deemed to be written Rate-funded services and facilities. Last broadband internet connectivity needed ex parte presentations and must be filed spring, as the COVID–19 pandemic to fully engage in remote learning. consistent with rule § 1.1206(b). In forced schools and libraries to grapple Colorado contends that the FCC can rely proceedings governed by rule § 1.49(f) with the challenges of transitioning to on the same statutory authority to allow or for which the Commission has made remote learning, the FCC began to schools to extend connectivity to available a method of electronic filing, receive requests for emergency relief students’ homes that the Commission written ex parte presentations and aimed at ensuring that all students have relied on to establish the Connected memoranda summarizing oral ex parte sufficient connectivity at home. Below, Care Pilot Program, which funds the presentations, and all attachments the Bureau summarizes three petitions, purchase of internet access service for thereto, must be filed through the which reflect the experience of schools participating telehealth patients’ remote electronic comment filing system and libraries dealing with many months use. available for that proceeding, and must of remote learning. Last summer, Nevada filed a request be filed in their native format (e.g., .doc, Most recently, a coalition of for waiver of the restrictions on the use .xml, .ppt, searchable .pdf). Participants stakeholders led by SHLB filed a of E-Rate-funded broadband

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connectivity beyond school property. limited E-Rate funds from waste, fraud, pandemic and asserts that remote Nevada proposes to install fixed and abuse. At the same time, due to the learning will remain a significant, if not wireless hotspots on the roofs of school urgency with which schools have exclusive, mode of instruction through buildings to extend their E-Rate-funded needed to adapt to remote learning, both at least the 2020–21 school year. SHLB broadband internet connectivity to a the Colorado and SHLB Petitions seek requests that the Commission waive its two-to-three-mile radius around each waivers of competitive bidding rules. In restrictions on off-campus use for school site for students’ and staff’s use. the absence of such a safeguard, how funding years 2020 and 2021, due to the Nevada specifies that access to the can the Commission ensure that uncertainties of whether students will schools’ networks would be restricted to applicants are making cost-effective be able to return to the classrooms students and staff through specific purchases? Is payment of the non- during the upcoming 2021–2022 school credentials or by their registered discount share a sufficient incentive to year. If relief is granted to the devices. According to Nevada, by prevent wasteful spending? Would the Petitioners, should the relief provided leveraging existing fiber connections, same be true if adjustments are made to apply on a prospective basis in order to fixed wireless hotspots could ‘‘bridge the non-discount share? What steps target the students and staff that remain 60% of the current connectivity gaps have schools and libraries that are without adequate home internet access? that exist due to geographic and currently providing off-premises Or, recognizing that COVID–19 has economic limitations across the State.’’ broadband services to students, staff and forced schools and libraries across the The Bureau seeks comment on these patrons taken to ensure that they are country to dramatically shift the way and the other issues raised by the three making cost effective purchases? What they operate and provide education and above-referenced petitions as well as the other limitations or guardrails exist or library services since the first closures other petitions. To focus our are necessary to prevent waste, fraud, or began in March 2020, should the relief consideration of the requests, the abuse of E-Rate program funds? Should, provided apply retroactively to services Bureau offers some more specific areas for example, the Commission subject and equipment purchased during of inquiry. recipients of E-rate funds for remote funding year 2020? If funding is allowed The Bureau seeks comment on the learning equipment and services to for prior purchases, how can the specific equipment and services that E- audits similar to those conducted in the Commission ensure that limited E-Rate Rate should support to fund off-campus regular E-Rate program? Should the funds are not used to pay for services access to broadband services for Commission apply existing E-Rate and equipment that were reimbursed students, staff and patrons who lack program record keeping requirements to with other federal funding, including adequate home internet access. For any funds it provides to enable remote funding made available through the example, the SHLB Petition requests E- learning? What other measures should CARES Act or through the Emergency Rate support for wired or wireless the FCC use to safeguard these funds Broadband Benefits Program? network equipment and services and ensure they are used to target Commenters should explain how the necessary for remote learning, students and teachers who lack funding sought through the E-Rate including, but not limited to, wireless sufficient internet access at home? program to address insufficient internet hotspot devices and fixed or mobile Publicly available information access at home would not be duplicative wireless towers. Do other commenters strongly suggests that substantially more of funding available through the agree that these services and equipment funding might be needed than is Emergency Broadband Benefits are needed to support remote learning? potentially available through the E-Rate Program. What are the guardrails or Are there other or different services or program. In the event that demand other measures that should be used to equipment that are needed to support exceeds available funding, how should avoid duplication of limited funds and remote learning? For example, should the off-campus requests be prioritized? ensure the funds are targeted to students modems, routers, devices that combine The Bureau seeks comment on the best and teachers lacking adequate internet a modem and router, or connected approach to quickly and equitably make access at home? Should the Commission devices be eligible? With respect to funding available to those with the most prioritize prospective relief over broadband connectivity, what level of need. service is required to support remote How can the Commission ensure that reimbursements for prior purchases? learning? The Bureau also seeks available funds are efficiently targeted What should be the timeframe for this comment on the cost of the services and and focused on the needs of rural relief? Should it start when the COVID– equipment needed to support remote students; Native American, African 19 pandemic was declared a national learning. The Bureau encourages American and LatinX students; students emergency? Should it end when the schools, libraries and other stakeholders with disabilities; and other populations national emergency is rescinded, or that have recent experience with these of students that are disproportionally should another marker be used to define services and costs to provide specific affected by the Homework Gap or are this period? information about the services they are more expensive or difficult to reach? According to SHLB and Colorado, purchasing, the costs they are paying Does the E-Rate program’s existing allowing E-Rate-funded off-campus and what they have done to ensure the discount rate system adequately target support for students with inadequate services are sufficient and the costs are students that fall into the Homework internet access at home during the reasonable. Gap, especially low-income students pandemic is consistent with the E-Rate program rules require and those in rural or remote areas? How Commission’s authority to determine applicants to select the most cost- can the Commission prioritize limited which services to support under the effective service offering, consistent E-Rate support to those students, staff, Communications Act. SHLB explains with section 254(h)(2)(A) of the Act. or patrons that still do not have that the Commission can clarify that off- Competitive bidding is a cornerstone of adequate home internet access to fully campus use of equipment to support the E-Rate program, ensuring that engage in remote learning? remote learning during the pandemic applicants are informed of their options Colorado requests that the constitutes an educational purpose and service providers have sufficient Commission waive its restrictions on under section 254(h)(1)(B). Colorado information to provide services, leading off-campus use of E-Rate-supported asserts that the inaccessibility of to cost-effective pricing, and protecting services during the COVID–19 physical classrooms during the

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pandemic enables the Commission to DEPARTMENT OF COMMERCE Docket: This rule is accessible via the deem at-home connectivity eligible for internet at the Office of the Federal these purposes under section 254(c)(1), National Oceanic and Atmospheric Register website at https:// which requires the Commission to take Administration www.federalregister.gov. Background into consideration, when determining information and documents are eligible services, which services ‘‘are 50 CFR Part 300 available at the NMFS West Coast essential to education, public health, or [Docket No. 210205–0014] Region website at https:// public safety’’ and ‘‘are consistent with www.fisheries.noaa.gov/west-coast/ RIN 0648–BK27 the public interest, convenience, and sustainable-fisheries/fisheries- management-west-coast and at the necessity.’’ SHLB offers a variety of Pacific Halibut Fisheries; Catch Council’s website at http:// arguments for rejecting suggestions that Sharing Plan the reference to ‘‘classrooms’’ in section www.pcouncil.org. Other comments received may be accessed through 254(b)(6) and 254(h)(2)(A) which AGENCY: National Marine Fisheries Regulations.gov. provide that ‘‘[t]he Commission shall Service (NMFS), National Oceanic and establish competitively neutral rules Atmospheric Administration (NOAA), FOR FURTHER INFORMATION CONTACT: Commerce. . . . to enhance, to the extent Kathryn Blair, phone: 503–231–6858, technically feasible and economically ACTION: Proposed rule; request for fax: 503–231–6893, or email: reasonable, access to advanced comments. [email protected]. SUPPLEMENTARY INFORMATION: telecommunications and information SUMMARY: NMFS proposes to approve services for all public and nonprofit changes to the Pacific Halibut Catch Background elementary and secondary school Sharing Plan for the International The Northern Pacific Halibut Act of classrooms . . . .’’ limits the Pacific Halibut Commission’s regulatory 1982 (Halibut Act) gives the Secretary of Commission’s ability to provide E-Rate Area 2A off of Washington, Oregon, and Commerce (Secretary) responsibility for supported broadband for remote California. In addition, NMFS proposes implementing the provisions of the learning. SHLB points out that the to implement management measures Halibut Convention between the United Commission already provides E-rate governing the 2021 recreational fisheries States and Canada. 16 U.S.C. 773–773k. support for some off-campus services that are not implemented through the The Halibut Act requires that the and echoes Colorado’s argument that International Pacific Halibut Secretary adopt regulations to carry out during the pandemic students’ and Commission. These measures include the purposes and objectives of the teachers’ homes have become virtual the recreational fishery seasons, Halibut Convention and Halibut Act. 16 classrooms. Both SHLB and Colorado allocations, and management measures U.S.C. 773(c). The Halibut Act also argue that the Commission relied on its for Area 2A. These actions are intended authorizes the regional fishery authority under section 254(h)(2)(A) of to conserve Pacific halibut and provide management councils having authority the Act to allow health care providers to angler opportunity where available. for a particular geographic area to purchase internet access services for DATES: Comments on the proposed rule develop regulations in addition to, but participating patients’ use in their must be received on or before March 15, not in conflict with, regulations issued homes or mobile locations during the 2021. by the International Pacific Halibut pandemic in the Connected Care Pilot ADDRESSES: Submit your comments, Commission (IPHC) to govern the Program and can take a similar action in identified by NOAA–NMFS–2020–0157, Pacific halibut catch in U.S. Convention the E-Rate program. They also both by either of the following methods: waters (16 U.S.C. 773c(c)). • point out that the Commission has the Federal e-Rulemaking Portal: Go to Since 1988, the Pacific Fishery statutory authority to designate www.regulations.gov/ Management Council (Council) has additional E-Rate supported services. #!docketDetail;D=NOAA-NMFS-2020- developed, and NMFS has approved, 0157, click the ‘‘Comment Now!’’ icon, annual Catch Sharing Plans that allocate The Bureau invites other stakeholders to complete the required fields, and enter the IPHC regulatory Area 2A Pacific comment on the Commission’s legal or attach your comments. halibut catch limit between treaty authority to use E-Rate funding to help • Mail: Submit written comments to Indian and non-Indian harvesters, and address the remote learning challenges Barry Thom, c/o Kathryn Blair, West among non-Indian commercial and created by the COVID–19 Pandemic. Coast Region, NMFS, 1201 NE Lloyd recreational (sport) fisheries. In 1995, Federal Communications Commission. Blvd., Suite 1100, Portland, OR 97232. the Council recommended, and NMFS Cheryl Callahan, Instructions: NMFS may not consider approved, a long-term Area 2A Catch Assistant Chief, Telecommunications Access comments if they are sent by any other Sharing Plan (60 FR 14651; March 20, Policy Division Wireline Competition Bureau. method, to any other address or 1995). NMFS has been approving individual, or received after the adjustments to the Area 2A Catch [FR Doc. 2021–02997 Filed 2–10–21; 4:15 pm] comment period ends. All comments Sharing Plan based on Council BILLING CODE 6712–01–P received are a part of the public record recommendations each year to address and NMFS will post them for public the changing needs of these fisheries. viewing on www.regulations.gov While the full Catch Sharing Plan is not without change. All personal identifying published in the Federal Register, it is information (e.g., name, address, etc.), made available on the Council and confidential business information, or NMFS websites. otherwise sensitive information At its annual meeting January 25–29, submitted voluntarily by the sender is 2021, the IPHC recommended an Area publicly accessible. NMFS will accept 2A catch limit. This catch limit is anonymous comments (enter ‘‘N/A’’ in derived from the total constant the required fields if you wish to remain exploitation yield (TCEY), which anonymous). includes commercial discards and

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bycatch estimates calculated using a of the Council’s recommended changes https://www.pcouncil.org/managed_ formula developed by the IPHC. As to the Catch Sharing Plan as discussed fishery/pacific-halibut/. provided in the Halibut Act at 16 U.S.C. below. Proposed 2021 Recreational Fishery 773b, the Secretary of State, with the 1. In section 6.9.3(h) of the Catch Management Measures concurrence of the Secretary of Sharing Plan, the Council recommended Commerce, may accept or reject, on removing prohibition on fishing within Following the Council’s behalf of the United States, regulations two Yelloweye Rockfish Conservation recommendations in the Catch Sharing recommended by the IPHC in Areas (YRCAs) to be consistent with Plan, NMFS also proposes to implement accordance with the Convention. West Coast groundfish regulations. The recreational fishery management Following acceptance by the Secretary 2021–2022 groundfish harvest measures, including season dates for the of State, the annual management specifications final rule (85 FR 79880; 2021 fishery. The Catch Sharing Plan measures promulgated by the IPHC are December 11, 2020) included a includes a framework for setting days published in the Federal Register to modification to regulations at 50 CFR open for fishing by subarea, and each provide notice of their immediate 660.360(c)(1)(i)(B) and (C) to allow for state submits final recommended season regulatory effectiveness and to inform recreational fishing for groundfish and dates annually to NMFS during the persons subject to the regulations of halibut within the South Coast proposed rule comment period. This their restrictions and requirements (50 Recreational YRCA and the Westport proposed rule contains dates for the CFR 300.62). The rule containing the Offshore Recreational YRCA. Consistent recreational (though referred to as 2020 IPHC regulations and management with the groundfish regulations, this ‘‘sport’’ in IPHC documents, measures was published in the Federal Catch Sharing Plan change removes the ‘‘recreational’’ will be used in this rule) Register on March 13, 2020 (85 FR prohibition on recreational groundfish fisheries based on the 2021 Catch 14586). and halibut fishing in these two YRCAs Sharing Plan as recommended by the This rule proposes to approve the and removes the description of the Council. The season dates preferred for Council’s recommended changes to the YCRAs. Washington, following input from the Catch Sharing Plan for IPHC regulatory 2. In section 6.10(g) of the Catch public, are proposed here. The proposed Area 2A, which affect only the Sharing Plan, the Council recommended season dates for Oregon are based on the recreational fishery. In addition, this allowing anglers fishing for Pacific Catch Sharing Plan framework and rule would implement 2021 recreational halibut in the Columbia River subarea in season dates from 2020. The proposed Pacific halibut fishery management Washington to retain certain midwater season dates for California are the start measures, which include season rockfish species, specifically yellowtail, and end dates in the 2021 Catch Sharing opening and closing dates, retention of widow, canary, redstriped, greenstriped, Plan, including the revised season end groundfish species, allowable gear, and silvergray, chilipepper, bocaccio, and date of November 15. The final rule will opening closed areas that are set in blue/deacon rockfish, in addition to the provide season dates based on public NMFS regulations. These management species currently allowed for retention. comment, including comments from measures were developed through the This change would increase angler Oregon and California after each state Council’s public process and are opportunity by permitting retention of has concluded its public meetings detailed below. more groundfish species than were gathering input on season dates. previously allowed in regulation. Separate from this rule and described Proposed Changes to the 2021 Area 2A 3. In section 6.11.1(g) and 6.11.2(g) of above, annual management measures Catch Sharing Plan the Catch Sharing Plan, the Council promulgated by the IPHC are published Each year at the Council’s September recommended allowing anglers in each year through a final rule under meeting, members of the public have an Oregon to use long-leader fishing gear to NMFS authority to implement the opportunity to propose changes to the retain certain groundfish species on the Halibut Convention (50 CFR 300.62). Catch Sharing Plan for consideration by same fishing trip in which they also For the 2020 fishing season, the final the Council. At the September 2020 participate in the all-depth halibut rule for the IPHC regulations was Council meeting, Washington fishery. This change would increase published on March 13, 2020 (85 FR Department of Fish and Wildlife angler opportunity by permitting 14586), and the final rule for Area 2A (WDFW), Oregon Department of Fish retention of more species than were recreational fisheries was published on and Wildlife (ODFW), and California previously allowed in regulation. May 1, 2020 (85 FR 25317). At the 2021 Department of Fish and Wildlife 4. In section 6.12(d) of the Catch IPHC meeting, the IPHC approved the (CDFW) proposed changes to the Catch Sharing Plan, the Council recommended 2021 halibut regulations. NMFS plans to Sharing Plan. The Council voted to changing the season end date on the publish those regulations prior to the solicit public input on most of the California Coast from October 31 to start of the 2021 halibut fishery if changes recommended by WDFW, November 15. In 2019, the California approved by the Secretary of State with ODFW, and CDFW. Input on these recreational fishery was open May 1 concurrence by the Secretary of proposed changes was then gathered through October 31, and attained Commerce. through public workshops subsequently around 17,000 pounds of the 39,000 NMFS proposes the following Area held by WDFW and ODFW. pound quota. This change provides 2A recreational fishery management At its November 2020 meeting, the flexibility to extend the season by two measures consistent with the Council’s Council considered the input received weeks to allow for additional angler Catch Sharing Plan. After the through these public workshops on the opportunity. opportunity for public comment, NMFS changes to the Catch Sharing Plan Additional discussion of these will publish a final rule approving the proposed by WDFW, ODFW, and changes is included in the materials Catch Sharing Plan and promulgating CDFW, along with other public input submitted to the Council at its the annual management measures for provided at the 2020 September and September and November meetings, the Area 2A recreational fishery, as November Council meetings, and made available at https://www.pcouncil.org/ required by implementing regulations at its final recommendations for council-meetings/previous-meetings/. A 50 CFR 300.63(b)(1). The subarea modifications to the Catch Sharing Plan version of the Catch Sharing Plan allocations in this proposed rule are to NMFS. NMFS proposes to approve all including these changes can be found at based on the 2021 IPHC halibut

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regulations approved by the IPHC and IPHC. Any closure will be announced September 30, whichever is earlier. If the allocation formula in the Council’s on the NMFS hotline at (206) 526–6667 the fishery is closed prior to September Catch Sharing Plan. or 800–662–9825. 30, and there is insufficient quota (b) The daily bag limit is one halibut remaining to reopen the Washington 2021 Annual Recreational Management of any size per day per person. South coast, northern nearshore area for Measures (c) Recreational fishing for groundfish another fishing day, then any remaining The recreational fishing subareas, and halibut is prohibited within the quota may be transferred in-season to subquotas, fishing dates, and daily bag North Coast Recreational Yelloweye another Washington coastal subarea by limits are as follows, except as modified Rockfish Conservation Area (YRCA). It NMFS. under the inseason actions consistent is unlawful for recreational fishing (b) The daily bag limit is one halibut with 50 CFR 300.63(c). All recreational vessels to take and retain, possess, or of any size per day per person. fishing in Area 2A is managed on a land halibut taken with recreational gear (c) Seaward of the boundary line ‘‘port of landing’’ basis, whereby any within the North Coast Recreational approximating the 30-fm (55-m) depth halibut landed into a port counts toward YRCA. A vessel fishing with contour and during days open to the the quota for the area in which that port recreational gear in the North Coast primary fishery, lingcod may be taken, is located, and the regulations governing Recreational YRCA may not be in retained and possessed when allowed the area of landing apply, regardless of possession of any halibut. Recreational by groundfish regulations at 50 CFR the specific area of catch. vessels may transit through the North 660.360(c). Coast Recreational YRCA with or (d) Recreational fishing for groundfish Washington Puget Sound and the U.S. without halibut on board. The North and halibut is allowed within the South Convention Waters in the Strait of Juan Coast Recreational YRCA is a C-shaped Coast Recreational YRCA and Westport de Fuca area off the northern Washington coast Offshore Recreational YRCA. The South The quota for the area in Puget Sound intended to protect yelloweye rockfish. Coast Recreational YRCA is defined at and the U.S. waters in the Strait of Juan The North Coast Recreational YRCA is 50 CFR 660.70(e). The Westport de Fuca, east of a line extending from defined in groundfish regulations at 50 Offshore Recreational YRCA is defined 48°17.30′ N lat., 124°23.70′ W long. CFR 660.70(b). at 50 CFR 660.70(f). ° ′ ° ′ north to 48 24.10 N lat., 124 23.70 W Columbia River Subarea long., is 78,291 lb (35.5 metric tons Washington South Coast Subarea (mt)). The quota for landings into ports in The quota for landings into ports in (a) The fishing seasons are: the area between Leadbetter Point, WA the area between the Queets River, WA ° ′ (i) For the area in Puget Sound and ° ′ (46 38.17 N lat.), and Cape Falcon, OR (47 31.70 N lat.), and Leadbetter Point, ° ′ the U.S. waters in the Strait of Juan de WA (46°38.17′ N lat.), is 63,636 lb (28.9 (45 46.00 N lat.), is 18,662 lb (8.5 mt). Fuca, east of a line at approximately mt). (a) This subarea is divided into an all- 123°49.60′ W long., fishing is open (a) This subarea is divided between depth fishery and a nearshore fishery. April 22–24, April 29–May 1; May 6–8, the all-depth fishery (the Washington The nearshore fishery is allocated 500 lb 13–15, 20–22, 28–30; June 3–5, 10–12, South coast primary fishery), and the (0.23 mt) of the subarea allocation. The nearshore fishery extends from 17–19, and 24–26, or until there is not incidental nearshore fishery in the area ° ′ sufficient quota for another full day of from 47°31.70′ N lat. south to 46°58.00′ Leadbetter Point (46 38.17 N lat., 124°15.88′ W long.) to the Columbia fishing and the area is closed by the N lat. and east of a boundary line ° ′ ° ′ IPHC. Any closure will be announced approximating the 30-fm (55-m) depth River (46 16.00 N lat., 124 15.88 W on the NMFS hotline at (206) 526–6667 contour. This area (the Washington long.) by connecting the following coordinates in Washington: 46°38.17′ N or 800–662–9825. South coast, northern nearshore area) is ° ′ ° ′ (ii) For the area in U.S. waters in the lat., 124 15.88 W long., 46 16.00 N lat., defined by straight lines connecting all ° ′ Strait of Juan de Fuca, approximately of the following points in the order 124 15.88 W long., and connecting to between 124°23.70′ W long. and stated as described by the following the boundary line approximating the 40- 123°49.60′ W long., fishing is open May coordinates: fm (73-m) depth contour in Oregon. The 6, 8, 13, 15, 20, 22, 28–30; June 3–5, 10– (1) 47°31.70′ N lat., 124°37.03′ W nearshore fishery opens May 10, and 12, 17–19, 24–26, or until there is not long.; continues on Monday, Tuesday, and sufficient quota for another full day of (2) 47°25.67′ N lat., 124°34.79′ W Wednesday each week until the fishing and the area is closed by the long.; nearshore allocation is taken, or on IPHC. Any closure will be announced (3) 47°12.82′ N lat., 124°29.12′ W September 30, whichever is earlier. The on the NMFS hotline at (206) 526–6667 long.; all-depth fishing season is open May 6, ° ′ ° ′ or 800–662–9825. (4) 46 58.00 N lat., 124 24.24 W 9, 13, 16, 20, 23, 27; June 3, 6, 10, 13, (b) The daily bag limit is one halibut long. 17, 20, 24, 27, or until there is not of any size per day per person. The primary fishery season dates are sufficient quota for another full day of May 6, 9, 13, 16, 20, 23, 27; June 17, 20, fishing and the area is closed by the Washington North Coast Subarea 24, 27, or until there is not sufficient IPHC, or on September 30, whichever is The quota for landings into ports in quota for another full day of fishing and earlier. Any closure will be announced the area off the north Washington coast, the area is closed by the IPHC. Any on the NMFS hotline at (206) 526–6667 west of a line at approximately closure will be announced on the NMFS or 800–662–9825. Subsequent to this 124°23.70′ W long. and north of the hotline at (206) 526–6667 or 800–662– closure, if there is insufficient quota Queets River (47°31.70′ N lat.), is 9825. If sufficient quota remains, the remaining in the Columbia River 128,928 lb (58.5 mt). fishing season in the nearshore area subarea for another fishing day, then (a) The fishing seasons are: commences the Saturday subsequent to any remaining quota may be transferred (i) Fishing is open May 6, 8, 13, 15, the closure of the primary fishery and inseason to another Washington and/or 20, 22, 28, 30; June 3, 5, 10, 12, 17, 19, continues seven days per week until Oregon subarea by NMFS. Any 24, and 26, or until there is not 63,636 lb (28.9 mt) is projected to be remaining quota would be transferred to sufficient quota for another full day of taken by the two fisheries combined and each state in proportion to its fishing and the area is closed by the the fishery is closed by the IPHC or on contribution.

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(b) The daily bag limit is one halibut season and summer season quotas in the depth contour, halibut possession and of any size per day per person. area between Cape Falcon and Humbug retention by vessels operating seaward (c) Pacific Coast groundfish may not Mountain, OR, are estimated to have of a boundary line approximating the be taken and retained, possessed or been taken and the area is closed by the 40-fm (73-m) depth contour is landed when halibut are on board the IPHC. NMFS will announce on the prohibited. vessel, except sablefish, Pacific cod, NMFS hotline (206) 526–6667 or (800) (e) Recreational fishing for groundfish flatfish species, yellowtail rockfish, 662–9825 in July whether the fishery and halibut is prohibited within the widow rockfish, canary rockfish, will re-open for the summer season in Stonewall Bank YRCA. It is unlawful for redstriped rockfish, greenstriped August. Additional fishing days may be recreational fishing vessels to take and rockfish, silvergray rockfish, opened if sufficient quota remains after retain, possess, or land halibut taken chilipepper, bocaccio, blue/deacon the last day of the first scheduled open with recreational gear within the rockfish, and lingcod caught north of period. If, after this date, an amount Stonewall Bank YRCA. A vessel fishing the Washington-Oregon border greater than or equal to 60,000 lb (27.2 in the Stonewall Bank YRCA may not (46°16.00′ N lat.) may be retained when mt) remains in the combined all-depth possess any halibut. Recreational allowed by Pacific Coast groundfish and inside 40-fm (73-m) quota, the vessels may transit through the regulations, during days open to the all- fishery may re-open every Thursday, Stonewall Bank YRCA with or without depth Pacific halibut fishery. Long- Friday and Saturday, beginning August halibut on board. The Stonewall Bank leader gear (as defined at 50 CFR 5, 6, and 7, and ending when there is YRCA is an area off central Oregon, near 660.351) may be used to retain insufficient quota remaining, whichever Stonewall Bank, intended to protect groundfish during the all-depth Pacific is earlier. If, after September 7, an yelloweye rockfish. The Stonewall Bank halibut fishery south of the Washington- amount greater than or equal to 30,000 YRCA is defined at 50 CFR 660.70(g). Oregon border, when allowed by Pacific lb (13.6 mt) remains in the combined Coast groundfish regulations. all-depth and inside 40-fm (73-m) quota, Southern Oregon Subarea (d) Taking, retaining, possessing, or and the fishery is not already open The quota for landings into ports in landing halibut on groundfish trips is every Thursday, Friday and Saturday, the area south of Humbug Mountain, OR allowed in the nearshore area on days the fishery may re-open every Thursday, (42°40.50′ N lat.) to the Oregon/ not open to all-depth Pacific halibut Friday and Saturday, beginning California Border (42°00.00′ N lat.) is fisheries. September 9, 10, and 11, and ending 8,000 lb (3.6 mt). October 31. After September 7, the bag (a) The fishing season commences on Oregon Central Coast Subarea limit may be increased to two fish of May 1, and continues 7 days per week The quota for landings into ports in any size per person, per day. NMFS will until the subquota is taken, or October the area off Oregon between Cape announce on the NMFS hotline (206) 31, whichever is earlier. Falcon (45°46.00′ N lat.) and Humbug 526–6667 or (800) 662–9825 whether (b) The daily bag limit is one halibut Mountain (42°40.50′ N lat.), is 273,403 the summer all-depth fishery will be per person with no size limit. lb (124 mt). open on such additional fishing days, (c) During days open to the Pacific (a) The fishing seasons are: what days the fishery will be open, and halibut fishery, when halibut are on (i) The first season (the ‘‘inside 40- what the bag limit is. board the vessel, no groundfish except fm’’ fishery) commences May 1, and (b) The daily bag limit is one halibut sablefish, Pacific cod, and other species continues 7 days a week, in the area of any size per day per person, unless of flatfish (sole, flounder, sanddab), may shoreward of a boundary line otherwise specified. NMFS will be taken and retained, possessed or approximating the 40-fm (73-m) depth announce on the NMFS hotline (206) landed, except with long-leader gear (as contour, or until the sub-quota for the 526–6667 or (800) 662–9825 any bag defined at § 660.351) when allowed by central Oregon ‘‘inside 40-fm’’ fishery of limit changes. groundfish regulations. 32,808 lb (14.9 mt), or any inseason (c) During days open to all-depth revised subquota is estimated to have halibut fishing when the groundfish California Coast Subarea been taken and the season is closed by fishery is restricted by depth, when The quota for landings into ports the IPHC, or on October 31, whichever halibut are on board the vessel, no south of the Oregon/California Border is earlier. The boundary line groundfish, except sablefish, Pacific (42°00.00′ N lat.) and along the approximating the 40-fm (73-m) depth cod, and other species of flatfish (sole, California coast is 39,260 lb (17.8 mt). contour between 45°46.00′ N lat. and flounder, sanddab), may be taken and (a) The fishing season will be open 42°40.50′ N lat. is defined at 50 CFR retained, possessed or landed, except May 1 through November 15, or until 660.71(o). with long-leader gear (as defined at the subarea quota is estimated to have (ii) The second season (spring season), § 660.351), when allowed by groundfish been taken and the season is closed by which is for the ‘‘all-depth’’ fishery, is regulations. During days open to all- the IPHC, whichever is earlier. NMFS open May 13–15, 20–22, 27–29; June 3– depth halibut fishing when the will announce any closure by the IPHC 5, and 10–12. The allocation to the all- groundfish fishery is open to all depths, on the NMFS hotline (206) 526–6667 or depth fishery is 172,244 lb (78.1 mt). If any groundfish species permitted under (800) 662–9825. sufficient unharvested quota remains for the groundfish regulations may be (b) The daily bag limit is one halibut additional fishing days, the season will retained, possessed or landed if halibut of any size per day per person. re-open June 17–19; July 1–3 and 8–10. are on board the vessel. During days Notice of the re-opening will be open to nearshore halibut fishing, Classification announced on the NMFS hotline (206) flatfish species may be taken and Regulations governing the U.S. 526–6667 or (800) 662–9825. retained seaward of the seasonal fisheries for Pacific halibut are (iii) The third season (summer groundfish depth restrictions if halibut developed by the International Pacific season), which is for the ‘‘all-depth’’ are on board the vessel. Halibut Commission (IPHC), the Pacific fishery, will be open August 6–7, 19–21; (d) When the all-depth halibut fishery Fishery Management Council, the North September 2–4; 16–18, September 30– is closed and halibut fishing is Pacific Fishery Management Council October 2; October 14–16, 28–30; and permitted only shoreward of a boundary (Council), and the Secretary of will continue until the combined spring line approximating the 40-fm (73-m) Commerce. Section 5 of the Halibut Act

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(16 U.S.C. 773c) allows the Regional would open the recreational fishery Catch Sharing Plan in this proposed Council having authority for a particular with 2021 season dates and subarea action are minor, with minimal geographical area to develop regulations allocations impacting charter boats, economic effects. Profitability is more governing the allocation and catch of anglers, and businesses relying on heavily influenced by the catch limit halibut in U.S. Convention waters as recreational fishing across all of Area decision made by the IPHC, with long as those regulations do not conflict 2A. This rule also proposes minor subarea quotas determined based on the with IPHC regulations. The proposed changes, including groundfish species Catch Sharing Plan framework and the action is consistent with the Council’s retention, allowable fishing gear, and allocation formulae recommended by authority to allocate halibut catches opening closed areas, to the recreational the Council. Therefore, the proposed among fishery participants in the waters halibut fishery, impacting participants rule is unlikely to affect overall in and off Washington, Oregon, and in the Washington, Oregon, and participation in the recreational California. California recreational subareas. The fisheries or to change the profitability of This proposed rule has been proposed revisions were the recreational fishery. Additionally, determined to be not significant for uncontroversial throughout the there are no large entities involved in purposes of Executive Order 12866. Council’s public process. the halibut fisheries off of the West The Chief Counsel for Regulation of In 2020, the IPHC issued 86 licenses Coast. Because this action will only the Department of Commerce certified to the charterboat fleet for Area 2A. impact recreational charter vessels, to the Chief Counsel for Advocacy of the Analysis of the most recent data which are small entities, these revisions Small Business Administration that this available on charterboat activity will not have a disproportionately proposed rule, if adopted, would not indicates that 60 percent of the IPHC negative effect on small entities versus have a significant economic impact on charterboat license holders (around 50 large entities. a substantial number of small entities, for the following reasons: vessels) participate in the Pacific halibut For the reasons described above, For Regulatory Flexibility Act (RFA) recreational fishery and may be affected NMFS concludes that the proposed purposes only, NMFS has established a by these regulations as those vessels action, if adopted, will not have a small business size standard for operate in Area 2A. Private vessels used significant economic impact on a businesses, including their affiliates. for recreational fishing are not substantial number of small entities. As Previous analyses determined that businesses and are therefore not subject a result, an initial regulatory flexibility charterboats are small businesses (see 77 to the RFA. analysis is not required, and none has FR 5477 (February 3, 2012) and 76 FR The major impact of halibut been prepared. 2876 (January 18, 2011)). Charter fishing management on small entities will This proposed rule contains no operations are classified under NAICS result from the IPHC catch limits, which information collection requirements code, 487210, with a corresponding are determined independently from this under the Paperwork Reduction Act of Small Business Association size proposed action. This proposed action 1995. standard of $7.5 million in annual would implement management receipts. No commercial fishing entities measures including season dates and Dated: February 8, 2021. are directly affected by this rule. allocations for the recreational fishery, Samuel D. Rauch, III, This rule would revise the and would make minor changes to the Deputy Assistant Administrator for recreational Pacific halibut fishery Catch Sharing Plan to provide increased Regulatory Programs, National Marine management measures, such as season recreational opportunities under the Fisheries Service. dates and catch limits that are set in allocations that result from the Area 2A [FR Doc. 2021–02831 Filed 2–11–21; 8:45 am] NMFS regulations. This proposed rule catch limit. The proposed changes to the BILLING CODE 3510–22–P

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Notices Federal Register Vol. 86, No. 28

Friday, February 12, 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 Animal and Plant Health Inspection public. Notices of hearings and investigations, Rural Housing Service Service committee meetings, agency decisions and Title: 7 CFR part 3565, ‘‘Guaranteed [Docket No. APHIS–2020–0119] rulings, delegations of authority, filing of Rural Rental Housing Program’’ and Its’ petitions and applications and agency Supporting Handbook. Notice of Request for Revision to and statements of organization and functions are OMB Control Number: 0575–0174. examples of documents appearing in this Extension of Approval of an Summary of Collection: On March 28, section. Information Collection; Communicable 1996, the Housing Opportunity Program Diseases in Horses Extension Act of 1996 was signed. One DEPARTMENT OF AGRICULTURE of the provisions of the Act was the AGENCY: Animal and Plant Health authorization of the section 538 Inspection Service, USDA. Submission for OMB Review; Guaranteed Rural Rental Housing ACTION: Revision to and extension of Comment Request Program (GRRHP), adding the program approval of an information collection; to the Housing Act of 1949. The purpose comment request. February 9, 2021. of the GRRHP is to increase the supply The Department of Agriculture has of affordable rural rental housing SUMMARY: In accordance with the submitted the following information through the use of loan guarantees that Paperwork Reduction Act of 1995, this collection requirement(s) to OMB for encourage partnerships between the notice announces the Animal and Plant review and clearance under the Rural Housing Service (RHS), private Health Inspection Service’s intention to Paperwork Reduction Act of 1995, lenders and public agencies. RUS will request a revision to and extension of Public Law 104–13. Comments are approve qualified lenders to participate approval of an information collection requested regarding: Whether the and monitor lender performance to associated with the regulations for collection of information is necessary ensure program requirements are met. approving laboratories to test for equine for the proper performance of the RHS will collect information from infectious anemia and for the interstate functions of the agency, including lenders on the eligibility cost, benefits, movement of horses that have tested whether the information will have feasibility, and financial performance of positive for equine infectious anemia. practical utility; the accuracy of the the proposed project. DATES: We will consider all comments agency’s estimate of burden including Need and Use of the Information: that we receive on or before April 13, the validity of the methodology and RHS will collect information from 2021. assumptions used; ways to enhance the lenders to manage, plan, evaluate, and ADDRESSES: You may submit comments quality, utility and clarity of the account for Government resources and information to be collected; and ways to by either of the following methods: from time to time, propose • minimize the burden of the collection of Federal eRulemaking Portal: Go to demonstration programs that use loan http://www.regulations.gov/ information on those who are to guarantees or interest credit. The respond, including through the use of #!docketDetail;D=APHIS-2020-0119. GRRHP regulation and handbook will • appropriate automated, electronic, Postal Mail/Commercial Delivery: provide lenders and agency staff with Send your comment to Docket No. mechanical, or other technological guidance on the origination, and collection techniques or other forms of APHIS–2020–0119, Regulatory Analysis servicing of GRRHP loans and the and Development, PPD, APHIS, Station information technology. approval of qualified lenders. RHS will Comments regarding this information 3A–03.8, 4700 River Road, Unit 118, use the information to evaluate a collection received by March 15, 2021 Riverdale, MD 20737–1238. lender’s request and make will be considered. Written comments Supporting documents and any determination that the interests of the and recommendations for the proposed comments we receive on this docket government are protected. Failure to information collection should be may be viewed at http:// collect information could have an submitted within 30 days of the www.regulations.gov/ adverse impact on the agency ability to publication of this notice on the #!docketDetail;D=APHIS-2020-0119 or monitor lenders and assess program following website www.reginfo.gov/ in our reading room, which is located in effectiveness and effectively guarantee public/do/PRAMain. Find this Room 1620 of the USDA South loans. Building, 14th Street and Independence particular information collection by Description of Respondents: Business selecting ‘‘Currently under 30-day Avenue SW, Washington, DC. Normal or other for-profit; Not-for-profit reading room hours are 8 a.m. to 4:30 Review—Open for Public Comments’’ or Institutions. by using the search function. p.m., Monday through Friday, except Number of Respondents: 160. holidays. To be sure someone is there to An agency may not conduct or Frequency of Responses: Reporting: help you, please call (202) 799–7039 sponsor a collection of information Quarterly; Monthly; Annually. unless the collection of information Total Burden Hours: 2,079. before coming. displays a currently valid OMB control FOR FURTHER INFORMATION CONTACT: For number and the agency informs Levi S. Harrell, information on the regulations for potential persons who are to respond to Departmental Information Collection approved laboratories to test for equine the collection of information that such Clearance Officer. infectious anemia or for the interstate persons are not required to respond to [FR Doc. 2021–02914 Filed 2–11–21; 8:45 am] movement of horses that have tested the collection of information unless it BILLING CODE 3410–XV–P positive for equine infectious anemia,

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contact Dr. Rory Carolan, Aquaculture, on a permit for the interstate movement DEPARTMENT OF AGRICULTURE Swine, Equine, and Poultry, Strategy of an EIA reactor, and on a and Policy, VS, APHIS, 4700 River supplemental disease investigation form Animal and Plant Health Inspection Road, Unit 46, Riverdale, MD 20737; for animals testing positive for EIA. Service (301) 851–3558. For more information We are asking the Office of [Docket No. APHIS–2020–0121] on the information collection process, Management and Budget (OMB) to contact Mr. Joseph Moxey, APHIS’ approve our use of these information Notice of Request for Reinstatement of Information Collection Coordinator, at collection activities, as described, for an an Information Collection; Citrus (301) 851–2483. additional 3 years. Canker, Citrus Greening, and Asian SUPPLEMENTARY INFORMATION: Citrus Psyllid; Interstate Movement of Title: Communicable Diseases in The purpose of this notice is to solicit Regulated Nursery Stock Horses. comments from the public (as well as OMB Control Number: 0579–0127. affected agencies) concerning our AGENCY: Animal and Plant Health Type of Request: Revision to and information collection. These comments Inspection Service, USDA. extension of approval of an information will help us: ACTION: Reinstatement of an information collection. (1) Evaluate whether the collection of collection; comment request. Abstract: Under the authority of the information is necessary for the proper SUMMARY: In accordance with the Animal Health Protection Act (7 U.S.C. performance of the functions of the 8301 et seq.), the Animal and Plant Paperwork Reduction Act of 1995, this Agency, including whether the notice announces the Animal and Plant Health Inspection Service (APHIS) of information will have practical utility; the U.S. Department of Agriculture Health Inspection Service’s intention to regulates the importation and interstate (2) Evaluate the accuracy of our request the reinstatement of an movement of animals and animal estimate of the burden of the collection information collection associated with products, and conducts various other of information, including the validity of the interstate movement of regulated activities to protect the health of U.S. the methodology and assumptions used; nursery stock from quarantined areas to livestock and poultry. (3) Enhance the quality, utility, and prevent the spread of citrus canker, Equine infectious anemia (EIA) is an clarity of the information to be citrus greening, and Asian citrus infectious and potentially fatal viral collected; and psyllid. disease of equines. There is no vaccine DATES: We will consider all comments or treatment for the disease. Regulations (4) Minimize the burden of the collection of information on those who that we receive on or before April 13, in 9 CFR part 71 provide for the 2021. approval of laboratories, diagnostic are to respond, through use, as facilities, and research facilities, appropriate, of automated, electronic, ADDRESSES: You may submit comments including those that test for EIA. The mechanical, and other collection by either of the following methods: • regulations in 9 CFR part 75 govern the technologies; e.g., permitting electronic Federal eRulemaking Portal: Go to interstate movement of equines that submission of responses. http://www.regulations.gov/ have tested positive to an official test for Estimate of burden: The public #!docketDetail;D=APHIS-2020-0121. • EIA (EIA reactors). Identifying EIA- burden for this collection of information Postal Mail/Commercial Delivery: positive animals through laboratory is estimated to average 0.08 hours per Send your comment to Docket No. testing and ensuring the safe movement response. APHIS–2020–0121, Regulatory Analysis and Development, PPD, APHIS, Station of those equines testing positive for EIA Respondents: Producers, requires several information collection 3A–03.8, 4700 River Road, Unit 118, veterinarians, State veterinarians, and Riverdale, MD 20737–1238. activities. approved EIA laboratory directors. APHIS regulations require Supporting documents and any laboratories conducting an official EIA Estimated annual number of comments we receive on this docket test to be approved by the APHIS respondents: 235,018. may be viewed at http:// Administrator, in consultation with the Estimated annual number of www.regulations.gov/ appropriate State animal health responses per respondent: 5. #!docketDetail;D=APHIS-2020-0121 or officials. Information collection in our reading room, which is located in Estimated annual number of Room 1620 of the USDA South activities associated with that approval responses: 1,157,148. process include a laboratory application Building, 14th Street and Independence and a director’s agreement, collecting Estimated total annual burden on Avenue SW, Washington, DC. Normal the name of the director, location, respondents: 93,030 hours. (Due to reading room hours are 8 a.m. to 4:30 laboratory facilities, available resources, averaging, the total annual burden hours p.m., Monday through Friday, except and the training and proficiency of may not equal the product of the annual holidays. To be sure someone is there to employees. Additional information number of responses multiplied by the help you, please call (202) 799–7039 collection activities include written reporting burden per response.) before coming. notification of withdrawal of approval All responses to this notice will be FOR FURTHER INFORMATION CONTACT: For and a request for hearing. This summarized and included in the request information on the regulations for the information helps APHIS determine a for OMB approval. All comments will interstate movement of regulated laboratory’s capacity to conduct also become a matter of public record. nursery stock from citrus canker, citrus greening, and Asian citrus psyllid accurate and reliable testing and to meet Done in Washington, DC, this this 8th day quarantined areas, contact Ms. Glorimar the requirements in the regulations. To of February 2021. receive and maintain approval, a Marrero, Assistant National Policy laboratory must report positive test Jack Shere, Manager for Citrus Programs, Plant results, provide monthly reports, and Administrator, Animal and Plant Health Health Protection, Plant Protection and undergo regular inspections. Inspection Service. Quarantine, APHIS, 4700 River Road, Additional information collection [FR Doc. 2021–02903 Filed 2–11–21; 8:45 am] Unit 26, Riverdale, MD 20737; (240) occurs on the EIA laboratory test form, BILLING CODE 3410–34–P 577–4633. For more information on the

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information collection process, contact greening and Asian citrus psyllid are Done in Washington, DC, this 8th day of Mr. Joseph Moxey, APHIS Information contained in ‘‘Subpart N—Citrus February 2021. Collection Coordinator, at (301) 851– Greening and Asian Citrus Psyllid’’ (7 Mark Davidson, 2483. CFR 301.76 through 301.76–11). These Administrator, Animal and Plant Health Inspection Service. SUPPLEMENTARY INFORMATION: regulations restrict the interstate Title: Citrus Canker, Citrus Greening, movement of regulated articles from and [FR Doc. 2021–02904 Filed 2–11–21; 8:45 am] and Asian Citrus Psyllid; Interstate through areas quarantined for the pest BILLING CODE 3410–34–P Movement of Regulated Nursery Stock. and diseases and provide, among other OMB Control Number: 0579–0369. things, conditions under which Type of Request: Reinstatement of an regulated nursery stock may be moved DEPARTMENT OF AGRICULTURE information collection. interstate. The interstate movement of regulated nursery stock from these Animal and Plant Health Inspection Abstract: The Plant Protection Act (7 Service U.S.C. 7701 et seq.) authorizes the quarantined areas involves information Secretary of U.S. Department of collection activities, including labelling, [Docket No. APHIS–2020–0124] Agriculture (USDA), either records of inspections and treatments, independently or in cooperation with compliance agreements, Federal Notice of Request for Revision to and States, to carry out operations or certificates, limited permits, and Extension of Approval of an measures to detect, eradicate, suppress, appeals. Information Collection; Gypsy Moth control, prevent, or retard the spread of We are asking the Office of Identification Worksheet and Checklist Management and Budget (OMB) to plant pests, such as citrus canker, citrus AGENCY: Animal and Plant Health approve our use of these information greening, and Asian citrus psyllid, that Inspection Service, USDA. are new to or not widely distributed collection activities, as described, for 3 ACTION: Revision to and extension of within the United States. The USDA’s years. The purpose of this notice is to solicit approval of an information collection; Animal and Plant Health Inspection comment request. Service (APHIS) is the delegated comments from the public (as well as authority to carry out this mission. affected agencies) concerning our SUMMARY: In accordance with the Citrus canker is a plant disease that information collection. These comments Paperwork Reduction Act of 1995, this affects plants and plant parts, including will help us: notice announces the Animal and Plant fresh fruit of citrus and citrus relatives (1) Evaluate whether the collection of Health Inspection Service’s intention to (family Rutaceae). Citrus canker can information is necessary for the proper request a revision to and extension of cause defoliation and other serious performance of the functions of the approval of an information collection damage to the leaves and twigs of Agency, including whether the associated with the gypsy moth susceptible plants. It can also cause information will have practical utility; program. lesions on the fruit of infected plants (2) Evaluate the accuracy of our DATES: We will consider all comments and cause infected fruit to drop from estimate of the burden of the collection that we receive on or before April 13, trees before reaching maturity. The of information, including the validity of 2021. aggressive A (Asiatic) strain of citrus the methodology and assumptions used; canker can infect susceptible plants (3) Enhance the quality, utility, and ADDRESSES: You may submit comments rapidly and lead to extensive economic clarity of the information to be by either of the following methods: losses in commercial citrus-producing collected; and • Federal eRulemaking Portal: Go to areas. (4) Minimize the burden of the http://www.regulations.gov/ Citrus greening, also known as collection of information on those who #!docketDetail;D=APHIS-2020-0124. Huanglongbing disease of citrus or HLB, are to respond, through use, as • Postal Mail/Commercial Delivery: is one of the most serious citrus diseases appropriate, of automated, electronic, Send your comment to Docket No. in the world. Citrus greening is a mechanical, and other collection APHIS–2020–0124, Regulatory Analysis bacterial disease that attacks the technologies; e.g., permitting electronic and Development, PPD, APHIS, Station vascular system of host plants. This submission of responses. 3A–03.8, 4700 River Road, Unit 118, bacterial pathogen can be transmitted by Estimate of burden: The public Riverdale, MD 20737–1238. grafting and under laboratory burden for this collection of information Supporting documents and any conditions, by parasitic plants. The is estimated to average 0.306 hours per comments we receive on this docket pathogen can also be transmitted by two response. may be viewed at http:// insect vectors in the family Psyllidae; Respondents: Nursery stock owners. www.regulations.gov/ Diaphorina citri Kuwayama, the Asian Estimated annual number of #!docketDetail;D=APHIS-2020-0124 or citrus psyllid (ACP), and Trioza erytreae respondents: 1,901. in our reading room, which is located in (del Guercio), the African citrus psyllid. Estimated annual number of Room 1620 of the USDA South ACP can also cause economic damage to responses per respondent: 4,147. Building, 14th Street and Independence citrus in groves and nurseries by direct Estimated annual number of Avenue SW, Washington, DC. Normal feeding. Both adults and nymphs feed responses: 7,882,947. reading room hours are 8 a.m. to 4:30 on young foliage, depleting the sap and Estimated total annual burden on p.m., Monday through Friday, except causing galling or curling of leaves. respondents: 2,412,725 hours. (Due to holidays. To be sure someone is there to High populations feeding on a citrus averaging, the total annual burden hours help you, please call (202) 799–7039 shoot can kill the growing tip. may not equal the product of the annual before coming. APHIS regulations to prevent the number of responses multiplied by the FOR FURTHER INFORMATION CONTACT: For interstate spread of citrus canker are reporting burden per response.) information on the gypsy moth program, contained in ‘‘Subpart M—Citrus All responses to this notice will be contact Ms. Kathryn Bronsky, Policy Canker’’ (7 CFR 301.75–1 through summarized and included in the request Manager, National Plant Health 301.75–17), and the regulations to for OMB approval. All comments will Programs, PHP, PPQ, APHIS, 4700 River prevent the interstate spread of citrus also become a matter of public record. Road, Unit 137, Riverdale, MD 20737;

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(301) 851–2147. For more information directed flight between mating and egg affected agencies) concerning our on the information collection process, deposition, significantly increasing its information collection. These comments contact Mr. Joseph Moxey, APHIS’ ability to spread over a much greater will help us: Information Collection Coordinator, at area and become widely established (1) Evaluate whether the collection of (301) 851–2483. within a short time. In addition, Asian information is necessary for the proper SUPPLEMENTARY INFORMATION: gypsy moth larvae feed on a much wider performance of the functions of the Title: Gypsy Moth Identification variety of hosts, allowing them to Agency, including whether the Worksheet and Checklist. exploit more areas and cause more information will have practical utility; OMB Control Number: 0579–0104. damage than the European gypsy moth. (2) Evaluate the accuracy of our Type of Request: Revision to and To determine the presence and extent estimate of the burden of the collection extension of approval of an information of a European gypsy moth or an Asian of information, including the validity of collection. gypsy moth infestation, APHIS sets the methodology and assumptions used; Abstract: Under the Plant Protection traps in high-risk areas to collect (3) Enhance the quality, utility, and Act (7 U.S.C. 7701 et seq.), the U.S. specimens. Once an infestation is clarity of the information to be Department of Agriculture (USDA), identified, control and eradication work collected; and either independently or in cooperation (usually involving State cooperation) is (4) Minimize the burden of the with the States, is authorized to carry initiated to eliminate the moths. collection of information on those who APHIS personnel, with assistance out operations or measures to detect, are to respond, through use, as from State/local agriculture personnel, eradicate, suppress, control, prevent, or appropriate, of automated, electronic, check traps for the presence of gypsy retard the spread of plant pests new to mechanical, and other collection moths. If a suspicious moth is found in technologies; e.g., permitting electronic the United States or not widely the trap, it is sent to APHIS laboratories distributed throughout the United submission of responses. so that it can be correctly identified Estimate of burden: The public States. The USDA’s Animal and Plant through DNA analysis. DNA analysis is burden for this collection of information Health Inspection Service (APHIS) is the the only way to accurately identify these is estimated to average 0.362 hours per delegated authority to carry out this insects because the European gypsy response. mission. moth and the Asian gypsy moth are Respondents: Individuals who As part of the mission, APHIS’ Plant strains of the same species, and they complete the self-inspection checklist Protection and Quarantine (PPQ) cannot be visually distinguished from and State and local cooperators. program engages in detection surveys to each other. Estimated annual number of monitor for the presence of, among The PPQ official or State/local respondents: 2,500,100. other things, the European gypsy moth collaborator submitting the moth for Estimated annual number of and the Asian gypsy moth. The analysis must complete a specimen for responses per respondent: 3. European gypsy moth is one of the most determination worksheet, which Estimated annual number of destructive pests of fruit and ornamental accompanies the insect to the responses: 7,500,250. trees as well as hardwood forests. First laboratory. The worksheet enables Estimated total annual burden on introduced into the United States in Federal and State/local regulatory respondents: 2,711,543 hours. (Due to Medford, MA, in 1869, the European officials to identify and track specific averaging, the total annual burden hours gypsy moth has gradually spread to specimens through the DNA may not equal the product of the annual infest the entire northeastern portion of identification tests that are conducted. number of responses multiplied by the the country. The gypsy moth regulations In addition, the information provided by reporting burden per response.) can be found in 7 CFR 301.45 through the gypsy moth identification All responses to this notice will be 301.45–12. worksheets is vital to APHIS’ ability to summarized and included in the request Heavily infested European gypsy monitor, detect, and eradicate gypsy for OMB approval. All comments will moth areas are inundated with actively moth infestations. also become a matter of public record. crawling larvae that cover trees, fences, The gypsy moth regulations vehicles, and houses during their search Done in Washington, DC, this 8th day of (§ 301.45–4(a)) also require the February 2021. for food. Entire areas may be stripped of inspection of outdoor household articles Mark Davidson, all foliage, often resulting in heavy that are to be moved from a gypsy moth damage to trees. The damage can have Administrator, Animal and Plant Health quarantined area to a non-quarantined Inspection Service. long-lasting effects, depriving wildlife of area to ensure that they are free of all [FR Doc. 2021–02905 Filed 2–11–21; 8:45 am] food and shelter, and severely limiting life stages of gypsy moth. Individuals the recreational value of forested areas. may use a self-inspection checklist, BILLING CODE 3410–34–P The Asian gypsy moth is an exotic which is completed and signed by the strain of gypsy moth that is closely person who performed the inspection, DEPARTMENT OF AGRICULTURE related to the European variety already and kept in the vehicle used to move the established in the United States. While outdoor household articles in the event Farm Service Agency the Asian gypsy moth has been that USDA or State/Local officials introduced into the United States on request it during the movement of the [Docket ID: FSA–20210–0001] several occasions, it is currently not articles. In addition, it is recommended Information Collection Request; established in the United States. that individuals maintain a copy of the However, due to behavioral differences, Emergency Conservation Program signed checklist for at least 5 years. (ECP) and Biomass Crop Assistance the Asian gypsy moth is considered to We are asking the Office of Program (BCAP) pose an even greater threat to trees and Management and Budget (OMB) to forested areas than the European gypsy approve these information collection AGENCY: Farm Service Agency, USDA. moth. activities, as described, for an additional ACTION: Notice; request for comments. Unlike the flightless European gypsy 3 years. moth female adult, the Asian gypsy The purpose of this notice is to solicit SUMMARY: In accordance with the moth female adult is capable of strong comments from the public (as well as Paperwork Reduction Act of 1995, as

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amended, the Farm Service Agency (2) Effectively administer the collection of information, including the (FSA) is requesting comments from all regulations for BCAP, which are set validity of the methodology and interested individuals and organizations forth at 7 CFR part 1450, so as to assumptions used; on an extension with a revision of provide financial assistance to owners (3) Evaluate the quality, ability and currently approved information and operators of agricultural and non- clarity of the information technology; collection associated with the industrial private forest land who wish and Emergency Conservation Program (ECP) to establish, produce, and deliver (4) Minimize the burden of the and Biomass Crop Assistance Program biomass feedstocks. information collection on those who (BCAP). This information is collected in This information is collected in respond through the use of appropriate support of, respectively, sections 401– support of, respectively, sections 401– automated, electronic, mechanical, or 407 of the Agricultural Credit Act of 407 of the Agricultural Credit Act of other technological collection 1978, as amended, and section 9011 of 1978 (Pub. L. 95–334), as amended, and techniques or other forms of the Farm Security and Rural Investment section 9011 of the Farm Security and information. Act of 2002, as amended. Rural Investment Act of 2002 (Pub. L. All responses to this notice, including DATES: We will consider comments that 107–171), as amended. names and addresses when provided, we receive by April 13, 2021. Activity related to ECP request, will be summarized and included in the approvals, and payments has increased request for OMB approval. All ADDRESSES: We invite you to submit due to major storm systems that caused comments will also become a matter of comments on this Notice. You may catastrophic damage across the nation, public record. submit comments, identified by Docket from 2018–2020. Hurricane Michael and ID: FSA–2021–0001, by any of the Steven Peterson, Florence occurred in 2018, followed by following methods: Acting Administrator, Farm Service Agency. • Federal eRulemaking Portal: Go to: the Midwest flooding’s in 2019. Multiple hurricanes and wildfires in [FR Doc. 2021–02860 Filed 2–11–21; 8:45 am] www.regulations.gov. Follow the online BILLING CODE 3410–05–P instructions for submitting comments. 2020 all contribute to the increase in • Mail, Hand Delivery, or Courier: activity. Activity related to BCAP has drastically reduced because of the lack Shanita Landon, ECP Program Manager, DEPARTMENT OF COMMERCE Conservation and Environmental of funding for BCAP. The travel times also have been removed from the Programs Division, Farm Service Foreign-Trade Zones Board Agency, United States Department of request. Agriculture, STOP 0513, 1400 For the following estimated total [B–7–2021] Independence Avenue SW, Washington, annual burden on respondents, the Foreign-Trade Zone (FTZ) 134— DC 20250–0513. formula used to calculate the total Chattanooga, Tennessee; Notification You may also send comments to the burden hours is the estimated average of Proposed Production Activity; Desk Officer for Agriculture, Office of time per response multiplied by the Wacker Polysilicon North America, Information and Regulatory Affairs, estimated total annual of responses. Estimate of Average Time to Respond: LLC (Hydrophilic Fumed Silica); Office of Management and Budget, Public reporting burden for collecting Charleston, Tennessee Washington, DC 20503. Copies of the information under this notice is information collection may be requested estimated to average 0.116 hours per Wacker Polysilicon North America, by contacting Martin Bomar. responses, including the time for LLC (Wacker) submitted a notification FOR FURTHER INFORMATION CONTACT: For reviewing instructions, searching of proposed production activity to the specific questions related to collection existing data sources, gathering and FTZ Board for its facility in Charleston, activities, Shanita London, (202) 690– maintaining the data needed, Tennessee. The notification conforming 1612 (voice); email: shanita.landon@ completing and reviewing the collection to the requirements of the regulations of usda.gov. Persons with disabilities who of information for all respondents. the FTZ Board (15 CFR 400.22) was require alternative means for Type of Respondents: Owners, received on February 5, 2021. communication should contact the operators and other eligible agricultural Wacker already has authority to USDA Target Center at (202) 720–2600 producers on eligible farmland. produce polysilicon within Subzone (voice). Estimated Number of Respondents: 134B using foreign-status silicon metal SUPPLEMENTARY INFORMATION: 140,000. that is not subject to an antidumping or Estimated Number of Responses per countervailing duty order. The current Description of Information Collection Respondent: 3.04. request would add a finished product to Title: Emergency Conservation Estimated Total Annual Reponses: the scope of authority. Pursuant to 15 Program and Biomass Crop Assistance 425,445. CFR 400.14(b), additional FTZ authority Program. Estimated Average Time per would be limited to the specific finished OMB Control Number: 0560–0082. Response: 0.116 hours. product described in the submitted Expiration Date: April 30, 2021. Estimated Total Annual Burden on notification (as described below) and Type of Request: Revision. Respondents: 49,385 hours. subsequently authorized by the FTZ Abstract: The collection of this We are requesting comments on all Board. information is necessary to allow FSA aspects of this information collection to Production under FTZ procedures to: help us to: could exempt Wacker from customs (1) Effectively administer the (1) Evaluate whether the proposed duty payments on the foreign-status regulations under ECP, which are set collection of information is necessary materials/components used in export forth at 7 CFR part 701, so as to provide for the proper performance of the production. On its domestic sales, for funding and technical assistance for functions of the agency, including the foreign-status materials/components farmers and ranchers to restore farmland whether the information will have in the existing scope of authority, damaged by natural disasters, and for practical utility; Wacker would be able to choose the emergency water conservation measures (2) Evaluate the accuracy of the duty rates during customs entry in severe droughts; and agency’s estimate of the burden of the procedures that apply to hydrophilic

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fumed silica (duty-free). Wacker would Background 7213.99.0038, 7213.99.0090, be able to avoid duty on foreign-status On October 29, 2002, Commerce 7227.20.0000, 7227.20.0010, components which become scrap/waste. published the antidumping duty order 7227.20.0020, 7227.20.0030, Customs duties also could possibly be on wire rod from Mexico in the Federal 7227.20.0080, 7227.20.0090, deferred or reduced on foreign-status Register.1 On October 1, 2019, we 7227.20.0095, 7227.90.6010, production equipment. published in the Federal Register a 7227.90.6020, 7227.90.6030, Public comment is invited from notice of opportunity to request an 7227.90.6035, 7227.90.6050, interested parties. Submissions shall be administrative review of the Order.2 On 7227.90.6051, 7227.90.6053, addressed to the Board’s Executive December 11, 2019, pursuant to section 7227.90.6058, 7227.90.6059, Secretary and sent to: [email protected]. The 751(a)(1) of the Act, Commerce initiated 7227.90.6080, and 7227.90.6085. The closing period for their receipt is March an administrative review of the Order.3 HTSUS subheadings are provided for 24, 2021. On April 24, 2020, Commerce tolled all convenience and customs purposes A copy of the notification will be deadlines in administrative reviews by only; the written product description available for public inspection in the 50 days.4 On July 21, 2020, Commerce remains dispositive. ‘‘Reading Room’’ section of the Board’s tolled all deadlines in administrative A full description of the scope of the website, which is accessible via reviews by an additional 60 days.5 On Order is contained in the Preliminary www.trade.gov/ftz. October 1, 2020, Commerce extended Decision Memorandum. For further information, contact the deadline for the preliminary results Partial Rescission of Administrative Elizabeth Whiteman at to February 17, 2021.6 For a complete Review [email protected]. description of the events that followed The Initiation Notice listed AMLT as Dated: February 8, 2021. the initiation of this review, see the one of the producers/exporters under Preliminary Decision Memorandum.7 Andrew McGilvray, review.8 However, Commerce Executive Secretary. Scope of the Order previously determined in a changed [FR Doc. 2021–02882 Filed 2–11–21; 8:45 am] The merchandise subject to the Order circumstances review that nearly all of AMLT’s assets were sold to BILLING CODE 3510–DS–P is wire rod, in coils, of approximately ArcelorMittal Mexico and AMLT is no round cross section, 5.00 mm or more, 9 but less than 19.00 mm, in solid cross- longer in operation. Therefore, because DEPARTMENT OF COMMERCE sectional diameter. The subject AMLT is no longer in existence and did merchandise is classifiable in the not have entries during the relevant International Trade Administration Harmonized Tariff Schedule of the period, Commerce is partially United States (HTSUS) primarily under rescinding this administrative review [A–201–830] the subheadings: 7213.91.3000, with respect to AMLT, in accordance 7213.91.3010, 7213.91.3011, with 19 CFR 351.213(d)(3). The review will continue with respect Carbon and Certain Alloy Steel Wire 7213.91.3015, 7213.91.3020, to all other entities listed in the Rod From Mexico: Preliminary Results 7213.91.3090, 7213.91.3091, Initiation Notice. of Antidumping Duty Administrative 7213.91.3092, 7213.91.3093, Review, Preliminary Determination of 7213.91.4500, 7213.91.4510, Methodology No Shipments, and Partial Rescission 7213.91.4590, 7213.91.6000, Commerce is conducting this review of Antidumping Duty Administrative 7213.91.6010, 7213.91.6090, Review; 2018–2019 in accordance with section 751(a)(1)(B) 7213.99.0030, 7213.99.0031, of the Tariff Act of 1930, as amended AGENCY: Enforcement and Compliance, (the Act). Constructed export price was 1 See Notice of Antidumping Duty Orders: Carbon calculated in accordance with section International Trade Administration, and Certain Alloy Steel Wire Rod from Brazil, Department of Commerce. Indonesia, Mexico, Moldova, Trinidad and Tobago, 772 of the Act. Normal value was SUMMARY: The Department of Commerce and Ukraine, 67 FR 65945 (October 29, 2002) calculated in accordance with section (Commerce) preliminarily determines (Order). 773 of the Act. For a full description of 2 See Antidumping or Countervailing Duty Order, that sales of carbon and certain alloy the methodology underlying our Finding, or Suspended Investigation, 84 FR 52068 conclusions, see the Preliminary steel wire rod (wire rod) from Mexico (October 1, 2019). Decision Memorandum. The were made at less than normal value 3 See Initiation of Antidumping and during the period of review (POR), Countervailing Duty Administrative Reviews, 84 FR Preliminary Decision Memorandum is a October 1, 2018, through September 30, 67712, 67715 (December 11, 2019) (Initiation public document and is on file Notice). electronically via Enforcement and 2019. Further, Commerce is rescinding 4 See Memorandum, ‘‘Tolling of Deadlines for Compliance’s Antidumping and the administrative review, in part, with Antidumping and Countervailing Duty Countervailing Duty Centralized respect to ArcelorMittal Las Truchas, Administrative Reviews in Response to Operational Electronic Service System (ACCESS). S.A. de C.V. (AMLT). We invite Adjustments Due to COVID–19,’’ dated April 24, 2020. ACCESS is available to registered users interested parties to comment on these 5 See Memorandum, ‘‘Tolling of Deadlines for at https://access.trade.gov. In addition, a preliminary results. Antidumping and Countervailing Duty complete version of the Preliminary DATES: Applicable February 12, 2021. Administrative Reviews,’’ dated July 21, 2020. 6 See Memorandum, ‘‘Carbon and Certain Alloy Decision Memorandum can be accessed FOR FURTHER INFORMATION CONTACT: Steel Wire Rod from Mexico: Extension of Deadline directly at http://enforcement.trade.gov/ Benjamin A. Smith, AD/CVD for Preliminary Results of Antidumping Duty frn/index.html. The signed Preliminary Operations, Office III, Enforcement and Administrative Review,’’ dated October 1, 2020. Decision Memorandum and the Compliance, International Trade 7 See Memorandum, ‘‘Decision Memorandum for electronic version of the Preliminary the Preliminary Results, Preliminary Determination Administration, U.S. Department of of No Shipments, and Partial Recission of the 2018– Commerce, 1401 Constitution Avenue 2019 Administrative Review of the Antidumping 8 See Initiation Notice, 84 FR at 67715. NW, Washington, DC 20230; telephone: Duty Order on Carbon and Certain Alloy Steel Wire 9 See Final Results of Changed Circumstances (202) 482–2181. Rod from Mexico,’’ dated concurrently with, and Review: Antidumping Duty Order on Carbon and hereby adopted by, this notice (Preliminary Certain Alloy Steel Wire Rod from Mexico, 82 FR SUPPLEMENTARY INFORMATION: Decision Memorandum). 53456 (November 16, 2017).

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Decision Memorandum are identical in C.V. (i.e., the sole individually For the company for which this content. A list of topics discussed in the examined respondent in this review) is review is rescinded, AMLT, Preliminary Decision Memorandum is not zero or de minimis (i.e., less than 0.5 antidumping duties shall be assessed at attached as an appendix to this notice. percent), we will calculate importer- rates equal to the cash deposit rate of specific ad valorem antidumping duty estimated antidumping duties required Preliminary Determination of No assessment rates based on the ratio of at the time of entry, or withdrawal from Shipments the total amount of dumping calculated warehouse, for consumption. Commerce On January 8, 2020, Grupo Villacero for the importer’s examined sales to the intends to issue assessment instructions S.A. de C.V. (Villacero) reported that it total entered value of those same sales to CBP no earlier than 41 days after the had no exports or sales of subject in accordance with 19 CFR date of publication of this rescission merchandise into the United States 351.212(b)(1).13 We will instruct CBP to notice in the Federal Register. during the POR.10 On February 13, assess antidumping duties on all Cash Deposit Requirements 2020, Commerce submitted a non- appropriate entries covered by this shipment inquiry with U.S. Customs review when the importer-specific The following cash deposit and Border Protection (CBP) with regard assessment rate calculated in the final requirements will be effective upon to the Villacero Non-Shipment Claim, to results of this review is above de publication of the notice of final results which CBP responded that it found no minimis (i.e., 0.5 percent). Where either of administrative review for all shipments of subject merchandise by the respondent’s weighted-average shipments of wire rod from Mexico Villacero during the POR.11 dumping margin is zero or de minimis, entered, or withdrawn from warehouse, Given that Villacero reported that it or an importer-specific assessment rate for consumption on or after the date of made no shipments of subject is zero or de minimis, we will instruct publication of the final results, as merchandise to the United States during CBP to liquidate the appropriate entries provided by section 751(a)(2) of the Act: the POR, and there is no information without regard to antidumping duties. (1) The cash deposit rate for the firms calling its claim into question, we The final results of this review shall be listed above will be equal to the preliminarily determine that Villacero the basis for the assessment of dumping margins established in the made no shipments of subject antidumping duties on entries of final results of this review, except if the merchandise during the POR. Consistent merchandise covered by the final results ultimate rates are de minimis within the with Commerce’s practice, we will not of this review where applicable. meaning of 19 CFR 351.106(c)(1), in which case the cash deposit rates will rescind the review with respect to For the companies which were not be zero; (2) for merchandise exported by Villacero but, rather, will complete the selected for individual review (i.e., producers or exporters not covered in review and issue instructions to CBP Talleres y Aceros S.A. de C.V., and 12 this administrative review but covered based on the final results. Ternium Mexico S.A. de C.V.), we will in a prior segment of the proceeding, the assign an assessment rate based on the Preliminary Results of the Review cash deposit rate will continue to be the weighted-average dumping margin As a result of this review, we company specific rate published for the calculated for the sole individually preliminarily determine the following most recently completed segment of this examined respondent in this review, weighted-average dumping margins proceeding in which the producer or Deacero. The final results of this review exist for the POR: exporter participated; (3) if the exporter shall be the basis for the assessment of is not a firm covered in this review, a antidumping duties on entries of Weighted- prior review, or the original less-than- merchandise covered by the final results average fair-value investigation but the producer Manufacturers/producers/ dumping of this review and for future deposits of exporters is, then the cash deposit rate will be the margins estimated duties, where applicable.14 (percent) rate established for the most recently In accordance with Commerce’s completed segment of the proceeding Deacero S.A.P.I de C.V ...... 2.49 ‘‘automatic assessment’’ practice, for for the producer of the merchandise; Talleres y Aceros S.A. de C.V ... 2.49 entries of subject merchandise during and (4) the cash deposit rate for all other Ternium Mexico S.A. de C.V ...... 2.49 the POR produced by each respondent producers or exporters will continue to which did not know that its be 20.11 percent, the all-others rate Assessment Rates merchandise was destined for the established in the antidumping duty Upon issuance of the final results, United States, we will instruct CBP to investigation.16 These cash deposit Commerce shall determine, and CBP liquidate entries not reviewed at the all- requirements, when imposed, shall 15 shall assess, antidumping duties on all others rate of 20.11 percent if there is remain in effect until further notice. no rate for the intermediate appropriate entries covered by this Disclosure review. If the weighted-average company(ies) involved in the dumping margin for Deacero S.A.P.I de transaction. Commerce intends to issue We intend to disclose the calculations assessment instructions to CBP no performed in these preliminary results 10 See Villacero’s Letter, ‘‘Carbon and Certain earlier than 41 days after the date of to parties in this proceeding within five Alloy Steel Wire Rod from Mexico: Notice of No publication of the final results of this days of the date of publication of this Sales,’’ dated January 8, 2020 (Villacero Non- review in the Federal Register, in notice.17 Shipment Claim). accordance with 19 CFR 356.8(a). 11 See Memorandum, ‘‘Carbon Alloy Steel Wire Public Comment Rod from Mexico (A–201–830),’’ dated February 19, 2020. 13 In the preliminary results, Commerce applied Pursuant to 19 CFR 351.309(c)(1)(ii), 12 See, e.g., Certain Lined Paper Products from the assessment rate calculation method adopted in interested parties may submit case briefs India: Preliminary Results of Antidumping Duty Antidumping Proceedings: Calculation of the not later than 30 days after the date of Administrative Review and Preliminary Weighted-Average Dumping Margin and publication of this notice. Rebuttal Assessment Rate in Certain Antidumping Determination of No Shipments; 2016–2017, 83 FR briefs, limited to issues raised in the 50886 (October 10, 2018), unchanged in Certain Proceedings; Final Modification, 77 FR 8101 Lined Paper Products from India: Final Results of (February 14, 2012). Antidumping Duty Administrative Review; 2016– 14 See section 751(a)(2)(C) of the Act. 16 See Order, 67 FR at 65947. 2017, 84 FR 23017 (May 21, 2019). 15 See Order, 67 FR at 65947. 17 See 19 CFR 351.224(b).

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case briefs, may be filed no later than Dated: February 5, 2021. filed a request for administrative review seven days after the date for filing case Christian Marsh, of the 45 Indian exporters/producers of, briefs.18 Parties who submit case briefs Acting Assistant Secretary for Enforcement in accordance with section 751(a) of the or rebuttal briefs in this proceeding are and Compliance. Tariff Act of 1930, as amended (the Act), encouraged to submit with each and 19 CFR 351.213(b).3 On October 30, Appendix—List of Topics Discussed in 2020, pursuant to this request, and in argument: (1) A statement of the issue; the Preliminary Decision Memorandum (2) a brief summary of the argument; accordance with 19 CFR I. Summary and (3) a table of authorities.19 All briefs 351.221(c)(1)(i), Commerce published a II. Background must be filed electronically using notice initiating an administrative III. Scope of the Order review of the CVD order on OCTG from ACCESS. An electronically filed IV. Partial Rescission of Administrative India with respect to all 45 companies document must be received successfully Review for which a review was requested.4 in its entirety by the established V. Preliminary Determination of No Between November 27, 2020, through deadline. Note that Commerce has Shipments December 9, 2020, six companies temporarily modified certain of its VI. Margin for Companies Not Selected submitted no-shipment letters.5 On requirements for serving documents for Individual Examination January 11, 2021, Commerce released VII. Discussion of the Methodology containing business proprietary entry data from U.S. Customs and information, until further notice.20 VIII. Currency Conversion IX. Recommendation Border Protection (CBP) for respondent Pursuant to 19 CFR 351.310(c), selection and provided parties an [FR Doc. 2021–02922 Filed 2–11–21; 8:45 am] interested parties who wish to request a opportunity to comment on this CBP BILLING CODE 3510–DS–P hearing, limited to issues raised in the data.6 On January 14, 2021, the case and rebuttal briefs, must submit a domestic interested parties filed a letter withdrawing their request for an written request to the Assistant DEPARTMENT OF COMMERCE Secretary for Enforcement and administrative review of all 45 Compliance, within 30 days after the International Trade Administration companies upon which this administrative review was initiated.7 date of publication of this notice. [C–533–858] Requests should contain: (1) The party’s Rescission of Review name, address, and telephone number; Oil Country Tubular Goods From India: Pursuant to 19 CFR 351.213(d)(1), (2) the number of participants; and (3) Rescission of Countervailing Duty Commerce will rescind an a list of issues to be discussed. If a Administrative Review; 2019 administrative review, in whole or in request for a hearing is made, Commerce AGENCY: Enforcement and Compliance, intends to hold the hearing at a time and International Trade Administration, Corporation, Tenaris Bay City, Inc., and IPSCO Tubulars Inc. date to be determined. Parties should Department of Commerce. confirm by telephone the date, time, and 3 See Domestic Interested Parties’ Letter, ‘‘Oil SUMMARY: The Department of Commerce Country Tubular Goods from India: Request for location of the hearing two days before (Commerce) is rescinding the Administrative Review of Countervailing Duty the scheduled date. administrative review of the Order,’’ dated September 20, 2020. 4 See Initiation of Antidumping and Notification to Importers countervailing duty (CVD) order on oil Countervailing Duty Administrative Reviews, 85 FR country tubular goods (OCTG) from 68840 (October 30, 2020). This notice also serves as a India, based on the timely withdrawal of 5 See Garg Tube Export LLP’s Letter, ‘‘Oil Country preliminary reminder to importers of the requests for review. The period of Tubular Goods from India: Statement of no sales, review (POR) is January 1, 2019, entries, or shipment of subject merchandise during their responsibility under 19 CFR the Period of Review,’’ dated November 27, 2020; 351.402(f)(2) to file a certificate through December 31, 2019. Rakshita Overseas’ Letter, ‘‘Oil Country Tubular regarding the reimbursement of DATES: Applicable February 12, 2021. Good from India: Statement of no sales, entries, or shipment of subject merchandise during the Period antidumping duties prior to liquidation FOR FURTHER INFORMATION CONTACT : of Review,’’ dated November 27, 2020; Jindal Saw of the relevant entries during this Jacqueline Arrowsmith, AD/CVD Ltd.’s Letter, ‘‘Oil Country Tubular Goods from review period. Failure to comply with Operations, Office VII, Enforcement and India: Statement of no sales, entries or shipment of this requirement could result in Compliance, International Trade subject merchandise during the Period of Review,’’ dated November 27, 2020; GVN Fuels Limited, Commerce’s presumption that Administration, U.S. Department of Maharashtra Seamless Limited, and Jindal Pipe reimbursement of antidumping duties Commerce, 1401 Constitution Avenue Limited’s Letter, ‘‘Oil Country Tubular Goods from occurred and the subsequent assessment NW, Washington, DC 20230; telephone: India: Statement of no sales, entries or shipment of (202) 482–5255. subject merchandise during the Period of Review,’’ of doubled antidumping duties. dated November 27, 2020; Goodluck India Limited’s SUPPLEMENTARY INFORMATION: Letter, ‘‘Oil Country Tubular Goods from India: Notification to Interested Parties Statement of no sales, entries or shipment of subject Background merchandise during the Period of Review,’’ dated We are issuing and publishing these On September 1, 2020, Commerce November 28, 2020; and Pennar Industries results in accordance with sections published a notice of opportunity to Limited’s Letter, ‘‘Oil Country Tubular Goods from 751(a)(1) and 777(i)(1) of the Act, and 19 India: Statement of no sales, entries or shipment of request an administrative review of the subject merchandise during the Period of Review,’’ CFR 351.213(h)(1). CVD order on OCTG from India for the dated November 27, 2020 (filed on December 9, period January 1, 2019, through 2020). December 31, 2019.1 On September 30, 6 See Memorandum, ‘‘Administrative Review of the Countervailing Duty Order on Oil Country 2020, the domestic interested parties 2 18 See 19 CFR 351.309(d); see also Temporary Tubular Goods from India: Release of U.S. Customs Rule Modifying AD/CVD Service Requirements Due Entry Data for Respondent Selection,’’ dated 1 See Antidumping or Countervailing Duty Order, January 11, 2021. to COVID19; Extension of Effective Period, 85 FR Finding, or Suspended Investigation, Opportunity 7 See Domestic Interested Parties’ Letter, ‘‘Oil 41363 (July 10, 2020) (Temporary Rule). to Request Administrative Review, 85 FR 54349 Country Tubular Goods from India: Withdrawal of 19 See 19 CFR 351.309(c)(2) and (d)(2) and 19 CFR (September 1, 2020). Request for Administrative Review of 351.303 (for general filing requirements). 2 The domestic interested parties are: United Countervailing Duty Order,’’ dated January 14, 20 See Temporary Rule. States Steel Corporation, Maverick Tube 2021.

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part, if a party or parties that requested ACTION: Proposed additions to and MR 13039—Microwave Popcorn Popper a review withdraws the request within deletions from the Procurement List. MR 13065—Microwave Steamer 90 days of the publication of the notice Designated Source of Supply: Cincinnati of the initiation of the requested review. SUMMARY: The Committee is proposing Association for the Blind, Cincinnati, OH The domestic interested parties timely to add product(s) to the Procurement Contracting Activity: Military Resale-Defense withdrew their request for all 45 List that will be furnished by nonprofit Commissary Agency companies identified in their review agencies employing persons who are NSN(s)—Product Name(s): request. No other parties requested an blind or have other severe disabilities, MR 11312—Mug, Travel, Stainless Steel, administrative review of the order. and deletes product(s) and service(s) West Loop 2.0, 20 oz. previously furnished by such agencies. MR 11314—Mug, Travel, Stainless Steel, Therefore, in accordance with 19 CFR West Loop 2.0, 16 oz. DATES: Comments must be received on 351.213(d)(1), we are rescinding this Designated Source of Supply: Association for review in its entirety. or before: March 14, 2021. Vision Rehabilitation and Employment, ADDRESSES: Committee for Purchase Assessment Inc., Binghamton, NY From People Who Are Blind or Severely Contracting Activity: Military Resale-Defense Commerce will instruct CBP to assess Disabled, 1401 S Clark Street, Suite 715, Commissary Agency countervailing duties on all appropriate Arlington, Virginia 22202–4149. NSN(s)—Product Name(s): entries of OCTG from India. FOR FURTHER INFORMATION CONTACT: For MR 10777—Platters, Christmas, Red, Countervailing duties shall be assessed further information or to submit Includes Shipper 20777 at rates equal to the cash deposit of comments contact: Michael R. MR 10778—Platters, Christmas, Blue, estimated countervailing duties required Jurkowski, Telephone: (703) 603–2117, Includes Shipper 20777 at the time of entry, or withdrawal from Fax: (703) 603–0655, or email Designated Source of Supply: Winston- warehouse, for consumption, in [email protected]. Salem Industries for the Blind, Inc., accordance with 19 CFR Winston-Salem, NC SUPPLEMENTARY INFORMATION: This 351.212(c)(1)(i). Commerce intends to Contracting Activity: Military Resale- notice is published pursuant to 41 Defense Commissary Agency issue assessment instructions to CBP no U.S.C. 8503(a)(2) and 41 CFR 51–2.3. Its earlier than 35 days after the date of purpose is to provide interested persons Service(s) publication of this notice in the Federal an opportunity to submit comments on Service Type: Janitorial/Custodial Register. the proposed actions. Mandatory for: GSA Depot—Warehouse 6: Notification Regarding Administrative 2695 N Sherwood Forest Drive, Baton Additions Rouge, LA Protective Order If the Committee approves the Designated Source of Supply: Louisiana Industries for the Disabled, Inc., Baton This notice also serves as a reminder proposed additions, the entities of the to all parties subject to administrative Rouge, LA Federal Government identified in this Contracting Activity: PUBLIC BUILDINGS protective order (APO) of their notice will be required to procure the responsibility concerning the SERVICE, PBS R7 product(s) listed below from nonprofit Service Type: Shredding & Destruction of disposition of proprietary information agencies employing persons who are disclosed under APO in accordance Document & Recycling blind or have other severe disabilities. Mandatory for: US Army Corps of Engineers with 19 CFR 351.305(a)(3). Timely The following product(s) are proposed written notification of the return/ Middle East District, Winchester VA for addition to the Procurement List for Mandatory for: US Army Corps of Engineers destruction of APO materials or production by the nonprofit agencies Records Holding Area (RHA), conversion to judicial protective order is listed: Winchester VA hereby requested. Failure to comply Mandatory for: US Army Corps of Engineers with the regulations and terms of an Product(s) Transatlantic Division, Winchester VA APO is a violation, which is subject to NSN(s)—Product Name(s): Contracting Activity: DEPT OF THE ARMY, sanction. MR 13087—Set, Cookie Sheet, 3 Piece W31R ENDIS MIDDLE EAST Designated Source of Supply: Winston-Salem Service Type: Coating of Polypropylene Notification to Interested Parties Industries for the Blind, Inc., Winston- Plastic Bleeding Tubes This notice is issued and published in Salem, NC Mandatory for: USDA, APHIS-National accordance with sections 751(a)(1) and Contracting Activity: Military Resale-Defense Veterinary Stockpile, Kansas City, MO 777(i)(1) of the Act, and 19 CFR Commissary Agency Designated Source of Supply: JobOne, List Designation: C-List 351.213(d)(4). Independence, MO Mandatory For: The requirements of military Contracting Activity: ANIMAL AND PLANT Dated: February 8, 2021. commissaries and exchanges in HEALTH INSPECTION SERVICE, USDA James Maeder, accordance with the 41 CFR 51–6.4 APHIS MRPBS Deputy Assistant Secretary for Antidumping Deletions and Countervailing Duty Operations. Michael R. Jurkowski, The following product(s) and [FR Doc. 2021–02883 Filed 2–11–21; 8:45 am] Deputy Director, Business & PL Operations. service(s) are proposed for deletion from BILLING CODE 3510–DS–P [FR Doc. 2021–02937 Filed 2–11–21; 8:45 am] the Procurement List: BILLING CODE 6353–01–P Product(s) COMMITTEE FOR PURCHASE FROM NSN(s)—Product Name(s): PEOPLE WHO ARE BLIND OR 5340–00–286–6895—Strap, Webbing, 48″ x COMMITTEE FOR PURCHASE FROM 3 ″ PEOPLE WHO ARE BLIND OR SEVERELY DISABLED ⁄4 Designated Source of Supply: Development SEVERELY DISABLED Procurement List; Proposed Additions Workshop, Inc., Idaho Falls, ID and Deletions Contracting Activity: SOCIAL SECURITY Procurement List; Deletions ADMINISTRATION, BALTIMORE, MD AGENCY: Committee for Purchase From NSN(s)—Product Name(s): AGENCY: Committee for Purchase From People Who Are Blind or Severely MR 1118—Holder, Sponge People Who Are Blind or Severely Disabled. MR 13034—Dispenser, Creamer, Plastic Disabled.

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ACTION: Deletions from the Procurement PHILADELPHIA, PA 7910–00–685–6687—Pad, Machine, ″ 1 ″ List. NSN(s)—Product Name(s): Polishing, Floor, 13 x ⁄4 8465–01–647–6670—US Forest Service Pack, Designated Source of Supply: Beacon SUMMARY: This action deletes product(s) Personal Gear Model 2014 Lighthouse, Inc., Wichita Falls, TX from the Procurement List that were Designated Source of Supply: Huntsville Contracting Activity: GSA/FSS GREATER furnished by nonprofit agencies Rehabilitation Foundation, Huntsville, SOUTHWEST ACQUISITI, FORT employing persons who are blind or AL WORTH, TX Contracting Activity: DLA TROOP SUPPORT, have other severe disabilities. Michael R. Jurkowski, PHILADELPHIA, PA DATES: Date deleted from the Deputy Director, Business & PL Operations. NSN(s)—Product Name(s): Procurement List: March 14, 2021. 6150–01–040–6848—Kit, Wiring, ATON [FR Doc. 2021–02936 Filed 2–11–21; 8:45 am] ADDRESSES: Committee for Purchase Buoy BILLING CODE 6353–01–P From People Who Are Blind or Severely Designated Source of Supply: Greenville Disabled, 1401 S Clark Street, Suite 715, Rehabilitation Center, Greenville, SC Arlington, Virginia 22202–4149. Contracting Activity: SFLC PROCUREMENT DEPARTMENT OF ENERGY BRANCH 3, BALTIMORE, MD FOR FURTHER INFORMATION CONTACT: Michael R. Jurkowski, Telephone: (703) NSN(s)—Product Name(s): Environmental Management Site- 603–2117, Fax: (703) 603–0655, or email 7910–00–NIB–0006—Pad, Floor, Burnishing, Specific Advisory Board, Hanford Animal Hair, Gray, 17″ [email protected]. 7910–00–NIB–0009—Pad, Floor, Burnishing, AGENCY: Office of Environmental ″ SUPPLEMENTARY INFORMATION: Animal Hair, Gray, 21 Management, Department of Energy. 7910–00–NIB–0016—Pad, Floor, Polishing, Deletions Animal Hair, Beige, 17″ ACTION: Notice of open virtual meeting. On 1/8/2021, the Committee for 7910–00–NIB–0029—Pad, Floor, Buffing, SUMMARY: Polyester, Red, 14″ This notice announces an Purchase From People Who Are Blind online virtual meeting of the or Severely Disabled published notice of 7910–00–NIB–0030—Pad, Floor, Buffing, ″ Environmental Management Site- proposed deletions from the Polyester, Red, 15 7910–00–NIB–0034—Pad, Floor, Scrubbing, Specific Advisory Board (EM SSAB), Procurement List. This notice is Polyester, Blue, 14″ Hanford. The Federal Advisory published pursuant to 41 U.S.C. 8503 7910–00–NIB–0040—Pad, Floor, Scrubbing, Committee Act requires that public (a)(2) and 41 CFR 51–2.3. Polyester, Blue, 21″ notice of this online virtual meeting be After consideration of the relevant 7910–01–512–5933—Pad, Floor, Stripping, announced in the Federal Register. matter presented, the Committee has Polyester, Brown, 17″ determined that the product(s) listed 7910–01–512–5937—Pad, Floor, Scrubbing, DATES: Wednesday, March 17, 2021; below are no longer suitable for Polyester, Blue, 13″ 9:00 a.m.–4:30 p.m. procurement by the Federal Government 7910–01–512–5950—Pad, Floor, Scrubbing, Thursday, March 18, 2021; 9:00 a.m.– ″ under 41 U.S.C. 8501–8506 and 41 CFR Polyester, Blue, 17 4:30 p.m. 51–2.4. Designated Source of Supply: Beacon ADDRESSES: Online Virtual Meeting. To Lighthouse, Inc., Wichita Falls, TX receive the meeting access information Regulatory Flexibility Act Certification Contracting Activity: GSA/FSS GREATER SOUTHWEST ACQUISITI, FORT and call-in number, please contact the I certify that the following action will WORTH, TX Federal Coordinator, Gary Younger, at not have a significant impact on a NSN(s)—Product Name(s): the telephone number or email listed substantial number of small entities. 7910–00–820–7989—Pad, Floor, Buffing, below by five days prior to the meeting. The major factors considered for this Nylon, Tan, 15″ FOR FURTHER INFORMATION CONTACT: Gary certification were: Designated Source of Supply: Beacon Younger, Federal Coordinator, U.S. 1. The action will not result in Lighthouse, Inc., Wichita Falls, TX Department of Energy, Hanford Office of additional reporting, recordkeeping or Contracting Activity: GSA/FSS GREATER Communications, Richland Operations other compliance requirements for small SOUTHWEST ACQUISITI, FORT Office, P.O. Box 550, Richland, WA WORTH, TX entities. 99354; Phone: (509) 372–0923; or Email: 2. The action may result in NSN(s)—Product Name(s): [email protected]. authorizing small entities to furnish the 7910–00–685–3908—Pad, Machine, ″ 1 ″ SUPPLEMENTARY INFORMATION: Purpose of product(s) to the Government. Polishing, Floor, 14 x ⁄4 3. There are no known regulatory 7910–00–685–3909—Pad, Machine, the Board: The purpose of the Board is ″ 1 ″ alternatives which would accomplish Polishing, Floor, 16 x ⁄4 to make recommendations to DOE–EM the objectives of the Javits-Wagner- 7910–00–685–3914—Pad, Machine, and site management in the areas of Scrubbing, Floor, 18″ x 1⁄4″ O’Day Act (41 U.S.C. 8501–8506) in environmental restoration, waste 7910–00–685–3915—Pad, Machine, management, and related activities. connection with the product(s) deleted Scrubbing, Floor, 16″ x 1⁄4″ from the Procurement List. 7910–00–685–4239—Pad, Machine, Tentative Agenda ″ 1 ″ End of Certification Stripping, Floor, 12 x ⁄4 • Discussion Topics 7910–00–685–6656—Pad, Machine, D Tri-Party Agreement Agencies’ Accordingly, the following product(s) Scrubbing, Floor, 12″ x 1⁄4″ are deleted from the Procurement List: 7910–00–685–6657—Pad, Machine, Updates Scrubbing, Floor, 13″ x 1⁄4″ D Hanford Advisory Board Committee Product(s) 7910–00–685–6659—Pad, Machine, Reports NSN(s)—Product Name(s): Scrubbing, Floor, 15″ x 1⁄4″ D Board Business 1 ″ 7210–01–030–5311—Pillowcase, 32 ⁄2 x 7910–00–685–6660—Pad, Machine, Public Participation: The meeting is 1 ″ ″ 1 ″ 20 ⁄2 Scrubbing, Floor, 17 x ⁄4 open to the public. The EM SSAB, 7210–00–119–7357—Pillowcase, 321⁄2″ x 20 7910–00–685–6671—Pad, Machine, Hanford, welcomes the attendance of 1⁄2″, White Polishing, Floor, 15″ x 1⁄4″ Designated Source of Supply: Cambria 7910–00–685–6672—Pad, Machine, the public at its advisory committee County Association for the Blind and Polishing, Floor, 17″ x 1⁄4″ meetings and will make every effort to Handicapped, Johnstown, PA 7910–00–685–6686—Pad, Machine, accommodate persons with physical Contracting Activity: DLA TROOP SUPPORT, Polishing, Floor, 12″ x 1⁄4″ disabilities or special needs. If you

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require special accommodations due to Department of Energy by law and Description: Compliance filing: a disability, please contact Gary agreement. The Committee will Informational Filing Pursuant to Younger at least seven days in advance continue to operate in accordance with Schedule 2 to be effective N/A. of the meeting at the telephone number the provisions of the Federal Advisory Filed Date: 2/5/21. listed above. Written statements may be Committee Act and the rules and Accession Number: 20210205–5175. filed with the Board either before or regulations in implementation of that Comments Due: 5 p.m. ET 2/26/21. within five business days after the Act. Docket Numbers: ER19–1756–003. meeting. Individuals who wish to make Applicants: NorthWestern FOR FURTHER INFORMATION CONTACT: Kia oral statements pertaining to agenda Williams, Office of Defense Programs at Corporation. items should contact Gary Younger. (202) 586–0852; email: kia.williams@ Description: Compliance filing: Requests must be received five days nnsa.doe.gov. Compliance Filing to Incorporate prior to the meeting and reasonable Settlement Tariff Records to be effective Signing Authority: This document of provision will be made to include the 7/1/2019. the Department of Energy was signed on presentation in the agenda. The Deputy Filed Date: 2/5/21. February 8, 2021, by Miles Fernandez, Designated Federal Officer is Accession Number: 20210205–5041. Acting Committee Management Officer, empowered to conduct the meeting in a Comments Due: 5 p.m. ET 2/26/21. pursuant to delegated authority from the fashion that will facilitate the orderly Acting Secretary of Energy. That Docket Numbers: ER21–520–001. conduct of business. Individuals document with the original signature Applicants: PJM Interconnection, wishing to make public comments will and date is maintained by DOE. For L.L.C. be provided a maximum of five minutes Description: Compliance filing: PJM administrative purposes only, and in to present their comments. submits Compliance Filing re: FTR compliance with requirements of the Minutes: Minutes will be available by Liquidation in ER21–520–000 to be Office of the Federal Register, the writing or calling Gary Younger’s office effective 2/1/2021. undersigned DOE Federal Register at the address or telephone number Filed Date: 2/5/21. Liaison Officer has been authorized to listed above. Minutes will also be Accession Number: 20210205–5129. available at the following website: sign and submit the document in Comments Due: 5 p.m. ET 2/26/21. electronic format for publication, as an http://www.hanford.gov/page.cfm/hab/ Docket Numbers: ER21–832–001. FullBoardMeetingInformation. official document of the Department of Energy. This administrative process in Applicants: Tri-State Generation and Signed in Washington, DC, on February 8, no way alters the legal effect of this Transmission Association, Inc. Description: Tariff Amendment: 2021. document upon publication in the Supplement to Amendment Filing to be LaTanya Butler, Federal Register. Deputy Committee Management Officer. effective 1/5/2021. Signed in Washington, DC, on February 9, [FR Doc. 2021–02889 Filed 2–11–21; 8:45 am] Filed Date: 2/5/21. 2021. Accession Number: 20210205–5172. BILLING CODE 6450–01–P Treena V. Garrett, Comments Due: 5 p.m. ET 2/26/21. Federal Register Liaison Officer, U.S. Docket Numbers: ER21–1046–000. DEPARTMENT OF ENERGY Department of Energy. Applicants: Sugar Creek Wind One [FR Doc. 2021–02890 Filed 2–11–21; 8:45 am] LLC. National Nuclear Security BILLING CODE 6450–01–P Description: § 205(d) Rate Filing: Administration Reactive Power Rate Schedule to be effective 4/5/2021. Defense Programs Advisory DEPARTMENT OF ENERGY Filed Date: 2/4/21. Committee Renewal Accession Number: 20210204–5136. Federal Energy Regulatory Comments Due: 5 p.m. ET 2/25/21. AGENCY: Office of Defense Programs, Commission National Nuclear Security Docket Numbers: ER21–1047–000. Administration, Department of Energy. Combined Notice of Filings #1 Applicants: Southwestern Public Service Company. ACTION: Notice of renewal. Take notice that the Commission Description: § 205(d) Rate Filing: SUMMARY: Pursuant to Federal Advisory received the following electric corporate SPS–GSEC–RBEC–IA Faria 724 0.0.0 to Committee Act, and following filings: be effective 4/6/2021. consultation with the Committee Docket Numbers: EC21–49–000. Filed Date: 2/4/21. Management Secretariat, General Applicants: Atlantic Power Accession Number: 20210204–5139. Services Administration, notice is Corporation, Tidal Power Holdings Comments Due: 5 p.m. ET 2/25/21. hereby given that the Defense Programs Limited, Tidal Power Aggregator, L.P. Docket Numbers: ER21–1048–000. Advisory Committee (DPAC) will be Description: Application for Applicants: PJM Interconnection, renewed for a two-year period, Authorization Under Section 203 of the L.L.C. beginning on February 8, 2021. The Federal Power Act of Atlantic Power Description: § 205(d) Rate Filing: DPAC will provide advice and Corporation, et al. Revisions to OA, Sch. 12 and RAA, Sch. recommendations to the Deputy Filed Date: 2/5/21. 17 re: 4th Quarter 2020 Member Lists to be effective 12/31/2020. Administrator for Defense Programs on Accession Number: 20210205–5044. the stewardship and maintenance of the Filed Date: 2/4/21. Comments Due: 5 p.m. ET 2/26/21. Nation’s nuclear deterrent. Accession Number: 20210204–5143. Additionally, the renewal of the Take notice that the Commission Comments Due: 5 p.m. ET 2/25/21. Committee has been determined to be received the following electric rate Docket Numbers: ER21–1049–000. essential to the conduct of the filings: Applicants: PJM Interconnection, Department’s business and to be in the Docket Numbers: ER17–2515–005. L.L.C. public interest in connection with the Applicants: Chambers Cogeneration, Description: § 205(d) Rate Filing: performance of duties imposed upon the Limited Partnership. Original WMPA, Service Agreement No.

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5963; Queue No. AF1–150 to be Filed Date: 2/5/21. Description: Compliance filing: effective 1/5/2021. Accession Number: 20210205–5100. Informational Filing Pursuant to Section Filed Date: 2/4/21. Comments Due: 5 p.m. ET 2/26/21. 2 to be effective N/A. Accession Number: 20210204–5145. Docket Numbers: ER21–1057–000. Filed Date: 2/5/21. Comments Due: 5 p.m. ET 2/25/21. Applicants: Pickaway County II Solar Accession Number: 20210205–5130. Docket Numbers: ER21–1050–000. Project, LLC. Comments Due: 5 p.m. ET 2/26/21. Applicants: Midcontinent Description: Baseline eTariff Filing: Docket Numbers: ER21–1064–000. Independent System Operator, Inc., ITC Certificate of Concurrence for Common Applicants: PJM Interconnection, Midwest LLC. Facilities Agreement to be effective 2/6/ L.L.C. Description: § 205(d) Rate Filing: 2021. Description: § 205(d) Rate Filing: 2021–02–05_SA 3013 ITC–DPC 1st Rev Filed Date: 2/5/21. Original ISA, Service Agreement No. TIA to be effective 4/7/2021. Accession Number: 20210205–5101. 5889; Queue Nos. AC2–186, AC2–187, Filed Date: 2/5/21. Comments Due: 5 p.m. ET 2/26/21. AC2–188 to be effective 1/6/2021. Accession Number: 20210205–5004. Docket Numbers: ER21–1058–000. Filed Date: 2/5/21. Comments Due: 5 p.m. ET 2/26/21. Applicants: Buckeye Plains Solar Accession Number: 20210205–5152. Docket Numbers: ER21–1051–000. Project, LLC. Comments Due: 5 p.m. ET 2/26/21. Applicants: PJM Interconnection, Description: Baseline eTariff Filing: Docket Numbers: ER21–1065–000. L.L.C. Certificate of Concurrence for Common Applicants: TransCanyon Western Description: § 205(d) Rate Filing: Facilities Agreement to be effective 2/6/ Development, LLC. Amendment to WMPA, Service 2021. Description: Baseline eTariff Filing: Agreement No. 5495; Queue No. AE1– Filed Date: 2/5/21. Formula Rate to be effective 4/7/2021. 124 to be effective 9/30/2019. Accession Number: 20210205–5102. Filed Date: 2/5/21. Filed Date: 2/5/21. Comments Due: 5 p.m. ET 2/26/21. Accession Number: 20210205–5161. Accession Number: 20210205–5024. Docket Numbers: ER21–1059–000. Comments Due: 5 p.m. ET 2/26/21. Comments Due: 5 p.m. ET 2/26/21. Applicants: Buckeye Plains II Solar The filings are accessible in the Docket Numbers: ER21–1052–000. Project, LLC. Commission’s eLibrary system (https:// Applicants: Midcontinent Description: Baseline eTariff Filing: elibrary.ferc.gov/idmws/search/ Independent System Operator, Inc. Certificate of Concurrence for Common fercgensearch.asp) by querying the Description: § 205(d) Rate Filing: Facilities Agreement to be effective 2/6/ docket number. 2021–02–05_SA 3480 ATC-Darien Solar 2021. Any person desiring to intervene or Energy Center 1st GIA (J850) to be Filed Date: 2/5/21. protest in any of the above proceedings effective 1/26/2021. Accession Number: 20210205–5104. must file in accordance with Rules 211 Filed Date: 2/5/21. Comments Due: 5 p.m. ET 2/26/21. and 214 of the Commission’s Accession Number: 20210205–5036. Docket Numbers: ER21–1060–000. Regulations (18 CFR 385.211 and Comments Due: 5 p.m. ET 2/26/21. Applicants: Southern California 385.214) on or before 5:00 p.m. Eastern Docket Numbers: ER21–1053–000. Edison Company. time on the specified comment date. Applicants: Alabama Power Description: § 205(d) Rate Filing: DSA Protests may be considered, but Company. Quarantina Energy Storage, LLC— intervention is necessary to become a Description: Tariff Cancellation: Quarantina Energy Storage & Cancel Ltr party to the proceeding. O’Neal Solar LGIA Termination Filing Agmt to be effective 4/7/2021. eFiling is encouraged. More detailed to be effective 2/5/2021. Filed Date: 2/5/21. information relating to filing Filed Date: 2/5/21. Accession Number: 20210205–5118. requirements, interventions, protests, Accession Number: 20210205–5055. Comments Due: 5 p.m. ET 2/26/21. service, and qualifying facilities filings Comments Due: 5 p.m. ET 2/26/21. Docket Numbers: ER21–1061–000. can be found at: http://www.ferc.gov/ Docket Numbers: ER21–1054–000. Applicants: New York Independent docs-filing/efiling/filing-req.pdf. For Applicants: Southwestern Public System Operator, Inc, Niagara Mohawk other information, call (866) 208–3676 Service Company. Power Corporation. (toll free). For TTY, call (202) 502–8659. Description: § 205(d) Rate Filing: Joint Description: § 205(d) Rate Filing: Dated: February 5, 2021. Schedule 1A Operating Procedures— executed LGIA among the NYISO, Kimberly D. Bose, Update to be effective 1/1/2021. National Grid, and PPM Roaring SA Filed Date: 2/5/21. 2593 to be effective 1/25/2021. Secretary. Accession Number: 20210205–5059. Filed Date: 2/5/21. [FR Doc. 2021–02854 Filed 2–11–21; 8:45 am] Comments Due: 5 p.m. ET 2/26/21. Accession Number: 20210205–5120. BILLING CODE 6717–01–P Docket Numbers: ER21–1055–000. Comments Due: 5 p.m. ET 2/26/21. Applicants: Southwest Power Pool, Docket Numbers: ER21–1062–000. Inc. Applicants: New York Independent DEPARTMENT OF ENERGY Description: § 205(d) Rate Filing: 3774 System Operator, Inc., Power Authority Federal Energy Regulatory The Energy Authority and MEAN Meter of the State of New York. Commission Agent Agreement to be effective 2/1/ Description: § 205(d) Rate Filing: Joint 2021. EPC Agreement among NYISO, NYPA, Combined Notice of Filings Filed Date: 2/5/21. and PPM Roaring Brook, SA 2592 to be Accession Number: 20210205–5063. effective 1/25/2021. Take notice that the Commission has Comments Due: 5 p.m. ET 2/26/21. Filed Date: 2/5/21. received the following Natural Gas Docket Numbers: ER21–1056–000. Accession Number: 20210205–5128. Pipeline Rate and Refund Report filings: Applicants: Pickaway County Solar Comments Due: 5 p.m. ET 2/26/21. Docket Number: PR21–26–000. Project, LLC. Docket Numbers: ER21–1063–000. Applicants: Louisville Gas and Description: Baseline eTariff Filing: Applicants: Morris Cogeneration, Electric Company. Common Facilities Agreement to be LLC, Chambers Cogeneration, Limited Description: Tariff filing per effective 2/6/2021. Partnership. 284.123(b),(e)/: Revised Statement of

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Operating Condition Exhibit A to be eFiling is encouraged. More detailed This filing is accessible on-line at effective 2/1/2021 under PR21–26. information relating to filing http://www.ferc.gov, using the Filed Date: 2/4/2021. requirements, interventions, protests, ‘‘eLibrary’’ link and is available for Accession Number: 202102045035. service, and qualifying facilities filings review in the Commission’s Public Comments/Protests Due: 5 p.m. ET 2/ can be found at: http://www.ferc.gov/ Reference Room in Washington, DC. 25/2021. docs-filing/efiling/filing-req.pdf. For There is an ‘‘eSubscription’’ link on the Docket Numbers: RP21–453–000. other information, call (866) 208–3676 website that enables subscribers to Applicants: Iroquois Gas (toll free). For TTY, call (202) 502–8659. receive email notification when a Transmission System, L.P. Dated: February 5, 2021. document is added to a subscribed Description: § 4(d) Rate Filing: 2.3.21 Kimberly D. Bose, docket(s). For assistance with any FERC Online service, please email Negotiated Rates—Mieco LLC H–7080– Secretary. 89 to be effective 2/3/2021. [email protected], or call [FR Doc. 2021–02855 Filed 2–11–21; 8:45 am] Filed Date: 2/3/21. (866) 208–3676 (toll free). For TTY, call BILLING CODE 6717–01–P Accession Number: 20210203–5027. (202) 502–8659. Comments Due: 5 p.m. ET 2/16/21. Comment Date: 5:00 p.m. Eastern time on February 19, 2021. Docket Numbers: RP21–454–000. DEPARTMENT OF ENERGY Applicants: Iroquois Gas Dated: February 4, 2021. Transmission System, L.P. Federal Energy Regulatory Kimberly D. Bose, Description: § 4(d) Rate Filing: 2.3.21 Commission Secretary. Negotiated Rates—Sequent Energy [Docket Nos. EL21–44–000; QF94–155–013] [FR Doc. 2021–02856 Filed 2–11–21; 8:45 am] Management, L.P. H–3075–89 to be BILLING CODE 6717–01–P effective 2/3/2021. LSP-Whitewater Limited Partnership; Filed Date: 2/3/21. Notice of Waiver Request Accession Number: 20210203–5028. DEPARTMENT OF ENERGY Comments Due: 5 p.m. ET 2/16/21. Take notice that on January 29, 2021, Docket Numbers: RP21–455–000. pursuant to section 292.205(c) of the Federal Energy Regulatory Applicants: Iroquois Gas Federal Energy Regulatory Commission Transmission System, L.P. Commission’s (Commission) Rules of Combined Notice of Filings Description: § 4(d) Rate Filing: 2.3.21 Practices and Procedures implementing the Public Utility Regulatory Policies Negotiated Rates—Castleton Take notice that the Commission has Act of 1978, as amended, 18 CFR Commodities Merchant Trading L.P. H– received the following Natural Gas 292.205(c)(2017), LSP-Whitewater 4010–89 to be effective 2/3/2021. Pipeline Rate and Refund Report filings: Filed Date: 2/3/21. Limited Partnership requested a waiver of the operating and efficiency Docket Number: PR21–27–000. Accession Number: 20210203–5029. Applicants: Jefferson Island Storage & Comments Due: 5 p.m. ET 2/16/21. standards set forth in sections 292.205(a)(1) and 292.205(a)(2)(i)(B) of Hub, L.L.C. Docket Numbers: RP21–456–000. the Commission’s regulations for its Description: Tariff filing per Applicants: Transwestern Pipeline topping-cycle cogeneration facility 284.123(b)(2) + (: Soc update 2021 Feb Company, LLC. located in Whitewater, Wisconsin for to be effective 2/5/2021 under PR21–27. Description: Compliance filing Alert calendar year 2020, as more fully Filed Date: 2/5/2021. Day Penalty Report on 2–3–2021. explained in its waiver request. Accession Number: 202102055121. Filed Date: 2/3/21. Any person desiring to intervene or to Comments/Protests Due: 5 p.m. ET 2/ Accession Number: 20210203–5054. protest this filing must file in 26/2021. Comments Due: 5 p.m. ET 2/16/21. accordance with Rules 211 and 214 of Docket Numbers: RP21–458–000. Docket Numbers: RP21–457–000. the Commission’s Rules of Practice and Applicants: Iroquois Gas Applicants: Iroquois Gas Procedure (18 CFR 385.211, 385.214). Transmission System, L.P. Transmission System, L.P. Protests will be considered by the Description: § 4(d) Rate Filing: 2.4.21 Description: § 4(d) Rate Filing: 2/3/21 Commission in determining the Negotiated Rates—Twin Eagle Resource Negotiated Rates—Hartree Partners, LP appropriate action to be taken, but will Management, LLC H–7300–89 to be H–7090–89 to be effective 2/3/2021. not serve to make protestants parties to effective 2/5/2021. Filed Date: 2/3/21. the proceeding. Any person wishing to Filed Date: 2/4/21. Accession Number: 20210203–5088. become a party must file a notice of Accession Number: 20210204–5060. Comments Due: 5 p.m. ET 2/16/21. intervention or motion to intervene, as Comments Due: 5 p.m. ET 2/16/21. The filings are accessible in the appropriate. Such notices, motions, or Docket Numbers: RP21–459–000. Commission’s eLibrary system (https:// protests must be filed on or before the Applicants: Algonquin Gas elibrary.ferc.gov/idmws/search/ comment date. Anyone filing a motion Transmission, LLC. fercgensearch.asp) by querying the to intervene or protest must serve a copy Description: § 4(d) Rate Filing: docket number. of that document on the Applicant. Negotiated Rate—Yankee Gas 510802 Any person desiring to intervene or The Commission encourages Release eff 2–5–2021 to be effective 2/ protest in any of the above proceedings electronic submission of protests and 5/2021. must file in accordance with Rules 211 interventions in lieu of paper using the Filed Date: 2/4/21. and 214 of the Commission’s ‘‘eFiling’’ link at http://www.ferc.gov. Accession Number: 20210204–5076. Regulations (18 CFR 385.211 and Persons unable to file electronically Comments Due: 5 p.m. ET 2/16/21. 385.214) on or before 5:00 p.m. Eastern should submit an original and 5 copies Docket Numbers: RP21–460–000. time on the specified comment date(s). of the protest or intervention to the Applicants: Cimarron River Pipeline, Protests may be considered, but Federal Energy Regulatory Commission, LLC. intervention is necessary to become a 888 First Street NE, Washington, DC Description: § 4(d) Rate Filing: Tekas party to the proceeding. 20426. Sale to be effective 2/6/2021.

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Filed Date: 2/4/21. Accession Number: 20210208–5114. Docket Numbers: FC21–2–000. Accession Number: 20210204–5089. Comments Due: 5 p.m. ET 3/1/21. Applicants: I Squared Capital. Comments Due: 5 p.m. ET 2/16/21. Docket Numbers: ER15–704–020. Description: Self-Certification of FC of Docket Numbers: RP21–461–000. Applicants: Pacific Gas and Electric I Squared Capital. Applicants: Guardian Pipeline, L.L.C. Company. Filed Date: 2/3/21. Description: § 4(d) Rate Filing: Description: Compliance filing: CCSF Accession Number: 20210203–5169. Negotiated Rate PAL Agreements— Compliance filing WDT IA (SA 275) Comments Due: 5 p.m. ET 2/24/21. Clearwater & Mercuria to be effective 2/ (Feb 2021) to be effective 7/1/2015. The filings are accessible in the 4/2021. Filed Date: 2/8/21. Commission’s eLibrary system (https:// Filed Date: 2/4/21. Accession Number: 20210208–5122. elibrary.ferc.gov/idmws/search/ Accession Number: 20210204–5148. Comments Due: 5 p.m. ET 3/1/21. fercgensearch.asp) by querying the Comments Due: 5 p.m. ET 2/16/21. Docket Numbers: ER19–2916–003 docket number. The filings are accessible in the Applicants: Calpine Mid-Merit II, Any person desiring to intervene or Commission’s eLibrary system (https:// LLC. protest in any of the above proceedings elibrary.ferc.gov/idmws/search/ Description: Compliance filing: must file in accordance with Rules 211 fercgensearch.asp) by querying the Reactive Service Rate Schedule and 214 of the Commission’s docket number. Compliance Filing to be effective 11/1/ Regulations (18 CFR 385.211 and Any person desiring to intervene or 2019. 385.214) on or before 5:00 p.m. Eastern protest in any of the above proceedings Filed Date: 2/8/21. time on the specified comment date. must file in accordance with Rules 211 Accession Number: 20210208–5121. Protests may be considered, but and 214 of the Commission’s Comments Due: 5 p.m. ET 3/1/21. intervention is necessary to become a Regulations (18 CFR 385.211 and Docket Numbers: ER21–645–000. party to the proceeding. 385.214) on or before 5:00 p.m. Eastern Applicants: TransWest Express LLC. eFiling is encouraged. More detailed time on the specified comment date(s). Description: Amendment to January information relating to filing Protests may be considered, but 15, 2021 TransWest Express LLC requirements, interventions, protests, intervention is necessary to become a Application for Authorization to sell service, and qualifying facilities filings party to the proceeding. transmission service rights at negotiated can be found at: http://www.ferc.gov/ eFiling is encouraged. More detailed rates. docs-filing/efiling/filing-req.pdf. For information relating to filing Filed Date: 2/5/21. other information, call (866) 208–3676 requirements, interventions, protests, Accession Number: 20210205–5181. (toll free). For TTY, call (202) 502–8659. service, and qualifying facilities filings Comments Due: 5 p.m. ET 2/12/21. Dated: February 8, 2021. can be found at: http://www.ferc.gov/ Docket Numbers: ER21–1067–000. Nathaniel J. Davis, Sr., docs-filing/efiling/filing-req.pdf. For Applicants: Appalachian Power Deputy Secretary. other information, call (866) 208–3676 Company. [FR Doc. 2021–02896 Filed 2–11–21; 8:45 am] (toll free). For TTY, call (202) 502–8659. Description: § 205(d) Rate Filing: BILLING CODE 6717–01–P Dated: February 8, 2021. OATT—Revise Attachment K, AEP Nathaniel J. Davis, Sr., Texas Inc. Rate Update to be effective Deputy Secretary. 12/31/9998. DEPARTMENT OF ENERGY [FR Doc. 2021–02897 Filed 2–11–21; 8:45 am] Filed Date: 2/8/21. Federal Energy Regulatory BILLING CODE 6717–01–P Accession Number: 20210208–5087. Comments Due: 5 p.m. ET 3/1/21. Commission Docket Numbers: ER21–1068–000. [Project No. 2814–025] DEPARTMENT OF ENERGY Applicants: American Electric Power Service Corporation, Ohio Power Great Falls Hydroelectric Company, Federal Energy Regulatory Company, AEP Ohio Transmission City of Paterson, New Jersey; Notice of Commission Company, Inc., PJM Interconnection, Availability of Environmental L.L.C. Assessment Combined Notice of Filings #1 Description: § 205(d) Rate Filing: AEP In accordance with the National Take notice that the Commission submits Scioto Ridge Facilities Environmental Policy Act of 1969 and received the following electric rate Agreement with SA No. 1336 to be the Federal Energy Regulatory filings: effective 4/10/2021. Commission’s (Commission) Docket Numbers: ER15–1365–003. Filed Date: 2/8/21. regulations, 18 CFR part 380, the Office Applicants: Morris Cogeneration, Accession Number: 20210208–5109. of Energy Projects has reviewed the LLC. Comments Due: 5 p.m. ET 3/1/21. application for a new license for the Description: Compliance filing: Docket Numbers: ER21–1069–000. Great Falls Hydroelectric Project, Informational Filing Pursuant to Applicants: PJM Interconnection, located on the Passaic River, near the Schedule 2 to be effective N/A. L.L.C. City of Paterson, Passaic County, New Filed Date: 2/8/21. Description: Tariff Cancellation: Jersey, and has prepared an Accession Number: 20210208–5057. Notice of Cancellation of WMPA SA No. Environmental Assessment (EA) for the Comments Due: 5 p.m. ET 3/1/21. 5670; Queue No. AE2–151 to be project. The project occupies 2.4 acres Docket Numbers: ER15–704–019. effective 2/27/2021. of federal land administered by the Applicants: Pacific Gas and Electric Filed Date: 2/8/21. National Park Service. Company. Accession Number: 20210208–5125. The EA contains staff’s analysis of the Description: Compliance filing: CCSF Comments Due: 5 p.m. ET 3/1/21. potential environmental impacts of the WDT Compliance Filing (Feb 2021) to Take notice that the Commission project and concludes that licensing the be effective 7/23/2015. received the following foreign utility project, with appropriate environmental Filed Date: 2/8/21. company status filings: protective measures, would not

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constitute a major federal action that DEPARTMENT OF ENERGY and the Regulations under the Natural would significantly affect the quality of Gas Act (18 CFR 157.10).2 the human environment. Federal Energy Regulatory As a matter of practice, the The Commission provides all Commission Commission itself generally acts on interested persons with an opportunity requests for extensions of time to to view and/or print the EA via the [Docket No. CP20–28–000] complete construction for NGA facilities internet through the Commission’s when such requests are contested before Home Page (http://www.ferc.gov/) using Columbia Gas Transmission, LLC; order issuance. For those extension the ‘‘eLibrary’’ link. Enter the docket Notice of Request for Extension of requests that are contested,3 the number, excluding the last three digits Time Commission acting as a whole will aim in the docket number field, to access the to issue an order acting on the request document. At this time, the Commission Take notice that on February 3, 2021, within 45 days.4 The Commission will has suspended access to the Columbia Gas Transmission, LLC address all arguments relating to Commission’s Public Reference Room, (Columbia) requested that the Federal whether the applicant has demonstrated due to the proclamation declaring a Energy Regulatory Commission there is good cause to grant the 5 National Emergency concerning the (Commission) grant an extension of extension. The Commission will not Novel Coronavirus Disease (COVID–19), time, until October 31, 2021, to consider arguments that re-litigate the issued by the President on March 13, complete construction of the Line SM– issuance of the Certificate Order, 2020. For assistance, contact FERC 116 Forced Relocation Project (Project) including whether the Commission Online Support at and make the Project available for properly found the project to be in the service, as the Prior Notice authorized public convenience or necessity and [email protected] or toll- 1 free at (866) 208–3676, or for TTY, (202) on February 25, 2020. The whether the Commission’s 502–8659. Commission’s regulations establish that environmental analysis for the the Project be completed within one certificate complied with the National You may also register online at year of the date the Project was Environmental Policy Act.6 At the time https://ferconline.ferc.gov/ authorized. a pipeline requests an extension of time, eSubscription.aspx to be notified via orders on certificates of public email of new filings and issuances The Project consists of the relocation convenience and/or necessity are final related to this or other pending projects. and/or abandonment of segments of Columbia’s existing Line SM–116 due to and the Commission will not re-litigate For assistance, contact FERC Online their issuance. The OEP Director, or his Support. highwall and area surface mining to be performed by Central Appalachian or her designee, will act on all those Any comments should be filed within Mining on their Millseat Surface Mine. extension requests that are uncontested. 30 days from the date of this notice. The relocation and/or abandonment In addition to publishing the full text The Commission strongly encourages activities will take place in Mingo of this document in the Federal electronic filings. Please file comments County, West Virginia. Columbia stated Register, the Commission provides all using the Commission’s eFiling system in the Prior Notice application that the interested persons an opportunity to at https://ferconline.ferc.gov/ new Project infrastructure will have an view and/or print the contents of this eFiling.aspx. Commenters can submit equivalent designed delivery capacity as document via the internet through the brief comments up to 6,000 characters, the facilities being abandoned and will Commission’s Home Page (http:// without prior registration, using the not result in a reduction or ferc.gov) using the ‘‘eLibrary’’ link. eComment system at https:// abandonment of service. Enter the docket number excluding the ferconline.ferc.gov/ last three digits in the docket number In its Extension of Time request, QuickComment.aspx. You must include field to access the document. At this Columbia stated that the contractor will your name and contact information at time, the Commission has suspended not be able to meet the original in- the end of your comments. For access to the Commission’s Public service date because the Project has assistance, please contact FERC Online Reference Room, due to the Support. In lieu of electronic filing, you experienced significant delays due to proclamation declaring a National may submit a paper copy. Submissions rainfall on the site which delayed Emergency concerning COVID–19, sent via the U.S. Postal Service must be construction and created safety issued by the President on March 13, addressed to: Kimberly D. Bose, concerns for the personnel in traversing 2020. For assistance, contact FERC at Secretary, Federal Energy Regulatory the construction work area safely. [email protected] or call Commission, 888 First Street NE, Room Additionally, the construction schedule toll-free, (886) 208–3676 or TYY, (202) 1A, Washington, DC 20426. was negatively impacted by the COVID– 502–8659. Submissions sent via any other carrier 19 pandemic. The Commission strongly encourages must be addressed to: Kimberly D. Bose, This notice establishes a 15-calendar electronic filings of comments, protests Secretary, Federal Energy Regulatory day intervention and comment period Commission, 12225 Wilkins Avenue, deadline. Any person wishing to 2 Only motions to intervene from entities that comment on the extension motion may were party to the underlying proceeding will be Rockville, Maryland 20852. The first accepted. Algonquin Gas Transmission, LLC, 170 page of any filing should include docket do so. No reply comments or answers FERC 61,144, at P 39 (2020). number P–2814–025. will be considered. If you wish to obtain 3 Contested proceedings are those where an For further information, contact Chris legal status by becoming a party to the intervenor disputes any material issue of the filing. proceedings for this request, you 18 CFR 385.2201(c)(1) (2020). Millard at (202) 502–8256 or by email at 4 should, on or before the comment date Algonquin Gas Transmission, LLC, 170 FERC [email protected]. 61,144, at P 40 (2020). stated below, file a motion to intervene 5 Dated: February 8, 2021. Id. P 40. in accordance with the requirements of 6 Similarly, the Commission will not re-litigate Nathaniel J. Davis, Sr., the Commission’s Rules of Practice and the issuance of an NGA section 3 authorization, Deputy Secretary. Procedure (18 CFR 385.214 or 385.211) including whether a proposed project is not inconsistent with the public interest and whether [FR Doc. 2021–02899 Filed 2–11–21; 8:45 am] the Commission’s environmental analysis for the BILLING CODE 6717–01–P 1 85 FR 88 (Jan. 2, 2020). permit order complied with NEPA.

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and interventions in lieu of paper using website at https://www.epa.gov/npdes- shall approve a State’s application for the ‘‘eFile’’ link at http://www.ferc.gov. permts. program approval unless adequate Persons unable to file electronically may FOR FURTHER INFORMATION CONTACT: Ms. authority does not exist as required by mail similar pleadings to the Federal Kilty Baskin, EPA Region 6 Office, the CWA. Energy Regulatory Commission, 888 NPDES/Wetland Review Section (R6 3. What is the EPA’s authority for taking First Street NE, Washington, DC 20426. WD–PN), 214–665–7500, baskin.kilty@ this action? Hand delivered submissions in epa.gov. docketed proceedings should be CWA section 402 established the delivered to Health and Human SUPPLEMENTARY INFORMATION: NPDES permitting program and gives Services, 12225 Wilkins Avenue, A. General Information the EPA authority to approve state Rockville, Maryland 20852. NPDES programs. 33 U.S.C. 1342(b). Comment Date: 5:00 p.m. Eastern 1. Does this action apply to me? CWA Section 402(n)(3) authorizes the Time on Tuesday, February 23rd, 2021. Entities potentially affected by this EPA to approve a Major Category Partial Permit Program covering administration Dated: February 8, 2021. action include the regulated oil and gas of a major category of discharges if ‘‘(A) Nathaniel J. Davis, Sr., community and citizens within the State of Texas. As of January 15, 2021, such program represents a complete Deputy Secretary. authority to implement the NPDES permit program and covers all of the [FR Doc. 2021–02898 Filed 2–11–21; 8:45 am] permitting, compliance monitoring and discharges under the jurisdiction of a BILLING CODE 6717–01–P enforcement program for oil and gas department or agency of the State; and activities in Texas transferred from the (B) the Administrator determines that EPA to the TCEQ. The TCEQ’s authority the partial program represents a ENVIRONMENTAL PROTECTION applies on land within the State of significant and identifiable part of the AGENCY Texas and extends 3.0 statute miles (1 State program required by subsection [EPA–R06–OW–2020–0608; FRL–10019–98– statute mile equals 5,280 feet) offshore (b).’’ 33 U.S.C. 1342(n)(3). Region 6] into the Gulf of Mexico. The EPA retains State Permit Program Approval: jurisdiction for discharges more than 3 Section 402 of the CWA, 33 U.S.C. 1342, Approval of the Application by the statute miles offshore in the Gulf of created the NPDES program under State of Texas for Partial National Mexico. Thus, CWA oil and gas which the EPA may issue permits Pollutant Discharge Elimination exploration and production related authorizing the point source discharge System (NPDES) Program discharges in these waters remain of pollutants to waters of the United Authorization for Oil and Gas subject to the EPA’s Outer Continental States under conditions required by the Discharges Shelf of the Gulf of Mexico General Act. CWA Section 402(b), 33 U.S.C. Permit (GMG290000). In addition, spills 1342(b), provides that the EPA shall AGENCY: Environmental Protection or releases of hydrocarbons subject to approve a State’s request to administer Agency (EPA). the Oil Pollution Act are not subject to its own permit program provided the ACTION: Notice. the NPDES program. The EPA’s State has appropriate legal authority and a state program that meets the Act’s SUMMARY: On January 15, 2021, the authority to address releases of hydrocarbons to waters of the United requirements. The regulatory Regional Administrator for the United requirements for state program States Environmental Protection Agency States under the Oil Pollution Act is not subject to the NPDES program and submissions and for EPA state program (EPA), Region 6 approved the request of approval are set forth in 40 CFR part 123 the State of Texas’ for Partial National therefore cannot be delegated to states. The TCEQ will continue to refer (https://www.ecfr.gov/). Pollutant Discharge Elimination System Decision Process: Pursuant to 40 CFR (NPDES) program authorization for incidents to EPA as the regulatory authority for the Oil Pollution Act. The 123.61(b), the EPA must approve or discharges from produced water, disapprove Texas’ application for hydrostatic test water and gas plant TCEQ NPDES program does not apply in areas of Indian country as defined in NPDES oil and gas authorization within effluent, hereafter referred to as oil and 90 days of receipt of a complete program gas discharges, within the State of 18 U.S.C. 1151. The EPA retains jurisdiction over discharges in these submission, unless this review period is Texas. On October 12, 2020, the extended by mutual agreement between Governor of Texas submitted the areas. If you have any questions regarding the applicability of this action the EPA and the State pursuant to 40 application for NPDES oil and gas to a particular entity, please contact Ms. CFR 123.21(d). Under CWA § 402(b) authorization, seeking approval for the Kilty Baskin at 214–665–7500, and 40 CFR part 123, the State must Texas Commission on Environmental [email protected]. show, among other things that it has the Quality (TCEQ) to implement a Major authority to issue permits that comply Category Partial NPDES Program as 2. What action is the EPA taking? with the Act, authority to impose civil provided for under the Clean Water Act The EPA is providing notice of the and criminal penalties for permit (CWA or ‘‘the Act’’). Today, the EPA is approval of the State of Texas’ request violations, and authority to ensure that providing public notice of the approval for partial NPDES program the public is given notice and an of the State’s submittal of the authorization for oil and gas discharges opportunity for a hearing on each application for NPDES oil and gas within the State. The Governor of Texas proposed permit. Once the State’s authorization. submitted the application for NPDES oil request for program approval is declared DATES: Pursuant to 40 CFR part and gas authorization pursuant to complete, the CWA and its 123.61(c), the Partial NPDES Program of Section 402(b) of the CWA, seeking implementing regulations require the the State of Texas was approved and approval for the TCEQ to implement a EPA to provide notice of the State’s became effective January 15, 2021. major category partial NPDES program application and allow a comment period To View and/or Obtain Copies of under Section 402(n)(3) of the Act. In of at least 45 days during which the Documents. A copy of the application accordance with CWA Section 402(b), public may express their views on the and related documents may be viewed 33 U.S.C. 1342(b), and NPDES proposed State program. The EPA’s or downloaded, at no cost, from the EPA regulations at 40 CFR part 123, the EPA public notice of the application must

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also provide notice of a public hearing submission. The program description to the TCEQ on the date of program to be held no less than 30 days after was divided into four (4) chapters: authorization. Upon authorization, publication of the notice. See 40 CFR • Overview of the TCEQ, as required jurisdiction for EPA issued oil and gas part 123.61. After the close of the public by 40 CFR 123.22(a) and (b); permits and primary enforcement comment period, the EPA determines • Oil and Gas Permitting Program authority for oil and gas discharges whether to approve or disapprove the Description, as required by 40 CFR within the State will be transferred to State’s application based on the 123.22(c), (d) and (g); the TCEQ, with certain limited requirements of section 402(b) of the • Oil and Gas Enforcement Program exceptions. The MOA Addendum CWA and 40 CFR part 123. Description, as required by 40 CFR describes in detail those exceptions, i.e., Summary of the State’s Application/ 123.22(d), (e) and (g); and permits and enforcement actions for • Proposed Program: By letter dated Program Costs and Funding which the EPA will initially retain October 9, 2020, and received by the Description, as required by 40 CFR jurisdiction, such as permits for which EPA on October 12, 2020, the Governor 123.22(b)(1)–(3). appeals are pending or enforcement of the State of Texas submitted a request A Statement of Legal Authority, actions that are currently ongoing. The for NPDES program authorization for oil signed by the Texas Attorney General, MOA Addendum also details the and gas discharges in Texas. The request was included as Attachment C to the actions that will trigger transfer of was for approval of a Major Category State’s submission. The Statement of jurisdiction for those permits and Partial Permit Program under CWA Legal Authority outlines the TCEQ’s enforcement actions to TCEQ, for section 402(n)(3) covering legal authority to regulate the discharge example resolution of the permit appeal administration of a major category of of produced water, hydrostatic test or resolution of the ongoing discharges within the State. The State’s water, and gas plant effluent into water enforcement action. NPDES oil and gas program would be in the state resulting from oil and gas Copies of all applicable State statutes administered by the TCEQ. The TCEQ activities upon NPDES program and regulations, as well as the TCEQ currently implements an approved authorization from the EPA. The Operating Policies and Procedures, were partial NPDES permitting program, the Statement of Legal authority notes that included as Attachment F to the State’s Texas Pollutant Discharge Elimination when House Bill 2771 became effective, submission. Please note that the TCEQ System (TPDES) program, for discharges the term ‘‘produced water’’ was not adopted by reference the EPA’s Oil and to waters of the State in accordance with defined in State rules or statutes. For the Gas Effluent Limitation Guidelines (40 Clean Water Act § 402(n)(3). However, purposes of the TCEQ’s implementation CFR part 435). when TCEQ was granted authority by of amended Tex. Water Code § 26.131, On November 5, 2020, the TCEQ the EPA in 1998 to administer the the TCEQ defined the term ‘‘produced submitted revised language to NPDES program for discharges under its water’’ in 30 Tex. Admin. Code Attachment E—Chapter 3 Enforcement jurisdiction, oil and gas discharges were § 305.541(b) as ‘‘all wastewater Program Description for clarification regulated by the Railroad Commission associated with oil and gas exploration, purposes. The revised language did not of Texas (RRC) and thus were not development, and production activities, affect substantive changes to the State’s included as part of the approved TPDES except hydrostatic test water and gas program submission and was not a program. As a result, the EPA retained plant effluent, that is discharged into material change under 40 CFR part permitting authority for oil and gas water in the state, including waste 123.12(c). The revised language clarified discharges in Texas. In 2019, House Bill streams regulated by 40 CFR part 435.’’ that the TCEQ’s existing spill response 2771, 86th Texas Legislature, amended Through the Statement of Legal program has been evaluated and Texas Water Code § 26.131 to transfer Authority, the Texas Attorney General determined to be adequate for the jurisdiction of discharges of produced certified that amended Tex. Water Code inclusion of wastewater spills from oil water, hydrostatic test water, and gas § 26.131, in conjunction with the and gas operations subject to the NPDES plant effluent into water in the state definition of produced water in 30 Tex. program. Upon the EPA’s approval of from the RRC to the TCEQ upon NPDES Admin. Code § 305.541(b) and the the State’s request for NPDES authority program authorization from the EPA for TCEQ’s existing authority to issue for oil and gas discharges, primary such discharges. A copy of Texas Water permits for the discharge of pollutants enforcement authority for such spills Code § 26.131 was attached as into water in the state in Tex. Water and releases will transfer to the TCEQ. Attachment A to the State’s application. Code § 26.121, provides the TCEQ with Spills or releases of hydrocarbons In accordance with 40 CFR part authority to issue TPDES permits for the subject to the Oil Pollution Act are not 123.21, the State’s application included discharge of all oil and gas wastewater subject to the NPDES program. The the following 5 elements: (1) A letter into water in the State in Texas. EPA’s authority to address releases of from the Governor requesting program The MOA between the TCEQ and the hydrocarbons to waters of the United approval; (2) A complete program EPA concerning the TPDES program States under the Oil Pollution Act description, as required by 40 CFR part and a MOA Addendum to address oil cannot be delegated to states and the 123.22, describing how the State intends and gas discharges was included as TCEQ will continue to refer incidents to to carry out its responsibilities under Attachment D to the State’s submission. the EPA as the regulatory authority for the Act and its implementing The MOA Addendum recognizes that the Oil Pollution Act. regulations; (3) An Attorney General’s one of the most important goals for The EPA determined that the State’s statement as required by 40 CFR part transferring NPDES program authority October 12, 2020 program submission 123.23; (4) A Memorandum of to Texas for oil and gas discharge constituted a complete package under Agreement (MOA) with the Regional permitting, compliance monitoring and 40 CFR part 123.21, and a letter of Administrator as required by 40 CFR enforcement is to promote and facilitate completeness was sent to the State on part 123.24; and (5) Copies of all the expeditious transformation of November 12, 2020. Pursuant to 40 CFR applicable State statutes and federal NPDES and state permits into part 123.21, within 90 days of the EPA’s regulations, including those governing one TPDES permit. The MOA receipt of the State’s complete program State administrative procedures. Addendum describes in detail the submission, or by January 11, 2021, the A complete program description was permitting, compliance monitoring and EPA was required to approve or included as Attachment E to the State’s enforcement authority that will transfer disapprove the program based on the

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requirements of CWA § 402(b) and 40 The Texas Alliance of Energy Producers meeting and a transcript of the public CFR part 123 and taking into Environmental Defense Fund hearing are available at the web page. consideration all comments received. The Sierra Club, Lone Star Chapter On December 17, 2020, the EPA held However, pursuant to 40 CFR part Bay Coastal Watch Association a virtual tribal consultation conference 123.21(d), the EPA and the State agreed Audubon Texas to notify affected Tribes of the via email dated January 5, 2021, to Pioneer Natural Resources, USA, Inc. opportunity for formal and informal extend the 90-day statutory review Texas Independent Producers and consultation, as well as the availability period deadline from January 11, 2021 Royalty Owners Association of EPA staff for informal discussions to January 19, 2021 to allow the EPA The American Exploration and through-out the public participation additional time to consider and respond Production Council (AXPC) process. The federally-recognized Texas to all public comments. Citizens of the local communities Tribes that were represented included: Public notice of the application: On EPA received 156 written comments. The Alabama-Coushatta Tribes of Texas November 27, 2020, the EPA published Of those 156 comments, approximately and the Kickapoo Traditional Tribe of notice of the State’s application for 130 were very similar in nature, Texas. The Ysleta del Sur Pueblo was NPDES program authorization for oil expressing concern with the State’s not in attendance. The EPA did not and gas discharges within the State and request to implement the NPDES oil and receive any comments from the Tribes opened a 45-day comment period as gas program in the State and requesting during the 45-day public comment required by 40 CFR part 123.61(a), an extension of the 45-day public period on the State of Texas’s request which ended on January 11, 2021 (85 FR comment period. Commenters in for NPDES program authorization for oil 76076). opposition to EPA’s approval of the Public notice of the State’s and gas discharges within the State or State program expressed various application was also published in the a request to initiate formal consultation. following newspapers: concerns, including TCEQ’s ties to the Therefore, the EPA concluded that a oil and gas industry, the lack of current formal tribal consultation was not Dallas Morning News understanding as to the composition of required. Houston Chronicles El Paso Herald produced waters, and the need for Authority: This action is taken under El Paso Time updated effluent limitations guidelines the authority of section 402(b) of the Austin Times related to oil and gas discharges. At Clean Water Act as amended, 33 U.S.C. Public Participation Process: The EPA least one commenter acknowledged that 1342(b). Pursuant to 40 CFR 123.61(c), held a public meeting and public the State’s program likely met the I hereby provide public notice of the hearing regarding the State’s application minimum requirements for EPA’s final action approving the State of virtually via Adobe Connect on January authorization under the CWA and 40 Texas’ request for NPDES program 5, 2021. The EPA deviated from its CFR part 123, but expressed concern authorization for discharges of produced typical hearing approach because of the that the EPA retain sufficient oversight water, hydrostatic test water, and gas President’s national emergency over permit review and issuance to plant effluent, otherwise known as oil declaration due to the COVID–19 ensure compliance with the CWA. and gas discharges, within the State. pandemic. Because of the current Center The EPA received 6 comments in support of the State’s request for Dated: February 5, 2021. for Disease Control and Prevention David Gray, recommendations, as well as state and program authorization. These local orders for social distancing to limit commenters asserted, among other Acting Regional Administrator, Region 6. the spread of COVID–19, the EPA could things, that TCEQ has extensive [FR Doc. 2021–02895 Filed 2–11–21; 8:45 am] not hold in-person public meetings/ experience with writing NPDES permits BILLING CODE 6560–50–P public hearings. The public meeting for a wide range of discharges, that the included an overview of federal and requirement to incorporate applicable state NPDES program requirements, the effluent limitations guidelines into ENVIRONMENTAL PROTECTION state program approval and submittal discharge permits will not change with AGENCY process (in accordance with 40 CFR part the transfer of NPDES permitting 123), and the general elements of Texas’ authority from EPA to TCEQ, and that [EPA–R10–OAR–2020–0563; FRL–10016– proposed program for administration of TCEQ is the agency most knowledgeable 50–Region 10] the NPDES program for oil and gas with regard to the quality of State water discharges (including the roles and bodies and the permit requirements Final Eligibility Determination for the responsibilities of the EPA and the needed to protect those water bodies. Kalispel Tribe To Be Treated in the TCEQ). The public hearing provided All comments received by the EPA Same Manner as a State Under interested parties the opportunity to were considered by the agency in Provisions of the Clean Air Act provide oral testimony for the official making its final decision to approve AGENCY: Environmental Protection record. There were 52 attendees at the Texas’ request for program Agency (EPA). public meeting and 35 attendees at the authorization. Copies of all comments public hearing. Two individuals received and EPA’s written responses to ACTION: Notice. presented oral testimony at the public those comments are available at https:// hearing and 156 written comments were www.epa.gov/npdes-permits. SUMMARY: This notice announces that on received by EPA prior to the close of the Additional information about the December 1, 2020, the Environmental comment period. State’s request for partial NPDES Protection Agency (EPA) Region 10 Summary of Comments Received: In program authorization, including a copy Regional Administrator determined that addition to the oral testimony at the of the State’s application and supporting the Kalispel Tribe meets the eligibility public hearing, the EPA received 156 documents, is available at requirements of the Clean Air Act (CAA) comments on the State of Texas’ request www.regulations.gov, Docket No. EPA– to be treated in the same manner as a for NPDES program authorization for oil R06–2020–0608, or at EPA’s Region 6 state (TAS) for non-regulatory purposes and gas discharges. Comments were web page https://www.epa.gov/npdes- under certain CAA provisions. None of received from the following entities: permits. Documents from the public the provisions for which the Kalispel

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Tribe requested eligibility entails the concerning the boundary of the Kalispel ENVIRONMENTAL PROTECTION exercise of Tribal regulatory authority Reservation. No one provided comments AGENCY under the CAA. disputing the boundaries of the Kalispel [ER–FRL–9055–3] ADDRESSES: The EPA has established a Reservation. docket for this action under Docket ID On December 1, 2020, the EPA Environmental Impact Statements; No. EPA–R10–OAR–2020–0563. The determined that the Kalispel Tribe has Notice of Availability eligibility determination and other met the requirements of section docket materials are available 301(d)(2) and 40 CFR 49.6 and are Responsible Agency: Office of Federal electronically at the EPA’s electronic therefore approved to be treated in the Activities, General Information 202– public docket system, found at https:// same manner as a state as follows: 564–5632 or https://www.epa.gov/nepa. www.regulations.gov. Please contact the • Section 105 of the CAA, 42 U.S.C. Weekly receipt of Environmental Impact individual listed in the FOR FURTHER 7405: Status as a ‘‘State’’ such that the Statements (EIS) INFORMATION CONTACT section if you Kalispel Tribe is eligible for the Filed February 1, 2021 10 a.m. EST need assistance. maximum funding available to an ‘‘air Through February 8, 2021 10 a.m. FOR FURTHER INFORMATION CONTACT: pollution control agency.’’ EST Pursuant to 40 CFR 1506.9. India Young, Air and Radiation • Section 110(a)(2)(D) of the CAA, 42 Division, EPA Region 10, 1200 Sixth U.S.C. 7410(a)(2)(D): Status as an Notice: Section 309(a) of the Clean Air Avenue—Suite 155, Seattle, Washington affected ‘‘other State’’ in the context of Act requires that EPA make public its 98101, 206–553–1219, young.india@ other states’ implementation plans. comments on EISs issued by other epa.gov. • Section 126 of the CAA, 42 U.S.C. Federal agencies. EPA’s comment letters SUPPLEMENTARY INFORMATION: The 7426: Status as a ‘‘nearby State’’ in the on EISs are available at: https:// Kalispel Indian Community of the context of interstate pollution from cdxnodengn.epa.gov/cdx-enepa-public/ Kalispel Reservation (Kalispel Tribe) is major stationary sources. action/eis/search. a Federally recognized tribe located in • Section 169B of the CAA, 42 U.S.C. EIS No. 20210017, Final, FEMA, CT, northeastern Washington. On April 21, 7492: Status as a ‘‘State’’ in the context ADOPTION—Resilient Bridgeport, 2020, the EPA received an application of interstate visibility commissions. Review Period Ends: 03/15/2021, Contact: Eric Kuns 202–805–9089. from the Kalispel Tribe pursuant to • Section 176A of the CAA, 42 U.S.C. section 301(d), 42 U.S.C. 7601(d), of the 7506a: Status as a ‘‘State’’ in the context The Federal Emergency Management Clean Air Act (CAA) and the EPA’s of interstate transport commissions. Agency (FEMA) has adopted the regulations at 40 CFR part 49. In their Connecticut Department of Housing • Section 505(a)(2) of the CAA, 42 application, the Kalispel Tribe Final EIS No. 20190215, filed 08/29/ U.S.C. 7661d(a)(2): Status as an requested TAS eligibility for the non- 2019 with EPA. FEMA was not a ‘‘affected State’’ in the context of Title regulatory provisions of six CAA cooperating agency on this project. V permits issued by other states. provisions generally relating to grant Therefore, republication of the funding (section 105 of the CAA, 42 The EPA’s decision also concludes document is necessary under Section U.S.C. 7405), interstate transport of air that, for the purposes of this eligibility 1506.3(b)(1) of the CEQ regulations. determination, the Kalispel Tribe’s pollutants (sections 110(a)(2)(D) and 126 EIS No. 20210018, Final, BLM, CA, jurisdiction extends to the exterior of the CAA, 42 U.S.C. 7410(a)(2)(D) and Crimson Solar Project Final boundaries of the original, formal 7426), participation in certain interstate Environmental Impact Statement and Kalispel Reservation established and and regional air quality bodies (sections Proposed Land Use Amendment to described by Executive Order 1904, 169B and 176A of the CAA, 42 U.S.C. the California Desert Conservation signed by President Woodrow Wilson 7492 and 7506a), and receiving notices Area Plan, Review Period Ends: 03/ on March 23, 1914, as well as the of, reviewing, and/or commenting on 15/2021, Contact: Miriam Liberatore United States Surveyor General’s Map of certain nearby permitting and sources 951–697–5200. (section 505(a)(2) of the CAA, 42 U.S.C. the Kalispel Indian Reservation dated 7661d(a)(2)). None of the provisions for May 26, 1919, included in the docket for Amended Notice which the Kalispel Tribe requested this notice. EIS No. 20200223, Draft, NRC, NM, eligibility entails the exercise of Tribal A detailed explanation of the EPA’s Disposal of Mine Waste at the United regulatory authority under the CAA. approval of the Kalispel Tribe’s TAS Nuclear Corporation Mill Site in The Kalispel Tribe’s TAS application application may be found in the docket McKinley County, New Mexico, thus does not request, and the EPA’s for this notice. Comment Period Ends: 05/27/2021, decision to approve the application does Judicial Review: Pursuant to section Contact: Ashley Waldron 301–415– not approve, Tribal authority to 307(b)(1) of the Clean Air Act (42 U.S.C. 7317. Revision to FR Notice Published implement any CAA regulatory program 7607(b)(1)), Petitioners may seek 12/23/2020; Extending the Comment or to otherwise implement Tribal judicial review of this approval in the Period from 02/26/2021 to 05/27/ regulatory authority under the CAA. United States Court of Appeals for the 2021. In accordance with the EPA’s Ninth Circuit. Any petition for judicial EIS No. 20200239, Draft, MARAD, regulations, as part of its review process, review shall be filed within 60 days USCG, TX, Texas Gulflink Deepwater the EPA notified all appropriate from the date this notice appears in the Port License Application, Comment governmental entities and the public of Federal Register, i.e., not later than Period Ends: 01/22/2021, Contact: the Kalispel Tribe’s TAS application. In April 13, 2021. Brad McKitrick 202–372–1443. these notices, the EPA specified the Authority: 42 U.S.C. 7401 et seq. Revision to FR Notice Published 11/ geographic boundaries of the Kalispel 27/2020; Correcting the Comment Reservation as identified in the Kalispel Dated: February 8, 2021. Period Due Date from 01/11/2021 to Tribe’s application. The EPA afforded Michelle L. Pirzadeh, 01/22/2021; and Correcting the Lead the appropriate governmental entities Acting Regional Administrator, Region 10. Agency to include MARAD. and the public over 37 days to provide [FR Doc. 2021–02956 Filed 2–11–21; 8:45 am] EIS No. 20200263, Draft, DOE, ID, Draft written comments regarding any dispute BILLING CODE 6560–50–P Versatile Test Reactor Environment

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Impact Statement, Comment Period the EPA Administrator within 60 days Office of Management and Budget Ends: 03/02/2021, Contact: James after the expiration of this review period (OMB) for review and approval in Lovejoy 208–526–6805. Revision to to object to a state operating permit if accordance with the Paperwork FR Notice Published 12/31/2020; EPA has not done so. Petitions must be Reduction Act. Before doing so, EPA is Extending the Comment Period from based only on objections raised with soliciting public comments on specific 02/16/2021 to 03/02/2021. reasonable specificity during the public aspects of the proposed information Dated: February 8, 2021. comment period, unless the petitioner collection as described in this Cindy S. Barger, demonstrates that it was impracticable document. This is a proposal to extend the current ICR, which expires on Director, NEPA Compliance Division, Office to raise these issues during the comment of Federal Activities. period or that the grounds for objection August 31, 2021. An Agency may not conduct or sponsor, and a person is not [FR Doc. 2021–02888 Filed 2–11–21; 8:45 am] or other issue arose after the comment period. required to respond to a collection of BILLING CODE 6560–50–P In the Northampton petition information, unless it displays a (numbered III–2020–1), the Petitioners currently valid OMB control number. ENVIRONMENTAL PROTECTION sought EPA objection on the following DATES: Comments must be submitted on AGENCY issues: (Claim I) the Northampton or before April 13, 2021. permit’s monitoring regime did not ADDRESSES: Submit your comments, [FRL10020–16–Region 3] ensure that emissions restrictions are referencing Docket ID No. EPA–R10– Clean Air Act Operating Permit met; (Claim II) PADEP erred in allowing OAR–2020–0724, online using https:// Program; Petition To Object to the Title Northampton to modify its permit using www.regulations.gov. V Permit for Northampton Generating the less stringent minor modification Out of an abundance of caution for Co., LP; Pennsylvania process. PADEP issued the final members of the public and our staff, the Northampton operating permit (permit EPA Docket Center and Reading Room AGENCY: Environmental Protection No. 48–00021) on December 16, 2019. is closed to the public, with limited Agency (EPA). The Order explains the reasons exceptions, to reduce the risk of ACTION: Notice of final action. behind EPA’s decision to partially grant transmitting COVID–19. Our Docket and partially deny the petition for Center staff will continue to provide SUMMARY: Pursuant to the Clean Air Act objection. Pursuant to section 505(b)(2) remote customer service via email, (CAA), the Environmental Protection of the CAA, the Petitioner may seek phone, and webform. We encourage the Agency (EPA) Administrator signed an judicial review of those portions of the public to submit comments via https:// Order, dated July 15, 2020, partially Northampton petition which EPA www.regulations.gov/ or email, as there granting and partially denying a petition denied in the United States Court of may be a delay in processing mail and to object to a state operating permit Appeals for the appropriate circuit. Any faxes. Hand deliveries and couriers may issued by the Pennsylvania Department petition for review shall be filed within be received by scheduled appointment of Environment Protection (PADEP). 60 days of this notice in accordance only. For further information on EPA The Order responds to a January 8, 2020 with the requirements of section 307 of Docket Center services and the current petition, relating to Northampton the CAA. status, please visit us online at https:// Generating Co., LP’s Northampton Plant Dated: February 8, 2021. www.epa.gov/dockets. (Northampton), an electric utility The EPA’s policy is that all comments generation facility located in Cristina Fernandez, received will be included in the public Northampton County, Pennsylvania. Director, Air and Radiation Division, Region docket without change including any The petition was submitted by the III. personal information provided, unless Sierra Club and the Clean Air Council. [FR Doc. 2021–02963 Filed 2–11–21; 8:45 am] the comment includes profanity, threats, This Order constitutes final action on BILLING CODE 6560–50–P information claimed to be Confidential that petition requesting that the Business Information, or other Administrator object to the issuance of information whose disclosure is the proposed CAA title V permit. ENVIRONMENTAL PROTECTION restricted by statute. AGENCY DATES: February 12, 2021. FOR FURTHER INFORMATION CONTACT: ADDRESSES: Copies of the final Order, [EPA–R10–OAR–2020–0724; FRL–10019– Sarah Frederick, Air and Radiation the petition, and all pertinent 86–Region 10] Division, telephone number: (206) 553– information relating thereto can be 1601; email address: Frederick.Sarah@ requested by electronic mail to the Proposed Information Collection epa.gov. address set forth below in the FOR Request; Comment Request; Federal Implementation Plans Under the Clean SUPPLEMENTARY INFORMATION: FURTHER INFORMATION CONTACT section. Supporting documents which explain in The final Order is also available Air Act for Indian Reservations in Idaho, Oregon and Washington detail the information that EPA will be electronically at the following website: collecting are available in the public https://www.epa.gov/title-v-operating- AGENCY: Environmental Protection docket for this ICR. The docket can be permits/title-v-petition-database. Agency (EPA). viewed online at https:// FOR FURTHER INFORMATION CONTACT: ACTION: Notice. www.regulations.gov. For additional Emily Bertram, Permits Branch, Air and information about EPA’s public docket, Radiation Division, EPA Region III, SUMMARY: The Environmental Protection visit https://www.epa.gov/dockets. (215) 814–5273, [email protected]. Agency (EPA or the Agency) is planning Pursuant to section 3506(c)(2)(A) of SUPPLEMENTARY INFORMATION: The CAA to submit an information collection the Paperwork Reduction Act, EPA is affords EPA a 45-day period to review request (ICR), Proposed Information soliciting comments and information to and object to, as appropriate, operating Collection Request; Comment Request; enable it to: (i) Evaluate whether the permits proposed by state permitting Federal Implementation Plans under the proposed collection of information is authorities. Section 505(b)(2) of the Clean Air Act for Indian Reservations in necessary for the proper performance of CAA authorizes any person to petition Idaho, Oregon and Washington to the the functions of the Agency, including

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whether the information will have information collection requirements Dated: February 4, 2021. practical utility; (ii) evaluate the listed above are all mandatory. Krishnaswamy Viswanathan, accuracy of the Agency’s estimate of the Regulated entities can assert claims of Director, Air and Radiation Division, Region burden of the proposed collection of business confidentiality and EPA will 10. information, including the validity of address these claims in accordance with [FR Doc. 2021–02848 Filed 2–11–21; 8:45 am] the methodology and assumptions used; the provisions of 40 CFR part 2, subpart BILLING CODE 6560–50–P (iii) enhance the quality, utility, and B. clarity of the information to be Form Numbers: collected; and (iv) minimize the burden The forms associated with this ICR ENVIRONMENTAL PROTECTION of the collection of information on those are: AGENCY who are to respond, including through EPA Form 7630–1 Nez Perce Reservation Air [EPA–HQ–ORD–2005–0530; FRL–10018–98– the use of appropriate automated Quality Permit: Agricultural Burn ORD] electronic, mechanical, or other EPA Form 7630–2 Nez Perce Reservation Air technological collection techniques or Quality Permit: Forestry Burn Proposed Information Collection other forms of information technology, EPA Form 7630–3 Nez Perce Reservation Air Request; Comment Request; e.g., permitting electronic submission of Quality Permit: Large Open Burn Application for Reference and responses. EPA will consider the EPA Form 7630–4 Initial or Annual Source Equivalent Method Determination comments received and amend the ICR Registration EPA Form 7630–5 Report of Change of (Renewal) as appropriate. The final ICR package Ownership will then be submitted to OMB for AGENCY: Environmental Protection EPA Form 7630–6 Report of Closure Agency (EPA). review and approval. At that time, EPA EPA Form 7630–7 Report of Relocation will issue another Federal Register EPA Form 7630–8 Small Burn Air Quality ACTION: Notice. notice to announce the submission of Permit Application the ICR to OMB and the opportunity to EPA Form 7630–9 Non-Title V Operating SUMMARY: The Environmental Protection submit additional comments to OMB. Permit Application Form Agency is planning to submit an EPA Form 7630–10 Umatilla Indian information collection request (ICR), Abstract: EPA promulgated Federal Reservation: Agricultural Burn Permit Application for Reference and Implementation Plans (FIPs) under the Application Equivalent Method Determination’’ Clean Air Act for Indian reservations EPA Form 7630–11 Umatilla Indian (EPA ICR No. 0559.14, OMB Control No. located in Idaho, Oregon, and Reservation: Forestry Burn Permit 2080–0005) to the Office of Management Washington in 40 CFR part 49 (70 FR Application and Budget (OMB) for review and EPA Form 7630–12 Umatilla Indian 18074, April 8, 2005). The FIPs in the approval in accordance with the final rule, also referred to as the Federal Reservation: Large Open Burn Permit Application Paperwork Reduction Act. Before doing Air Rules for Indian Reservations in so, EPA is soliciting public comments Idaho, Oregon, and Washington (FARR), The forms listed above are available for on specific aspects of the proposed include information collection review in the EPA docket. information collection as described requirements associated with the partial Respondents/affected entities: below. This is a proposed extension of delegation of administrative authority to Respondents or entities potentially the ICR, which is currently approved a Tribe in 40 CFR 49.122; the rule for affected by this action include owners through June 20, 2021. An Agency may limiting visible emissions at 40 CFR and operators of air emission sources in not conduct, or sponsor, and a person is 49.124; fugitive particulate matter rule all industry groups and tribal not required to respond to a collection in 40 CFR 49.126; the wood waste governments, located in the identified of information unless it displays a burner rule in 40 CFR 49.127; the rule Indian reservations. currently valid OMB control number. for limiting sulfur in fuels in 40 CFR Respondent’s obligation to respond: DATES: 49.130; the rule for open burning in 40 Respondents obligation to respond is Comments must be submitted on CFR 49.131; the rules for general open mandatory. See 40 CFR 49.122, 49.124, or before April 13, 2021. burning permits, agricultural burning 49.126, 49.130 through 135, 49.138, and ADDRESSES: Submit your comments, permits, and forestry and silvicultural 49.139. referencing Docket ID No. EPA–HQ– burning permits in 40 CFR 49.132, Estimated number of respondents: ORD–2005–0530, online using 49.133, and 49.134; the rule for 1,732 (total). www.regulations.gov (our preferred emissions detrimental to human health Frequency of response: Annual or method), by email to ord-docket@ and welfare in 40 CFR 49.135; the occasional. epa.gov, or by mail to: EPA Docket registration rule in 40 CFR 49.138; and Total estimated burden: 3,601 hours Center, Environmental Protection the rule for non-title V operating (per year). Burden is defined at 5 CFR Agency, Mail Code 28221T, 1200 permits in 40 CFR 49.139. EPA uses this 1320.03(b). Pennsylvania Ave. NW, Washington, DC information to manage the activities and Total estimated cost: $286,888 (per 20460. sources of air pollution on the Indian year), includes $0 annualized capital or EPA’s policy is that all comments reservations in Idaho, Oregon, and operation & maintenance costs. received will be included in the public Washington. EPA believes these Changes in Estimates: There is a docket without change including any information collection requirements are decrease of 614 hours in the total personal information provided, unless appropriate because they will enable estimated respondent burden compared the comment includes profanity, threats, EPA to develop and maintain accurate with the ICR currently approved by information claimed to be Confidential records of air pollution sources and OMB. This decrease is based on input Business Information (CBI) or other their emissions, track emissions trends from source consultations, supersedence information whose disclosure is and changes, identify potential air of the provisions of one rule (49.139), restricted by statute. quality problems, allow EPA to issue and information we have learned about FOR FURTHER INFORMATION CONTACT: permits or approvals, and ensure the source universe through Robert W. Vanderpool, Environmental appropriate records are available to implementing the rules since the ICR Protection Agency, Center for verify compliance with these FIPs. The was updated in 2018. Environmental Measurements and

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Modeling, Air Methods and be submitted to the EPA in the form of ENVIRONMENTAL PROTECTION Characterization Division, Ambient Air an application for a reference or AGENCY Branch, Mail Drop D205–03, Research equivalent method determination in [FRL–10020–03–Region 1] Triangle Park, NC 27711; telephone accordance with 40 CFR part 53. The number: 919–541–7877; fax number: EPA uses this information, under the Bona Fide Prospective Purchaser 919–541–4848; email address provisions of 40 CFR part 53, to Proposed Settlement Agreement and [email protected]. determine whether the particular Covenant Not To Sue Pursuant to the SUPPLEMENTARY INFORMATION: method should be designated as either Comprehensive Environmental Supporting documents which explain in a reference or equivalent method. After Response, Compensation, and Liability detail the information that the EPA will a method is designated, the applicant Act of 1980, as Amended by the be collecting are available in the public must also maintain records of the names Superfund Amendments and docket for this ICR. The docket can be and mailing addresses of all ultimate Reauthorization Act of 1986; In Re: viewed online at www.regulations.gov purchasers of all analyzers or samplers Mohawk Tannery Site, Located in or in person at the EPA Docket Center, sold as designated methods under the Nashua, New Hampshire WJC West, Room 3334, 1301 method designation. If the method Constitution Ave. NW, Washington, DC. designated is a method for fine AGENCY: Environmental Protection The telephone number for the Docket particulate matter (PM2.5) and coarse Agency (EPA). Center is 202–566–1744. For additional particulate matter (PM10–2.5), the ACTION: Notice of proposed settlement information about EPA’s public docket, applicant must also submit a checklist agreement; request for public comment. visit http://www.epa.gov/dockets. signed by an ISO-certified auditor to Pursuant to section 3506(c)(2)(A) of indicate that the samplers or analyzers SUMMARY: The Environmental Protection the PRA, EPA is soliciting comments sold as part of the designated method Agency (EPA) is hereby providing and information to enable it to: (i) are manufactured in an ISO 9001- notice of a proposed settlement Evaluate whether the proposed registered facility. Also, an applicant agreement concerning the Mohawk collection of information is necessary must submit a minor application to seek Tannery Site in Nashua, New for the proper performance of the approval for any proposed Hampshire. The settlement agreement is functions of the Agency, including modifications to previously designated entered into pursuant to the whether the information will have methods. Comprehensive Environmental Response, Compensation, and Liability practical utility; (ii) evaluate the Form Numbers: None. accuracy of the Agency’s estimate of the Act, as amended (‘‘CERCLA’’), and the Respondents/affected entities: Private authority of the Attorney General of the burden of the proposed collection of manufacturers, states. information, including the validity of United States to compromise and settle the methodology and assumptions used; Respondent’s obligation to respond: claims of the United States. The (iii) enhance the quality, utility, and Required to obtain the benefit of EPA proposed settlement agreement is clarity of the information to be designation under 40 CFR part 53. between the U.S. Environmental collected; and (iv) minimize the burden Submission of some information that is Protection Agency (‘‘EPA’’) and bona of the collection of information on those claimed by the applicant to be fide prospective purchaser Blaylock who are to respond, including through confidential business information may Holdings, LLC (‘‘Settling Party’’). The the use of appropriate automated be necessary to make a reference or proposed Settlement Agreement electronic, mechanical, or other equivalent method determination. The requires the Settling Party to conduct technological collection techniques or confidentiality of any submitted work under EPA oversight in exchange other forms of information technology, information identified as confidential for a covenant not to sue pursuant to e.g., permitting electronic submission of business information by the applicant sections 106 and 107(a) of CERCLA, for responses. EPA will consider the will be protected in full accordance existing contamination at the Mohawk comments received and amend the ICR with 40 CFR 53.15 and all applicable Tannery Site. The Settlement provides as appropriate. The final ICR package provisions of 40 CFR part 2. the Settling Party with pre-authorized mixed funding for the work. The will then be submitted to OMB for Estimated number of respondents: 22 Settling Party consents to and will not review and approval. At that time, EPA (total). contest the authority of the United will issue another Federal Register Frequency of response: Annual. notice to announce the submission of States to enter into this Agreement or to the ICR to OMB and the opportunity to Total estimated burden: 7,492 hours implement or enforce its terms. The submit additional comments to OMB. (per year). Burden is defined at 5 CFR Settling Parties recognize that this Abstract: To determine compliance 1320.03(b). Agreement has been negotiated in good with the National Ambient Air Quality Total estimated cost: $746,029 (per faith and that this Agreement is entered Standards (NAAQS), State air year), includes $152,152 annualized into without the admission or monitoring agencies are required to use, capital or operation & maintenance adjudication of any issue of fact or law. in their air quality monitoring networks, costs. DATES: EPA will receive written comments relating to the settlement air monitoring methods that have been Changes in Estimates: There is no until March 15, 2021. The Agency will formally designated by the EPA as either change in hours in the total estimated consider all comments received and reference or equivalent methods under respondent burden compared with the may modify or withdraw its consent to EPA regulations at 40 CFR part 53. A ICR currently approved by OMB. manufacturer or seller of an air the settlement if comments received monitoring method (e.g., an air Dated: January 27, 2021. disclose facts or considerations which monitoring sampler or analyzer) that Timothy Watkins, indicate that the settlement is seeks to obtain such EPA designation of Director, Center for Environmental inappropriate, improper, or inadequate. one of its products must carry out Measurements and Modeling. ADDRESSES: Comments should be sent prescribed tests of the method. The test [FR Doc. 2021–02847 Filed 2–11–21; 8:45 am] via email and addressed to RuthAnn results and other information must then BILLING CODE 6560–50–P Sherman, Senior Enforcement Counsel,

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Office of Regional Counsel, U.S. EPA DATES: February 12, 2021. SUMMARY: The Draft Inventory of U.S. Region 1, 5 Post Office Square, Suite ADDRESSES: Copies of the final Order, Greenhouse Gas Emissions and Sinks: 100, Boston, MA 02109 at email the petition, and all pertinent 1990–2019 is available for public [email protected]. Comments information relating thereto can be review. The Environmental Protection should refer to: In the Matter of: requested by electronic mail to the Agency (EPA) requests Mohawk Tannery Site, U.S. EPA Region address set forth below in the FOR recommendations for improving the 1, Docket No. CERCLA–01–2020–0063. FURTHER INFORMATION CONTACT section. overall quality of the inventory report to FOR FURTHER INFORMATION CONTACT: The The final Order is also available be finalized in April 2021, as well as proposed settlement and additional electronically at the following website: subsequent inventory reports. background information relating to the https://www.epa.gov/title-v-operating- DATES: To ensure your comments are settlement are available for public permits/title-v-petition-database. considered for the final version of the inspection at the U.S. EPA Region 1 FOR FURTHER INFORMATION CONTACT: document, please submit your OSRR Records and Information Center, Cynthia Stahl, Permits Branch, Air & comments by March 15, 2021. However, 5 Post Office Square, Suite 100, Boston, Radiation Division, EPA Region III, comments received after that date will MA 02109. In addition, a copy of the (215) 814–2180, [email protected]. still be welcomed and considered for proposed settlement agreement can be the next edition of this report. SUPPLEMENTARY INFORMATION: The CAA obtained from RuthAnn Sherman, U.S. ADDRESSES: Submit your comments, affords EPA a 45-day period to review Environmental Protection Agency, identified by Docket ID No. EPA–HQ– and object to, as appropriate, title V Region I, 5 Post Office Square, Suite OAR–2021–0008, to the Federal operating permits proposed by state 100, Boston, MA 02109; 617–918–1886; eRulemaking Portal: https:// permitting authorities. Section 505(b)(2) [email protected]. Additional www.regulations.gov. Follow the online of the CAA authorizes any person to information on the Mohawk Tannery instructions for submitting comments. petition the EPA Administrator within Site can be found through the U.S. EPA Once submitted, comments cannot be 60 days after the expiration of this Region I website at: epa.gov/superfund/ edited or withdrawn. Do not submit review period to object to a state title V mohawk. electronically any information you operating permit if EPA has not done so. consider to be Confidential Business Bryan Olson, Petitions must be based only on Information (CBI). Comments can also Director, Superfund and Emergency objections raised with reasonable be submitted in hardcopy to GHG Management Division, U.S. EPA, Region I. specificity during the public comment Inventory at: Environmental Protection [FR Doc. 2021–02887 Filed 2–11–21; 8:45 am] period, unless the petitioner Agency, Climate Change Division BILLING CODE 6560–50–P demonstrates that it was impracticable (6207A), 1200 Pennsylvania Ave. NW, to raise these issues during the comment Washington, DC 20460, Fax: (202) 343– period or that the grounds for objection 2342. You are welcome and encouraged ENVIROMENTAL PROTECTION or other issue arose after the comment to send an email with your comments to AGENCY period. [email protected]. EPA may MDE issued the final MCRRF renewal [FRL–10020–17–Region 3] publish any comment received to its operating permit (permit no. 24–031– public docket, submitted in hardcopy or Clean Air Act Operating Permit 1718) on January 1, 2019. In the MCRRF sent via email. For additional Program; Petition To Object to the Title petition (numbered III–2019–2), the submission methods, the full EPA V Permit for Northeast Maryland Waste Petitioners sought EPA objection on the public comment policy, information Disposal Authority; Maryland basis that the title V permit failed to set about CBI, and general guidance on forth monitoring requirements that making effective comments, please visit AGENCY: Environmental Protection assured continuous compliance with the http://www2.epa.gov/dockets/ Agency (EPA). 1-hour Prevention of Significant commenting-epa-dockets. ACTION: Notice of final action. Deterioration emission limit for FOR FURTHER INFORMATION CONTACT: Ms. hydrogen chloride. The Order explains SUMMARY: Pursuant to the Clean Air Act Mausami Desai, Environmental the reasons behind EPA’s decision to Protection Agency, Office of Air and (CAA), the Administrator of the grant the petition for objection. Environmental Protection Agency (EPA) Radiation, Office of Atmospheric signed an Order, dated December 11, Dated: February 4, 2021. Programs, Climate Change Division, 2020, granting a petition to object to a Cristina Fernandez, (202) 343–9381, GHGInventory@ state operating permit issued by the Air and Radiation Division, US EPA Region epa.gov. Maryland Department of the III. SUPPLEMENTARY INFORMATION: Annual Environment (MDE). The Order [FR Doc. 2021–02835 Filed 2–11–21; 8:45 am] U.S. emissions for the period of time responds to a February 4, 2019 petition, BILLING CODE 6560–50–P from 1990 through 2019 are summarized relating to the Northeast Maryland and presented by sector, including Waste Disposal Authority’s Montgomery source and sink categories. The County Resource Recovery Facility ENVIRONMENTAL PROTECTION inventory contains estimates of carbon (MCRRF), a municipal solid waste AGENCY dioxide (CO2), methane (CH4), nitrous resource recovery facility located in oxide (N2O), hydrofluorocarbons (HFC), Montgomery County, Maryland. The [FRL–10019–87–OAR] perfluorocarbons (PFC), sulfur petition was submitted by the hexafluoride (SF6), and nitrogen Inventory of U.S. Greenhouse Gas Environmental Integrity Project and the trifluoride (NF3) emissions. The Chesapeake Climate Action Network Emissions and Sinks: 1990–2019 technical approach used in this report to (the Petitioners). This Order constitutes AGENCY: Environmental Protection estimate emissions and sinks for final action on that petition requesting Agency (EPA). greenhouse gases is consistent with the that the Administrator object to the methodologies recommended by the ACTION: Notice of document availability issuance of the proposed CAA title V Intergovernmental Panel on Climate and request for comments. permit. Change (IPCC), and reported in a format

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consistent with the United Nations Federal Communications Commission. Comments regarding each of these Framework Convention on Climate Nazifa Sawez, applications must be received at the Change (UNFCCC) reporting guidelines. Assistant Chief, Audio Division, Media Reserve Bank indicated or the offices of The Inventory of U.S. Greenhouse Gas Bureau. the Board of Governors, Ann E. Emissions and Sinks: 1990–2019 is the [FR Doc. 2021–02836 Filed 2–11–21; 8:45 am] Misback, Secretary of the Board, 20th latest in a series of annual, policy- BILLING CODE 6712–01–P Street and Constitution Avenue NW, neutral U.S. submissions to the Washington, DC 20551–0001, not later Secretariat of the UNFCCC. EPA than March 15, 2021. requests recommendations for FEDERAL MARITIME COMMISSION A. Federal Reserve Bank of Chicago improving the overall quality of the (Colette A. Fried, Assistant Vice inventory report to be finalized in April Sunshine Act Meeting President), 230 South LaSalle Street, 2021, as well as subsequent inventory Chicago, Illinois 60690–1414: reports. The draft report is available at TIME AND DATE: February 17, 2021; 2:00 1. First Busey Corporation, https://www.epa.gov/ghgemissions/ p.m. Champaign, Illinois; to merge with inventory-us-greenhouse-gas-emissions- PLACE: This meeting will be held by Cummins-American Corp., and thereby and-sinks. video-conference only. indirectly acquire Glenview State Bank, STATUS: This meeting will be closed to both of Glenview, Illinois. Hans Christopher Grundler, the public. Director, Office of Atmospheric Programs. Board of Governors of the Federal Reserve MATTERS TO BE CONSIDERED: System, February 9, 2021. [FR Doc. 2021–02910 Filed 2–11–21; 8:45 am] 1. Fact Finding 29 Update: Michele Taylor Fennell, BILLING CODE 6560–50–P Addressing unreasonable detention, Deputy Associate Secretary of the Board. demurrage, and other carrier and port practices; enforcement options. [FR Doc. 2021–02943 Filed 2–11–21; 8:45 am] BILLING CODE 6210–01–P CONTACT PERSON FOR MORE INFORMATION: FEDERAL COMMUNICATIONS Rachel Dickon, Secretary, (202) 523– COMMISSION 5725.

[FRS 17414] Rachel Dickon, DEPARTMENT OF HEALTH AND Secretary. HUMAN SERVICES Radio Broadcasting Services; AM or [FR Doc. 2021–03061 Filed 2–10–21; 4:15 pm] Agency for Toxic Substances and FM Proposals To Change the BILLING CODE 6730–02–P Community of License Disease Registry

AGENCY: Federal Communications FEDERAL RESERVE SYSTEM [60Day–21–0062; Docket No. ATSDR–2021– Commission. 0002] ACTION: Notice. Formations of, Acquisitions by, and Proposed Data Collection Submitted Mergers of Bank Holding Companies DATES: The agency must receive for Public Comment and comments on or before April 13, 2021. The companies listed in this notice Recommendations have applied to the Board for approval, ADDRESSES: Federal Communications pursuant to the Bank Holding Company AGENCY: Agency for Toxic Substances Commission, 45 L Street NE, Act of 1956 (12 U.S.C. 1841 et seq.) and Disease Registry (ATSDR), Washington, DC 20554. (BHC Act), Regulation Y (12 CFR part Department of Health and Human FOR FURTHER INFORMATION CONTACT: 225), and all other applicable statutes Services (HHS). Rolanda F. Smith, 202–418–2054. and regulations to become a bank ACTION: Notice with comment period. SUPPLEMENTARY INFORMATION: The holding company and/or to acquire the following applicants filed AM or FM assets or the ownership of, control of, or SUMMARY: The Agency for Toxic proposals to change the community of the power to vote shares of a bank or Substances and Disease Registry license: GRUNDY COUNTY bank holding company and all of the (ATSDR), as part of its continuing effort BROADCASTERS, INC., WCSJ(AM), banks and nonbanking companies to reduce public burden and maximize Fac. ID No. 17039, From MORRIS, IL, owned by the bank holding company, the utility of government information, To SOMONAUK, IL, File No. BP– including the companies listed below. invites the general public and other 20201215AAA; BOARD OF TRUSTEES, The public portions of the Federal agencies the opportunity to UNIVERSITY OF FLORIDA, applications listed below, as well as comment on a proposed and/or WUFQ(FM), Fac. ID No. 121772, From other related filings required by the continuing information collection, as CROSS CITY, FL, To ARCHER, FL, File Board, if any, are available for required by the Paperwork Reduction No. 0000125336; and TOWNSQUARE immediate inspection at the Federal Act of 1995. This notice invites MEDIA OF FT. COLLINS, INC, Reserve Bank(s) indicated below and at comment on ‘‘Supplemental KKPL(FM), Fac. ID No. 54394, From the offices of the Board of Governors. Measurements for Exploratory Research CHEYENNE, WY, To LAPORTE, CO, This information may also be obtained Regarding Exposure During Activities File No. 0000129172. The full text of on an expedited basis, upon request, by Conducted on Synthetic Turf Fields these applications is available contacting the appropriate Federal with Tire Crumb Rubber Infill.’’ The electronically via the Media Bureau’s Reserve Bank and from the Board’s purpose of the proposed study is to Consolidated Data Base System, https:// Freedom of Information Office at evaluate and characterize human licensing.fcc.gov/prod/cdbs/pubacc/ https://www.federalreserve.gov/foia/ exposure potential to polyaromatic prod/app_sear.htm or Licensing and request.htm. Interested persons may hydrocarbons during play on synthetic Management System (LMS), https:// express their views in writing on the turf fields with tire crumb rubber infill. apps2int.fcc.gov/dataentry/public/tv/ standards enumerated in the BHC Act DATES: ATSDR must receive written publicAppSearch.html. (12 U.S.C. 1842(c)). comments on or before April 13, 2021.

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ADDRESSES: You may submit comments, 4. Minimize the burden of the and urine) from 45 participants identified by Docket No. ATSDR–2021– collection of information on those who (Activity 3). Due to the limited 0002 by any of the following methods: are to respond, including through the enrollment and collection period, the • Federal eRulemaking Portal: use of appropriate automated, target Activity 2 and Activity 3 samples Regulations.gov. Follow the instructions electronic, mechanical, or other sizes were not met in 2017. for submitting comments. technological collection techniques or The current request seeks to conduct • Mail: Jeffrey M. Zirger, Information other forms of information technology, supplemental measurements to expand Collection Review Office, Centers for e.g., permitting electronic submissions the exploratory analysis conducted Disease Control and Prevention, 1600 of responses. under OMB Control No. 0923–0058. The Clifton Road NE, MS–D74, Atlanta, 5. Assess information collection costs. current request allows for further Georgia 30329. Proposed Project investigation of patterns observed in the Instructions: All submissions received preliminary data from the 2017 pilot- must include the agency name and Supplemental Measurements for scale exposure measurements of Docket Number. ATSDR will post, Exploratory Research Regarding individuals playing on synthetic turf without change, all relevant comments Exposure During Activities Conducted fields with crumb rubber infill and to Regulations.gov. on Synthetic Turf Fields with Tire collecting data from a small number of Please note: Submit all comments Crumb Rubber Infill (OMB Control No. individuals who are playing on grass through the Federal eRulemaking portal 0923–0062, Exp. 10/31/2021)— fields. (regulations.gov) or by U.S. mail to the Extension—Office of Community Health In December 2020, ATSDR submitted address listed above. and Hazard Assessment (OCHHA), a change request to OMB to incorporate FOR FURTHER INFORMATION CONTACT: To Agency for Toxic Substances and COVID–19 prevention and protection request more information on the Disease Registry (ATSDR). measures. The COVID–19 prevention proposed project or to obtain a copy of Background and Brief Description and protection measures will be the information collection plan and implemented before data collection instruments, contact Jeffrey M. Zirger, ATSDR is requesting a two-year begins this spring. The current study is Information Collection Review Office, extension for the research study, titled a larger-scale supplemental assessment Centers for Disease Control and ‘‘Supplemental Measurements for of exposure potential for individuals Prevention, 1600 Clifton Road NE, MS– Exploratory Research Regarding who use/play on synthetic turf fields D74, Atlanta, Georgia 30329; phone: Exposure During Activities Conducted with tire crumb rubber infill. 404–639–7118; Email: [email protected]. on Synthetic Turf Fields with Tire The study includes persons who use SUPPLEMENTARY INFORMATION: Under the Crumb Rubber Infill.’’ (OMB Control No. Paperwork Reduction Act of 1995 (PRA) 0923–0062, Expiration date 10/31/ synthetic turf with crumb rubber infill (44 U.S.C. 3501–3520), Federal agencies 2021). ATSDR is seeking Paperwork (e.g., facility users) and who routinely must obtain approval from the Office of Reduction Act (PRA) clearance to perform activities that would result in a Management and Budget (OMB) for each extend the data collection period due to high level of contact to crumb rubber. collection of information they conduct delays encountered with the 2020 The study also includes persons who or sponsor. In addition, the PRA also COVID–19 pandemic. use natural grass fields. This allows for requires Federal agencies to provide a Currently in the United States, there evaluation of potential high-end 60-day notice in the Federal Register are more than 12,000 synthetic turf exposures to constituents in synthetic concerning each proposed collection of fields in use. While the Synthetic Turf turf among this group of users and for information, including each new Council has set guidelines for the comparison to individuals who do not proposed collection, each proposed content of crumb rubber used as infill in play on synthetic turf fields with tire extension of existing collection of synthetic turf fields, manufacturing crumb rubber infill. The respondents are information, and each reinstatement of processes result in differences among administered a detailed questionnaire previously approved information types of crumb rubber. Additionally, the on activity patterns on synthetic turf collection before submitting the chemical composition may vary highly with crumb rubber infill. This collection to the OMB for approval. To between different processes and source instrument allows ATSDR to comply with this requirement, we are materials and may vary even within characterize exposure scenarios, publishing this notice of a proposed granules from the same origin. including the nature and duration of data collection as described below. The Research protocol, Collections potential exposures. Additionally, we The OMB is particularly interested in Related to Synthetic Turf Fields with are collecting urine samples pre- and comments that will help: Crumb Rubber Infill, has been post-activity. The urine samples will be 1. Evaluate whether the proposed conducted previously under two analyzed for polyaromatic hydrocarbons collection of information is necessary information collection requests (ICRs): and then archived for future analysis. for the proper performance of the Activity 1 under OMB Control No. There are no changes to the functions of the agency, including 0923–0054 (Expiration Date 01/31/2017) instruments, the total burden hours, or whether the information will have and Activities 2 and 3 under OMB the total number of respondents. The practical utility; Control No. 0923–0058 (Expiration Date research study aims to screen a total of 2. Evaluate the accuracy of the 08/13/2018), which were limited to 220 participants for eligibility. The agency’s estimate of the burden of the collections from August to October, sample size for synthetic turf field users proposed collection of information, 2017. Activities 2 and 3 aim to evaluate is 150, and 50 for the natural grass field including the validity of the and characterize the human exposure users. The total burden hours for the methodology and assumptions used; potential to constituents in crumb research study is 184 hours among all of 3. Enhance the quality, utility, and rubber infill among a convenience the 220 respondents. There is no cost to clarity of the information to be sample of 60 field users (Activity 2) and the respondents other than their time in collected; and to collect biological specimens (blood the study.

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ESTIMATED ANNUALIZED BURDEN HOURS

Avg. burden Number of Number of per Total Type of respondents Form name respondents responses per response burden respondent (in hrs.) (in hr.)

Adult/Adolescent Facility Users ...... Eligibility Screening Script ...... 110 1 5/60 9 Adult and Adolescent Questionnaire 100 1 30/60 50 Exposure Measurement Form ...... 100 1 20/60 33 Parents/Guardians of Youth/Child Eligibility Screening Script ...... 110 1 5/60 9 Facility Users. Youth and Child Questionnaire ...... 100 1 30/60 50 Youth/Child Facility Users ...... Exposure Measurement Form ...... 100 1 20/60 33

Total ...... 184

Jeffrey M. Zirger, Written comments may also be for Public Comment and Lead, Information Collection Review Office, submitted for the meeting record and Recommendations’’ notice on October Office of Scientific Integrity, Office of Science, must be received on or before February 21, 2020 to obtain comments from the Centers for Disease Control and Prevention. 23, 2021; [email protected]. public and affected agencies. CDC did [FR Doc. 2021–02949 Filed 2–11–21; 8:45 am] FOR FURTHER INFORMATION CONTACT: not receive comments related to the BILLING CODE 4163–18–P Gwendolyn H. Cattledge, Ph.D., previous notice. This notice serves to M.S.E.H., Deputy Associate Director for allow an additional 30 days for public Science, NCIPC, CDC, 4770 Buford and affected agency comments. DEPARTMENT OF HEALTH AND Highway NE, Mailstop S–106–9, CDC will accept all comments for this HUMAN SERVICES Atlanta, Georgia 30341, Telephone: proposed information collection project. (770) 488–1430, Email: ncipcbsc@ The Office of Management and Budget Centers for Disease Control and is particularly interested in comments Prevention cdc.gov. The Director, Strategic Business that: Board of Scientific Counselors, Initiatives Unit, Office of the Chief (a) Evaluate whether the proposed National Center for Injury Prevention Operating Officer, Centers for Disease collection of information is necessary and Control; Correction Control and Prevention, has been for the proper performance of the delegated the authority to sign Federal functions of the agency, including Notice is hereby given of a change in Register notices pertaining to whether the information will have the meeting of the Board of Scientific announcements of meetings and other practical utility; Counselors, National Center for Injury committee management activities, for (b) Evaluate the accuracy of the Prevention and Control; February 16, both the Centers for Disease Control and agencies estimate of the burden of the 2021, 10:00 a.m. to 4:15 p.m., EST Prevention and the Agency for Toxic proposed collection of information, which was published in the Federal Substances and Disease Registry. including the validity of the Register on January 8, 2021, Volume 86, methodology and assumptions used; Number 5, page 1502. Kalwant Smagh, (c) Enhance the quality, utility, and The dates and addresses should read Director, Strategic Business Initiatives Unit, clarity of the information to be as follows: Office of the Chief Operating Officer, Centers collected; DATES: The meeting will be held on for Disease Control and Prevention. (d) Minimize the burden of the February 16, 2021, from 10:00 a.m.–4:30 [FR Doc. 2021–02849 Filed 2–11–21; 8:45 am] collection of information on those who p.m., EST. BILLING CODE 4163–18–P are to respond, including, through the ADDRESSES: Zoom Virtual Meeting. If use of appropriate automated, you would like to attend the virtual electronic, mechanical, or other meeting, please pre-register by accessing DEPARTMENT OF HEALTH AND technological collection techniques or the link at https:// HUMAN SERVICES other forms of information technology, dceproductions.zoom.us/webinar/ e.g., permitting electronic submission of register/WN_AQ70-aWpTqKvPX9Ftap_ Centers for Disease Control and responses; and UA. Instructions to access the Zoom Prevention (e) Assess information collection costs. virtual meeting will be provided in the [30Day–21–1071] link following your registration. To request additional information on Meeting Information: There will be a Agency Forms Undergoing Paperwork the proposed project or to obtain a copy public comment period at the end of the Reduction Act Review of the information collection plan and meeting; from 3:45 p.m.–4:15 p.m. The instruments, call (404) 639–7570. public is encouraged to register to In accordance with the Paperwork Comments and recommendations for the provide public comment using the Reduction Act of 1995, the Centers for proposed information collection should registration form available at the link Disease Control and Prevention (CDC) be sent within 30 days of publication of provided: https:// has submitted the information this notice to www.reginfo.gov/public/ www.surveymonkey.com/r/cbyh878. collection request titled Generic do/PRAMain. Find this particular Individuals registered to provide Clearance for the Collection of information collection by selecting public comment will be called upon Qualitative Feedback on Agency Service ‘‘Currently under 30-day Review—Open first to speak based on the order of Delivery to the Office of Management for Public Comments’’ or by using the registration, followed by others from the and Budget (OMB) for review and search function. Direct written public. All public comments will be approval. CDC previously published a comments and/or suggestions regarding limited to two (2) minutes per speaker. ‘‘Proposed Data Collection Submitted the items contained in this notice to the

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Attention: CDC Desk Officer, Office of ensure that our programs are effective will provide insights into customer or Management and Budget, 725 17th and meet our customers’ needs, the stakeholder perceptions, experiences Street NW, Washington, DC 20503 or by National Center for Emerging and and expectations, provide an early fax to (202) 395–5806. Provide written Zoonotic Infectious Diseases, Centers for warning of issues with service, or focus comments within 30 days of notice Disease Control and Prevention (CDC) attention on areas where publication. (hereafter the ‘‘Agency’’) seeks to obtain communication, training or changes in Proposed Project OMB approval of a generic clearance to operations might improve delivery of collect qualitative feedback on our products or services. These collections Generic Clearance for the Collection service delivery. By qualitative feedback will allow for ongoing, collaborative and of Qualitative Feedback on Agency we mean information that provides actionable communications between the Service Delivery (OMB Control No. useful insights on perceptions and Agency and its customers and 0920–1071, Exp. 2/28/2021)— opinions, but are not statistical surveys stakeholders. It will also allow feedback Extension—National Center for that yield quantitative results that can to contribute directly to the Emerging and Zoonotic Infectious be generalized to the population of improvement of program management. Diseases (NCEZID), Centers for Disease study. Control and Prevention (CDC). Since getting approval in February This collection of information is 2018, NCEZID has utilized 0920–1071 Background and Brief Description necessary to enable the Agency to garner ten separate times. The total number of CDC/NCEZID is seeking a three-year customer and stakeholder feedback in responses was 15,585. The total number extension of OMB control No. 0920– an efficient, timely manner, in of burden hours was 2,525. Authorizing 1071 to continue collecting routine accordance with our commitment to legislation for this collection comes customer feedback on agency service improving service delivery. The from Section 301 of the Public Health delivery. Executive Order 12862 directs information collected from our Service Act (42 U.S.C. 241). The Federal agencies to provide service to customers and stakeholders will help estimated annual burden hours the public that matches or exceeds the ensure that users have an effective, requested for this Extension are 3,850. best service available in the private efficient, and satisfying experience with There is no cost to respondents other sector. In order to work continuously to the Agency’s programs. This feedback than the time to participate.

ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of burden per Type of respondents Form name respondents responses per response respondent (in hours)

General public ...... Online surveys ...... 1500 1 30/60 Focus groups ...... 800 1 2 In-person surveys ...... 1000 1 30/60 Usability testing ...... 1500 1 30/60 Customer comment cards ...... 1000 1 15/60

Jeffrey M. Zirger, government information, invites the official stating that the passenger has Lead, Information Collection Review Office, general public and other Federal been cleared for travel. Office of Scientific Integrity, Office of Science, agencies the opportunity to comment on DATES: CDC must receive written Centers for Disease Control and Prevention. a proposed and/or continuing comments on or before April 13, 2021. [FR Doc. 2021–02948 Filed 2–11–21; 8:45 am] information collection, as required by ADDRESSES: You may submit comments, BILLING CODE 4163–18–P the Paperwork Reduction Act of 1995. identified by Docket No. CDC–2021– This notice invites comment on a 0006 by any of the following methods: request for emergency clearance of the • Federal eRulemaking Portal: DEPARTMENT OF HEALTH AND information collection titled Regulations.gov. Follow the instructions HUMAN SERVICES Requirement for Negative Pre-Departure for submitting comments. Covid–19 Test Result or Documentation • Mail: Jeffrey M. Zirger, Information Centers for Disease Control and of Recovery from Covid–19 for all Collection Review Office, Centers for Prevention Airline or other Aircraft Passengers Disease Control and Prevention, 1600 [60Day–21–21CT; Docket No. CDC–2021– arriving into the United States from any Clifton Road NE, MS–D74, Atlanta, 0006] foreign country. This collection Georgia 30329. accompanies a CDC Order of the same Instructions: All submissions received Proposed Data Collection Submitted name and is designed to prohibit the must include the agency name and for Public Comment and introduction into the United States of Docket Number. CDC will post, without Recommendations any airline passenger departing from the change, all relevant comments to AGENCY: Centers for Disease Control and any foreign country unless the Regulations.gov. Prevention (CDC), Department of Health passenger: Please note: Submit all comments and Human Services (HHS). (1) Has a negative pre-departure test through the Federal eRulemaking portal (regulations.gov) or by U.S. mail to the ACTION: Notice with comment period. result for COVID–19 (Qualifying Test), or (2) has written or electronic address listed above. SUMMARY: The Centers for Disease documentation of recovery from FOR FURTHER INFORMATION CONTACT: To Control and Prevention (CDC), as part of COVID–19 in the form of a positive viral request more information on the its continuing effort to reduce public test result and a letter from a licensed proposed project or to obtain a copy of burden and maximize the utility of health care provider or public health the information collection plan and

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instruments, contact Jeffrey M. Zirger, of Background and Brief Description • Airlines or other aircraft operators the Information Collection Review This information collection transporting passengers with COVID–19 Office, Centers for Disease Control and accompanies the Notice and Order pursuant to CDC authorization and in Prevention, 1600 Clifton Road NE, MS– named above. Pursuant to 42 CFR 71.20 accordance with CDC guidance. D74, Atlanta, Georgia 30329; phone: and as set forth in greater detail below, • Federal law enforcement personnel 404–639–7570; Email: [email protected]. this Notice and Order prohibit the on official orders who are traveling for SUPPLEMENTARY INFORMATION: Under the introduction into the United States of the purpose of carrying out a law Paperwork Reduction Act of 1995 (PRA) any airline passenger departing from the enforcement function, provided they are (44 U.S.C. 3501–3520), Federal agencies any foreign country unless the covered under an occupational health must obtain approval from the Office of passenger: and safety program in accordance with Management and Budget (OMB) for each (1) Has a negative pre-departure test CDC guidance. Those traveling for collection of information they conduct result for COVID–19 (Qualifying Test), training or other business purposes or sponsor. In addition, the PRA also or (2) has written or electronic remain subject to the requirements of requires Federal agencies to provide a documentation of recovery from this Order. 60-day notice in the Federal Register COVID–19 in the form of a positive viral • U.S. Department of Defense (DOD) concerning each proposed collection of test result and a letter from a licensed personnel, including military personnel information, including each new health care provider or public health and civilian employees, dependents, proposed collection, each proposed official stating that the passenger has contractors (including whole aircraft extension of existing collection of been cleared for travel (Documentation charter operators), and other U.S. information, and each reinstatement of of Recovery). government employees when traveling The negative test must be a viral test previously approved information on DOD assets, provided that such that was conducted on a specimen collection before submitting the individuals are under competent collected during the three days collection to the OMB for approval. To military or U.S government travel orders preceding the flight’s departure from a comply with this requirement, we are and observing DOD precautions to foreign country. Passengers must retain publishing this notice of a proposed prevent the transmission of COVID–19 written or electronic documentation data collection as described below. as set forth in Force Protection reflecting the Qualifying Test, or Guidance Supplement 14—Department The OMB is particularly interested in Documentation of Recovery, presented of Defense Guidance for Personnel comments that will help: to the airline and produce such Traveling During the Coronavirus 1. Evaluate whether the proposed documentation upon request to any U.S. Disease 2019 Pandemic (December 29, collection of information is necessary government official or a cooperating 2020) including its testing guidance. state or local public health authority. for the proper performance of the • Individuals and organizations for functions of the agency, including Pursuant to 42 CFR 71.31(b), the Order constitutes a controlled free which the issuance of a humanitarian whether the information will have exemption is necessary based on both practical utility; pratique to any airline with an aircraft arriving into the United States from any (1) exigent circumstances where 2. Evaluate the accuracy of the foreign country. Pursuant to the emergency travel is required to preserve agency’s estimate of the burden of the controlled free pratique, the airline must health and safety (e.g., emergency proposed collection of information, comply with the following conditions in medical evacuations) and (2) where pre- including the validity of the order to receive permission for the departure testing cannot be accessed or methodology and assumptions used; aircraft to enter and disembark completed before travel. Additional 3. Enhance the quality, utility, and passengers in the United States: conditions may be placed on those clarity of the information to be • Airline or other aircraft operator granted such exemptions, including but collected; and must verify that every passenger—two not limited to, observing precautions 4. Minimize the burden of the years of age or older—onboard the during travel, providing consent to post- collection of information on those who aircraft has attested to receiving a arrival testing, and/or self-quarantine are to respond, including through the negative Qualifying Test result or to after arrival in the United States, as may use of appropriate automated, having recovered from COVID–19 after be directed by federal, state, territorial, electronic, mechanical, or other previous SARS–CoV–2 infection and tribal or local public health authorities technological collection techniques or being cleared to travel by a licensed to reduce the risk of transmission or other forms of information technology, health care provider or public health spread. official. CDC anticipates certain additional e.g., permitting electronic submissions • of responses. Airline or other aircraft operator cost burdens to respondents and record must confirm that every passenger keepers due to the requirements. These 5. Assess information collection costs. onboard the aircraft has documentation costs fall into the following categories: Proposed Project of a negative Qualifying Test result or • Traveler testing and ancillary costs: Documentation of Recovery from $9,136,480,000. Requirement for Negative Pre- COVID–19. • Traveler deferred travel costs: Departure Covid–19 Test Result or Certain exemptions and waivers do Documentation of Recovery From $44,370,000. apply, and are as follows: • Covid–19 for all Airline or other Aircraft • Crew members of airlines or other Airline staff costs for digitizing Passengers Arriving into the United aircraft operators provided that they attestations: $12,257,000. States from any Foreign Country— follow industry standard protocols for • Airline costs to store attestations: New—National Center for Emerging the prevention of COVID–19 as set forth $1,200–$1,050,000 a year depending on Zoonotic and Infectious Diseases in relevant Safety Alerts for Operators size of airline and number of travelers. (NCEZID), Centers for Disease Control (SAFOs) issued by the Federal Aviation Estimated burden hours associated and Prevention (CDC). Administration (FAA). with this collection are 70,843,733.

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ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of burden per Total burden Type of respondent Form name respondents responses per response (in hours) respondent (in hours)

Traveler (3rd Party Disclosure) ...... Attestation of a negative COVID–19 34,000,000 1 2 68,000,000 test/Documentation indicating clearance for travel by a licensed healthcare provider or public health official. Airline Desk Agent ...... Attestation of a negative COVID–19 34,000,000 1 5/60 2,833,333 test/Documentation indicating clearance for travel by a licensed healthcare provider or public health official. Traveler ...... Request Exemption on Urgent Hu- 5,200 1 2 10,400 manitarian Basis.

Total ...... 70,843,733

Jeffrey M. Zirger, questions, including questions, such as or sponsor. In addition, the PRA also Lead, Information Collection Review Office, those on telehealth access and use, that requires Federal agencies to provide a Office of Scientific Integrity, Office of Science, will continue to be important for public 60-day notice in the Federal Register Centers for Disease Control and Prevention. health after the pandemic. concerning each proposed collection of [FR Doc. 2021–02951 Filed 2–11–21; 8:45 am] DATES: Written comments must be information, including each new BILLING CODE 4163–18–P received on or before April 13, 2021. proposed collection, each proposed ADDRESSES: You may submit comments, extension of existing collection of identified by Docket No. CDC–2021– information, and each reinstatement of DEPARTMENT OF HEALTH AND 0009 by any of the following methods: previously approved information HUMAN SERVICES • Federal eRulemaking Portal: collection before submitting the Regulations.gov. Follow the instructions collection to OMB for approval. To Centers for Disease Control and comply with this requirement, we are Prevention for submitting comments. • Mail: Jeffrey M. Zirger, Information publishing this notice of a proposed [60Day–21–21CM; Docket No. CDC–2021– Collection Review Office, Centers for data collection as described below. 0009] Disease Control and Prevention, 1600 The OMB is particularly interested in Clifton Road NE, MS–D74, Atlanta, comments that will help: Proposed Data Collection Submitted Georgia 30329. 1. Evaluate whether the proposed for Public Comment and Instructions: All submissions received collection of information is necessary Recommendations must include the agency name and for the proper performance of the functions of the agency, including AGENCY: Centers for Disease Control and Docket Number. All relevant comments received will be posted without change whether the information will have Prevention (CDC), Department of Health practical utility; and Human Services (HHS). to Regulations.gov, including any personal information provided. For 2. Evaluate the accuracy of the ACTION: Notice with comment period. access to the docket to read background agency’s estimate of the burden of the proposed collection of information, SUMMARY: The Centers for Disease documents or comments received, go to Regulations.gov. including the validity of the Control and Prevention (CDC), as part of methodology and assumptions used; its continuing effort to reduce public Please note: All public comment should be submitted through the 3. Enhance the quality, utility, and burden and maximize the utility of clarity of the information to be government information, invites the Federal eRulemaking portal (regulations.gov) or by U.S. mail to the collected; and general public and other Federal 4. Minimize the burden of the address listed above. agencies to take this opportunity to collection of information on those who comment on proposed and/or FOR FURTHER INFORMATION CONTACT: To are to respond, including through the continuing information collections, as request more information on the use of appropriate automated, required by the Paperwork Reduction proposed project or to obtain a copy of electronic, mechanical, or other Act of 1995. This notice invites the information collection plan and technological collection techniques or comment on a proposed information instruments, contact Jeffrey M. Zirger, other forms of information technology, collection project titled National Center Information Collection Review Office, e.g., permitting electronic submissions for Health Statistics’ Research and Centers for Disease Control and of responses. Development Survey (RANDS) during Prevention, 1600 Clifton Road NE, MS– 5. Assess information collection costs. COVID–19—Round 3. The Research and D74, Atlanta, Georgia 30329; phone: Development Survey (RANDS) is 404–639–7570; Email: [email protected]. Proposed Project designed to quickly obtain and SUPPLEMENTARY INFORMATION: Under the National Center for Health Statistics disseminate information about selected Paperwork Reduction Act of 1995 (PRA) Research and Development Survey population health characteristics during (44 U.S.C. 3501–3520), Federal agencies (RANDS) during COVID–19 (Round 3)— the ongoing coronavirus pandemic, and must obtain approval from the Office of New—National Center for Health to provide documentation supporting Management and Budget (OMB) for each Statistics (NCHS), Centers for Disease the validity of pandemic-related survey collection of information they conduct Control and Prevention (CDC).

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Background and Brief Description will use NORC’s AmeriSpeak Panel as RANDS will provide NCHS and CDC its sample source. with early estimates of COVID–19- The National Center for Health The RANDS COVID–19 (Round 3) related concepts. The questionnaire will Statistics (NCHS) has submitted a six- collection will be used for the purpose cover areas such as general health, month OMB emergency clearance for a of continuing NCHS’ developmental psychological distress, chronic Research and Development Survey survey methods and will generate data conditions, health behaviors, the (RANDS) COVID–19 related data that can help explain health-related outbreak’s effects on healthcare access, collection. Since COVID–19 has resulted experiences of the United States loss of work due to illness with COVID– in a public health crisis, this population during this period. The data 19, telemedicine access and use, and information collection requests approval collection includes not only a research other health and behavioral aspects to conduct a follow-on survey (Round 3) component, but will also contribute to related to the epidemic. CDC requests to the previously completed rounds of CDC’s ongoing surveillance of the approval for an estimated 1,734 burden RANDS. Similar to the previous two COVID–19 pandemic. Given the current hours over the course of the six-month rounds of RANDS completed during outbreak and the resulting limitations approval. There are no costs to COVID–19, this information collection placed on NCHS’ other data collections, respondents other than their time.

ESTIMATED ANNUALIZED BURDEN TABLE

Number of Response Types of respondents Form name Number of responses/ Average hours burden participants participant per response (in hours)

Individuals or households ...... RANDS–COVID–19 Round 3 ...... 5,200 1 20/60 1,734

Total ...... 5,200 ...... 1,734

Jeffrey M. Zirger, (NCHHSTP) to conduct formative D74, Atlanta, Georgia 30329; phone: Lead, Information Collection Review Office, research information collection 404–639–7118; Email: [email protected]. Office of Scientific Integrity, Office of Science, activities used to inform many aspects SUPPLEMENTARY INFORMATION: Under the Centers for Disease Control and Prevention. of surveillance, communications, health Paperwork Reduction Act of 1995 (PRA) [FR Doc. 2021–02950 Filed 2–11–21; 8:45 am] promotion, and research project (44 U.S.C. 3501–3520), Federal agencies BILLING CODE 4163–18–P development for NCHHSTP’s four must obtain approval from the Office of priority diseases (HIV/AIDS), sexually Management and Budget (OMB) for each transmitted diseases/infections (STD/ collection of information they conduct DEPARTMENT OF HEALTH AND STI), viral hepatitis, tuberculosis or sponsor. In addition, the PRA also HUMAN SERVICES elimination (TB), and school and requires Federal agencies to provide a adolescent health (DASH). Centers for Disease Control and 60-day notice in the Federal Register Prevention DATES: CDC must receive written concerning each proposed collection of comments on or before April 13, 2021. information, including each new [60Day–21–0840 Docket No. CDC–2021– proposed collection, each proposed 0010] ADDRESSES: You may submit comments, identified by Docket No. CDC–2021– extension of existing collection of information, and each reinstatement of Proposed Data Collection Submitted 0010 by any of the following methods: previously approved information for Public Comment and • Federal eRulemaking Portal: collection before submitting the Recommendations Regulations.gov. Follow the instructions collection to the OMB for approval. To for submitting comments. AGENCY: comply with this requirement, we are Centers for Disease Control and • Mail: Jeffrey M. Zirger, Information publishing this notice of a proposed Prevention (CDC), Department of Health Collection Review Office, Centers for data collection as described below. and Human Services (HHS). Disease Control and Prevention, 1600 The OMB is particularly interested in ACTION: Notice with comment period. Clifton Road NE, MS–D74, Atlanta, comments that will help: Georgia 30329. SUMMARY: The Centers for Disease 1. Evaluate whether the proposed Control and Prevention (CDC), as part of Instructions: All submissions received collection of information is necessary its continuing effort to reduce public must include the agency name and for the proper performance of the burden and maximize the utility of Docket Number. CDC will post, without functions of the agency, including government information, invites the change, all relevant comments to whether the information will have general public and other Federal Regulations.gov. practical utility; agencies the opportunity to comment on Please note: Submit all comments 2. Evaluate the accuracy of the a proposed and/or continuing through the Federal eRulemaking portal agency’s estimate of the burden of the information collection, as required by (regulations.gov) or by U.S. mail to the proposed collection of information, the Paperwork Reduction Act of 1995. address listed above. including the validity of the This notice invites comment on a FOR FURTHER INFORMATION CONTACT: To methodology and assumptions used; proposed information collection project request more information on the 3. Enhance the quality, utility, and titled ‘‘NCHHSTP Generic Clearance proposed project or to obtain a copy of clarity of the information to be Formative Research and Tool the information collection plan and collected; and Development’’. This information instruments, contact Jeffrey M. Zirger, 4. Minimize the burden of the collection request is designed to allow Information Collection Review Office, collection of information on those who CDC’s National Center for HIV/AIDS, Centers for Disease Control and are to respond, including through the Viral Hepatitis, STD, and TB Prevention Prevention, 1600 Clifton Road NE, MS– use of appropriate automated,

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electronic, mechanical, or other needs of different populations and answer questions and ways in which technological collection techniques or persons in that community. Formative question response bias and error can be other forms of information technology, research is research that occurs before a reduced. e.g., permitting electronic submissions program is designed and implemented, This request also includes collection of responses. or while a program is being conducted. of information from public health 5. Assess information collection costs. NCHHSTP formative research is programs to assess needs related to necessary for developing new programs Proposed Project initiation of a new program activity or or adapting programs that deal with the expansion or changes in scope or NCHHSTP Generic Clearance complexity of behaviors, social context, implementation of existing program Formative Research and Tool cultural identities, and health care that Development (OMB Control No. 0920– underlie the epidemiology of HIV/AIDS, activities to adapt them to current 0840, Exp. 10/31/2021)—Extension— viral hepatitis, STDs, and TB in the needs. The information collected will be National Center for HIV/AIDS, Viral U.S., as well as for school and used to advise programs and provide Hepatitis, STD, TB Prevention adolescent health. capacity-building assistance tailored to (NCHHSTP), Centers for Disease Control CDC conducts formative research to identified needs. Overall, these and Prevention (CDC). develop public-sensitive development activities are intended to provide information that will increase Background and Brief Description communication messages and user friendly tools prior to developing or the success of the surveillance or The Centers for Disease Control and recommending interventions, or care. research projects through increasing Prevention, National Center for HIV/ Sometimes these studies are entirely response rates and decreasing response AIDS, Viral Hepatitis, STD, and TB behavioral but most often they are error, thereby decreasing future data Prevention (NCHHSTP) requests cycles of interviews and focus groups collection burden to the public. The approval for an extension and a three designed to inform the development of studies that will be covered under this year approval for the previously a product. Products from these request will include one or more of the approved Generic Clearance, formative research studies will be used following investigational modalities: (1) ‘‘Formative Research and Tool for prevention of HIV/AIDS, Sexually Structured and qualitative interviewing Development’’. This information Transmitted Infections (STI), viral for surveillance, research, interventions collection request is designed to allow Hepatitis, and Tuberculosis. Findings and material development, (2) cognitive NCHHSTP to conduct formative from these studies may also be interviewing for development of specific research information collection presented as evidence to disease- data collection instruments, (3) activities used to inform many aspects specific National Advisory Committees, methodological research (4) usability of surveillance, communications, health to support revisions to recommended testing of technology-based instruments promotion, and research project prevention and intervention methods, as and materials, (5) field testing of new development for NCHHSTP’s four well as new recommendations. methodologies and materials, (6) priority diseases (HIV/AIDS, sexually Much of CDC’s health communication investigation of mental models for transmitted diseases/infections (STD/ takes place within campaigns that have health decision-making, to inform STI), viral hepatitis, tuberculosis lengthy planning periods—timeframes health communication messages, and (7) elimination and the Division of School that accommodate the standard Federal organizational needs assessments to and Adolescent Heath (DASH). process for approving data collections. support development of capacity. Formative research is the basis for Short term qualitative interviewing and developing effective strategies including cognitive research techniques have Respondents who will participate in communication channels, for previously proven invaluable in the individual and group interviews influencing behavior change. It helps development of scientifically valid and (qualitative, cognitive, and computer researchers identify and understand the population-appropriate methods, assisted development activities) are characteristics—interests, behaviors and interventions, and instruments. selected purposively from those who needs—of target populations that This request includes studies respond to recruitment advertisements. influence their decisions and actions. investigating the utility and In addition to utilizing advertisements Formative research is integral in acceptability of proposed sampling and for recruitment, respondents who will developing programs as well as recruitment methods, intervention participate in research on survey improving existing and ongoing contents and delivery, questionnaire methods may be selected purposively or programs. Formative research also looks domains, individual questions, and systematically from within an ongoing at the community in which a public interactions with project staff or surveillance or research project. health intervention is being or will be electronic data collection equipment. Participation by respondents is implemented and helps the project staff These activities will also provide voluntary. There is no cost to understand the interests, attributes and information about how respondents participants other than their time.

ESTIMATED ANNUALIZED BURDEN HOURS

Number of Total response Type of respondent Form name Number of responses per Average hours burden respondents respondent per response (hours)

General public and health care pro- Screener ...... 81,200 1 10/60 13,533 viders. General public and health care pro- Consent Forms ...... 40,600 1 5/60 3,383 viders. General public and health care pro- Individual Interview ...... 6,600 1 1 6,600 viders. General public and health care pro- Focus Group Interview ...... 4,000 1 2 8,000 viders.

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ESTIMATED ANNUALIZED BURDEN HOURS—Continued

Number of Total response Type of respondent Form name Number of responses per Average hours burden respondents respondent per response (hours)

General public and health care pro- Survey of Individual ...... 30,000 1 30/60 15,000 viders.

Total ...... 46,516

Jeffrey M. Zirger, recommendations must be submitted in provide information to a third party. Lead, Information Collection Review Office, any one of the following ways: Section 3506(c)(2)(A) of the PRA Office of Scientific Integrity, Office of Science, 1. Electronically. You may send your requires federal agencies to publish a Centers for Disease Control and Prevention. comments electronically to http:// 60-day notice in the Federal Register [FR Doc. 2021–02952 Filed 2–11–21; 8:45 am] www.regulations.gov. Follow the concerning each proposed collection of BILLING CODE 4163–18–P instructions for ‘‘Comment or information, including each proposed Submission’’ or ‘‘More Search Options’’ extension or reinstatement of an existing to find the information collection collection of information, before DEPARTMENT OF HEALTH AND document(s) that are accepting submitting the collection to OMB for HUMAN SERVICES comments. approval. To comply with this 2. By regular mail. You may mail requirement, CMS is publishing this Centers for Medicare & Medicaid written comments to the following notice. Services address: CMS, Office of Strategic [Document Identifiers CMS–10518 and Operations and Regulatory Affairs, Information Collection CMS–10340] Division of Regulations Development, 1. Type of Information Collection Attention: Document Identifier/OMB Request: Extension without change of a Agency Information Collection Control Number llll, Room C4–26– currently approved collection; Title of Activities: Proposed Collection; 05, 7500 Security Boulevard, Baltimore, Information Collection: Application for Comment Request Maryland 21244–1850. Participation in the Intravenous To obtain copies of a supporting AGENCY: Centers for Medicare & Immune Globulin (IVIG) Demonstration; statement and any related forms for the Medicaid Services, Health and Human Use: Traditional fee-for-service (FFS) proposed collection(s) summarized in Services (HHS). Medicare covers some or all this notice, you may make your request ACTION: Notice. components of home infusion services using one of following: depending on the circumstances. By SUMMARY: The Centers for Medicare & 1. Access CMS’ website address at special statutory provision, Medicare Medicaid Services (CMS) is announcing https://www.cms.gov/Regulations-and- Part B covers intravenous immune an opportunity for the public to Guidance/Legislation/ globulin (IVIG) for persons with primary comment on CMS’ intention to collect PaperworkReductionActof1995/PRA- immune deficiency disease (PIDD) who information from the public. Under the Listing.html. wish to receive the drug at home. Paperwork Reduction Act of 1995 (the FOR FURTHER INFORMATION CONTACT: However, Medicare does not separately PRA), federal agencies are required to William N. Parham at (410) 786–4669. pay for any services or supplies to publish notice in the Federal Register SUPPLEMENTARY INFORMATION: administer it if the person is not concerning each proposed collection of homebound and otherwise receiving Contents information (including each proposed services under a Medicare Home Health extension or reinstatement of an existing This notice sets out a summary of the episode of care. As a result, many collection of information) and to allow use and burden associated with the beneficiaries have chosen to receive the 60 days for public comment on the following information collections. More drug at their doctor’s office or in an proposed action. Interested persons are detailed information can be found in outpatient hospital setting. invited to send comments regarding our each collection’s supporting statement The Medicare IVIG Demonstration burden estimates or any other aspect of and associated materials (see application requests basic demographic this collection of information, including ADDRESSES). information necessary to determine the necessity and utility of the proposed CMS–10518 Application for eligibility for participation in the information collection for the proper Participation in the Intravenous demonstration. This information is used performance of the agency’s functions, Immune Globulin (IVIG) by CMS’ implementation support the accuracy of the estimated burden, Demonstration contractor to determine eligibility for ways to enhance the quality, utility, and CMS–10340 Collection of Encounter the demonstration and to set up a clarity of the information to be Data from MA Organizations demonstration eligibility record that is collected, and the use of automated Under the PRA (44 U.S.C. 3501– used by the Medicare claims system collection techniques or other forms of 3520), federal agencies must obtain when processing claims for information technology to minimize the approval from the Office of Management demonstration services. information collection burden. and Budget (OMB) for each collection of The application also includes some DATES: Comments must be received by information they conduct or sponsor. questions about how and where the April 13, 2021. The term ‘‘collection of information’’ is beneficiary is currently receiving ADDRESSES: When commenting, please defined in 44 U.S.C. 3502(3) and 5 CFR immunoglobulin and related services. reference the document identifier or 1320.3(c) and includes agency requests This data is being used by the OMB control number. To be assured or requirements that members of the evaluation contractor to conduct its consideration, comments and public submit reports, keep records, or evaluation and to better understand

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which beneficiaries are electing to Dated: February 9, 2021. proposed collection(s) summarized in enroll in the demonstration. Form William N. Parham, III, this notice, you may make your request Number: CMS–10518 (OMB control Director, Paperwork Reduction Staff, Office using one of following: number: 0938–1246); Frequency: of Strategic Operations and Regulatory 1. Access CMS’ website address at: Annually; Affected Public: Individuals Affairs. https://www.cms.gov/Regulations-and- and Households; Number of [FR Doc. 2021–02944 Filed 2–11–21; 8:45 am] Guidance/Legislation/ Respondents: 6,500; Total Annual BILLING CODE 4120–01–P PaperworkReductionActof1995/PRA- Responses: 6,500; Total Annual Hours: Listing.html. 1,625. (For policy questions regarding this collection contact Debra K. DEPARTMENT OF HEALTH AND FOR FURTHER INFORMATION CONTACT: Gillespie at 410–786–4631.) HUMAN SERVICES William Parham at (410) 786–4669. 2. Type of Information Collection SUPPLEMENTARY INFORMATION: Under the Centers for Medicare & Medicaid Request: Revision of a currently Paperwork Reduction Act of 1995 (PRA) Services approved collection; Title of (44 U.S.C. 3501–3520), federal agencies Information Collection: Collection of [Document Identifier CMS–18F5, CMS– must obtain approval from the Office of Encounter Data from MA Organizations; 10307, CMS–10495 and CMS–10454] Management and Budget (OMB) for each Use: Section 1853(a)(3)(B) of the Act collection of information they conduct directs CMS to require MA Agency Information Collection or sponsor. The term ‘‘collection of organizations and eligible organizations Activities: Submission for OMB information’’ is defined in 44 U.S.C. with risk-sharing contracts under 1876 Review; Comment Request 3502(3) and 5 CFR 1320.3(c) and to ‘‘submit data regarding inpatient AGENCY: Centers for Medicare & includes agency requests or hospital services . . . and data Medicaid Services, Health and Human requirements that members of the public regarding other services and other Services (HHS). submit reports, keep records, or provide information as the Secretary deems ACTION: Notice. information to a third party. Section necessary’’ in order to implement a 3506(c)(2)(A) of the PRA (44 U.S.C. methodology for ‘‘risk adjusting’’ SUMMARY: The Centers for Medicare & 3506(c)(2)(A)) requires federal agencies payments made to MA organizations Medicaid Services (CMS) is announcing to publish a 30-day notice in the and other entities. Risk adjustments to an opportunity for the public to Federal Register concerning each enrollee monthly payments are made in comment on CMS’ intention to collect proposed collection of information, order to take into account ‘‘variations in information from the public. Under the including each proposed extension or per capita costs based on [the] health Paperwork Reduction Act of 1995 reinstatement of an existing collection status’’ of the Medicare beneficiaries (PRA), federal agencies are required to of information, before submitting the enrolled in an MA plan. publish notice in the Federal Register collection to OMB for approval. To CMS collects encounter data for concerning each proposed collection of comply with this requirement, CMS is beneficiaries enrolled in MA information, including each proposed publishing this notice that summarizes organizations, section 1876 Cost Health extension or reinstatement of an existing the following proposed collection(s) of Maintenance Organizations (HMOs)/ collection of information, and to allow information for public comment: Competitive Medical Plans (CMPs), a second opportunity for public Programs of All-inclusive Care for the 1. Type of Information Collection comment on the notice. Interested Request: Revision of a currently Elderly (PACE) organizations, and persons are invited to send comments MMPs. For PACE organizations and approved collection; Title of regarding the burden estimate or any Information Collection: Application for MMPs, encounter data serves essentially other aspect of this collection of the same purposes as it does for the MA Enrollment in Medicare Part A internet information, including the necessity and Claim (iClaim) Application Screen program (for Part C and Part D risk utility of the proposed information adjustment). To 1876 Cost Plans that Modernized Claims System and collection for the proper performance of Consolidated Claim Experience Screens; offer Part D coverage, CMS makes risk the agency’s functions, the accuracy of adjusted, capitated monthly payments Use: Individuals who are already the estimated burden, ways to enhance entitled to retirement or disability for Part D. the quality, utility, and clarity of the MA organizations, Part D benefits under Social Security or information to be collected, and the use organizations, 1876 Cost Plans, MMPs Railroad Retirement Board (RRB) of automated collection techniques or and PACE organizations must use a benefits are automatically entitled to CMS approved Network Service Vendor other forms of information technology to premium-free Medicare Hospital to establish connectivity with the CMS minimize the information collection Insurance (Part A) when they attain age secure network for operational burden. 65 or reach the 25th month of disability purposes. Once connectivity is DATES: Comments on the collection(s) of benefit entitlement. These individuals established, these entities must submit information must be received by the do not file a separate application for required documents to CMS’s front-end OMB desk officer by March 15, 2021. Medicare Part A because their contractor to obtain security access ADDRESSES: Written comments and application for Social Security or RRB credentials. Form Number: CMS–10340 recommendations for the proposed benefits is also an application for Part A. (OMB control number: 0938–1152); information collection should be sent The form is for individuals who are not Frequency: Annually; Affected Public: within 30 days of publication of this eligible for Social Security for RRB Private Sector, Business or other for- notice to www.reginfo.gov/public/do/ benefits, but may qualify for premium- profits, Not-for-profits institutions; PRAMain. Find this particular free Medicare Part A based on certain Number of Respondents: 733; Total information collection by selecting requirements outlined in § 406.11 and Annual Responses: 1,068,204,429; Total ‘‘Currently under 30-day Review—Open 406.15 or for certain disabled Annual Hours: 35,618,366. (For policy for Public Comments’’ or by using the individuals who may enroll in premium questions regarding this collection search function. Medicare Part A based on certain contact Michael P. Massimini at 410– To obtain copies of a supporting requirements outlined in § 406.20. 786–1560.) statement and any related forms for the Individuals may also choose to enroll in

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Medicare Part B at the same time they requirement to cover EHB (45 CFR model form to request information from apply for Medicare Part A. 147.150 and 156.115). plans regarding NQTLs that may affect The Application for Enrollment in MHPAEA section 512(b) specifically patients’ MH/SUD benefits or that may Medicare Part A (CMS–18F5 and CMS– amends the Public Health Service (PHS) have resulted in their coverage being 18F5–SP) was designed to capture all Act to require plan administrators or denied. Form Number: CMS–10307 the information needed to make a health insurance issuers to provide, (OMB control number: 0938–1080); determination of an individual’s upon request, the criteria for medical Frequency: On Occasion; Affected entitlement to Part A. This Information necessity determinations made with Public: State, Local, or Tribal Collection Request (ICR) adds the respect to MH/SUD benefits to current Governments, Private Sector, collection instruments SSA uses to or potential participants, beneficiaries, Individuals; Number of Respondents: collect information from individuals or contracting providers. The Interim 250,137; Total Annual Responses: who are filing an Application for Final Rules Under the Paul Wellstone 987,714; Total Annual Hours: 35,475. Hospital Insurance, updates the burden and Pete Domenici Mental Health Parity (For policy questions regarding this information. CMS will begin reporting and Addiction Equity Act of 2008 (75 collection contact Usree for additional collection instruments, FR 5410, February 2, 2010) and the Bandyopadhyay at 410–786–6650.) including the internet Claim System Final Rules under the Paul Wellstone 3. Type of Information Collection (iClaim), Modernized Claims System and Pete Domenici Mental Health Parity Request: Extension; Title of Information (MCS), and the Consolidated Claims and Addiction Equity Act of 2008 set Collection: Data Collection and Experience (CCE). Form Number: CMS– forth rules for providing criteria for Submission, Registration, Attestation, 18F5 (OMB control number: 0938– medical necessity determinations. CMS Dispute and Resolution, Record 0251); Frequency: Annually; Affected oversees non-Federal governmental Retention, and Assumptions Document Public: State, Local, or Tribal plans and health insurance issuers. Submission, for Open Payments; Use: Governments; Number of Respondents: MHPAEA section 512(b) specifically Section 6002 of the Affordable Care Act 1,394,264; Total Annual Responses: amends the PHS Act to require plan added section 1128G to the Social 1,394,264; Total Annual Hours: 348,566. administrators or health insurance Security Act (the Act), which requires (For policy questions regarding this issuers to supply, upon request, the applicable manufacturers of covered collection contact Carla Patterson at reason for any denial or reimbursement drugs, devices, biologicals, or medical 410–786–1000.) of payment for MH/SUD services to the supplies (as defined at 42 CFR 403.902) 2. Type of Information Collection participant or beneficiary involved in to report annually to the Secretary Request: Extension; Title of Information the case. The Interim Final Rules Under certain payments or other transfers of Collection: Medical Necessity and the Paul Wellstone and Pete Domenici value to covered recipients. Section Claims Denial Disclosures under Mental Health Parity and Addiction 1128G of the Act also requires MHPAEA; Use: The Paul Wellstone and Equity Act of 2008 (75 FR 5410, applicable manufacturers and Pete Domenici Mental Health Parity and February 2, 2010) and the Final Rules applicable group purchasing Addiction Equity Act of 2008 under the Paul Wellstone and Pete organizations (GPOs) to report certain (MHPAEA) (Pub. L. 110–343) generally Domenici Mental Health Parity and information regarding the ownership or requires that group health plans and Addiction Equity Act of 2008 investment interests held by physicians group health insurance issuers offering implement 45 CFR 146.136(d)(2), which or the immediate family members of mental health or substance use disorder sets forth rules for providing reasons for physicians in such entities. (MH/SUD) benefits in addition to claims denial. CMS oversees non- Specifically, manufacturers of covered medical and surgical (med/surg) Federal governmental plans and health drugs, devices, biologicals, and medical benefits ensure that they do not apply insurance issuers, and the regulation supplies (applicable manufacturers) are any more restrictive financial provides a safe harbor such that non- required to submit on an annual basis requirements (e.g., co-pays, deductibles) Federal governmental plans (and issuers the information required in section and/or treatment limitations (e.g., visit offering coverage in connection with 1128G(a)(1) of the Act about certain limits) to MH/SUD benefits than those such plans) are deemed to comply with payments or other transfers of value requirements and/or limitations applied requirements of paragraph (d)(2) of 45 made to covered recipients during the to substantially all med/surg benefits. CFR 146.136 if they provide the reason course of the preceding calendar year. The Patient Protection and Affordable for claims denial in a form and manner Similarly, section 1128G(a)(2) of the Act Care Act, Public Law 111–148, was consistent with ERISA requirements requires applicable manufacturers and enacted on March 23, 2010, and the found in 29 CFR 2560.503–1. Section applicable GPOs to disclose any Health Care and Education 146.136(d)(3) of the final rule clarifies ownership or investment interests in Reconciliation Act of 2010, Public Law that PHS Act section 2719 governing such entities held by physicians or their 111–152, was enacted on March 30, internal claims and appeals and external immediate family members, as well as 2010, collectively known as the review as implemented by 45 CFR information on any payments or other ‘‘Affordable Care Act.’’ The Affordable 147.136, covers MHPAEA claims transfers of value provided to such Care Act extended MHPAEA to apply to denials and requires that, when a non- physician owners or investors. Form the individual health insurance market. quantitative treatment limitation Number: CMS–10495 (OMB control Additionally, the Department of Health (NQTL) is the basis for a claims denial, number: 0938–1237); Frequency: Once; and Human Services (HHS) final that a non-grandfathered plan or issuer Affected Public: Private sector; Business regulation regarding essential health must provide the processes, strategies, or other for-profits; Number of benefits (EHB) requires health insurance evidentiary standard, and other factors Respondents: 34,616; Total Annual issuers offering non-grandfathered used in developing and applying the Responses: 78,812; Total Annual Hours: health insurance coverage in the NQTL with respect to med/surg benefits 1,897,790. (For policy questions individual and small group markets, and MH/SUD benefits. regarding this collection contact through an Exchange or outside of an Group health plan participants, Kathleen Ott 410–786–4246.) Exchange, to comply with the beneficiaries, covered individuals in the 4. Type of Information Collection requirements of the MHPAEA individual market, or persons acting on Request: Extension of a currently regulations in order to satisfy the their behalf, may use this optional approved collection; Title of

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Information Collection: Disclosure of Governments; Number of Respondents: requires states, territories, and tribes to State Rating Requirements; Use: The 3; Total Annual Responses: 3; Total submit a one-time report summarizing final rule ‘‘Patient Protection and Annual Hours: 17. (For policy questions their plans for using supplemental Child Affordable Care Act; Health Insurance regarding this collection contact Russell Care and Development Fund (CCDF) Market Rules; Rate Review’’ implements Tipps at 301–869–3502.) appropriations provided by the sections 2701, 2702, and 2703 of the Dated: February 9, 2021. Coronavirus Response and Relief Public Health Service Act (PHS Act), as William N. Parham, III, Supplemental Appropriations Act added and amended by the Affordable (CRRSA). Emergency approval is Care Act, and sections 1302(e) and Director, Paperwork Reduction Staff, Office of Strategic Operations and Regulatory requested in order to meet the new 1312(c) of the Affordable Care Act. The Affairs. statutory deadline required by CRRSA. rule directs that states submit to CMS ADDRESSES: Copies of the collection of certain information about state rating [FR Doc. 2021–02941 Filed 2–11–21; 8:45 am] BILLING CODE 4120–01–P information can be obtained from, and and risk pooling requirements for their written comments and individual, small group, and large group recommendations related to this markets, as applicable. Specifically, DEPARTMENT OF HEALTH AND information collection may be states will inform CMS of age rating HUMAN SERVICES submitted to, infocollection@ ratios that are narrower than 3:1 for acf.hhs.gov. All correspondence should adults; tobacco use rating ratios that are Administration for Children and identify the title of the information narrower than 1.5:1; a state-established Families collection. uniform age curve; geographic rating areas; whether premiums in the small Expedited OMB Review and Public SUPPLEMENTARY INFORMATION: and large group market are required to Comment: Planned Use of Child Care Description: ACF is requesting that be based on average enrollee amounts and Development Fund Coronavirus OMB grant a 60-day approval for this (also known as composite premiums); Response and Relief Supplemental request under procedures for expedited and, in states that do not permit any Appropriations Act, 2021 Funds Report processing. The information collection rating variation based on age or tobacco is to meet the requirement in CRRSA for use, uniform family tier structures and AGENCY: Office of Child Care, states, territories, and tribes to report to corresponding multipliers. In addition, Administration for Children and the Secretary of the Department of states that elect to merge their Families, Department of Health and Health and Human Services how they individual and small group market risk Human Services. plan to spend supplemental CCDF pools into a combined pool will notify ACTION: Request for public comment. appropriations to prevent, prepare for, CMS of such election. This information and respond to the Coronavirus. States, will allow CMS to determine whether SUMMARY: The Office of Child Care territories, and tribes receiving these state-specific rules apply or Federal (OCC), Administration for Children and funds will submit a letter to the Director default rules apply. It will also support Families (ACF), U.S. Department of of OCC describing how they plan to the accuracy of the federal risk Health and Human Services (HHS), is spend funds based on the adjustment methodology. Form Number: requesting expedited review of an recommendations included in CRRSA. CMS–10454 (OMB control number: information collection request from the This is a one-time report. 0938–1258); Frequency: Occasionally; Office of Management and Budget Respondents: All state, territory, and Affected Public: State, Local, or Tribal (OMB). This information collection tribal CCDF lead agencies.

ANNUAL BURDEN ESTIMATES

Total Total number of Average Annual Instrument number of responses per burden hours burden hours respondents respondent per response

Planned Use of CCDF CRRSA Funds Report ...... 321 1 2 642

Estimated Total Annual Burden technology. Consideration will be given DEPARTMENT OF HEALTH AND Hours: 642. to comments and suggestions submitted HUMAN SERVICES Comments: The Department within 60 days of this publication. Center for Indigenous Innovation and specifically requests comments on (a) Authority: Division M, Title III, Pub. L. Health Equity Supporting Native whether the proposed collection of 116–260. Hawaiian and Pacific Islander and information is necessary for the proper American Indian/Alaska Native performance of the functions of the Mary B. Jones, Populations agency, including whether the ACF/OPRE Certifying Officer. information shall have practical utility; [FR Doc. 2021–02871 Filed 2–9–21; 11:15 am] AGENCY: Office of Minority Health, U.S. (b) the accuracy of the agency’s estimate BILLING CODE 4184–43–P Department of Health and Human of the burden of the proposed collection Services (HHS). of information; (c) the quality, utility, ACTION: Request for information. and clarity of the information to be collected; and (d) ways to minimize the SUMMARY: The U.S. Department of burden of the collection of information Health and Human Services (HHS) on respondents, including through the Office of Minority Health (OMH) seeks use of automated collection techniques input from Native Hawaiian and Pacific or other forms of information Islander (NHPI) communities and NHPI

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serving organizations to guide the SUPPLEMENTARY INFORMATION: draws on deeply-rooted indigenous development of a new Center for values and practices. I. Background Information Indigenous Innovation and Health The Center should serve as a Equity (Center). This is NOT a The Office of Minority Health coordinating entity that will partner solicitation for proposals or proposal with accredited academic institutions Authorized under Section 1707 of the abstracts. with a focus on Indigenous health Public Health Service Act, 42 U.S.C. research, policy and innovation among Please Note: This request for information 300u–6, as amended, the mission of the AI/AN and NHPI populations. The (RFI) is for planning purposes only. It is not OMH is to improve the health of racial Center will serve to build capacity and a notice for a proposal and does not commit and ethnic minority populations the federal Government to issue a to support efforts including research, through the development of health solicitation, make an award, or pay any costs education, service, and policy policies and programs that help associated with responding to this development related to advancing eliminate health disparities. OMH announcement. All submitted information Indigenous solutions. Work in these shall remain with the federal government and awards and other activities are intended areas will increase the capacity to will not be returned. All responses will to support the identification of effective identify and address health disparities become part of the public record and will not policies, programs and practices for in AI/AN and NHPI communities. The be held confidential. The Federal improving health outcomes and to Center is highly encouraged to engage Government reserves the right to use promote sustainability and information provided by respondents for Indigenous leaders and community dissemination of these approaches. purposes deemed necessary and legally partners to address AI/AN and NHPI appropriate. Respondents are advised that Under the authority of Public Law health disparities focus areas that align the Federal Government is under no 116–260 (2021 Consolidated with their goals and priorities. The obligation to acknowledge receipt of the Appropriations Act), Congress called for Center is expected to use a dual track information received or provide feedback to the creation of a Center for Indigenous respondents with respect to any information approach to address each populations’ Innovation and Health Equity to support needs and tailor indigenous knowledge submitted. Responses will not be accepted efforts including research, education, after the due date. After a review of the and practice specific to the AI/AN and responses received, a notice of funding service, and policy development related NPHI populations. Each track will be opportunity or pre-solicitation synopsis and to advancing Indigenous solutions to parallel and complementary, both solicitation may be published. decrease health disparities in AI/AN rooted in indigenous values and A separate RFI exists to solicit feedback and NHPI populations. practices appropriate to each from American Indian/Alaska Native (AI/AN) population. tribes and tribal organizations. Background The Center’s objectives may include: NHPIs experience persistent health DATES: To be assured consideration, • Create an indigenous public health disparities, including higher rates of written comments must be submitted agenda focused on research needs, diabetes, high blood pressure, and and received at the address provided education, services, and health policies obesity compared to the white below, no later than 11:59 p.m. on to address AI/AN and NHPI health population.1 Identification and March 14, 2021. disparities. awareness of health outcomes and ADDRESSES: OMH, invites the • Serve as a resource to support the health determinants are essential steps submission of the requested information development, implementation, towards reducing health disparities in through one of the following methods: evaluation, dissemination, and minority communities at greatest risk.23 • Preferred method: Submit translation of evidenced-based public Research has shown that community- information through the Federal health interventions in AI/AN and NHPI driven interventions have a positive eRulemaking Portal at http:// communities. impact on health outcomes.4 www.regulations.gov. Follow the online • Partner with academic institutions instructions for submissions. Program Information and Indigenous leaders and community • Email: Send comments to partners in health disparities focus The purpose of this initiative is to [email protected] with the areas. subject line ‘‘OMH: NHPI RFI: Center for create a Center for Indigenous • Innovation and Health Equity (Center) Train AI/AN and NHPI public Indigenous Innovation and Health health, medical practitioners, students Equity.’’ to provide services for American Indian and Alaska Native and Native Hawaiian and multi-sector partners. Submissions received after the deadline and Pacific Islander populations that The Center’s outcomes may include: will not be reviewed. Respond concisely • Expand community capacity and and in plain language. You may use any 1 knowledge to develop evidence based structure or layout that presents your Wu, Samuel, and Alexis Bakos. ‘‘The Native Hawaiian and Pacific Islander National Health program solutions, best practices and information well. You may respond to Interview Survey: Data Collection in Small policies that address health disparities some or all of our questions, and you Populations.’’ Public Health Reports, vol. 132, No. in AI/AN and NHPI population. can suggest other factors or relevant 6, Nov. 2017, pp. 606–608, doi:10.1177/ • Increase utilizations of effective questions. You may also include links to 0033354917729181. 2 Centers for Disease Control and Prevention. CDC strategies and tools to improve and online material or interactive Health Disparities and Inequalities Report—United reduce AI/AN and NHPI health presentations. Clearly mark any States, 2013. MMWR 2013;62 (Suppl 3). Retrieved disparities. proprietary information and place it in December 7, 2020 from https://www.cdc.gov/mmwr/ • Contribute to improved AI/AN and its own section or file. Your response pdf/other/su6203.pdf. 3 NHPI health, elimination of health will become government property, and https://health.gov/healthypeople/objectives- and-data/social-determinants-health. disparities, and achievement of health we may publish some of its non- 4 O’Mara-Eves A., Brunton G., Oliver S., equity. proprietary content. Kavanagh J., Jamal F., Thomas J. The effectiveness II. Request for Information FOR FURTHER INFORMATION CONTACT: Paul of community engagement in public health interventions for disadvantaged groups: A meta- Rodriguez, 1101 Wootton Parkway, analysis. BMC Public Health. 2015;15: 129. Through this RFI, OMH is seeking Suite 100, Rockville, MD 20852, (240) Published 2015 Feb 12. doi:10.1186/s12889–015– information from Native Hawaiian and 453–8208, [email protected]. 1352–y. Pacific Islander communities and Native

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Hawaiian and Pacific Islander-serving https://minorityhealth.hhs.gov/ when Dated: February 9, 2021. organizations. this information becomes available. Samuel Wu, A separate RFI exists to solicit Designated Federal Officer, COVID–19 Health FOR FURTHER INFORMATION CONTACT: feedback from Federally-recognized Equity Task Force. Indian Tribes/American Indian and Samuel Wu, Designated Federal Officer for the Task Force; Office of Minority [FR Doc. 2021–02892 Filed 2–11–21; 8:45 am] Alaska Native (AI/AN) Tribes, Tribal BILLING CODE 4150–29–P organizations, Tribal-serving Health, Department of Health and organizations, Tribal Colleges and Human Services, Tower Building, 1101 Universities, and AI/AN-serving Wootton Parkway, Suite 100, Rockville, DEPARTMENT OF HEALTH AND institutions of higher education. Maryland 20852. Phone: 240–453–6173; HUMAN SERVICES email: [email protected]. III. Questions SUPPLEMENTARY INFORMATION: Center for Indigenous Innovation and • How might the proposed Center Health Equity Supporting Native objectives and outcomes listed above Background: COVID–19 Health Equity Hawaiian and Pacific Islander and meet the needs of NHPI populations? Task Force (Task Force) was established American Indian/Alaska Native • What is the recommended by the Executive Order 13995, dated Populations composition and governance January 21, 2021. The Task Force is infrastructure for the Center? tasked with developing a set of AGENCY: Office of Minority Health, U.S. • Are there specific focus areas and recommendations to the President, Department of Health and Human activities this center should address? through the Coordinator of the COVID– Services (HHS). ACTION: Request for information. Dated: February 9, 2021. 19 Response and Counselor to the President (COVID–19 Response Paul Rodriguez, SUMMARY: The U.S. Department of Coordinator) for mitigating the health Senior Advisor for Operations, Office of Health and Human Services (HHS) inequities caused or exacerbated by the Minority Health. Office of Minority Health (OMH) seeks COVID–19 pandemic and for preventing [FR Doc. 2021–02947 Filed 2–11–21; 8:45 am] input from Federally-recognized Indian such inequities in the future. The Task Tribes/American Indian and Alaska BILLING CODE 4150–29–P Force shall submit a final report to the Native (AI/AN) Tribes, Tribal COVID–19 Response Coordinator organizations, Tribal-serving DEPARTMENT OF HEALTH AND addressing any ongoing health organizations, Tribal Colleges and HUMAN SERVICES inequities faced by COVID–19 survivors Universities, and AI/AN—serving that may merit a public health response, institutions of higher education to guide Meeting of the COVID–19 Health Equity describing the factors that contributed to the development of a new Center for Task Force disparities in COVID–19 outcomes, and Indigenous Innovation and Health recommending actions to combat such AGENCY: Office of the Assistant Equity (Center). This is NOT a disparities in future pandemic solicitation for proposals or proposal Secretary for Health, Office of the responses. Secretary, Department of Health and abstracts. Human Services. The meeting is open to the public. Please Note: This request is for information Please register for the meeting by ACTION: Notice of meeting. (RFI) is for planning purposes only. It is not sending a request to COVID19HETF@ a notice for a proposal and does not commit SUMMARY: As required by the Federal hhs.gov by 5:00 p.m. ET on February 24, the federal government to issue a solicitation, Advisory Committee Act, the U.S. 2021. After registering, you will receive make an award, or pay any costs associated Department of Health and Human an email confirmation with a link to with responding to this announcement. All Services (HHS) is hereby giving notice access the webcast. Members of the submitted information shall remain with the federal government and will not be returned. that the COVID–19 Health Equity Task public will have the opportunity to All responses will become part of the public Force (Task Force) will hold a virtual provide comments during the meeting. record and will not be held confidential. The meeting on February 26, 2021. The Comments will be limited to no more Federal Government reserves the right to use purpose of this meeting is to introduce than three minutes per speaker. Any information provided by respondents for Task Force members and to outline the individual who wishes to participate in purpose deemed necessary and legally charges as directed by Executive Order the public comment session must appropriate. Respondents are advised that 13995, Ensuring an Equitable Pandemic register by sending a request to: the Federal Government is under no Response and Recovery. This meeting is [email protected] by close of obligation to acknowledge receipt of the information received or provide feedback to open to the public. Pre-registration is business on February 24, 2021. Please respondents with respect to any information encouraged for members of the public provide name, affiliation, phone submitted. Responses will not be accepted who wish to attend the meeting and number, and email address. Individuals after the due date. After a review of the who wish to participate in the public are encouraged to provide a written responses received, a notice of funding comment session. Information about the statement of any public comment(s) for opportunity or pre-solicitation synopsis and meeting will be posted on the HHS accurate minute-taking purposes. solicitation may be published. Office of Minority Health website: Comments should be pertinent to the A separate RFI exists to solicit feedback https://minorityhealth.hhs.gov/ prior to from Native Hawaiian and Pacific Island meeting discussion. Individuals who (NHPI) communities. the meeting. Pre-registration for the plan to attend and need special meeting must be completed by 5 p.m. assistance, such as sign language DATES: To be assured consideration, ET, Wednesday, February 24, 2021. interpretation or other reasonable written comments must be submitted DATES: The Task Force meeting will be accommodations, should contact: and received at the address provided held on Friday, February 26, 2021, from [email protected] and reference below, no later than 11:59 p.m. on 3 p.m. to 5 p.m. ET (times are tentative this meeting. Requests for special March 14, 2021. and subject to change). The confirmed accommodations should be made at ADDRESSES: OMH invites the time and agenda will be posted on the least ten (10) business days prior to the submission of the requested information HHS Office of Minority Health website: meeting. through one of the following methods:

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• Preferred method: Submit health, and the strongest predictors of evaluation, dissemination, and information through the Federal chronic disease, unintentional injury, translation of evidence-based public eRulemaking Portal at http:// and premature death are linked to the health interventions in AI/AN and NHPI www.regulations.gov. Follow the online social determinants of health in AI/AN communities. instructions for submissions. communities. • Partner with academic institutions • Email: Send comments to Identification and awareness of health and Indigenous leaders and community [email protected] with the outcomes and health determinants in partners in health disparities focus subject line ‘‘OMH AI/AN RFI: Center AI/AN populations are essential steps areas. for Indigenous Innovation and Health towards reducing health disparities.1 • Train AI/AN and NHPI public Equity.’’ Research has shown that community- health, medical practitioners, students Submissions received after the deadline driven interventions have a positive and multi-sector partners. will not be reviewed. Respond concisely impact on health outcomes.2 The Center’s outcomes may include: • Expand community capacity and and in plain language. You may use any Program Information structure or layout that presents your knowledge to develop evidence-based information well. You may respond to The purpose of this initiative is to program solutions, best practices and some or all of our questions, and you create a Center for Indigenous policies that address health disparities Innovation and Health Equity (Center) in AI/AN and NHPI populations. can suggest other factors or relevant • questions. You may also include links to to provide services for American Indian Increase utilizations of effective online material or interactive and Alaska Native and Native Hawaiian strategies and tools to improve and presentations. Clearly mark any and Pacific Islander populations that reduce AI/AN and NHPI health draws on deeply-rooted indigenous disparities. proprietary information and place it in • its own section or file. Your response values and practices. Contribute to improved AI/AN and will become government property, and The Center should serve as a NHPI health, elimination of health we may publish some of its non- coordinating entity that will partner disparities, and achievement of health proprietary content. with accredited academic institutions equity. with a focus on Indigenous health FOR FURTHER INFORMATION CONTACT: Paul II. Request for Information research, policy and innovation among Rodriguez, 1101 Wootton Parkway, AI/AN and NHPI populations. The Through this RFI, OMH is seeking Suite 100, Rockville, MD 20852, (240) Center will serve to build capacity and information from the following entities: 453–8208, [email protected]. to support efforts including research, Federally-recognized Indian Tribes/ SUPPLEMENTARY INFORMATION: education, service, and policy American Indian and Alaska Native (AI/ I. Background Information development related to advancing AN) Tribes, Tribal organizations, Tribal- Indigenous solutions. Work in these serving organizations, Tribal Colleges The Office of Minority Health areas will increase the capacity to and Universities, and AI/AN-serving Authorized under Section 1707 of the identify and address health disparities institutions of higher education. Public Health Service Act, 42 U.S.C. in AI/AN and NHPI communities. The A separate RFI exists to solicit 300u–6, as amended, the mission of Center is highly encouraged to engage feedback from Native Hawaiian and OMH is to improve the health of racial Indigenous leaders and community Pacific Islander (NHPI) communities. and ethnic minority populations partners to address AI/AN and NHPI III. Questions through the development of health health disparities focus areas that align • How might the proposed Center policies and programs that help with their goals and priorities. The objectives and outcomes listed above eliminate health disparities. OMH Center is expected to use a dual track meet the needs of AI/AN populations? awards and other activities are intended approach to address each populations’ • What is the recommended to support the identification of effective needs and tailor indigenous knowledge composition and governance policies, programs and practices for and practice specific to the AI/AN and infrastructure for the Center? improving health outcomes and to NPHI populations. Each track will be • Are there specific focus areas and promote sustainability and parallel and complementary, both activities this center should address? dissemination of these approaches. rooted in indigenous values and Dated: February 9, 2021. Under the authority of Public Law practices appropriate to each 116–260 (2021 Consolidated population. Paul Rodriguez, Appropriations Act), Congress called for The Center’s objectives may include: Senior Advisor for Operations, Office of the creation of a Center for Indigenous • Create an indigenous public health Minority Health. Innovation and Health Equity to support agenda focused on research needs, [FR Doc. 2021–02953 Filed 2–11–21; 8:45 am] efforts including research, education, education, services, and health policies BILLING CODE 4150–29–P service, and policy development related to address AI/AN and NHPI health to advancing Indigenous solutions to disparities. decrease health disparities in the AI/AN • Serve as a resource to support the DEPARTMENT OF HEALTH AND and NHPI populations. development, implementation, HUMAN SERVICES Background 1 Centers for Disease Control and Prevention. CDC National Institutes of Health Heath disparities in the AI/AN Health Disparities and Inequalities Report—United Center for Scientific Review; Notice of population in the United States include States, 2013. MMWR 2013;62 (Suppl 3). Retrieved December 7, 2020 from https://www.cdc.gov/mmwr/ Closed Meetings higher rates of chronic diseases, pdf/other/su6203.pdf. unintentional injuries and premature 2 O’Mara-Eves A., Brunton G., Oliver S., Pursuant to section 10(d) of the deaths. The average life expectancy for Kavanagh J., Jamal F., Thomas J. The effectiveness Federal Advisory Committee Act, as an AI/AN born today would be 4.4 of community engagement in public health amended, notice is hereby given of the interventions for disadvantaged groups: A meta- fewer years than for an individual of analysis. BMC Public Health. 2015;15:129. following meetings. any other race. Empirical evidence Published 2015 Feb 12. doi:10.1186/s12889–015– The meetings will be closed to the indicates that many factors influence 1352–y. public in accordance with the

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provisions set forth in sections Contact Person: Abu Saleh Mohammad Agenda: To review and evaluate grant 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Abdullah, Ph.D., Scientific Review Officer, applications. as amended. The grant applications and Center for Scientific Review, 6701 Rockledge Place: National Institutes of Health, the discussions could disclose Drive, Bethesda, MD 20892, (301) 827–4043, Rockledge II, 6701 Rockledge Drive, [email protected]. Bethesda, MD 20892 (Virtual Meeting). confidential trade secrets or commercial Name of Committee: Center for Scientific Contact Person: Richard G. Kostriken, property such as patentable material, Review Special Emphasis Panel; Immuno- Ph.D., Scientific Review Officer, Center for and personal information concerning Oncology Research. Scientific Review, National Institutes of individuals associated with the grant Date: March 11–12, 2021. Health, 6701 Rockledge Drive, Room 3192, applications, the disclosure of which Time: 9:00 a.m. to 6:00 p.m. MSC 7808, Bethesda, MD 20892, (240) 519– would constitute a clearly unwarranted Agenda: To review and evaluate grant 7808, [email protected]. invasion of personal privacy. applications. Name of Committee: Center for Scientific Place: National Institutes of Health, Review Special Emphasis Panel; Name of Committee: Center for Scientific Rockledge II, 6701 Rockledge Drive, Fellowships: Brain Disorders and Related Review Special Emphasis Panel; Small Bethesda, MD 20892 (Virtual Meeting). Neurosciences. Business: Clinical Neurophysiology, Devices, Contact Person: Mehrdad Mohseni, MD, Date: March 11–12, 2021. Neuroprosthetics, and Biosensors. Scientific Review Officer, Center for Time: 9:30 a.m. to 5:00 p.m. Date: March 11–12, 2021. Scientific Review, National Institutes of Agenda: To review and evaluate grant Time: 8:30 a.m. to 6:30 p.m. Health, 6701 Rockledge Drive, Room 5211, applications. Agenda: To review and evaluate grant MSC 7854, Bethesda, MD 20892, (301) 435– Place: National Institutes of Health, applications. 0484, [email protected]. Rockledge II, 6701 Rockledge Drive, Place: National Institutes of Health, Name of Committee: Center for Scientific Bethesda, MD 20892 (Virtual Meeting). Rockledge II, 6701 Rockledge Drive, Review Special Emphasis Panel; Small Contact Person: Vilen A. Movsesyan, Bethesda, MD 20892 (Virtual Meeting). Business: Computational, Modeling and Ph.D., Scientific Review Officer, Center for Contact Person: Cristina Backman, Ph.D., Biodata Management. Scientific Review, National Institutes of Scientific Review Officer, ETTN IRG, Center Date: March 11, 2021. Health, 6701 Rockledge Drive, Room 4040M, for Scientific Review, National Institutes of Time: 9:00 a.m. to 6:00 p.m. MSC 7806, Bethesda, MD 20892, (301) 402– Health, 6701 Rockledge Drive, Room 5211, Agenda: To review and evaluate grant 7278, [email protected]. MSC 7846, Bethesda, MD 20892, (301) 480– applications. Name of Committee: Center for Scientific 9069, [email protected]. Place: National Institutes of Health, 6701 Review Special Emphasis Panel; Digestive Name of Committee: Center for Scientific Rockledge Drive, Bethesda, MD 20892 and Nutrient Physiology and Diseases. Review Special Emphasis Panel; Small (Virtual Meeting). Date: March 11–12, 2021. Business: Aging and Development, Auditory, Contact Person: Allen Richon, Ph.D., Time: 9:30 a.m. to 6:30 p.m. Vision and Low Vision Technologies. Scientific Review Officer, Center for Agenda: To review and evaluate grant Date: March 11–12, 2021. Scientific Review, National Institutes of applications. Time: 8:30 a.m. to 6:00 p.m. Health, 6701 Rockledge Drive, Room 6184, Place: National Institutes of Health, Agenda: To review and evaluate grant MSC 7892, Bethesda, MD 20892, (301) 379– Rockledge II, 6701 Rockledge Drive, applications. 9351, [email protected]. Bethesda, MD 20892 (Virtual Meeting). Place: National Institutes of Health, Name of Committee: Center for Scientific Contact Person: Aster Juan, Scientific Rockledge II, 6701 Rockledge Drive, Review Special Emphasis Panel; Infectious Review Officer, Center for Scientific Review, Bethesda, MD 20892 (Virtual Meeting). Diseases Clinical Research and Field Studies. National Institutes of Health, 6701 Rockledge Contact Person: Barbara Susanne Mallon, Date: March 11–12, 2021. Drive, Bethesda, MD 20817, (301) 435–5000, Ph.D., Scientific Review Officer, Center for Time: 9:00 a.m. to 6:00 p.m. [email protected]. Scientific Review, National Institute of Agenda: To review and evaluate grant Name of Committee: Center for Scientific Health, 6701 Rockledge Drive, Bethesda, MD applications. Review Special Emphasis Panel; RFA–OD– 20892, (301) 435–1042, mallonb@ Place: National Institutes of Health, 20–005: Transformative Research Award for mail.nih.gov. Rockledge II, 6701 Rockledge Drive, the INCLUDE Project (R01). Name of Committee: Healthcare Delivery Bethesda, MD 20892 (Virtual Meeting). Date: March 11, 2021. and Methodologies Integrated Review Group; Contact Person: Tera Bounds, Ph.D., DVM, Time: 10:00 a.m. to 5:00 p.m. Population and Public Health Approaches to Scientific Review Officer, Center for Agenda: To review and evaluate grant HIV/AIDS Study Section. Scientific Review, National Institutes of applications. Date: March 11–12, 2021. Health, 6701 Rockledge Drive, Room 3198, Place: National Institutes of Health, Time: 9:00 a.m. to 6:00 p.m. MSC 7808, Bethesda, MD 20892, (301) 613– Rockledge II, 6701 Rockledge Drive, Agenda: To review and evaluate grant 2822, [email protected]. Bethesda, MD 20892 (Virtual Meeting). applications. Name of Committee: Center for Scientific Contact Person: Wenchi Liang, Ph.D., Place: National Institutes of Health, Review Special Emphasis Panel; Small Scientific Review Officer, Center for Rockledge II, 6701 Rockledge Drive, Business: Biomedical Sensing, Measurement Scientific Review, National Institutes of Bethesda, MD 20892 (Virtual Meeting). and Instrumentation. Health, 6701 Rockledge Drive, Room 3150, Contact Person: Jose H. Guerrier, Ph.D., Date: March 11–12, 2021. MSC 7770, Bethesda, MD 20892, (301) 435– Scientific Review Officer, Center for Time: 9:00 a.m. to 6:30 p.m. 0681, [email protected]. Scientific Review, National Institutes of Agenda: To review and evaluate grant Name of Committee: Center for Scientific Health, 6701 Rockledge Drive, Room 5222, applications. Review Special Emphasis Panel; MSC 7852, Bethesda, MD 20892, (301) 435– Place: National Institutes of Health, Interdisciplinary Clinical Care in Specialty 1137, [email protected]. Rockledge II, 6701 Rockledge Drive, Care Settings. Name of Committee: Healthcare Delivery Bethesda, MD 20892 (Virtual Meeting). Date: March 12, 2021. and Methodologies Integrated Review Group; Contact Person: Yordan V. Kostov, Ph.D., Time: 9:00 a.m. to 6:00 p.m. Interdisciplinary Clinical Care in Specialty Scientific Review Officer, Center for Agenda: To review and evaluate grant Care Settings Study Section. Scientific Review, National Institutes of applications. Date: March 11–12, 2021. Health, 6701 Rockledge Drive, Bethesda, MD Place: National Institutes of Health, Time: 9:00 a.m. to 6:00 p.m. 20817, (301) 867–5309, [email protected]. Rockledge II, 6701 Rockledge Drive, Agenda: To review and evaluate grant Name of Committee: Center for Scientific Bethesda, MD 20892 (Virtual Meeting). applications. Review Special Emphasis Panel; Topics in Contact Person: Chittari V. Shivakumar, Place: National Institutes of Health, Bacterial Pathogenesis. Ph.D., Scientific Review Officer, National Rockledge II, 6701 Rockledge Drive, Date: March 11, 2021. Institutes of Health, Center for Scientific Bethesda, MD 20892 (Virtual Meeting). Time: 9:30 a.m. to 6:00 p.m. Review, 6701 Rockledge Drive, Bethesda, MD

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20892, (301) 408–9098, chittari.shivakumar@ Contact Person: Louis A. Rosenthal, Ph.D., Minority Access to Research Careers; 93.96, nih.gov. Scientific Review Officer, Scientific Review Special Minority Initiatives; 93.859, Name of Committee: Center for Scientific Program, Division of Extramural Activities, Biomedical Research and Research Training, Review Special Emphasis Panel; PAR Panel: National Institute of Allergy and Infectious National Institutes of Health, HHS) High Throughput Screening. Diseases, National Institutes of Health 5601 Date: March 12, 2021. Fishers Lane, Room 3G50 Rockville, MD Dated: February 8, 2021. Time: 9:00 a.m. to 6:00 p.m. 20852, (240) 669–5070, rosenthalla@ Miguelina Perez, niaid.nih.gov. Agenda: To review and evaluate grant Program Analyst, Office of Federal Advisory applications. (Catalogue of Federal Domestic Assistance Committee Policy. Place: National Institutes of Health, Program Nos. 93.855, Allergy, Immunology, [FR Doc. 2021–02844 Filed 2–11–21; 8:45 am] Rockledge II, 6701 Rockledge Drive, and Transplantation Research; 93.856, Bethesda, MD 20892 (Virtual Meeting). Microbiology and Infectious Diseases BILLING CODE 4140–01–P Contact Person: David Filpula, Ph.D., Research, National Institutes of Health, HHS) Scientific Review Officer, Center for Dated: February 8, 2021. Scientific Review, National Institutes of DEPARTMENT OF HEALTH AND Tyeshia M. Roberson, Health, 6701 Rockledge Drive, Room 6181, HUMAN SERVICES MSC 7892, Bethesda, MD 20892, (301) 435– Program Analyst, Office of Federal Advisory 2902, [email protected]. Committee Policy. National Institutes of Health (Catalogue of Federal Domestic Assistance [FR Doc. 2021–02916 Filed 2–11–21; 8:45 am] Program Nos. 93.306, Comparative Medicine; BILLING CODE 4140–01–P National Institute on Aging; Notice of 93.333, Clinical Research, 93.306, 93.333, Closed Meeting 93.337, 93.393–93.396, 93.837–93.844, 93.846–93.878, 93.892, 93.893, National DEPARTMENT OF HEALTH AND Pursuant to section 10(d) of the Institutes of Health, HHS) HUMAN SERVICES Federal Advisory Committee Act, as Dated: February 8, 2021. National Institutes of Health amended, notice is hereby given of the Tyeshia M. Roberson, following meeting. Program Analyst, Office of Federal Advisory National Institute of General Medical The meeting will be closed to the Committee Policy. Sciences; Notice of Closed Meeting public in accordance with the [FR Doc. 2021–02915 Filed 2–11–21; 8:45 am] provisions set forth in sections BILLING CODE 4140–01–P Pursuant to section 10(d) of the Federal Advisory Committee Act, as 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., amended, notice is hereby given of the as amended. The grant applications and DEPARTMENT OF HEALTH AND following meeting. the discussions could disclose HUMAN SERVICES The meeting will be closed to the confidential trade secrets or commercial public in accordance with the property such as patentable material, National Institutes of Health provisions set forth in sections and personal information concerning 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., individuals associated with the grant National Institute of Allergy and as amended. The grant applications and applications, the disclosure of which Infectious Diseases; Notice of Closed the discussions could disclose would constitute a clearly unwarranted Meeting confidential trade secrets or commercial invasion of personal privacy. property such as patentable material, Pursuant to section 10(d) of the and personal information concerning Name of Committee: National Institute on Federal Advisory Committee Act, as individuals associated with the grant Aging Special Emphasis Panel; AD Model. amended, notice is hereby given of the applications, the disclosure of which Date: March 9, 2021. Time: 10:00 a.m. to 6:00 p.m. following meeting. would constitute a clearly unwarranted Agenda: To review and evaluate grant The meeting will be closed to the invasion of personal privacy. public in accordance with the applications. Name of Committee: National Institute of Place: National Institute on Aging, provisions set forth in sections General Medical Sciences Special Emphasis 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Gateway Building, 7201 Wisconsin Avenue, Panel; Review of Innovative Programs to Bethesda, MD 20892 (Telephone Conference as amended. The contract proposals and Enhance Research Training (IPERT) Call). the discussions could disclose Applications. Contact Person: Nijaguna Prasad, Ph.D., confidential trade secrets or commercial Date: March 19, 2021. Scientific Review Officer, Scientific Review property such as patentable material, Time: 9:30 a.m. to 6:00 p.m. Agenda: To review and evaluate grant Branch, National Institute on Aging, National and personal information concerning Institutes of Health, 7201 Wisconsin Avenue, individuals associated with the contract applications. Place: National Institutes of Health, Gateway Building, Suite 2W200, Bethesda, proposals, the disclosure of which Natcher Building, 45 Center Drive, Bethesda, MD 20892, 301–496–9667, nijaguna.prasad@ would constitute a clearly unwarranted MD 20892 (Video Meeting). nih.gov. invasion of personal privacy. Contact Person: Rebecca H. Johnson, Ph.D., (Catalogue of Federal Domestic Assistance Scientific Review Officer, Office of Scientific Name of Committee: National Institute of Program Nos. 93.866, Aging Research, Review, National Institute of General Medical Allergy and Infectious Diseases Special National Institutes of Health, HHS) Emphasis Panel; Allergy and Asthma Sciences, National Institutes of Health, Statistical & Clinical Coordinating Center Natcher Building, Room 3AN18C, 45 Center Dated: February 8, 2021. (AA–SCCC). Drive, Bethesda, MD 20892, 301–594–2771, Miguelina Perez, Date: March 10, 2021. [email protected]. Program Analyst, Office of Federal Advisory Time: 10:00 a.m. to 5:00 p.m. (Catalogue of Federal Domestic Assistance Committee Policy. Agenda: To review and evaluate contract Program Nos. 93.375, Minority Biomedical proposals. Research Support; 93.821, Cell Biology and [FR Doc. 2021–02843 Filed 2–11–21; 8:45 am] Place: National Institute of Allergy and Biophysics Research; 93.859, Pharmacology, BILLING CODE 4140–01–P Infectious Diseases, National Institutes of Physiology, and Biological Chemistry Health, 5601 Fishers Lane, Room 3G50, Research; 93.862, Genetics and Rockville, MD 20892 (Virtual Meeting). Developmental Biology Research; 93.88,

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DEPARTMENT OF HEALTH AND amended, notice is hereby given of the The meeting will be closed to the HUMAN SERVICES following meeting. public in accordance with the The meeting will be closed to the provisions set forth in sections National Institutes of Health public in accordance with the 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., provisions set forth in sections as amended. The grant applications and National Institute of Diabetes and 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., the discussions could disclose Digestive and Kidney Diseases; Notice as amended. The grant applications and confidential trade secrets or commercial of Closed Meeting the discussions could disclose property such as patentable material, Pursuant to section 10(d) of the confidential trade secrets or commercial and personal information concerning Federal Advisory Committee Act, as property such as patentable material, individuals associated with the grant amended, notice is hereby given of the and personal information concerning applications, the disclosure of which following meeting. individuals associated with the grant would constitute a clearly unwarranted invasion of personal privacy. The meeting will be closed to the applications, the disclosure of which public in accordance with the would constitute a clearly unwarranted Name of Committee: National Advisory provisions set forth in sections invasion of personal privacy. Council for Human Genome Research. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Name of Committee: National Institute of Date: February 22–23, 2021. as amended. The grant applications and Diabetes and Digestive and Kidney Diseases Closed: February 22, 2021, 10:00 a.m. to 11:00 a.m. the discussions could disclose Special Emphasis Panel; RFA DK20–024: NIDDK Catalyst Award (DP–1). Agenda: To review and evaluate grant confidential trade secrets or commercial applications. property such as patentable material, Date: May 18, 2021. Time: 9:00 a.m. to 6:00 p.m. Place: National Human Genome Research and personal information concerning Agenda: To review and evaluate grant Institute, National Institutes of Health, 6700– individuals associated with the grant applications and/or proposals. B Rockledge Drive, Suite 1100, Bethesda, MD applications, the disclosure of which Place: National Institutes of Health, Two 20892 (Virtual Meeting). would constitute a clearly unwarranted Democracy Plaza, 6707 Democracy Open: February 22, 2021, 11:30 a.m. to 6:00 invasion of personal privacy. Boulevard, Bethesda, MD 20892 (Virtual p.m. Meeting). Agenda: Report from Institute Director and Name of Committee: National Institute of Contact Person: Najma Begum, Ph.D., Reports from Program Staff. Diabetes and Digestive and Kidney Diseases Scientific Review Officer, Review Branch, Place: National Human Genome Research Special Emphasis Panel; KUH RC2 DEA, NIDDK, National Institutes of Health, Institute, National Institutes of Health, 6700– applications. 6707 Democracy Boulevard, Room 7349, B Rockledge Drive, Suite 1100, Bethesda, MD Date: March 31, 2021. Bethesda, MD 20892–5452, (301) 594–8894, 20892 (Virtual Meeting). Time: 2:00 p.m. to 3:00 p.m. [email protected]. Agenda: To review and evaluate grant Closed: February 23, 2021, 11:00 a.m. to applications. (Catalogue of Federal Domestic Assistance 6:00 p.m. Place: National Institutes of Health, Two Program Nos. 93.847, Diabetes, Agenda: To review and evaluate grant Democracy Plaza, 6707 Democracy Endocrinology and Metabolic Research; applications. Boulevard, Bethesda, MD 20892 (Virtual 93.848, Digestive Diseases and Nutrition Place: National Human Genome Research Meeting). Research; 93.849, Kidney Diseases, Urology Institute, National Institutes of Health, 6700– Contact Person: Ryan G. Morris, Ph.D., and Hematology Research, National Institutes B Rockledge Drive, Bethesda, MD 20892 Scientific Review Officer, Review Branch, of Health, HHS) (Virtual Meeting). Contact Person: Rudy O. Pozzatti, Ph.D., Division of Extramural Activities, NIDDK, Dated: February 8, 2021. Scientific Review Officer, Scientific Review National Institutes of Health, 6707 Miguelina Perez, Democracy Boulevard, Room 7015, Bethesda, Branch, National Human Genome Research MD 20892–2542, 301–594–4721, Program Analyst, Office of Federal Advisory Institute, 5635 Fishers Lane, Suite 4076, MSC [email protected]. Committee Policy. 9306, Rockville, MD 20852, (301) 402–0838, (Catalogue of Federal Domestic Assistance [FR Doc. 2021–02842 Filed 2–11–21; 8:45 am] [email protected]. Program Nos. 93.847, Diabetes, BILLING CODE 4140–01–P This notice is being published less than 15 Endocrinology and Metabolic Research; days prior to the meeting due to the timing 93.848, Digestive Diseases and Nutrition limitations imposed by the review and Research; 93.849, Kidney Diseases, Urology DEPARTMENT OF HEALTH AND funding cycle. and Hematology Research, National Institutes HUMAN SERVICES Any interested person may file written of Health, HHS) comments with the committee by forwarding Dated: February 8, 2021. National Institutes of Health the statement to the Contact Person listed on this notice. The statement should include the Miguelina Perez, National Human Genome Research name, address, telephone number and when Program Analyst, Office of Federal Advisory Institute; Notice of Meeting applicable, the business or professional Committee Policy. affiliation of the interested person. [FR Doc. 2021–02841 Filed 2–11–21; 8:45 am] Pursuant to section 10(d) of the Information is also available on the BILLING CODE 4140–01–P Federal Advisory Committee Act, as Institute’s/Center’s home page: http:// amended, notice is hereby given of a www.genome.gov/council, where an agenda meeting of the following meeting. and any additional information for the meeting will be posted when available. DEPARTMENT OF HEALTH AND The meeting will be open to the HUMAN SERVICES public as indicated below, the 92nd (Catalogue of Federal Domestic Assistance Program Nos. 93.172, Human Genome meeting of the National Advisory National Institutes of Health Research, National Institutes of Health, HHS) Council for Human Genome Research Dated: February 8, 2021. National Institute of Diabetes and open session will be livestreamed and David W. Freeman, Digestive and Kidney Diseases; Notice available for viewing to the public on of Closed Meeting Genome.gov and across NHGRI social Program Analyst, Office of Federal Advisory media platforms. The open session will Committee Policy. Pursuant to section 10(d) of the be on February 22nd and the start time [FR Doc. 2021–02917 Filed 2–11–21; 8:45 am] Federal Advisory Committee Act, as will be 11:30 a.m. BILLING CODE 4140–01–P

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DEPARTMENT OF HOMELAND • Federal eRulemaking Portal: http:// flood mapping and flood risk SECURITY www.regulations.gov. Follow the determination, and (b) a funding instructions for submitting comments. strategy to leverage and coordinate Federal Emergency Management • Email: Address the email to FEMA- budgets and expenditures across Federal Agency [email protected]. Include the agencies. Furthermore, the TMAC is [Docket ID FEMA–2014–0022] docket number in the subject line of the required to submit an annual report to message. Include name and contact the FEMA Administrator that contains: Technical Mapping Advisory Council; information in the body of the email. (1) A description of the activities of the Meeting Instructions: All submissions received Council; (2) an evaluation of the status must include the words ‘‘Federal and performance of flood insurance rate AGENCY: Federal Emergency Emergency Management Agency’’ and maps and mapping activities to revise Management Agency, Department of the docket number for this action. and update Flood Insurance Rate Maps; Homeland Security. Comments received will be posted and (3) a summary of recommendations ACTION: Committee management; notice without alteration at http:// made by the Council to the FEMA of Federal Advisory Committee meeting. www.regulations.gov, including any Administrator. SUMMARY: The Federal Emergency personal information provided. Agenda: The purpose of this meeting Management Agency (FEMA) Technical Docket: For docket access to read is for the TMAC members to hold a vote Mapping Advisory Council (TMAC) will background documents or comments to submit the final report to the FEMA hold a virtual meeting on Monday, received by the TMAC, go to http:// Administrator, introduce 2021 TMAC March 1, 2021, and Tuesday, March 2, www.regulations.gov and search for the tasking, and vote to appoint a new chair 2021. The meeting will be open to the Docket ID FEMA–2014–0022. for 2021. Any related materials will be public via a Zoom Video A public comment period will be held posted to the FEMA TMAC site prior to Communications link. on Monday, March 1, 2021 from 12 p.m. the meeting to provide the public an to 12:30 p.m. ET and Tuesday, March 2, opportunity to review the materials. The DATES: The TMAC will meet on 2021 from 12 p.m. to 12:30 p.m. ET. The Monday, March 1, 2021, and Tuesday, full agenda and related meeting public comment period will not exceed March 2, 2021 from 10 a.m. to 4 p.m. materials will be posted for review by 30 minutes. Please note that the public Eastern Time (ET). Please note that the Friday, February 26, 2021 at https:// meeting will close early if the TMAC comment period may end before the www.fema.gov/flood-maps/guidance- has completed its business. time indicated, following the last call partners/technical-mapping-advisory- for comments. Contact the individual council. ADDRESSES: The meeting will be held listed below to register as a speaker by virtually using the following Zoom Michael M. Grimm, close of business on Friday, February Video Communications link (https:// 26, 2021. Assistant Administrator for Risk fema.zoomgov.com/j/16195624614) and Management, Federal Emergency password (875873) to share meeting FOR FURTHER INFORMATION CONTACT: Management Agency. visuals and audio. Audio is also Brian Koper, Designated Federal Officer [FR Doc. 2021–02870 Filed 2–11–21; 8:45 am] for the TMAC, FEMA, 400 C Street SW, accessible using a Zoom call in number BILLING CODE 9110–12–P (1–669–254–5252) along with the Washington, DC 20024, 202–646–3085, Meeting Identification (16195624614) [email protected]. The TMAC and password. Members of the public website is: https://www.fema.gov/flood- DEPARTMENT OF HOMELAND who wish to attend the virtual meeting maps/guidance-partners/technical- SECURITY must register in advance by sending an mapping-advisory-council. email to [email protected] SUPPLEMENTARY INFORMATION: Notice of Transportation Security Administration (Attention: Brian Koper) by 5 p.m. ET this meeting is given under the Federal on Friday, February 26, 2021. For Advisory Committee Act, 5 U.S.C. App. Intent To Request Approval From OMB information on services for individuals (Pub. L. 92–463). of One Current Public Collection of with disabilities or to request special In accordance with the Biggert-Waters Information: Screening Partnership assistance at the meeting, contact the Flood Insurance Reform Act of 2012, the Program person listed in the FOR FURTHER TMAC makes recommendations to the AGENCY: Transportation Security INFORMATION CONTACT caption below as FEMA Administrator on: (1) How to Administration, DHS. soon as possible. improve, in a cost-effective manner, the ACTION: 60-Day notice. To facilitate public participation, (a) accuracy, general quality, ease of use, members of the public are invited to and distribution and dissemination of SUMMARY: The Transportation Security provide written comments on the issues flood insurance rate maps and risk data; Administration (TSA) invites public to be considered by the TMAC, as listed and (b) performance metrics and comment on one currently approved in the SUPPLEMENTARY INFORMATION milestones required to effectively and Information Collection Request (ICR), caption below. Associated meeting efficiently map flood risk areas in the Office of Management and Budget materials will be available at the TMAC United States; (2) mapping standards (OMB) control number 1652–0064, website (https://www.fema.gov/flood- and guidelines for (a) flood insurance abstracted below that we will submit to maps/guidance-partners/technical- rate maps, and (b) data accuracy, data OMB for an extension in compliance mapping-advisory-council) for review quality, data currency, and data with the Paperwork Reduction Act by Friday, February 26, 2021. Written eligibility; (3) how to maintain, on an (PRA). The ICR describes the nature of comments to be considered by the ongoing basis, flood insurance rate maps the information collection and its committee at the time of the meeting and flood risk identification; (4) expected burden. The collection must be submitted and received by procedures for delegating mapping involves an application completed by Friday, February 26, 2021, identified by activities to State and local mapping airport operators desiring to opt-out of Docket ID FEMA–2014–0022, and partners; and (5)(a) methods for passenger and baggage security submitted by one of the following improving interagency and screening performed by federal methods: intergovernmental coordination on employees, preferring a qualified private

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screening company to perform security The application process is the initial DEPARTMENT OF HOUSING AND screening functions under a contract notification to TSA of an airport URBAN DEVELOPMENT entered into with TSA. operator’s desire to opt-out of the DATES: Send your comments by April security screening provided by TSA [Docket No. FR–7038–N–06] 13, 2021. Federal employees. The SPP application ADDRESSES: Comments may be emailed collects the following from each airport 60-Day Notice of Proposed Information to [email protected] or delivered to the operator seeking to participate in SPP: Collection: Performing Loan Servicing TSA PRA Officer, Information • Basic airport information: Airport for the Home Equity Conversion Technology (IT), TSA–11, name, FAA identifier, and airport Mortgage (HECM) OMB Control No. Transportation Security Administration, operating authority. 2502–0611 • 6595 Springfield Center Drive, Authorized Requestor information: AGENCY: Office of the Assistant Springfield, VA 20598–6011. Name, position, primary and alternate Secretary for Housing—Federal Housing FOR FURTHER INFORMATION CONTACT: phone number, mailing address, and Commissioner, HUD. Christina A. Walsh at the above address, email address. ACTION: Notice. or by telephone (571) 227–2062. • An indication of whether or not the SUPPLEMENTARY INFORMATION: airport authority desires to provide its SUMMARY: HUD is seeking approval from own private security screening services. the Office of Management and Budget Comments Invited • A recommendation on which (OMB) for the information collection In accordance with the Paperwork private screening company should described below. In accordance with the Reduction Act of 1995 (44 U.S.C. 3501 perform the screening function and the Paperwork Reduction Act, HUD is et seq.), an agency may not conduct or basis for the recommendation. requesting comment from all interested sponsor, and a person is not required to • Information on any major activities parties on the proposed collection of respond to, a collection of information scheduled to occur at the airport within information. The purpose of this notice unless it displays a valid OMB control the next 18 months that could impact is to allow for 60 days of public number. The ICR documentation will be the transition from Federal screening to comment. available at http://www.reginfo.gov private screening (for example, major DATES: Comments Due Date: April 13, upon its submission to OMB. Therefore, construction). 2021. in preparation for OMB review and • Optional information may be approval of the following information ADDRESSES: Interested persons are provided to support the consideration of collection, TSA is soliciting comments invited to submit comments regarding their application. to— this proposal. Comments should refer to (1) Evaluate whether the proposed TSA will acknowledge receipt of the the proposal by name and/or OMB information requirement is necessary for application, review for completeness, Control Number and should be sent to: the proper performance of the functions and provide an official response within Colette Pollard, Reports Management of the agency, including whether the 120 days from the date of Officer, QDAM, Department of Housing information will have practical utility; acknowledgement. The application and Urban Development, 451 7th Street (2) Evaluate the accuracy of the contains no personally identifiable SW, Room 4176, Washington, DC agency’s estimate of the burden; information, sensitive security 20410–5000; telephone 202–402–3400 (3) Enhance the quality, utility, and information, or classified information, (this is not a toll-free number) or email clarity of the information to be so no special handling or protection is at [email protected] for a copy of collected; and required. the proposed forms or other available (4) Minimize the burden of the TSA currently has a screening information. Persons with hearing or collection of information on those who presence at approximately 450 airports, speech impairments may access this are to respond, including using of which 22 airports are participating in number through TTY by calling the toll- appropriate automated, electronic, SPP. The annual burden for the free Federal Relay Service at (800) 877– mechanical, or other technological information collection related to SPP is 8339. collection techniques or other forms of estimated to be 30 minutes (0.5 hours). FOR FURTHER INFORMATION CONTACT: information technology. While TSA estimates that only two Colette Pollard, Reports Management airport operators will respond annually, Information Collection Requirement Officer, QDAM, Department of Housing it is presumed that ten or more airport and Urban Development, 451 7th Street OMB Control Number 1652–0064; operators could respond. The agency SW, Room 4176, Washington, DC Screening Partnership Program (SPP). estimates that each respondent airport 20410–5000; email Colette Pollard at TSA’s SPP (codified as amended at 49 operator will spend approximately one- [email protected] or telephone 1 U.S.C. 44920) enables commercial quarter (.25) hour to complete the 202–402–3400 (this is not a toll-free airport operators to apply for a qualified application for a total burden of one-half number). Persons with hearing or private screening company, under hour (0.50 hours). TSA does not require speech impairments may access this contract with TSA, to provide passenger the airport operators to maintain records number through TTY by calling the toll- and baggage security screening services, of the application submission. However, free Federal Relay Service at (800) 877– rather than Federal employees. An if the airport operator chooses to do so, 8339. authorized representative of the airport the burden associated with this action is Copies of available documents operator or airport owner submits a anticipated to be minimal. submitted to OMB may be obtained copy of the SPP application to the Dated: February 9, 2021. from Ms. Pollard. airport’s TSA Federal Security Director Christina A. Walsh, to begin the application process. SUPPLEMENTARY INFORMATION: This TSA Paperwork Reduction Act Officer, notice informs the public that HUD is Information Technology. 1 The Aviation and Transportation Security Act seeking approval from OMB for the (ATSA), Public Law 107–71, sec. 108 (115 Stat. 597, [FR Doc. 2021–02929 Filed 2–11–21; 8:45 am] information collection described in 611, Nov. 19, 2001). BILLING CODE 9110–05–P Section A.

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A. Overview of Information Collection who is the Federal Register Liaison for penalty of $14,819. The settlement did Title of Information Collection: HUD, for purposes of publication in the not constitute an admission of liability Performing Loan Servicing for the Home Federal Register. or fault. Cause: The Board took this action Equity Conversion Mortgage (HECM). Nacheshia Foxx, OMB Approval Number: 2502–0611. based on the following alleged Federal Register Liaison for Department of violations of HUD requirements: 1st Type of Request: Extension. Housing and Urban Development. Form Numbers: HUD–27011, HUD– Financial (a) failed to notify HUD of a [FR Doc. 2021–02852 Filed 2–11–21; 8:45 am] state sanction during fiscal year 2018; 50002, HUD–50012. BILLING CODE 4210–67–P Description of the need for the and (b) submitted a false certification to information and proposed use: This HUD concerning 1st Financial’s fiscal information request is a comprehensive year 2018. The settlement does not DEPARTMENT OF HOUSING AND constitute an admission of liability or collection of requirements for URBAN DEVELOPMENT mortgagees that service HECM fault. [Docket No. FR–6246–N–01] mortgages and the HECM borrowers, 2. A1 Mortgage Group LLC, Lees who are involved with servicing-related Mortgagee Review Board: Summit, MO [Docket No. 18–1908–MR] activities that includes collection and Administrative Actions Action: On June 26, 2019, the Board payment of mortgage insurance voted to withdraw the FHA approval of premiums, escrow account AGENCY: Office of the Assistant A1 Mortgage Group LLC (‘‘A1 administration, providing loan Secretary for Housing—Federal Housing Mortgage’’) for a period of one year. information and customer service. Commissioner, HUD. Cause: The Board took this action Respondents: Individuals or ACTION: Notice. based on the following alleged households and Servicers of HECM violations of HUD requirements: A1 SUMMARY: Mortgagees. In compliance with Section Mortgage (a) failed to maintain the Estimated Number of Respondents: 202(c)(5) of the National Housing Act, minimum required adjusted net worth 10. this notice advises of the cause and in fiscal year 2017; and (b) submitted a Estimated Number of Responses: description of administrative actions false certification to HUD concerning A1 21,345,312. taken by HUD’s Mortgagee Review Mortgage’s fiscal year 2017. Frequency of Response: On occasion. Board against HUD-approved Average Hours per Response: 0.07 (4 mortgagees. 3. Access Capital Funding, LLC, Chesterfield, MO [Docket No. 19–2050– minutes). FOR FURTHER INFORMATION CONTACT: Total Estimated Burdens: 1,451,562. Nancy A. Murray, Secretary to the MR] B. Solicitation of Public Comment Mortgagee Review Board, 451 Seventh Action: On December 17, 2019, the Street SW, Room B–133/3150, Board voted to enter into a settlement This notice is soliciting comments Washington, DC 20410–8000; telephone agreement with Access Capital Funding, from members of the public and affected (202) 402–2701 (this is not a toll-free LLC (‘‘Access Capital’’) that included a parties concerning the collection of number). Persons with hearing or civil money penalty of $5,000. The information described in Section A on speech impairments may access this settlement did not constitute an the following: number through TTY by calling the toll- admission of liability or fault. (1) Whether the proposed collection free Federal Information Service at (800) Cause: The Board took this action of information is necessary for the 877–8339. based on the following alleged violation proper performance of the functions of SUPPLEMENTARY INFORMATION: Section of HUD requirements: Access Capital the agency, including whether the failed to maintain the minimum information will have practical utility; 202(c)(5) of the National Housing Act (12 U.S.C. 1708(c)(5)) requires that HUD required adjusted net worth in fiscal (2) The accuracy of the agency’s year 2018. estimate of the burden of the proposed ‘‘publish a description of and the cause collection of information; (3) Ways to for administrative action against a HUD- 4. Acre Mortgage & Financial Inc., enhance the quality, utility, and clarity approved mortgagee’’ by HUD’s Marlton, NJ [Docket No. 19–1951–MR] Mortgagee Review Board (‘‘Board’’). In of the information to be collected; and Action: On December 17, 2019, the compliance with the requirements of (4) Ways to minimize the burden of the Board voted to enter into a settlement Section 202(c)(5), this notice advises of collection of information on those who agreement with Acre Mortgage & actions that have been taken by the are to respond; including through the Financial Inc. (‘‘Acre Mortgage’’) that Board in its meetings from the use of appropriate automated collection included a civil money penalty of beginning of the FY 20 fiscal year, techniques or other forms of information $32,123 and the indemnification of two October 1, 2019, through September 30, technology, e.g., permitting electronic FHA-insured loans that had not yet 2020 where settlement agreements have submission of responses. resulted in an insurance claim with one been reached or notices of HUD encourages interested parties to for a period of five years and the second administrative actions (withdrawals) submit comments in response to these for the life of the loan. The settlement have been issued. questions. does not constitute an admission of C. Authority I. Civil Money Penalties, Withdrawals liability or fault. of FHA Approval, Suspensions, Cause: The Board took this action Section 2 of the Paperwork Reduction Probations, and Reprimands based on the following alleged Act of 1995, 44 U.S.C. 3507. violations of HUD requirements: Acre Assistant Secretary for Housing— 1. 1st Financial Inc., Millersville, MD Mortgage (a) failed to ensure HUD’s new Federal Housing Commissioner, Janet [Docket No. 19–2038–MR] construction requirements were met; (b) M. Golrick, having reviewed and Action: On May 12, 2020, the Board failed to ensure that HUD’s self- approved this document, is delegating voted to enter into a settlement employment income requirements were the authority to electronically sign this agreement with 1st Financial Inc. (‘‘1st met; (c) failed to maintain the minimum document to submitter, Nacheshia Foxx, Financial’’) that included a civil money required adjusted net worth in fiscal

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year 2018; (d) failed to timely report the adequacy of funds used for the down of HUD requirements: Bay-Valley failure to maintain the required payment or closing costs for one FHA- Mortgage Group failed to timely notify minimum adjusted net worth in fiscal insured loan; (e) failed to properly HUD of a sanction in fiscal year 2019. year 2018; (e) failed to report an document acceptable credit history for 10. BNB Financial Inc., Glendale, CA operating loss exceeding 20% of its net one FHA-insured loan; and (f) failed to [Docket No. 20–2006–MR] worth in fiscal year 2018; and (f) failed ensure the property met HUD’s to file quarterly financial statements minimum property requirements for two Action: On September 1, 2020, the after an operating loss exceeding 20% of FHA-insured loans. Board voted to enter into a settlement its net worth in fiscal year 2018. agreement with BNB Financial (‘‘BNB 8. Banc of California, NA dba Banc Financial’’) that required BNB Financial 5. American Nationwide Mortgage Home Loans, Santa Ana, CA [Docket to pay a civil money penalty in the No. 18–1855–MR] Company, Inc., Tampa, FL [Docket No. amount of $5,000. The settlement does 20–2012–MR] Action: On July 16, 2020, the Board not constitute an admission of liability Action: On September 1, 2020, the voted to enter into a settlement or fault. Board voted to enter into a settlement agreement with Banc of California that Cause: The Board took this action agreement with American Nationwide included a civil money penalty of based on the following alleged violation Mortgage Company, Inc. (‘‘American $350,000, the refund to borrowers of of HUD requirements: BNB failed to Nationwide’’) that included a civil improperly assessed fees, the maintain the minimum required money penalty of $19,468. The submission of its Quality Control Plan adjusted net worth in fiscal year 2019. settlement does not constitute an for HUD’s review and approval, and the 11. CBC Mortgage Agency dba Chenoa, admission of liability or fault. indemnification of FHA-insured loans Cause: The Board took this action that had not yet resulted in an insurance South Jordan, UT [Docket No. 20–2043– based on the following alleged claim, ten for a term of five years and MR] violations of HUD requirements: fourteen for the life of the respective Action: On May 12, 2020, the Board American Nationwide (a) failed to notify loan. The settlement does not constitute voted to enter into a settlement HUD of sanctions in fiscal years 2016, an admission of liability or fault. agreement with CBC Mortgage Agency 2018, and 2019; and (b) submitted false Cause: The Board took this action (‘‘CBC Mortgage’’) that included a civil certifications to HUD concerning based on the following alleged money penalty of $12,000. The American Nationwide’s fiscal years violations of HUD requirements: Banc of settlement does not constitute an 2016 and 2018. California (a) maintained a Quality admission of liability or fault. Control Plan that failed to meet HUD’s Cause: The Board took this action 6. Aspire Lending, Dallas, TX [Docket requirements; (b) failed to properly based on the following alleged violation No. 19–2051–MR] document gift funds; (c) failed to of HUD requirements: CBC Mortgage Action: On May 12, 2020, the Board accurately calculate, analyze and falsely advertised its down payment voted to enter into a settlement document borrower income; (d) failed to assistance program as ‘‘HUD approved.’’ agreement with Aspire Lending properly document loan binders; (e) (‘‘Aspire’’) that included a civil money charged borrowers unallowable or 12. Centralbanc Mortgage Corporation, penalty of $5,000. The settlement does excessive fees; (f) endorsed loans late Bellevue, WA [Docket No. 20–2010–MR] not constitute an admission of liability without the required lender Action: On September 1, 2020, the or fault. certifications; (g) failed to reconcile Board voted to enter into a settlement Cause: The Board took this action discrepancies between loan files and agreement with Centralbanc Mortgage based on the following alleged violation data in FHA Connection; (h) maintained Corporation (‘‘Centralbanc’’) that of HUD requirements: Aspire failed to case binders with missing, unsigned, or included a civil money penalty of maintain the minimum required inaccurate Closing Disclosures, HUD–1 $14,189. The settlement does not adjusted net worth during fiscal year Settlement Statements, Settlement constitute an admission of liability or 2018. Certificates and Addenda to the HUD– fault. 1; (i) failed to obtain satisfactory Cause: The Board took this action 7. Atlantic Pacific Mortgage mortgage or rental verification; (j) failed based on the following alleged Corporation, Mount Laurel, NJ [Docket to document verification of borrowers violations of HUD requirements: No. 19–1950–MR] against CAIVRS, the Limited Denial of Centralbanc (a) failed to timely notify Action: On December 17, 2019, the Participation list and General Services HUD of a state sanction in its fiscal year Board voted to withdraw the FHA Administration list as required; (k) 2018; and (b) submitted a false approval of Atlantic Pacific Mortgage failed to obtain a current mortgage certification to HUD concerning Corporation (‘‘Atlantic Pacific’’) for a payoff statement; (l) failed to resolve Centralbanc’s fiscal year 2018. period of three years and to file a discrepancies in a borrower’s social complaint for $99,000 in civil money 13. Columbus Capital Lending, LLC, security number; and (m) failed to retain Miami, FL [Docket No. 19–2032–MR] penalties. required forms in the case binder. Cause: The Board took this action Action: On December 17, 2019, the based on the following alleged 9. Bay-Valley Mortgage Group, Garden Board voted to enter into a settlement violations of HUD requirements: Grove, CA [Docket No. 20–2004–MR] agreement with Columbus Capital Atlantic Pacific (a) failed to timely Action: On September 1, 2020, the Lending, LLC (‘‘Columbus Capital’’) that submit acceptable audited financial Board voted to enter into a settlement included a civil money penalty of statement(s) and supplementary reports agreement with Bay-Valley Mortgage $10,000. The settlement does not concerning fiscal year 2018; (b) failed to Group that included a civil money constitute an admission of liability or properly calculate the borrowers’ debts penalty of $9,819. The settlement does fault. for three FHA-insured loans; (c) failed to not constitute an admission of liability Cause: The Board took this action properly calculate the borrowers’ or fault. based on the following alleged income for three FHA-insured loans; (d) Cause: The Board took this action violations of HUD requirements: failed to properly document the source/ based on the following alleged violation Columbus Capital (a) failed to maintain

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the minimum required liquid assets in penalty of $9,819. The settlement does 21. Endeavor Capital, LLC, Chesterfield, fiscal year 2018; and (b) failed to timely not constitute an admission of liability MO [Docket No. 19–2008–MR] report the failure to maintain the or fault. Action: On May 12, 2020, the Board minimum required liquid assets in fiscal Cause: The Board took this action voted to enter into a settlement year 2018. based on the following alleged agreement with Endeavor Capital, LLC 14. CommonFund Mortgage violations of HUD requirements: (‘‘Endeavor’’) that included a civil Corporation, Syracuse, NY [Docket No. Credence Funding Corp (a) failed to money penalty payment of $5,000. The 19–2026–MR] maintain the minimum required settlement does not constitute an adjusted net worth in fiscal year 2018; admission of liability or fault. Action: On May 12, 2020, the Board and (b) failed to timely report the failure Cause: The Board took this action voted to enter into a settlement to maintain the required minimum based on the following alleged violation agreement with CommonFund Mortgage adjusted net worth in fiscal year 2018. of HUD requirements: Endeavor failed Corporation (‘‘CommonFund’’) of to report an operating loss exceeding payment of civil money penalties of 18. DHA Financial LLC, Greenwood 20% of its net worth in fiscal year 2018. $14,819. The settlement does not Village, CO [Docket No. 19–1954–MR] constitute an admission of liability or 22. Evesham Mortgage LLC dba 3rd fault. Action: On December 17, 2019, the Generation Mortgages, Marlton, NJ Cause: The Board took this action Board voted to withdraw the FHA [Docket No. 19–1948–MR] based on the following alleged approval of DHA Financial LLC Action: On December 17, 2019, the violations of HUD requirements: (‘‘DHA’’) for a period of one year. Board voted to enter into a settlement CommonFund (a) failed to notify HUD Cause: The Board took this action agreement with Evesham Mortgage LLC of a sanction in fiscal year 2018; and (b) based on the following alleged dba 3rd Generation Mortgages submitted a false certification to HUD violations of HUD requirements: DHA (‘‘Evesham’’) that included a civil concerning CommonFund’s fiscal year (a) failed to maintain the minimum money penalty of $37,872 and the 2018. required adjusted net worth in fiscal indemnification of four FHA-insured 15. Cooperativa de Ahorro y Credito de year 2018; and (b) failed to maintain the loans that had not yet resulted in an insurance claim, three for a term of five Aguada, Aguada, PR [Docket No. 19– minimum required adjusted net worth years and the fourth for the life of the 2024–MR] in fiscal year 2019. loan. The settlement does not constitute Action: On December 17, 2019, the 19. Directors Mortgage, Inc., Lake an admission of liability or fault. Board voted to withdraw the FHA Oswego, OR [Docket No. 19–2043–MR] Cause: The Board took this action approval of Cooperativa de Ahorro y based on the following alleged Credito de Aguada for a period of one Action: On December 17, 2019, the violations of HUD requirements: year. Board voted to enter into a settlement Evesham (a) failed to properly Cause: The Board took this action agreement with Directors Mortgage, Inc. document the source and adequacy of based on the following alleged violation that included a civil money penalty of funds used to close an FHA insured of HUD requirements: Cooperativa de $5,000. The settlement does not loan; (b) failed to properly document a Ahorro y Credito de Aguada failed to constitute an admission of liability or borrower’s employment; (c) failed to maintain the minimum required fault. properly calculate the monthly adjusted net worth in fiscal year 2018. Cause: The Board took this action obligation of a borrower’s student loan based on the following alleged violation 16. Cooperativa de Ahorro y Cre´dito de debt; and (d) failed to document that a of HUD requirements: Directors Rinco´ n, Rinco´ n, PR [Docket No. 19– borrower met the net self-sufficiency Mortgage failed to timely notify HUD of 2023–MR] rental income test for a three-unit a sanction in fiscal year 2018. property. Action: On May 12, 2020, the Board voted to enter into a settlement 20. Dwight Capital LLC, New York, NY 23. EZ Fundings, Inc., Rancho agreement with Cooperativa de Ahorro [Docket No. 20–2077–MR] Cucamonga, CA [Docket No. 19–2052– y Credito de Rinco´n (‘‘Rinco´n’’) that MR] Action: On July 16, 2020, the Board included a civil money penalty of voted to impose a civil money penalty Action: On May 12, 2020, the Board $10,000. The settlement does not of $1,081,780 against Dwight Capital voted to enter into a settlement constitute an admission of liability or LLC (‘‘Dwight Capital’’), which was agreement with EZ Fundings, Inc. (‘‘EZ fault. included as part of a subsequent Fundings’’) that included a civil money Cause: The Board took this action settlement agreement along with a penalty of $5,000. The settlement does based on the following alleged requirement that Dwight Capital provide not constitute an admission of liability violations of HUD requirements: Rinco´n a plan to HUD to address staffing levels or fault. (a) failed to maintain the minimum Cause: The Board took this action in relation to its loan volume. The required adjusted net worth in fiscal based on the following alleged violation settlement does not constitute an year 2018; and (b) failed to timely report of HUD requirements: EZ Fundings admission of liability or fault. the failure to maintain the required failed to timely notify HUD of a state minimum adjusted net worth in fiscal Cause: The Board took this action sanction in fiscal year 2018. year 2018. based on the following alleged violations of HUD requirements: Dwight 24. Finance of America Reverse, LLC, 17. Credence Funding Corporation, Capital (a) promoted an individual to Tulsa, OK [Docket No. 20–0028–FC] Aberdeen, MD [Docket No. 18–1873– Chief Underwriter without HUD Action: On January 8, 2020, the Board MR] approval, in violation of the MAP voted to approve two settlement Action: On May 12, 2020, the Board Guide; and (b) had two individuals agreements with Finance of America voted to enter into a settlement concurrently designated as Chief Reverse, LLC (‘‘FAR’’) that included a agreement with Credence Funding Underwriter in violation of the MAP $500,000 payment to resolve allegations Corporation that included a civil money Guide. under the Program Fraud Civil

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Remedies Act and a $1,970,000 payment Global appealed the withdrawal, but civil money penalty of $5,000. The to resolve allegations under the False voluntarily withdrew the appeal on settlement does not constitute an Claims Act. The settlements do not November 12, 2020. admission of liability or fault. Cause: The Board took this action constitute an admission of liability or Cause: The Board took this action based on the following alleged fault. based on the following alleged violation Cause: The Board took this action violations of HUD requirements: Global based on the following alleged (a) failed to maintained the minimum of HUD requirements: Idaho Central violations of HUD requirements: A required adjusted net worth in fiscal failed to notify HUD of a change to its mortgagee for which FAR was the year 2017; (b) failed to maintained the business structure in fiscal year 2018. successor-in-interest provided minimum required adjusted net worth 31. Ideal Home Loans, LLC, Denver, CO appraisers with information to in fiscal year 2018; (c) failed to maintain [Docket No. 19–2009–MR] improperly influence the appraised the minimum required liquid assets in values of properties that subsequently fiscal year 2018; (d) failed to timely Action: On May 12, 2020, the Board secured FHA-insured mortgages. report the failure to maintain the voted to enter into a settlement required minimum adjusted net worth 25. Forthright Funding Corporation, agreement with Ideal Home Loans, LLC and liquid assets in fiscal year 2018; and Scottsdale, AZ [Docket No. 19–2027– (‘‘Ideal’’) that included a civil money (e) submitted a false certification to MR] penalty of $14,819. The settlement does HUD concerning Global’s fiscal year not constitute an admission of liability Action: On May 12, 2020, the Board 2017. or fault. voted to enter into a settlement agreement with Forthright Funding 28. Guaranteed Rate Inc., Chicago, IL Cause: The Board voted to accept this Corporation (‘‘Forthright’’) that included [Docket No. 20–2068–MR] offer based on the following alleged a civil money penalty of $15,000. The Action: On January 8, 2020, the Board violations of HUD requirements. Ideal: settlement does not constitute an voted to authorize a settlement with (a) Failed to maintain the minimum admission of liability or fault. Guaranteed Rate Inc. (‘‘GRI’’) that would required adjusted net worth in fiscal Cause: The Board took this action ultimately include a payment of year 2018; (b) failed to maintain the based on the following alleged $15,060,000 to resolve allegations made minimum required liquid assets in fiscal violations of HUD requirements: under the False Claims Act. The year 2018; and (c) failed to timely report Forthright (a) failed to maintain the settlement does not constitute an the failure to maintain the minimum minimum required adjusted net worth admission of liability or fault. required liquid assets in fiscal year in fiscal year 2018; (b) failed to timely Cause: The Board took this action 2018. report the failure to maintain the based on the following alleged required minimum adjusted net worth violations of HUD requirements: GRI (a) 32. JNC Mortgage Company, Inc., El in fiscal year 2018; (c) failed to report compensated underwriters with Paso, TX [Docket No. 19–2021–MR] an operating loss exceeding 20% of its impermissible commissions; (b) failed to Action: On December 17, 2019, the net worth in fiscal year 2018; and (d) comply with the self-reporting failed to file quarterly financial requirements for endorsed loans that Board voted to enter into a settlement statements after an operating loss were not eligible for endorsement; and agreement with JNC Mortgage Company, exceeding 20% of its net worth in fiscal (c) employed individuals who engaged Inc. (‘‘JNC Mortgage’’) that included a year 2018. in conduct designed to cause the civil money penalty of $14,319. The endorsement of loans not eligible for settlement does not constitute an 26. Geauga Savings Bank, Beachwood, endorsement. admission of liability or fault. OH [Docket No. 19–2018–MRT] Cause: The Board took this action Action: On June 26, 2019, the Board 29. Hallmark Home Mortgage, LLC, Fort Wayne, IN [Docket No. 19–1938–MR] based on the following alleged voted to withdraw the FHA approval of violations of HUD requirements: JNC Geauga Savings Bank (‘‘Geauga’’) for a Action: On December 17, 2019, the Mortgage (a) failed to timely notify HUD period of one year. Geauga appealed the Board voted to enter into a settlement of state sanction in fiscal year 2018; and withdrawal and, as part of a settlement, agreement with Hallmark Home (b) submitted a false certification to the Board rescinded the Notice of Mortgage LLC (‘‘Hallmark’’) that HUD concerning JNC Mortgage’s fiscal Violation such that HUD imposed included a civil money penalty of neither administrative action nor a civil $9,000. The settlement does not year 2018. money penalty against Geauga and constitute an admission of liability or 33. Lenox Financial Mortgage Geauga remained an FHA-approved fault. Corporation, Santa Ana, CA [Docket No. lender. The settlement agreement does Cause: The Board took this action 19–1971–MR] not constitute an admission of liability based on the following alleged or fault. violations of HUD requirements: Action: On December 17, 2019, the Cause: The Board took this action Hallmark (a) failed to report an Board voted to enter into a settlement based on the following alleged violation operating loss exceeding 20% of its net agreement with Lenox Financial of HUD requirements: Geauga failed to worth in fiscal year 2018; and (b) failed Mortgage Corporation (‘‘Lenox’’) that timely meet the requirements for annual to file quarterly financial statements included a civil money penalty of recertification of its FHA approval. after an operating loss exceeding 20% of $4,500. The settlement does not its net worth in fiscal year 2018. 27. Global Bancorp dba Versailles constitute an admission of liability or Property, Irvine, CA [Docket No. 19– 30. Idaho Central Credit Union, fault. 1931–MR] Pocatello, ID [Docket No. 19–2034–MR] Cause: The Board took this action Action: On December 17, 2019, the Action: On September 1, 2020, the based on the following alleged violation Board voted to withdraw Global Board voted to enter into a settlement of HUD requirements: Lenox failed to Bancorp dba Versailles Property agreement with Idaho Central Credit maintain the minimum required (‘‘Global’’) for a period of one year. Union (‘‘Idaho Central’’) that included a adjusted net worth in fiscal year 2017.

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34. Lenox Financial Mortgage Mortgage Now (a) failed to maintain the that were not eligible for endorsement Corporation, Santa Ana, CA [Docket No. minimum required adjusted net worth due to the actions of a criminal fraud 20–2008–MR] in fiscal year 2017; (b) failed to timely scheme involving a now-former loan Action: On May 12, 2020, the Board report the failure to maintain the officer that relied on fraudulent gift voted to enter into a settlement required minimum adjusted net worth letters and gift funds. in fiscal year 2017; and (c) failed to agreement with Lenox that included a 41. Obsidian Financial Services, Inc., timely notify HUD of a sanction in fiscal civil money penalty of $10,000. The Melbourne, FL [Docket No. 19–2023– year 2017. settlement does not constitute an MR] admission of liability or fault. 38. Mortgage Unlimited, LLC, Garfield, Action: On December 17, 2019, the Cause: The Board took this action on NJ [Docket No. 19–2039–MR] the basis of the following violations of Board voted to enter into a settlement HUD requirements. Lenox (a) failed to Action: On May 12, 2020, the Board agreement with Obsidian Financial timely notify FHA of an operating loss voted to enter into a settlement Services, Inc. (‘‘Obsidian’’) that exceeding 20% of its net worth during agreement with Mortgage Unlimited, included a civil money penalty of its fiscal year 2018; and (b) failed to file LLC (‘‘Mortgage Unlimited’’) that $28,942. The settlement does not quarterly financial statements after an included a civil money penalty of constitute an admission of liability or operating loss exceeding 20% of its net $9,819. The settlement does not fault. worth in fiscal year 2018. constitute an admission of liability or Cause: The Board took this action fault. based on the following alleged 35. Midwest Equity Mortgage, LLC nka Cause: The Board took this action violations of HUD requirements: Celebrity Home Loans, LLC, Oakbrook based on the following alleged Obsidian (a) failed to timely notify HUD Terrace, IL [Docket No. 19–2029–MR] violations of HUD requirements: of a sanction in fiscal year 2017; (b) Action: On May 20, 2020, the Board Mortgage Unlimited (a) failed to report submitted a false certification to HUD voted to impose a civil money penalty an operating loss exceeding 20% of its concerning Obsidian’s fiscal year 2017; of $15,000 against Midwest Equity net worth in fiscal year 2018; and (b) (c) failed to timely notify HUD of a Mortgage, LLC (‘‘Midwest Equity’’), failed to file quarterly financial sanction in fiscal year 2018; and (d) which was included in a subsequent statements after an operating loss submitted a false certification to HUD settlement agreement. The settlement exceeding 20% of its net worth in fiscal concerning Obsidian’s fiscal year 2018. year 2018. does not constitute an admission of 42. Omega Financial Services Inc., liability or fault. 39. myCUmortgage, LLC, Beavercreek, Union, NJ [Docket No. 19–2048–MR] Cause: The Board took this action OH [Docket No. 19–2045–MR] based on the following alleged Action: On May 12, 2020, the Board violations of HUD requirements: Action: On December 17, 2019, the voted to enter into a settlement Midwest Equity (a) failed to report an Board voted to assess a civil money agreement with Omega Financial operating loss exceeding 20% of its net penalty of $5,000 against Services (‘‘Omega’’) that included a civil worth in the third quarter of fiscal year myCUmortgage, LLC money penalty of $9,819. The 2018; (b) failed to report an operating (‘‘myCUmortgage’’), which was settlement does not constitute an loss exceeding 20% of its net worth in included in a subsequent settlement admission of liability or fault. the fourth quarter of fiscal year 2018; agreement. The settlement does not Cause: The Board took this action and (c) failed to notify HUD of a change constitute an admission of liability or based on the following alleged to its business structure in fiscal year fault. violations of HUD requirements: Omega 2018. Cause: The Board took this action (a) failed to maintain the minimum based on the following alleged violation required liquid assets in fiscal year 36. Mortgage Capital Associates, Los of HUD requirements: myCUmortgage 2018; and (b) failed to timely report the Angeles, CA [Docket No. 20–2070–MR] failed to timely notify HUD of a sanction failure to maintain the minimum Action: On December 17, 2019, the in fiscal year 2018. required liquid assets in fiscal year 2018. Board voted to withdraw the FHA 40. NOVA Financial & Investment approval of Mortgage Capital Associates Corporation, Tucson, AZ [Docket No. 43. Panorama Mortgage Group LLC, Las (‘‘Mortgage Capital’’) for a period of one 20–2023–MR] Vegas, NV [Docket No. 19–2015–MR] year. Cause: The Board took this action Action: On May 12, 2020, the Board Action: On December 17, 2019, the based on the following alleged violation voted to enter into a settlement Board voted to enter into a settlement of HUD requirements: Mortgage Capital agreement with NOVA Financial & agreement with Panorama Mortgage failed to timely notify HUD of a sanction Investment Corporation (‘‘NOVA Group LLC (‘‘Panorama’’) that included in fiscal year 2019. Financial’’) that included both an a civil money penalty of $19,936. The indemnification payment to HUD of settlement does not constitute an 37. Mortgage Now Inc., Shrewsbury, NJ $752,518 to indemnify HUD for seven admission of liability or fault. [Docket No. 19–1918–MR] loans that resulted in a claim for FHA Cause: The Board took this action Action: On December 17, 2019, the insurance and the indemnification of an based on the following alleged Board voted to impose a civil money eighth loan that had not yet resulted in violations of HUD requirements: penalty of $9,623 against Mortgage Now an insurance claim, for the life of the Panorama (a) failed to ensure that all Inc. (‘‘Mortgage Now’’), which was loan. The settlement does not constitute objections to title were cured with included in a subsequent settlement an admission of liability or fault. respect to one FHA-insured loan; (b) agreement. The settlement does not Cause: The Board took this action failed, with respect to one FHA-insured constitute an admission of liability or based on the following alleged violation loan, to verify and determine the fault. of HUD requirements: NOVA Financial delinquency status of a federal non-tax Cause: The Board took this action violated FHA requirements by debt; and (c) improperly charged a based on the following alleged endorsing or causing to be endorsed borrower a utility fee not permitted violations of HUD requirements: FHA-insurance eight FHA-insured loans under a purchase contract.

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44. Paragon Mortgage Corporation, year 2017; and (f) submitted a false violations of HUD requirements: Phoenix, AZ [Docket No.: 19–2028–MR] certification to HUD concerning Prime Silvermine (a) failed to maintain the Action: On May 12, 2020, the Board Choice’s fiscal year 2017. minimum required adjusted net worth in fiscal year 2018; (b) failed to timely voted to enter into a settlement 47. RMS Associates, Las Vegas, NV report the failure to maintain the agreement with Paragon Mortgage [Docket No. 20–2002–MR] required minimum adjusted net worth Corporation (‘‘Paragon’’) that included a Action: On December 17, 2019, the civil money penalty of $29,457. The in fiscal year 2018; (c) failed to maintain Board voted to enter into a settlement the minimum required liquid assets in settlement does not constitute an agreement with RMS Associates admission of liability or fault. fiscal year 2018; and (d) failed to timely (‘‘RMS’’) that included a civil money report the failure to maintain the Cause: The Board took this action penalty of $14,819. The settlement does based on the following alleged minimum required liquid assets in fiscal not constitute an admission of liability year 2018. violations of HUD requirements: or fault. Paragon (a) failed to maintain the Cause: The Board took this action 51. SN Servicing Corporation, Baton minimum required adjusted net worth based on the following alleged Rouge, LA [Docket No. 20–20007–MR] in fiscal year 2018; (b) failed to timely violations of HUD requirements: RMS Action: On May 12, 2020, the Board report the failure to maintain the (a) failed to timely notify HUD of a voted to enter into a settlement required minimum adjusted net worth sanction in fiscal year 2018; and (b) agreement with SN Servicing in fiscal year 2018; (c) failed to maintain submitted a false certification to HUD Corporation (‘‘SN Servicing’’) that the minimum required liquid assets concerning RMS’s fiscal year 2018. included a civil money penalty of throughout fiscal year 2018; and (d) $9,819. The settlement does not 48. Ross Mortgage Company, Inc., failed to timely report the failure to constitute an admission of liability or Westborough, MA [Docket No. 19–1974– maintain the minimum required liquid fault. assets in fiscal year 2018; (e) failed to MR] Cause: The Board took this action report an operating loss exceeding 20% Action: On May 12, 2020, the Board based on the following alleged violation of its net worth in fiscal year 2018; and voted to accept a settlement agreement of HUD requirements: SN Servicing (f) failed to file quarterly financial with Ross Mortgage Company (‘‘Ross failed to timely notify HUD of a sanction statements after an operating loss Mortgage’’) that included a civil money in fiscal year 2019. exceeding 20% of its net worth in fiscal penalty of $19,442. year 2018. Cause: The Board took this action 52. Springboard CDFI dba Springboard based on the following alleged Mortgage Collaborative, Riverside, CA 45. Parkside Lending, LLC, San [Docket No. 20–2003–MR] Francisco, CA [Docket No. 20–2028–MR] violations of HUD requirements: Ross Mortgage (a) failed to maintain the Action: On May 12, 2020, the Board Action: On May 12, 2020, the Board minimum required adjusted net worth voted to impose a civil money penalty voted to enter into a settlement in fiscal year 2017; (b) failed to timely of $14,819 against Springboard CDFI agreement with Parkside Lending, LLC report the failure to maintain the dba Springboard Mortgage Collaborative (‘‘Parkside’’) for a civil money penalty of required minimum adjusted net worth (‘‘Springboard’’) which was included in $10,000. The settlement does not in fiscal year 2017; and (c) failed to a subsequent settlement agreement. The constitute an admission of liability or maintain the minimum required settlement does not constitute an fault. adjusted net worth in fiscal year 2018. admission of liability or fault. Cause: The Board took this action Cause: The Board took this action based on the following alleged violation 49. Servion, Inc., New Brighton, MN based on the following alleged of HUD requirements: Parkside failed to [Docket No. 20–2065–MR] violations of HUD requirements: timely notify HUD of two state sanctions Action: On September 1, 2020 the Springboard (a) failed to maintain the in fiscal years 2017 and 2018. Board voted to enter into a settlement minimum required liquid assets in fiscal 46. Prime Choice Funding, Inc., Tustin, agreement with Servion, Inc. year 2018; (b) failed to timely report the OK [Docket No. 19–1954–MR] (‘‘Servion’’) that included a civil money failure to maintain the minimum penalty of $14,819. The settlement does required liquid assets in fiscal year Action: On December 17, 2019, the not constitute an admission of liability 2018; and (c) failed to timely notify Board voted to enter into a settlement or fault. HUD of a sanction in fiscal year 2019. agreement with Prime Choice Funding Cause: The Board took this action (‘‘Prime Choice’’) that included a civil based on the following alleged 53. TJC Mortgage, Inc., Birmingham, AL money penalty of $37,442. The violations of HUD requirements: [Docket No. 20–2009–MR] settlement does not constitute an Servion (a) failed to timely notify HUD Action: On May 12, 2020, the Board admission of liability or fault. of a sanction in fiscal year 2018; and (b) voted to impose a civil money penalty Cause: The Board took this action submitted a false certification to HUD of $19,468 against TJC Mortgage, Inc. based on the following alleged concerning Servion’s fiscal year 2018. (‘‘TJC Mortgage’’), which was included violations of HUD requirements: Prime in a subsequent settlement agreement. Choice (a) failed to report an operating 50. Silvermine Ventures, LLC, Rye The settlement does not constitute an loss exceeding 20% of its net worth in Brook, NY [Docket No. 19–2010–MR] admission of liability or fault. fiscal year 2018; (b) failed to file Action: On May 12, 2020, the Board Cause: The Board took this action quarterly financial statements after an voted to enter into a settlement based on the following alleged operating loss exceeding 20% of its net agreement with Silvermine Ventures, violations of HUD requirements: TJC worth in fiscal year 2018; (c) failed to LLC (‘‘Silvermine’’) that included a civil Mortgage (a) failed to timely notify HUD timely notify HUD of a sanction in fiscal money penalty of $19,638. The of a sanction in fiscal year 2019; (b) year 2018; (d) submitted a false settlement does not constitute an failed to timely notify HUD of a sanction certification to HUD concerning Prime admission of liability or fault. in fiscal year 2016; and (c) submitted a Choice’s fiscal year 2018; (e) failed to Cause: The Board took this action false certification to HUD concerning timely notify HUD of a sanction in fiscal based on the following alleged TJC Mortgage’s fiscal year 2016.

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54. Tradition Mortgage LLC, Lakeville, to VIG Mortgage’s business structure, listed below were not in compliance MN [Docket No. 19–2049–MR] consisting of a change in ownership, in with HUD’s annual recertification Action: On May 12, 2020, the Board fiscal year 2018. requirements. voted to enter into a settlement 58. Weststar Mortgage Corporation, 1. Apex Lending Inc., Santa Ana, CA agreement with Tradition Mortgage LLC, Albuquerque, NM [Docket No. 20–2005– 2. Aries Loans Inc., El Segundo, CA (‘‘Tradition Mortgage’’) that included a MR] 3. City National Bank of New Jersey, civil money penalty of $14,819. The Newark, NJ Action: On May 12, 2020, the Board settlement agreement does not 4. Consumer Loan Services, LLC, La voted to enter into a settlement constitute an admission of liability or Crosse, WI agreement with Westar Mortgage fault. 5. Gulf Atlantic Funding Group, Davie, Cause: The Board took this action Corporation (‘‘Weststar’’) that included FL based on the following alleged a civil money penalty of $5,000. The 6. Metro Phoenix Financial Services, violations of HUD requirements: settlement agreement does not LLC, Phoenix, AZ Tradition Mortgage (a) failed to timely constitute an admission of liability or 7. Mortgage Bank of California, notify HUD of a state sanction in fiscal fault. Manhattan Beach, CA Cause: The Board took this action year 2018; and (b) submitted a false 8. South Central Bank and Trust Co., based on the following alleged violation certification to HUD concerning Chicago, IL of HUD requirements: Weststar failed to Tradition Mortgage’s fiscal year 2018. 9. United Police Federal Credit Union, timely notify HUD of a sanction in fiscal Miami, FL 55. United Home Loans, Inc., year 2019. Westchester, IL [Docket No. 20–2015– Janet M. Golrick, II. Lenders That Failed To Timely Meet MR] Acting Assistant Secretary for Housing/FHA Requirements for Annual Action: On September 1, 2020, the Commissioner Chair, Mortgagee Review Recertification of HUD/FHA Approval Board. Board voted to accept a settlement but Came Into Compliance agreement with United Home Loans, [FR Doc. 2021–02921 Filed 2–11–21; 8:45 am] Inc. (‘‘United Home’’) that included a Action: The Board entered into BILLING CODE 4210–67–P civil money penalty of $5,000. The settlement agreements with the settlement does not constitute an following lenders, which required the DEPARTMENT OF HOUSING AND admission of liability or fault. lender to pay a civil money penalty URBAN DEVELOPMENT Cause: The Board took this action without admitting fault or liability. based on the following alleged violation Cause: The Board took these actions [Docket No. FR–6245–N–01] of HUD requirements: United Home based upon allegations that the listed failed to timely notify HUD of a sanction lenders failed to comply with HUD’s Mortgage and Loan Insurance in fiscal year 2019. annual recertification requirements in a Programs Under the National Housing timely manner. Act—Debenture Interest Rates 56. Valley Mortgage Inc., Fargo, ND The lenders below paid the following [Docket No. 19–1956–MR] civil money penalty amounts: AGENCY: Office of the Assistant Action: On December 17, 2019, the 1. Central Bank and Trust Lander, WY Secretary for Housing—Federal Housing Board voted to enter into a settlement ($10,067) [Docket No. 20–2038–MRT] Commissioner, HUD. agreement with Valley Mortgage Inc. The following lenders paid civil ACTION: Notice. (‘‘Valley Mortgage’’) that included a money penalties of $5,000. SUMMARY: This Notice announces civil money penalty of $9,468 and the 2. Community Investment Corporation, changes in the interest rates to be paid indemnification of one FHA-insured Chicago, IL [Docket No. 20–2081– on debentures issued with respect to a mortgage for a term of five years. The MRT] loan or mortgage insured by the Federal settlement agreement does not 3. Great Lakes Financial Group Ltd, Housing Administration under the constitute an admission of liability or Cleveland, OH [Docket No. 20–2090– provisions of the National Housing Act fault. MRT] (the Act). The interest rate for Cause: The Board took this action The following lenders paid civil based on the following alleged violation debentures issued under Section money penalties of $4,500. 221(g)(4) of the Act during the 6-month of HUD requirements: Valley Mortgage 4. Buckeye State Bank, Powell, OH 3 violated FHA underwriting period beginning January 1, 2021, is ⁄4 [Docket No. 20–2029–MRT] percent. The interest rate for debentures requirements by approving a loan that 5. First Flight Federal Credit Union, was not eligible for FHA insurance by issued under any other provision of the Cary, NC [Docket No. 20–2032–MRT] Act is the rate in effect on the date that failing to properly calculate the 6. Grand Savings Bank, Grove, OK borrowers’ effective income. the commitment to insure the loan or [Docket No. 20–2034–MRT] mortgage was issued, or the date that the 7. SWI Financial Services Inc, 57. VIG Mortgage Corporation, San loan or mortgage was endorsed (or Escondido, CA [Docket No. 20–2032– Juan, PR [Docket No. 20–2016–MR] initially endorsed if there are two or MRT] Action: On May 12, 2020, voted to 8. Windsor Federal Savings [Docket No. more endorsements) for insurance, enter into a settlement agreement with 19–2040–MRT] whichever rate is higher. The interest VIG Mortgage Corporation (‘‘VIG’’) that rate for debentures issued under these included a civil money penalty of III. Lenders That Failed To Meet other provisions with respect to a loan $4,909. The settlement agreement does Requirements for Annual or mortgage committed or endorsed not constitute an admission of liability Recertification of HUD/FHA Approval during the 6-month period beginning or fault. Action: The Board voted to withdraw January 1, 2021, is 13⁄8 percent. Cause: The Board took this action the FHA approval of each of the lenders FOR FURTHER INFORMATION CONTACT: based on the following alleged violation listed below for a period of one (1) year. Elizabeth Olazabal, Department of of HUD requirements: VIG Mortgage Cause: The Board took this action Housing and Urban Development, 451 failed to timely notify HUD of a change based upon allegations that the lenders Seventh Street SW, Room 5146,

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Washington, DC 20410–8000; telephone Effective Effective (202) 402–4608 (this is not a toll-free interest rate on or after prior to interest rate on or after prior to number). Individuals with speech or hearing impairments may access this 113⁄4 ...... Jan. 1, 1981 July 1, 1981. 23⁄4 ...... Jan. 1, 2018 July 1, 2018. 127⁄8 ...... July 1, 1981 Jan. 1, 1982. 31⁄8 ...... July 1, 2018 Jan. 1, 2019. number through TTY by calling the 3 123⁄4 ...... Jan. 1, 1982 Jan. 1, 1983. 3 ⁄8 ...... Jan. 1, 2019 July 1, 2019. Federal Information Relay Service at 3 101⁄4 ...... Jan. 1, 1983 July 1, 1983. 2 ⁄4 ...... July 1, 2019 Jan. 1, 2020. (800) 877–8339 (this is a toll-free 3 1 10 ⁄8 ...... July 1, 1983 Jan. 1, 1984. 2 ⁄4 ...... Jan. 1, 2020 July 1, 2020. 1 number). 111⁄2 ...... Jan. 1, 1984 July 1, 1984. 1 ⁄4 ...... July 1, 2020 Jan. 1, 2021. 3 SUPPLEMENTARY INFORMATION: Section 133⁄8 ...... July 1, 1984 Jan. 1, 1985. 1 ⁄8 ...... Jan. 1, 2021 July 1, 2021. 224 of the National Housing Act (12 115⁄8 ...... Jan. 1, 1985 July 1, 1985. 1 U.S.C. 1715o) provides that debentures 11 ⁄8 ...... July 1, 1985 Jan. 1, 1986. Section 215 of Division G, Title II of 101⁄4 ...... Jan. 1, 1986 July 1, 1986. issued under the Act with respect to an Public Law 108–199, enacted January 81⁄4 ...... July 1, 1986 Jan. 1. 1987. insured loan or mortgage (except for 23, 2004 (HUD’s 2004 Appropriations 8 ...... Jan. 1, 1987 July 1, 1987. Act) amended Section 224 of the Act, to debentures issued pursuant to Section 9 ...... July 1, 1987 Jan. 1, 1988. change the debenture interest rate for 221(g)(4) of the Act) shall bear interest 91⁄8 ...... Jan. 1, 1988 July 1, 1988. 3 purposes of calculating certain at the rate in effect on the date the 9 ⁄8 ...... July 1, 1988 Jan. 1, 1989. commitment to insure the loan or 91⁄4 ...... Jan. 1, 1989 July 1, 1989. insurance claim payments made in cash. mortgage was issued, or the date the 9 ...... July 1, 1989 Jan. 1, 1990. Therefore, for all claims paid in cash on loan or mortgage was endorsed (or 81⁄8 ...... Jan. 1, 1990 July 1, 1990. mortgages insured under Section 203 or initially endorsed if there are two or 9 ...... July 1, 1990 Jan. 1, 1991. 234 of the National Housing Act and 83⁄4 ...... Jan. 1, 1991 July 1, 1991. more endorsements) for insurance, endorsed for insurance after January 23, 81⁄2 ...... July 1, 1991 Jan. 1, 1992. whichever rate is highest. This 2004, the debenture interest rate will be 8 ...... Jan. 1, 1992 July 1, 1992. the monthly average yield, for the provision is implemented in HUD’s 8 ...... July 1, 1992 Jan. 1, 1993. month in which the default on the regulations at 24 CFR 203.405, 203.479, 73⁄4 ...... Jan. 1, 1993 July 1, 1993. 207.259(e)(6), and 220.830. These 7 ...... July 1, 1993 Jan. 1, 1994. mortgage occurred, on United States 5 Treasury Securities adjusted to a regulatory provisions state that the 6 ⁄8 ...... Jan. 1, 1994 July 1, 1994. applicable rates of interest will be 73⁄4 ...... July 1, 1994 Jan. 1, 1995. constant maturity of 10 years, as found 3 published twice each year as a notice in 8 ⁄8 ...... Jan. 1, 1995 July 1, 1995. in Federal Reserve Statistical Release H– 71⁄4 ...... July 1, 1995 Jan. 1, 1996. the Federal Register. 15. The Federal Housing Administration 61⁄2 ...... Jan. 1, 1996 July 1, 1996. Section 224 further provides that the has codified this provision in HUD 71⁄4 ...... July 1, 1996 Jan. 1, 1997. regulations at 24 CFR 203.405(b) and 24 interest rate on these debentures will be 3 6 ⁄4 ...... Jan. 1, 1997 July 1, 1997. CFR 203.479(b). set from time to time by the Secretary 1 7 ⁄8 ...... July 1, 1997 Jan. 1, 1998. Similarly, Section 520(a) of the of HUD, with the approval of the 63⁄8 ...... Jan. 1, 1998 July 1, 1998. National Housing Act (12 U.S.C. 1735d) Secretary of the Treasury, in an amount 61⁄8 ...... July 1, 1998 Jan. 1, 1999. 1 provides for the payment of an not in excess of the annual interest rate 5 ⁄2 ...... Jan. 1, 1999 July 1, 1999. 1 insurance claim in cash on a mortgage determined by the Secretary of the 6 ⁄8 ...... July 1, 1999 Jan. 1, 2000. 1 2 or loan insured under any section of the Treasury pursuant to a statutory formula 6 ⁄ ...... Jan. 1, 2000 July 1, 2000. 61⁄2 ...... July 1, 2000 Jan. 1, 2001. National Housing Act before or after the based on the average yield of all 6 ...... Jan. 1, 2001 July 1, 2001. enactment of the Housing and Urban outstanding marketable Treasury 7 5 ⁄8 ...... July 1, 2001 Jan. 1, 2002. Development Act of 1965. The amount obligations of maturities of 15 or more 1 5 ⁄4 ...... Jan. 1, 2002 July 1, 2002. of such payment shall be equivalent to 3 years. 5 ⁄4 ...... July 1, 2002 Jan. 1, 2003. the face amount of the debentures that The Secretary of the Treasury (1) has 5 ...... Jan. 1, 2003 July 1, 2003. would otherwise be issued, plus an determined, in accordance with the 41⁄2 ...... July 1, 2003 Jan. 1, 2004. amount equivalent to the interest which provisions of Section 224, that the 51⁄8 ...... Jan. 1, 2004 July 1, 2004. 1 the debentures would have earned, statutory maximum interest rate for the 5 ⁄2 ...... July 1, 2004 Jan. 1, 2005. 47⁄8 ...... Jan. 1, 2005 July 1, 2005. computed to a date to be established period beginning January 1, 2021, is 13⁄8 1 2 pursuant to regulations issued by the percent; and (2) has approved the 4 ⁄ ...... July 1, 2005 Jan. 1, 2006. 47⁄8 ...... Jan. 1, 2006 July 1, 2006. Secretary. The implementing HUD establishment of the debenture interest 53⁄8 ...... July 1, 2006 Jan. 1, 2007. 3 regulations for multifamily insured rate by the Secretary of HUD at 1 ⁄8 3 4 ⁄4 ...... Jan. 1, 2007 July 1, 2007. mortgages at 24 CFR 207.259(e)(1) and percent for the 6-month period 5 ...... July 1, 2007 Jan. 1, 2008. (e)(6), when read together, provide that beginning January 1, 2021. This interest 41⁄2 ...... Jan. 1, 2008 July 1, 2008. 5 debenture interest on a multifamily rate will be the rate borne by debentures 4 ⁄8 ...... July 1, 2008 Jan. 1, 2009. insurance claim that is paid in cash is 41⁄8 ...... Jan. 1, 2009 July 1, 2009. issued with respect to any insured loan paid from the date of the loan default at or mortgage (except for debentures 41⁄8 ...... July 1, 2009 Jan. 1, 2010. 1 the debenture rate in effect at the time issued pursuant to Section 221(g)(4)) 4 ⁄4 ...... Jan. 1, 2010 July 1, 2010. 1 of commitment or endorsement (or with insurance commitment or 4 ⁄8 ...... July 1, 2010 Jan. 1, 2011. 37⁄8 ...... Jan. 1, 2011 July 1, 2011. initial endorsement if there are two or endorsement date (as applicable) within 41⁄8 ...... July 1, 2011 Jan. 1, 2012. more endorsements) of the loan, the first 6 months of 2021. 7 2 ⁄8 ...... Jan. 1, 2012 July 1, 2012. whichever is higher. For convenience of reference, HUD is 3 2 ⁄4 ...... July 1, 2012 Jan. 1, 2013. Section 221(g)(4) of the Act provides publishing the following chart of 21⁄2 ...... Jan. 1, 2013 July 1, 2013. that debentures issued pursuant to that debenture interest rates applicable to 27⁄8 ...... July 1, 2013 Jan. 1, 2014. paragraph (with respect to the 5 mortgages committed or endorsed since 3 ⁄8 ...... Jan. 1, 2014 July 1, 2014. assignment of an insured mortgage to January 1, 1980: 31⁄4 ...... July 1, 2014 Jan. 1, 2015. 3 ...... Jan. 1, 2015 July 1, 2015. the Secretary) will bear interest at the ‘‘going Federal rate’’ in effect at the time 27⁄8 ...... July 1, 2015 Jan. 1, 2016. Effective on or after prior to interest rate 27⁄8 ...... Jan. 1, 2016 July 1, 2016. the debentures are issued. The term 21⁄2 ...... July 1, 2016 Jan. 1, 2017. ‘‘going Federal rate’’ is defined to mean 3 91⁄2 ...... Jan. 1, 1980 July 1, 1980. 2 ⁄4 ...... Jan. 1, 2017 July 1, 2017. the interest rate that the Secretary of the 97⁄8 ...... July 1, 1980 Jan. 1, 1981. 27⁄8 ...... July 1, 2017 Jan. 1, 2018. Treasury determines, pursuant to a

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statutory formula based on the average documents filed in connection with this On January 27, 2021, the ALJ issued yield on all outstanding marketable investigation may be viewed on the Order No. 66, the subject ID, which Treasury obligations of 8- to 12-year Commission’s electronic docket (EDIS) granted the motion. The ID found that maturities, for the 6-month periods of at https://edis.usitc.gov. For help the motion complies with Commission January through June and July through accessing EDIS, please email Rule 210.21(b). The ID further found December of each year. Section 221(g)(4) [email protected]. General that terminating the investigation as to is implemented in the HUD regulations information concerning the Commission all remaining respondents will not at 24 CFR 221.255 and 24 CFR 221.790. may also be obtained by accessing its adversely affect the public interest. The Secretary of the Treasury has internet server at https://www.usitc.gov. Because the investigation had already determined that the interest rate to be Hearing-impaired persons are advised terminated as to HP, the ID would result borne by debentures issued pursuant to that information on this matter can be in the termination of the investigation in Section 221(g)(4) during the 6-month obtained by contacting the its entirety. No petitions for review of period beginning January 1, 2021, is3⁄4 Commission’s TDD terminal on (202) the ID were filed. percent. The subject matter of this 205–1810. The Commission has determined not notice falls within the categorical SUPPLEMENTARY INFORMATION: The to review the subject ID. The exemption from HUD’s environmental Commission instituted this investigation investigation is hereby terminated in its clearance procedures set forth in 24 CFR on June 24, 2019, based on a complaint entirety. 50.19(c)(6). For that reason, no filed by Neodron Ltd. of Dublin, Ireland The Commission vote for this environmental finding has been (‘‘Neodron’’). 84 FR 29545 (June 24, determination took place on February 8, prepared for this notice. 2019). The complaint, as amended, 2021. (Authority: Sections 211, 221, 224, National alleges violations of section 337 of the The authority for the Commission’s Housing Act, 12 U.S.C. 1715b, 1715l, 1715o; Tariff Act of 1930, as amended, 19 determination is contained in section Section 7(d), Department of HUD Act, 42 U.S.C. 1337 (‘‘section 337’’), based upon 337 of the Tariff Act of 1930, as U.S.C. 3535(d).) the importation into the United States, amended (19 U.S.C. 1337), and in Part 210 of the Commission’s Rules of Janet M. Golrick, the sale for importation, and the sale within the United States after Practice and Procedure (19 CFR part Acting Assistant Secretary for Housing— 210). Federal Housing Commissioner. importation of certain touch-controlled mobile devices, computers, and By order of the Commission. [FR Doc. 2021–02867 Filed 2–11–21; 8:45 am] components thereof by reason of Issued: February 8, 2021. BILLING CODE 4210–67–P infringement of certain claims of U.S. Lisa Barton, Patent Nos. 8,432,173; 8,791,910; Secretary to the Commission. 9,024,790; and 9,372,580. Id.; 84 FR [FR Doc. 2021–02877 Filed 2–11–21; 8:45 am] INTERNATIONAL TRADE 55584 (Oct. 17, 2019). The amended BILLING CODE 7020–02–P COMMISSION complaint further alleges that an [Investigation No. 337–TA–1162] industry in the United States exists as required by section 337. 84 FR 29545; INTERNATIONAL TRADE Certain Touch-Controlled Mobile 84 FR 55584. The notice of COMMISSION Devices, Computers, and Components investigation, as amended, named as Thereof; Commission Determination respondents Amazon.com, Inc. of [Investigation No. 337–TA–1179] Not To Review an Initial Determination Seattle, Washington (‘‘Amazon’’); Dell Certain Pouch-Type Battery Cells, Terminating the Investigation as to Inc. of Round Rock, Texas; Dell Battery Modules, and Battery Packs, Amazon, Dell, Lenovo, Microsoft, Products LP of Round Rock, Texas Components Thereof, and Products Motorola, and Samsung Based on (together, ‘‘Dell’’); HP Inc. of Palo Alto, Containing the Same; Commission Settlement; Termination of California (‘‘HP’’); Lenovo Group Ltd. of Determination Not To Review an Initial Investigation Beijing, China; Lenovo (United States) Determination Granting Complainants’ Inc. of Morrisville, North Carolina Motion To Amend the Complaint and AGENCY: U.S. International Trade (together, ‘‘Lenovo’’); Microsoft Notice of Investigation and Terminate Commission. Corporation of Redmond, Washington the Investigation as to Certain Claims ACTION: Notice. (‘‘Microsoft’’); Motorola Mobility LLC of Based on Withdrawal of the Complaint Chicago, Illinois (‘‘Motorola’’); Samsung SUMMARY: Notice is hereby given that Electronics Co., Ltd. of Suwon, South AGENCY: U.S. International Trade the U.S. International Trade Korea; and Samsung Electronics Commission. Commission (‘‘Commission’’) has America, Inc. of Ridgefield Park, New ACTION: Notice. determined not to review an initial Jersey (together, ‘‘Samsung’’). 84 FR determination (‘‘ID’’) (Order No. 66) of 29545; 84 FR 55584. The Office of SUMMARY: Notice is hereby given that the presiding administrative law judge Unfair Import Investigations is not the U.S. International Trade (‘‘ALJ’’) that terminates the investigation participating in the investigation. 84 FR Commission (‘‘Commission’’) has as to the remaining respondents 29545. determined not to review an initial (Amazon, Dell, Lenovo, Microsoft, On September 2, 2020, this determination (‘‘ID’’) (Order No. 53) of Motorola, and Samsung) based on a investigation was terminated as to HP. the presiding chief administrative law settlement. This investigation is Order No. 59 (Aug. 20, 2020), judge (‘‘CALJ’’) granting complainants’ terminated. unreviewed, Notice (Sept. 2, 2020). corrected motion (1) for leave to amend FOR FURTHER INFORMATION CONTACT: On January 25, 2021, Neodron, the complaint and notice of Ronald A. Traud, Esq., Office of the Amazon, Dell, Lenovo, Microsoft, investigation to reflect the respondents’ General Counsel, U.S. International Motorola, and Samsung filed a joint corporate reorganization and (2) to Trade Commission, 500 E Street SW, motion to terminate all remaining withdraw allegations concerning certain Washington, DC 20436, telephone (202) respondents from the investigation claims of U.S. Patent No. 10,121,994 205–3427. Copies of non-confidential based on a settlement agreement. (‘‘the ’994 patent’’) from the complaint.

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FOR FURTHER INFORMATION CONTACT: Solution Michigan, Inc. SK also moved INTERNATIONAL TRADE Michael Liberman, Esq., Office of the to terminate the investigation in part COMMISSION General Counsel, U.S. International with respect to claims 1, 2, 4, 7, 10–14, Trade Commission, 500 E Street SW, 16, 18, 21, 23, 28, 29–32, 34, and 36 of [Investigation No. 337–TA–1246] Washington, DC 20436, telephone (202) the ’994 patent based on withdrawal of 205–2392. Copies of non-confidential the allegations in the complaint as to Certain Integrated Circuits and documents filed in connection with this those claims. Respondents did not Products Containing the Same; investigation may be viewed on the oppose the motion. Mot. at 3. On Institution of Investigation Commission’s electronic docket (EDIS) January 6, 2021, OUII advised the at https://edis.usitc.gov. For help AGENCY: U.S. International Trade presiding CALJ that it does not object to Commission. accessing EDIS, please email the motion and will not be filing a ACTION: Notice. [email protected]. General response. information concerning the Commission may also be obtained by accessing its On January 11, 2021, the CALJ issued SUMMARY: Notice is hereby given that a internet server at https://www.usitc.gov. the subject ID granting SK’s motion complaint and motion for temporary Hearing-impaired persons are advised pursuant to Commission Rules 210.14(b) relief were filed with the U.S. that information on this matter can be and 210.21(a)(1), 19 CFR 210.14(b), International Trade Commission on obtained by contacting the 210.21(a)(1). The ID finds that good December 18, 2020, under section 337 of Commission’s TDD terminal on (202) cause exists for amending the complaint the Tariff Act of 1930, as amended, on 205–1810. and notice of investigation due to the behalf of Tela Innovations, Inc. of Los recent change in corporate structure. ID Gatos, California. Supplements were SUPPLEMENTARY INFORMATION: The filed on December 30, 2020, and at 2. The ID finds that amending the Commission instituted this investigation February 3, 2021. The motion for complaint and notice of investigation to under section 337 of the Tariff Act of temporary relief was withdrawn on 1930, as amended, 19 U.S.C. 1337 reflect LGC’s recent corporate February 3, 2021. The complaint alleges (‘‘section 337’’) on October 9, 2019, reorganization will aid in the violations of section 337 based upon the based on a complaint filed by SK development of this investigation and importation into the United States, the Innovation Co., Ltd. of Seoul, Republic serve the public interest by apprising sale for importation, and the sale within of Korea and SK Battery America, Inc. the public of the correct entities the United States after importation of of Atlanta, Georgia (collectively, ‘‘SK’’). involved. The ID finds that the proposed certain integrated circuits and products 84 FR 54173–74 (Oct. 9, 2019). The amendments do not unnecessarily containing the same by reason of complaint alleges a violation of section prejudice the public interest or the infringement of certain claims of U.S. 337 based upon the importation into the rights of the parties to the investigation. Patent No. 10,186,523 (‘‘the ’523 United States, the sale for importation, The ID further finds that no patent’’). The complaint further alleges and the sale within the United States extraordinary circumstances exist that that an industry in the United States after importation of certain pouch-type would prevent the requested partial exists and/or is in the process of being battery cells, battery modules, and termination of this investigation. Id. at established as required by the battery packs, components thereof, and 4. No party petitioned for review of the applicable Federal Statute. The products containing the same by reason ID. complainant requests that the of infringement of claims 1–36 of the Commission institute an investigation The Commission has determined not ’994 patent. The complaint named as and, after the investigation, issue a to review the subject ID. Claims 1, 2, 4, respondents LG Chem, Ltd. of Seoul, limited exclusion order and cease and 7, 10–14, 16, 18, 21, 23, 28, 29–32, 34, Republic of Korea, and LG Chem desist orders. Michigan, Inc. of Holland, Michigan and 36 of the ’994 patent are terminated ADDRESSES: (collectively, ‘‘LG’’). The Commission’s from this investigation. The complaint, except for any confidential information contained Office of Unfair Import Investigations The Commission vote for this (‘‘OUII’’) also was named as a party. therein, may be viewed on the determination took place on February 8, Commission’s electronic docket (EDIS) Subsequently, the investigation was 2021. terminated in part based on withdrawal at https://edis.usitc.gov. For help of the complaint as to claims 8, 9, 17, The authority for the Commission’s accessing EDIS, please email 26, 27, and 35 of the ’994 patent. Order determination is contained in section [email protected]. Hearing impaired No. 23 (March 25, 2020), unreviewed by 337 of the Tariff Act of 1930, as individuals are advised that information Notice (Apr. 22, 2020). Further, the amended (19 U.S.C. 1337), and in Part on this matter can be obtained by Commission determined that the 210 of the Commission’s Rules of contacting the Commission’s TDD economic prong of the domestic Practice and Procedure (19 CFR part terminal on (202) 205–1810. Persons industry is satisfied. Order No. 51 (Dec. 210). with mobility impairments who will need special assistance in gaining access 14, 2020), reviewed, and on review, By order of the Commission. affirmed with modified reasoning by to the Commission should contact the Issued: February 8, 2021. Notice (Jan. 14, 2021). Office of the Secretary at (202) 205– On January 4, 2021, SK filed a Lisa Barton, 2000. General information concerning corrected motion for leave to amend the Secretary to the Commission. the Commission may also be obtained by accessing its internet server at complaint and notice of investigation to [FR Doc. 2021–02878 Filed 2–11–21; 8:45 am] https://www.usitc.gov. reflect a reorganization of respondent BILLING CODE 7020–02–P LG Chem, Ltd. (‘‘LGC’’) in which (i) FOR FURTHER INFORMATION CONTACT: certain business functions were Pathenia M. Proctor, The Office of transferred to a newly created Unfair Import Investigations, U.S. subsidiary named LG Energy Solution, International Trade Commission, Ltd., and (ii) respondent LG Chem telephone (202) 205–2560. Michigan Inc. was renamed LG Energy SUPPLEMENTARY INFORMATION:

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Authority: The authority for Wright et al., Federal Practice & U.S. International Trade Commission, institution of this investigation is Procedure § 4405 (2d ed.) (‘‘The first shall designate the presiding contained in section 337 of the Tariff court does not get to dictate to other Administrative Law Judge. Act of 1930, as amended, 19 U.S.C. courts the preclusion consequences of Responses to the complaint and the 1337, and in section 210.10 of the its own judgment. . . .’’). Any review notice of investigation must be Commission’s Rules of Practice and will be conducted in accordance with submitted by the named respondents in Procedure, 19 CFR 210.10 (2020). Commission Rules 210.42–45. 19 CFR accordance with section 210.13 of the Scope of Investigation: Having 210.42–45. Unless the Commission Commission’s Rules of Practice and considered the complaint, the U.S. orders otherwise, the issuance of an Procedure, 19 CFR 210.13. Pursuant to International Trade Commission, on early ID finding that the complainant is 19 CFR 201.16(e) and 210.13(a), as February 8, 2021, ordered that— precluded or barred from pursuing its amended in 85 FR 15798 (March 19, (1) Pursuant to subsection (b) of complaint shall stay the investigation 2020), such responses will be section 337 of the Tariff Act of 1930, as and any other decision shall not stay the considered by the Commission if amended, an investigation be instituted investigation or delay the issuance of a received not later than 20 days after the to determine whether there is a final ID covering the other issues of the date of service by the complainant of the violation of subsection (a)(1)(B) of investigation; complaint and the notice of section 337 in the importation into the (4) Pursuant to Commission Rule investigation. Extensions of time for United States, the sale for importation, 210.50(b)(l), 19 CFR 210.50(b)(1), the submitting responses to the complaint or the sale within the United States after presiding administrative law judge shall and the notice of investigation will not importation of certain products take evidence or other information and be granted unless good cause therefor is identified in paragraph (2) by reason of hear arguments from the parties or other shown. infringement of one or more of claims interested persons with respect to the Failure of a respondent to file a timely 1–11, 14–20, 25, and 26 of the ’523 public interest in this investigation, as response to each allegation in the patent; and whether an industry in the appropriate, and provide the complaint and in this notice may be United States exists or is in the process Commission with findings of fact and a deemed to constitute a waiver of the of being established as required by recommended determination on this right to appear and contest the subsection (a)(2) of section 337; issue, which shall be limited to the allegations of the complaint and this (2) Pursuant to Rule 210.10(b)(1) of statutory public interest factors set forth notice, and to authorize the the Commission’s Rules of Practice and in 19 U.S.C. 1337(d)(l), (f)(1), (g)(1); administrative law judge and the Procedure, 19 CFR 210.10(b)(1), the (5) For the purpose of the Commission, without further notice to plain language description of the investigation so instituted, the following the respondent, to find the facts to be as accused products or category of accused are hereby named as parties upon which alleged in the complaint and this notice products, which defines the scope of the this notice of investigation shall be and to enter an initial determination investigation, is ‘‘Intel’s served: and a final determination containing microprocessors fabricated using Tri- (a) The complainant is: such findings, and may result in the Gate technology at a 14nm process node Tela Innovations, Inc., 1484 Pollard issuance of an exclusion order or a cease or smaller and products that contain Road #483, Los Gatos, CA 95032 and desist order or both directed against such Intel microprocessors, specifically (b) The respondents are the following the respondent. servers, workstations, desktops, all-in- entities alleged to be in violation of one PCs, laptops, notebooks, computer section 337, and are the parties upon By order of the Commission. tablets, and board-level computers’’; which the complaint is to be served: Issued: February 8, 2021. (3) Pursuant to Rule 210.10(b)(3) of Acer, Inc., 1F, 88, Sec. 1, Xintai 5th Rd., Lisa Barton, the Commission’s Rules of Practice and Xizhi, New Taipei City 221, Taiwan Secretary to the Commission. Procedure, 19 CFR 210.10(b)(3), the Acer America Corporation, 333 West [FR Doc. 2021–02872 Filed 2–11–21; 8:45 am] presiding Administrative Law Judge San Carlos Street, Suite 1500, San BILLING CODE 7020–02–P shall hold an early evidentiary hearing Jose, CA 95110 and find facts, as needed, and shall ASUSTek Computer Inc., No. 15, Li-Te issue an early initial determination Road, Beitou District, Taipai 112, INTERNATIONAL TRADE (‘‘ID’’), within 100 days of institution, Taiwan COMMISSION except for good cause shown, as to ASUS Computer International, 800 [Investigation No. 337–TA–1247] whether the complainant’s allegations Corporate Way, Fremont, CA 94539 in this investigation are precluded or Intel Corporation, 2200 Mission College Certain Wireless Communications otherwise barred—e.g., under claim Blvd., Santa Clara, CA 95052 preclusion, issue preclusion, or the Equipment and Components Thereof; Lenovo Group Ltd., No. 6 Chuang Ye Institution of Investigation Kessler doctrine—by either the decision Road, Shangdi Information Industry of the U.S. District Court for the Base, Beijing 100085, China AGENCY: U.S. International Trade Northern District of California, Intel Lenovo (United States) Inc., 1009 Think Commission. Corp. v. Tela Innovations, Inc., No. Pl., Morrisville, NC 27560 ACTION: Notice. 3:18–cv–02848–WHO, ECF No. 316 Micro-Star International Co., Ltd., No. (N.D. Cal. Dec. 22, 2020), or the 69, Lide St., Zhonghe District, New SUMMARY: Notice is hereby given that a Commission’s final determination in Taipei City 235, Taiwan complaint was filed with the U.S. Certain Integrated Circuits and Prods. MSI Computer Corp., 901 Canada Court, International Trade Commission on Containing Same, Investigation No. City of Industry, CA 91748 January 7, 2021, under section 337 of 337–TA–1148. See Smith v. Bayer (c) The Office of Unfair Import the Tariff Act of 1930, as amended, on Corp., 564 U.S. 299, 307 (2011) Investigations, U.S. International Trade behalf of Samsung Electronics Co., Ltd. (‘‘Deciding whether and how prior Commission, 500 E Street SW, Suite of Korea and Samsung Electronics litigation has preclusive effect is usually 401, Washington, DC 20436; and America, Inc. of Ridgefield Park, New the bailiwick of the second (7) For the investigation so instituted, Jersey. A supplement to the complaint court....’’); see also Charles Alan the Chief Administrative Law Judge, was filed on January 25, 2021. The

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complaint, as supplemented, alleges infringement of one or more of claims 19 CFR 201.16(e) and 210.13(a), as violations of section 337 based upon the 1–6 and 11–17 of the ’074 patent; claims amended in 85 FR 15798 (March 19, importation into the United States, the 1–5, 8–16, 19–24, 26, 29–37, 40, and 42 2020), such responses will be sale for importation, and the sale within of the ’616 patent; claims 1–15 of the considered by the Commission if the United States after importation of ’772 patent; and claims 1–20 of the ’405 received not later than 20 days after the certain wireless communications patent; and whether an industry in the date of service by the complainants of equipment and components thereof by United States exists or is in the process the complaint and the notice of reason of infringement of certain claims of being established as required by investigation. Extensions of time for of U.S. Patent No. 9,041,074 (‘‘the ’074 subsection (a)(2) of section 337; submitting responses to the complaint patent’’); U.S. Patent No. 9,521,616 (‘‘the (2) Pursuant to section 210.10(b)(1) of and the notice of investigation will not ’616 patent’’); U.S. Patent No. 9,736,772 the Commission’s Rules of Practice and be granted unless good cause therefor is (‘‘the ’772 patent’’); and U.S. Patent No. Procedure, 19 CFR 210.10(b)(1), the shown. 10,797,405 (‘‘the ’405 patent’’). The plain language description of the Failure of a respondent to file a timely complaint further alleges that an accused products or category of accused response to each allegation in the industry in the United States exists or products, which defines the scope of the complaint and in this notice may be in the process of being established as investigation, is ‘‘wireless deemed to constitute a waiver of the required by the applicable Federal communications devices or software for right to appear and contest the Statute. The complainants request that use with 4G and 5G applications and allegations of the complaint and this the Commission institute an components thereof, specifically base notice, and to authorize the investigation and, after the stations, base band units, antenna units, administrative law judge and the investigation, issue a limited exclusion antenna systems, radio units, radio Commission, without further notice to order and cease and desist orders. systems, mobile transport systems, site the respondent, to find the facts to be as ADDRESSES: The complaint, except for systems, digital units, CPU units, alleged in the complaint and this notice any confidential information contained modem units, central units, power and to enter an initial determination therein, may be viewed on the amplifiers, or related software; radio and a final determination containing Commission’s electronic docket (EDIS) access network software; network such findings, and may result in the at https://edis.usitc.gov. For help management software; cloud radio issuance of an exclusion order or a cease accessing EDIS, please email access networks; virtual radio access and desist order or both directed against [email protected]. Hearing impaired networks; or radio access processing the respondent. individuals are advised that information platforms’’; By order of the Commission. (3) For the purpose of the on this matter can be obtained by Issued: February 8, 2021. investigation so instituted, the following contacting the Commission’s TDD Lisa Barton, terminal on (202) 205–1810. Persons are hereby named as parties upon which Secretary to the Commission. with mobility impairments who will this notice of investigation shall be need special assistance in gaining access served: [FR Doc. 2021–02876 Filed 2–11–21; 8:45 am] to the Commission should contact the (a) The complainants are: BILLING CODE 7020–02–P Office of the Secretary at (202) 205– Samsung Electronics Co., Ltd., 129 2000. General information concerning Samsung ro (Maetan-dong), the Commission may also be obtained Yeongtong-gu Suwon-si, Gyeonggi-do DEPARTMENT OF JUSTICE by accessing its internet server at 16677 Korea https://www.usitc.gov. Samsung Electronics America, Inc., 85 Antitrust Division FOR FURTHER INFORMATION CONTACT: Challenger Road, Ridgefield Park, NJ 07660 Notice Pursuant to the National Katherine Hiner, Office of the Secretary, Cooperative Research and Production (b) The respondents are the following Docket Services Division, U.S. Act of 1993—PXI Systems Alliance, entities alleged to be in violation of International Trade Commission, Inc. telephone (202) 205–1802. section 337, and are the parties upon SUPPLEMENTARY INFORMATION: which the complaint is to be served: Notice is hereby given that, on Authority: The authority for Ericsson AB, Torshamnsgatan 23, Kista, January 18, 2021, pursuant to Section institution of this investigation is 16480 Stockholm, Sweden 6(a) of the National Cooperative contained in section 337 of the Tariff Telefonaktiebolaget LM Ericsson, Research and Production Act of 1993, Act of 1930, as amended, 19 U.S.C. Torshamnsgatan 21, Kista, SE–164 83 15 U.S.C. 4301 et seq. (‘‘the Act’’), PXI 1337, and in section 210.10 of the Stockholm, Sweden Systems Alliance, Inc. (‘‘PXI Systems’’) Commission’s Rules of Practice and Ericsson Inc., 6300 Legacy Drive, Plano, has filed written notifications Procedure, 19 CFR 210.10 (2020). TX 75024 simultaneously with the Attorney Scope of Investigation: Having (4) For the investigation so instituted, General and the Federal Trade considered the complaint, the U.S. the Chief Administrative Law Judge, Commission disclosing changes in its International Trade Commission, on U.S. International Trade Commission, membership. The notifications were February 8, 2021, ORDERED THAT— shall designate the presiding filed for the purpose of extending the (1) Pursuant to subsection (b) of Administrative Law Judge. Act’s provisions limiting the recovery of section 337 of the Tariff Act of 1930, as The Office of Unfair Import antitrust plaintiffs to actual damages amended, an investigation be instituted Investigations will not participate as a under specified circumstances. to determine whether there is a party to this investigation. Specifically, Virginia Panel (individual), violation of subsection (a)(1)(B) of Responses to the complaint and the Waynesboro, VA, has been added as a section 337 in the importation into the notice of investigation must be party to this venture. United States, the sale for importation, submitted by the named respondents in In addition, Coherent Solutions or the sale within the United States after accordance with section 210.13 of the Limited has changed its name to importation of certain products Commission’s Rules of Practice and Quantifi Photonics, Auckland, New identified in paragraph (2) by reason of Procedure, 19 CFR 210.13. Pursuant to Zealand.

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No other changes have been made in Austin, TX; KWS SAAT SE, Lower Technologies, Seattle, WA have either the membership or planned Saxony, GERMANY; Repositive, withdrawn as parties to this venture. activity of the group research project. Cambridgeshire, UNITED KINGDOM; No other changes have been made in Membership in this group research and Fulcrum Direct Ltd., Wales,UNITED either the membership or planned project remains open, and PXI Systems KINGDOM have withdrawn as parties to activity of the group research project. intends to file additional written this venture. Membership in this group research notifications disclosing all changes in No other changes have been made in project remains open, and CBI intends membership. either the membership or planned to file additional written notifications On November 22, 2000, PXI Systems activity of the group research project. disclosing all changes in membership. filed its original notification pursuant to Membership in this group research On May 24, 2019, CBI filed its original Section 6(a) of the Act. The Department project remains open, and Pistoia notification pursuant to Section 6(a) of of Justice published a notice in the Alliance, Inc. intends to file additional the Act. The Department of Justice Federal Register pursuant to Section written notifications disclosing all published a notice in the Federal 6(b) of the Act on March 8, 2001 (66 FR changes in membership. Register pursuant to Section 6(b) of the 13971). On May 28, 2009, Pistoia Alliance, Act on June 21, 2019 (84 FR 29241). The last notification was filed with Inc. filed its original notification The last notification was filed with the Department on November 2, 2020. A pursuant to Section 6(a) of the Act. The the Department on June 16, 2020. A notice was published in the Federal Department of Justice published a notice notice was published in the Federal Register pursuant to Section 6(b) of the in the Federal Register pursuant to Register pursuant to Section 6(b) of the Act on November 23, 2020 (85 FR Section 6(b) of the Act on July 15, 2009 Act on July 16, 2020 (85 FR 43261). 74763). (74 FR 34364). Suzanne Morris, Suzanne Morris, The last notification was filed with the Department on October 19, 2020. A Chief, Premerger and Division Statistics, Chief, Premerger and Division Statistics, Antitrust Division. Antitrust Division. notice was published in the Federal Register pursuant to Section 6(b) of the [FR Doc. 2021–02928 Filed 2–11–21; 8:45 am] [FR Doc. 2021–02927 Filed 2–11–21; 8:45 am] Act on November 19, 2020 (85 FR BILLING CODE P BILLING CODE P 73749). Suzanne Morris, DEPARTMENT OF JUSTICE DEPARTMENT OF JUSTICE Chief, Premerger and Division Statistics, Antitrust Division. Antitrust Division Antitrust Division [FR Doc. 2021–02938 Filed 2–11–21; 8:45 am] Notice Pursuant to the National Notice Pursuant to the National BILLING CODE 4410–11–P Cooperative Research and Production Cooperative Research and Production Act of 1993—Consortium for Execution Act of 1993—Pistoia Alliance, Inc. DEPARTMENT OF JUSTICE of Rendezvous and Servicing Notice is hereby given that, on Operations January 11, 2021, pursuant to Section Antitrust Division Notice is hereby given that, on 6(a) of the National Cooperative Notice Pursuant to the National February 1, 2021, pursuant to Section Research and Production Act of 1993, Cooperative Research and Production 6(a) of the National Cooperative 15 U.S.C. Section 4301 et seq. (the Act of 1993—Consortium for Battery Research and Production Act of 1993, ‘‘Act’’), Pistoia Alliance, Inc. filed Innovation 15 U.S.C. 4301 et seq. (‘‘the Act’’), written notifications simultaneously Consortium for Execution of with the Attorney General and the Notice is hereby given that, on Rendezvous and Servicing Operations Federal Trade Commission disclosing January 15, 2021, pursuant to Section (‘‘CONFERS’’) filed written notifications changes in its membership. The 6(a) of the National Cooperative simultaneously with the Attorney notifications were filed for the purpose Research and Production Act of 1993, General and the Federal Trade of extending the Act’s provisions 15 U.S.C. 4301 et seq. (‘‘the Act’’), Commission disclosing changes in its limiting the recovery of antitrust Consortium for Battery Innovation membership. The notifications were plaintiffs to actual damages under (‘‘CBI’’) has filed written notifications filed for the purpose of extending the specified circumstances. Specifically, simultaneously with the Attorney Act’s provisions limiting the recovery of Titian Software, London, UNITED General and the Federal Trade antitrust plaintiffs to actual damages KINGDOM; Alexander Lavrentios Commission disclosing changes in its under specified circumstances. (individual), Wellesley, MA; Galapagos membership. The notifications were Specifically, ClearSpace SA, Lausanne, N.V., Vlaanderen, BELGIUM; Richard filed for the purpose of extending the SWITZERLAND; COMSPOC Lingard (individual), London, UNITED Act’s provisions limiting the recovery of Corporation, Exton, PA; Florida Institute KINGDOM; Adil Khan (individual), antitrust plaintiffs to actual damages of Technology, Melbourne, FL; L3Harris Lutherville, MD; McKinsey & Company, under specified circumstances. Technologies, Inc., Melbourne, FL; Berlin, GERMANY; QIAGEN, Redwood Specifically, Owens Corning, Motiv Space Systems, Pasadena, CA; City, CA; Sartorius, Gottingen, Apeldoorn, THE NETHERLANDS; and Zero-G Horizons Technologies, GERMANY; Mcule, Budapest, Eastman Auto & Power LTD; Solan, LLC, Daytona Beach, FL have been HUNGARY; MolPort, Riga, LATVIA; Himachal Preadesh, INDIA; Birla added as parties to this venture. Apheris AI GmbH, Berlin, GERMANY; Carbon, Marietta, GA; and Effective Space, London, UNITED ZS Associates, Inc., San Mateo, CA; Hollingsworth & Vose Company, East KINGDOM has withdrawn as a party to UMEDEOR Ltd., New York, NY; and US Walpole, MA have been added as this venture. Pharmacopeia, Rockville, MD have been parties to this venture. No other changes have been made in added as parties to this venture. Also, Also, Microtex Energy Private either the membership or planned UniteLabs AG, Basel-Stadt, Limited, Bengaluru, INDIA; Tydrolyte activity of the group research project. SWITZERLAND; Valtari Bio Inc., LLC, Troy, MI and EnerG2 Membership in this group research

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project remains open, and CONFERS Wireless, Inc, Los Angeles, CA; AL; Battelle Memorial Institute, intends to file additional written Emerging Technology Ventures, Inc., Columbus, OH; Bluestone Analytics, notifications disclosing all changes in Herndon, VA; Guidon Technology LLC., Charlottesville, VA; Nexus Life membership. Solutions, Inc., Alamogordo, NM; Cycle Management, LLC., Stevenson, On September 10, 2018, CONFERS Rampart Communications, Inc., WA; Sapient Logic, Escondido, CA; filed its original notification pursuant to Hanover, MD; RWC, Annapolis, MD; Swift Star Technologies, Inc, Austin, Section 6(a) of the Act. The Department Secmation LLC, Raleigh, NC; SHINE TX; Antenna Research Associates, Inc. of Justice published a notice in the Systems, LLC., Charlottesville, VA; Laurel, MD; Dover Microsystems, Inc., Federal Register pursuant to Section Athena Technologies, LLC., Orlando, Waltham, MA; Dutch Ridge Consulting 6(b) of the Act on October 19, 2018 (83 FL; Acumen Solutions, Inc., McLean, Group, Inc., Beaver, PA; Quanterion FR 53106). VA; TLC Solutions, Inc., Advanced Solutions Incorporated, Utica, NY; The last notification was filed with Ground Information Systems, Inc., the Department on November 18, 2020. Cellco, Marshall, VA; Cellco Partnership Jupiter, FL; Applied Information dba Verizon Wireless, Basking Ridge, A notice was published in the Federal Sciences, Inc. (AIS), Reston, VA; Blank Register pursuant to Section 6(b) of the MD; Fuse AI, Inc., Washington, DC; A- Slate Solution, Mount Pleasant, SC; Tech., LLC, Albuquerque, NM; Bright Act on November 30, 2020 (85 FR Huckworthy LLC., Promia Incorporated, 76603). Apps LLC., Walnut Creek, CA; and Novato, CA; Sequoia Holdings, LLC., Tomahawk Robotics Inc., Melbourne, FL Suzanne Morris Reston, VA; Signal Processing have been added as parties to this Technologies Inc., Merrimack, NH; Chief, Premerger and Division Statistics, venture. Antitrust Division. Technology and Communications [FR Doc. 2021–02940 Filed 2–11–21; 8:45 am] Systems Inc., Clearwater, FL; Artlin Also, Attollo, LLC., Cumberland, RI; BILLING CODE 4410–11–P Consulting, LLC., Vienna, VA; Axon Cask Technologies, LLC., San Diego, Enterprise Inc., Scottsdale, GA; Daines CA; CommTech Systems Inc., El Cajon, Advisory Inc., ALhambra, CA; MI CA; GSD, LLC., Williamsburg, VA; DEPARTMENT OF JUSTICE Technical Solutions Inc., Chesapeake, Heilig Defense Inc., Arlington, VA; VA; B23 LLC., Tysons, VA; LS Telcom, ODME Solutions, LLC., San Diego, CA; Antitrust Division Inc., Bowie, MD; Tygart Technology, OneRAN, LLC., Sunnyvale, CA; Inc., Fairmont, WV; Baker Street Notice Pursuant to the National PreTalen, Ltd., Beavercreek, OH; RPI Scientific, Inc., Rome, GA; BoxBoat Cooperative Research and Production Group Inc., Fredericksburg, VA; Act of 1993—Information Warfare Technologies, LLC., Bethesda, MD; Systems and Proposal Engineering Research Project Consortium Expansia Group LLC, Nashua, NA; Company (Spec Innovations), Manassas, UBERETHER, Inc., Sterling, VA; VA; Three Wire Systems, LLC., Falls Notice is hereby given that, on WILLCOR Inc., College Park, MD; Church, VA; and XST Inc., San Diego, February 1, 2021, pursuant to Section HigherEchelon, Inc., Huntsville, AL; CA have withdrawn from this venture. 6(a) of the National Cooperative COMSovereign Holding Corp., Dallas, Research and Production Act of 1993, TX; DEEPSIG, Arlington, VA; Granite No other changes have been made in 15 U.S.C. 4301 et seq. (‘‘the Act’’), Telecommunications LLC., Quincy, MA; either the membership or planned Information Warfare Research Project ProSync Technology Group, Ellicott activity of the group research project. Consortium (‘‘IWRP’’) has filed written City, MD; The MIL Corporation, Bowie, Membership in this group research notifications simultaneously with the MD; XATOR Corporation, Reston, VA; project remains open, and IWRP intends Attorney General and the Federal Trade BIAS Corporation, Rosewell, GA; to file additional written notifications Commission disclosing changes in its Bluemont Technology & Research, Inc., disclosing all changes in membership. membership. The notifications were Luray, VA; Ansys, Inc., Canonsburg, PA; On October 15, 2018, IWRP filed its filed for the purpose of extending the DeVilliers Technology Solutions, original notification pursuant to Section Act’s provisions limiting the recovery of Stafford, VA; ITC Defense Corp, 6(a) of the Act. The Department of antitrust plaintiffs to actual damages Arlington, VA; ReefPoint Group LLC, Justice published a notice in the Federal under specified circumstances. Annapolis, MD; Saltenna, Mclean, VA; Register pursuant to Section 6(b) of the General Electric Company, Niskayuna, Specifically, Belle Artificial Intelligence Act on October 23, 2018 (83 FR 53499). Corporation, Cambridge, MA; Raytheon NY; Trilogic Systems Corporation, Integrated Defense Systems, Gloucester, MA; CellAntenna The last notification was filed with Portsmouth, RI; SafeFlights Inc /d/b/a Corporation, Coral Springs, FL; Corsair the Department on November 9, 2020. A 14bis Supply Tracking, Burlington, MA; Technical Services Inc., Bellevue, WA; notice was published in the Federal IERUS Technologies, Inc., Huntsville, Ericsson Inc., Plano, TX; Immersion Register pursuant to Section 6(b) of the AL; Norseman Defense Services, Inc., Consulting, LLC., Annapolis, MD; Raft Act on November 20, 2020 (85 FR Elkridge, SC; Opal Soft, Inc., Sunnyvale, LLC., Reston, VA; Skylark Wireless 74384). CA; Amentum Services Inc., Denver, LLC., Houston, TX; I2TSMEGLOBAL, CO; Southern Aerospace Company LLC, San Antonio, TX; American Defense Suzanne Morris, Madison, AL; Georgia Tech Applied International, Inc., West Tower, DC, FL; Chief, Premerger and Division Statistics, Research Corporation (GTARC), Atlanta, II–VI Aerospace & Defense Inc., Antitrust Division. GA; MarkLogic Corp, LLC., San Carlos, Murrieta, CA; Selection Pressure LLC [FR Doc. 2021–02955 Filed 2–11–21; 8:45 am] MD; Inonde, Mclean, VA; Intrinsic dba Ion Channel, Alexandria, VA; KNC BILLING CODE P Enterprises Inc., Newcastle, WA; KeyW Strategic Services, Oceanside, CA; Saab Corp, Severn, MD; Ocean Power Barracuda LLC., Lillington, NC; CAE Technologies, Inc., Monroe Township, USA MSI, Tampa, FL; CoVar Applied NJ; Salesforce.com, Inc., San Francisco, Technologies, McLean, VA; Nutronics, CA; VIAVI Solutions, LLC, Colorado Inc., Longmont, CO; R2 Space, Inc. Springs, CO; Prescient Edge d/b/a Orbital Effects, Ann Arbor, MI; Corporation, McLean, VA; Boingo Kord Technoloiges, LLC., Huntsville,

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DEPARTMENT OF JUSTICE Dumfries, VA, have been added as Membership in this group research parties to this venture and the members project remains open, and RIC-Americas Antitrust Division of the National Armaments Consortium intends to file additional written (NAC), whose last filing can be found at notifications disclosing all changes in Notice Pursuant to the National (86 FR 5251). membership. Cooperative Research and Production Also, Alion Science and Technology On April 30, 2014, RIC-Americas filed Act of 1993—Naval Surface Corporation, New London, CT has its original notification pursuant to Technology & Innovation Consortium withdrawn as a party to this venture. Section 6(a) of the Act. The Department Notice is hereby given that, on No other changes have been made in of Justice published a notice in the January 22, 2021, pursuant to Section either the membership or planned Federal Register pursuant to Section 6(a) of the National Cooperative activity of the group research project. 6(b) of the Act on June 9, 2014 (79 FR Research and Production Act of 1993, Membership in this group research 32999). The last notification was filed with 15 U.S.C. 4301 et seq. (‘‘the Act’’), Naval project remains open, and NSTIC the Department on December 29, 2020. Surface Technology & Innovation intends to file additional written A notice was published in the Federal Consortium (‘‘NSTIC’’) has filed written notifications disclosing all changes in Register pursuant to Section 6(b) of the notifications simultaneously with the membership. On October 8, 2019, NSTIC filed its Act on January 8, 2021 (86 FR 1526). Attorney General and the Federal Trade original notification pursuant to Section Commission disclosing changes in its Suzanne Morris, 6(a) of the Act. The Department of membership. The notifications were Chief, Premerger and Division Statistics, Justice published a notice in the Federal filed for the purpose of extending the Antitrust Division. Register pursuant to Section 6(b) of the Act’s provisions limiting the recovery of [FR Doc. 2021–02931 Filed 2–11–21; 8:45 am] Act on November 12, 2019 (84 FR antitrust plaintiffs to actual damages BILLING CODE P 61071). under specified circumstances. The last notification was filed with Specifically, Acutronic USA, Inc., the Department on November 11, 2020. Pittsburgh, PA; Aery Aviation, LLC, DEPARTMENT OF JUSTICE A notice was published in the Federal Newport News, VA; Alare Technologies, Register pursuant to Section 6(b) of the Moorpark, CA; Alluvionic Inc., Antitrust Division Act on November 23, 2020 (85 FR Melbourne, FL; Applied Information 74763). Notice Pursuant to The National Sciences, Inc. (AIS), Reston, VA; Cooperative Research and Production Applied Nanotech Inc., Austin, TX; Suzanne Morris, Act of 1993—Space Enterprise ´ Arete Associates, Northridge, CA; Chief, Premerger and Division Statistics, Consortium Averatek Corporation, Santa Clara, CA; Antitrust Division. AVX Aircraft Company, Benbrook, TX; [FR Doc. 2021–02923 Filed 2–11–21; 8:45 am] Notice is hereby given that, on CellAntenna Corporation, Coral Springs, BILLING CODE 4410–11–P February 1, 2021, pursuant to Section FL; Cohere Solutions, LLC, Reston, VA; 6(a) of the National Cooperative Cova Strategies, LLC, Albuquerque, NM; Research and Production Act of 1993, Daniel Defense, Inc., Black Creek, GA; DEPARTMENT OF JUSTICE 15 U.S.C. 4301 et seq. (‘‘the Act’’), Space Electronics Development Corporation, Enterprise Consortium (‘‘SpEC’’) has Columbia, MD; EPIQ Design Solutions, Antitrust Division filed written notifications Inc. d/b/a Epiq Solutions, Rolling simultaneously with the Attorney Notice Pursuant to the National Meadows, IL; Exyn Technologies, General and the Federal Trade Cooperative Research and Production Philadelphia, PA; Global Air Logistics Commission disclosing changes in its Act of 1993—Cooperative Research and Training, Inc., Del Mar, CA; Great membership. The notifications were Group on Ros-Industrial Consortium Lakes Sound & Vibration, Inc., filed for the purpose of extending the Americas Houghton, MI; IMSAR, LLC, Springville, Act’s provisions limiting the recovery of UT; MagiQ Technologies, Inc., Notice is hereby given that, on antitrust plaintiffs to actual damages Somerville, MA; Maztech Industries, January 27, 2021, pursuant to Section under specified circumstances. LLC, Irvine, CA; Mikros Systems 6(a) of the National Cooperative Specifically, 202 Group, LLC, Corporation, Fort Washington, PA; NKT Research and Production Act of 1993, Washington, DC; Adaptive Optics Photonics, Inc., Boston, MA; North 15 U.S.C. 4301 et seq. (‘‘the Act’’), Associates, Inc., Devens, MA; Addx Atlantic Industries, Bohiemia, NY; Southwest Research Institute— Corporation, Alexandria, VA; ADNET Northeast Information Discovery, Cooperative Research Group on ROS- Systems, Inc., Bethesda, MD; Canastota, NY; Novetta, Inc., McLean, Industrial Consortium-Americas (‘‘RIC- Alluvionic, Inc., Melbourne, FL; VA; Phased n Research, Inc., Huntsville, Americas’’) has filed written Altagrove LLC, Herndon, VA; Atomos AL; Physical Optics Corporation—a notifications simultaneously with the Nuclear and Space Corporation, Denver, Mercury Company, Torrance, CA; Attorney General and the Federal Trade CO; Batelle Memorial Institute, Product Development Associates, Inc., Commission disclosing changes in its Columbus, OH; Caliola Engineering, Burnsville, MN; ProSync Technology membership. The notifications were LLC, Colorado Springs, CO; Celeris Group, Ellicott City, MD; Satelles, Inc., filed for the purpose of extending the Systems, Inc., Anaheim, CA; ClimaCell, Reston, VA; Spatial Integrated Systems, Act’s provisions limiting the recovery of Inc., Boston, MA; Constellation Inc., Virginia Beach, VA; Starwin antitrust plaintiffs to actual damages Software Engineering Corp., Annapolis, Industries, LLC, Dayton, OH; Surface under specified circumstances. MD; Constellation Technologies, Inc., Optics Corporation, San Diego, CA; Specifically, Arc Specialties, Houston, Severn, MD; DornerWorks, Ltd., Grand Technology Advancement Group, Inc., TX has been added as a party to this Rapids, MI; Edison Welding Institute, Dulles, VA; TenCate Advanced Armor venture. Inc. (DBA EWI), Columbus, OH; Export USA, Inc., Goleta, CA; University of No other changes have been made in Compliance Connections, Maineville, Arizona Applied Research Corporation, either the membership or planned OH; Integral & Open Systems, Inc., Tucson, AZ; and XR2LEAD LLC, activity of the group research project. Ypsilanti, MI; Integrity Communications

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Solutions, Colorado Springs, CO; Jeffrey DEPARTMENT OF JUSTICE DEPARTMENT OF JUSTICE Okamitsu dba Blue Force Consulting, Westminster, MD; L2 Aerospace LLC, Antitrust Division Antitrust Division Melbourne, FL; Launchspace Technologies Corporation, Fort Myers, Notice Pursuant to the National Notice Pursuant to the National FL; Lynk Global, Inc., Falls Church, VA; Cooperative Research and Production Cooperative Research and Production Moog, Inc. (Moog Broad Reach), Gilbert, Act of 1993—Integrated Photonics Act of 1993—The Institute of Electrical AZ; Moog, Inc. (Moog CSA Business Institute for Manufacturing Innovation and Electronics Engineers, Inc. Unit), Mountain View, CA; Nebula Operating Under the Name of the Notice is hereby given that, on Space Enterprise, Inc., San Diego, CA; American Institute for Manufacturing January 11, 2021, pursuant to Section Novetta, Inc., McLean, VA; Persistant Integrated Photonics 6(a) of the National Cooperative Systems LLC, New York, NY; Qwest Notice is hereby given that, on Research and Production Act of 1993, Government Services, Inc. dba Century January 21, 2021, pursuant to Section 15 U.S.C. 4301 et seq. (‘‘the Act’’), The Link QGS, Herndon, MD; SaraniaSAT, 6(a) of the National Cooperative Institute of Electrical and Electronics Inc., Tujunga, CA; Space Domain Research and Production Act of 1993, Engineers, Inc. (‘‘IEEE’’) has filed Awareness, Inc., Orlando, FL; Sphinx 15 U.S.C. 4301 et seq. (‘‘the Act’’), the written notifications simultaneously Defense, Inc., Washington, DC; The Integrated Photonics Institute for with the Attorney General and the JAAW Group LLC, Cottonwood Heights, Manufacturing Innovation operating Federal Trade Commission disclosing UT; Ultool, LLC, Duluth, GA; Verizon under the name of the American additions or changes to its standards Business Network Services, Inc., Institute for Manufacturing Integrated development activities. The Ashburn, VA; Virginia Systems and Photonics (‘‘AIM Photonics’’) has filed notifications were filed for the purpose Technology, Inc., Warrenton, VA; and written notifications simultaneously of extending the Act’s provisions Willowview Consulting, LLC, Eagle, MD with the Attorney General and the limiting the recovery of antitrust have been added as parties to this Federal Trade Commission disclosing plaintiffs to actual damages under venture. changes in its membership. The specified circumstances. Specifically, 25 Also, Alliance Technology Group, notifications were filed for the purpose new standards have been initiated and Hanover, MD; Carahsoft Technology of extending the Act’s provisions 21 existing standards are being revised. Corp., Reston, VA; and Rockwell limiting the recovery of antitrust More detail regarding these changes can Collins, Cedar Rapids, IA have plaintiffs to actual damages under be found at: https://standards.ieee.org/ withdrawn as parties to this venture. specified circumstances. Specifically, about/sasb/sba/dec2020.html. No other changes have been made in Universal Thin Film Lab Corporation, The following pre-standards activities either the membership or planned Newburgh, NY; and The Regents of the associated with IEEE Industry activity of the group research project. University of California Irvine, Irvine, Connections (IC) Activities were Membership in this group research CA have been added as parties to this launched or renewed. In addition, the project remains open, and SpEC intends venture. following IEEE SA Registries associated to file additional written notifications No other changes have been made in with the IEEE Registration Authority disclosing all changes in membership. either the membership or planned (RA) were established to promulgate On August 23, 2018, SpEC filed its activity of the group research project. IEEE standards. More detail regarding original notification pursuant to Section Membership in this group research these can be found at: https:// 6(a) of the Act. The Department of project remains open, and AIM standards.ieee.org/about/bog/smdca/ Justice published a notice in the Federal Photonics intends to file additional december2020.html. Register pursuant to Section 6(b) of the written notifications disclosing all On September 17, 2004, IEEE filed its Act on October 2, 2018 (83 FR 49576). changes in membership. original notification pursuant to Section The last notification was filed with On June 16, 2016, AIM Photonics 6(a) of the Act. The Department of the Department on October 27, 2020. A filed its original notification pursuant to Justice published a notice in the Federal notice was published in the Federal Section 6(a) of the Act. The Department Register pursuant to Section 6(b) of the Register pursuant to Section 6(b) of the of Justice published a notice in the Act on November 3, 2004 (69 FR 64105). Act on November 20, 2020 (85 FR Federal Register pursuant to Section The last notification was filed with 74385). 6(b) of the Act on July 25, 2016 (81 FR the Department on October 22, 2020. A 48450). Suzanne Morris, notice was published in the Federal Chief, Premerger and Division Statistics, The last notification was filed with Register pursuant to Section 6(b) of the Antitrust Division. the Department on October 2, 2020. A Act on November 24, 2020 (85 FR [FR Doc. 2021–02945 Filed 2–11–21; 8:45 am] notice was published in the Federal 75035). Register pursuant to Section 6(b) of the BILLING CODE P Suzanne Morris, Act on October 30, 2020 (85 FR 68918). Chief, Premerger and Division Statistics, Suzanne Morris, Antitrust Division. Chief, Premerger and Division Statistics, [FR Doc. 2021–02930 Filed 2–11–21; 8:45 am] Antitrust Division. BILLING CODE P [FR Doc. 2021–02933 Filed 2–11–21; 8:45 am] BILLING CODE P

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DEPARTMENT OF JUSTICE Register pursuant to Section 6(b) of the No other changes have been made in Act on March 11, 2020 (85 FR 14247). either the membership or planned Antitrust Division activity of the group research project. Suzanne Morris, Membership in this group research Notice Pursuant to the National Chief, Premerger and Division Statistics, project remains open, and NSC intends Antitrust Division. Cooperative Research and Production to file additional written notifications Act of 1993—3D PDF Consortium Inc. [FR Doc. 2021–02919 Filed 2–11–21; 8:45 am] disclosing all changes in membership. BILLING CODE P Notice is hereby given that, on On September 24, 2014, NSC filed its January 22, 2021, pursuant to Section original notification pursuant to Section 6(a) of the National Cooperative DEPARTMENT OF JUSTICE 6(a) of the Act. The Department of Research and Production Act of 1993, Justice published a notice in the Federal 15 U.S.C. 4301 et seq. (‘‘the Act’’), 3D Antitrust Division Register pursuant to Section 6(b) of the PDF Consortium Inc. (‘‘3D PDF’’) has Act on November 4, 2014 (79 FR 65424). filed written notifications Notice Pursuant to the National The last notification was filed with simultaneously with the Attorney Cooperative Research and Production the Department on November 10, 2020. General and the Federal Trade Act of 1993—National Spectrum A notice was published in the Federal Commission disclosing changes in its Consortium Register pursuant to Section 6(b) of the Act on November 23, 2020 (85 FR membership. The notifications were Notice is hereby given that, on 74762). filed for the purpose of extending the January 15, 2021, pursuant to Section Act’s provisions limiting the recovery of 6(a) of the National Cooperative Suzanne Morris, antitrust plaintiffs to actual damages Research and Production Act of 1993, Chief, Premerger and Division Statistics, under specified circumstances. 15 U.S.C. 4301 et seq. (‘‘the Act’’), Antitrust Division. Specifically, Kubotek3D, Marlborough, National Spectrum Consortium (‘‘NSC’’) [FR Doc. 2021–02918 Filed 2–11–21; 8:45 am] MA, has been added as a party to this has filed written notifications BILLING CODE 4410–11–P venture. simultaneously with the Attorney Also, Linda Shave (individual), General and the Federal Trade Endwell, NY; NetApp Inc., Waltham, Commission disclosing changes in its MA; Patricia C. Franks (individual), membership. The notifications were DEPARTMENT OF LABOR NorthWard, Australia; Jean-Franc¸ois filed for the purpose of extending the Employee Benefits Security Blanchette (individual), Los Angeles, Act’s provisions limiting the recovery of Administration CA; KOM Software, Ottawa, Canada; antitrust plaintiffs to actual damages Terri Jackson (individual), Waterloo, under specified circumstances. [Exemption Application No. D–12018] Canada; Amitabh Srivastav (individual), Specifically, PAE Applied Ottawa, Canada; Lucidi Piergiorgio Technologies, Fort Worth, TX; Mantech Proposed Exemption for Certain (individual), Roma, Italy; Ontario Advanced Systems International Prohibited Transaction Restrictions Lottery Group, Toronto, Canada; Kamel Incorporated, Herndon, VA; Intelsat Involving DWS Investment Shaath (individual), Ottawa, Canada; General Communications LLC, McLean, Management Americas, Inc. (DIMA or Owen Ambur (individual), Hilton Head, VA; Micron Technology Inc., Seattle, the Applicant) and Certain Current and SC; Rick Laxman (individual), Salt Lake WA; CellAntenna Corporation, Coral Future Asset Management Affiliates of City, UT; Bill Corey (individual), Springs, FL; NxGen Partners Manager, Deutsche Bank AG (Each a DB QPAM) Charlottesville, VA; National Institute of LLC, Dallas, TX; Granite Located in New York, New York Standards and Technology (NIST) Telecommunications, McLean, VA; Engineering Lab, Gaithersburg, MD; AFP 1901 Group, LLC, Reston, VA; Anritsu AGENCY: Employee Benefits Security Consortium, Corvallis, OR; Association Company, Morgan Hills, CA; Capraro Administration, Labor. for Digital Document Standards e.V., Technologies, Inc., Utica, NY; Cirrus360 ACTION: Notice of Proposed Exemption. Berlin, Germany; and Aras Corporation, LLC, Richardson, TX; Rafael System Andover, MA, have withdrawn as Global Sustainment, LLC, Bethesda, SUMMARY: This document provides parties to this venture. MD; Gigamon Inc., Santa Clara, CA; notice of the pendency before the Additionally, ITI TranscenData MedCognition, Inc., San Antonio, TX; Department of Labor (the Department) of Business has changed its name to ITI, a Kutta Technologies, Inc., Phoenix, AZ a proposed individual exemption from Wipro company, Milford, OH. have been added as parties to this certain of the prohibited transaction No other changes have been made in venture. restrictions of the Employee Retirement either the membership or planned Also, Ball Aerospace & Technologies Income Security Act of 1974 (ERISA or activity of the group research project. Corp, Fairborn, OH; Beatty and the Act) and/or the Internal Revenue Membership in this group research Company Computing Inc., Southlake, Code of 1986 (the Code). If this project remains open, and 3D PDF TX; Sprint Solutions, Inc., Overland proposed exemption is granted, certain intends to file additional written Park, KS; Indiana Tool & Mfg. Co., Inc. entities with specified relationships to notifications disclosing all changes in DBA ITAMCO, Plymouth, IN; Bear Deutsche Bank AG will not be membership. Systems, Boulder, CO; Vectrona, LLC, precluded from relying on the On March 27, 2012, 3D PDF filed its Virginia Beach, VA; Pareto Frontier, exemptive relief provided by Prohibited original notification pursuant to Section LLC, Westford, MA; IJK Controls LLC, Transaction Class Exemption 84–14. 6(a) of the Act. The Department of Dallas, TX; IMSAR LLC, Springville, DATES: If granted, this proposed Justice published a notice in the Federal UT; Phase Sensitive Innovations, Inc., exemption will be in effect for a period Register pursuant to Section 6(b) of the Newark, DE; Technology Unlimited of three (3) years beginning on April 18, Act on April 20, 2012 (77 FR 23754). Group, San Diego, CA; University of 2021. Written comments and requests The last notification was filed with Arizona—Electrical and Computer for a public hearing on the proposed the Department on February 21, 2020. A Engineering, Tucson, AZ have exemption should be submitted to the notice was published in the Federal withdrawn as parties from this venture. Department by March 22, 2021.

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ADDRESSES: All written comments and hearing if: (1) The request for the certain current and future affiliates of requests for a hearing (at least three hearing does not meet the requirements Deutsche Bank (each a DB QPAM) shall copies) should be sent to the Employee above; (2) the only issues identified for not be precluded from relying on the Benefits Security Administration exploration at the hearing are matters of class exemptive relief granted in (EBSA), Office of Exemption law; or (3) the factual issues identified Prohibited Transaction Exemption (PTE) Determinations, U.S. Department of can be fully explored through the 84–14 (PTE 84–14 or the QPAM Class Labor, 200 Constitution Avenue NW, submission of evidence in written Exemption), notwithstanding the 2017 Suite 400, Washington, DC 20210, (including electronic) form. criminal conviction of DB Group Attention: Application No. D–12018 or Warning: All comments received will Services UK Limited (the U.S. via private delivery service or courier to be included in the public record Conviction), provided the conditions set the Employee Benefits Security without change and may be made forth in the exemption are met.2 This Administration (EBSA), Office of available online at http:// proposed exemption, if granted, will be Exemption Determinations, U.S. www.regulations.gov, including any effective for a period of three (3) years Department of Labor, 122 C St. NW, personal information provided, unless beginning on April 18, 2021, provided Suite 400, Washington, DC 20001. the comment includes information that the conditions, as set forth below in Attention: Application No. D–12018. claimed to be confidential or other Section I are satisfied. Interested persons may also submit information whose disclosure is Summary of Facts and comments and/or hearing requests to restricted by statute. If you submit a Representations 3 EBSA via email to [email protected] or by comment, EBSA recommends that you FAX to (202) 693–8474, or online include your name and other contact Deutsche Bank through http://www.regulations.gov. information in the body of your comment, but DO NOT submit 1. Deutsche Bank is a publicly-held Any such comments or requests should global banking and financial services be sent by the end of the scheduled information that you consider to be confidential, or otherwise protected company headquartered in Frankfurt, comment period. The application for Germany. Deutsche Bank, with and exemption and the comments received (such as Social Security number or an unlisted phone number) or confidential through its affiliates, subsidiaries, and will be available for public inspection in branches, provides a wide range of the Public Disclosure Room of the business information that you do not want publicly disclosed. However, if services to corporations, institutions, Employee Benefits Security governments, employee benefit plans, Administration, U.S. Department of EBSA cannot read your comment due to technical difficulties and cannot contact and private investors, among others. Labor, Room N–1515, 200 Constitution 2. Deutsche Bank’s asset management Avenue NW, Washington, DC 20210. you for clarification, EBSA might not be able to consider your comment. affiliates that currently qualify as See SUPPLEMENTARY INFORMATION below ‘‘qualified professional asset managers’’ for additional information regarding Additionally, the http:// www.regulations.gov website is an (as defined in Section VI(a) of PTE 84– comments. 4 ‘‘anonymous access’’ system, which 14), and that rely on the relief provided FOR FURTHER INFORMATION CONTACT: means EBSA will not know your by PTE 84–14, are DIMA, a Delaware Frank Gonzalez of the Department at identity or contact information unless corporation; RREEF America L.L.C., a (202) 693–8553. (This is not a toll-free you provide it in the body of your Delaware limited liability company; number.) comment. If you send an email directly DWS Alternatives Global Limited, an SUPPLEMENTARY INFORMATION: to EBSA without going through http:// entity based in London, United Kingdom; and DWS Investments Comments www.regulations.gov, your email address will be automatically captured Australia Limited, which is based in Comments should state the nature of and included as part of the comment Sydney, Australia (the DB QPAMs). The the person’s interest in the proposed that is placed in the public record and DB QPAMs’ clients include plans that exemption and the manner in which the made available on the internet. are subject to Part 4 of Title I of ERISA person would be adversely affected by (ERISA Plans) or section 4975 of the the exemption, if granted. Any person Background Code (IRAs) with respect to which the who may be adversely affected by an The Department is considering DB QPAMs rely on PTE 84–14, or with exemption can request a hearing on the granting an exemption under the respect to which the DB Affiliated exemption. A request for a hearing must authority of section 408(a) of the QPAMs (or a Deutsche Bank affiliate) state: (1) The name, address, telephone Employee Retirement Income Security have expressly represented that the number, and email address of the Act of 1974, as amended (ERISA or the managers qualify as a QPAM or rely on person making the request; (2) the Act), and section 4975(c)(2) of the the QPAM Exemption. The proposed nature of the person’s interest in the Internal Revenue Code of 1986, as exemption refers to these plans as exemption and the manner in which the amended (the Code), and in accordance person would be adversely affected by with the procedures set forth in 29 CFR 2 49 FR 9494 (March 13, 1984), as corrected at 50 the exemption; and (3) a statement of part 2570, subpart B (75 FR 66637, FR 41430 (October 10, 1985), as amended at 70 FR 66644, October 27, 2011).1 49305 (August 23, 2005), and as amended at 75 FR the issues to be addressed and a general If the 38837 (July 6, 2010), hereinafter referred to as ‘‘PTE description of the evidence to be proposed exemption is granted, certain 84–14’’ or the ‘‘QPAM Exemption.’’ presented at the hearing. The qualified professional asset managers 3 The Summary of Facts and Representations is Department will grant a request for a within the corporate family of Deutsche based on the Applicant’s representations, and does hearing made in accordance with the Bank AG (Deutsche Bank), including not reflect factual findings or opinions of the DWS Investment Management Americas Department, unless indicated otherwise. requirements above where a hearing is 4 In general terms, a QPAM is an independent necessary to fully explore material Inc. (DIMA or the Applicant), and fiduciary that is a bank, savings and loan factual issues identified by the person association, insurance company, or investment requesting the hearing. A notice of such 1 For purposes of this proposed exemption, adviser that meets certain equity or net worth hearing shall be published by the references to specific provisions of Title I of the requirements and other licensure requirements and Act, unless otherwise specified, should be read to that has acknowledged in a written management Department in the Federal Register. The refer as well to the corresponding provisions of agreement that it is a fiduciary with respect to each Department may decline to hold a section 4975 of the Code. plan that has retained the QPAM.

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Covered Plans. For purposes of this entity or an ‘‘affiliate’’ 7 thereof or any nine months, notwithstanding the proposed exemption, a Covered Plan owner, direct or indirect, of a 5 percent Korean Conviction.8 PTE 2015–15 had does not include an ERISA-covered plan or more interest in the QPAM has, an effective date of January, 25, 2016, or IRA to the extent the DB QPAM has within 10 years immediately preceding which was the day on which the Korean expressly disclaimed reliance on QPAM the transaction, been either convicted or court entered the Korean Conviction. status or PTE 84–14 in entering into a released from imprisonment, whichever 11. On October 28, 2016, the contract, arrangement, or agreement is later, as a result of criminal activity Department granted PTE 2016–12, also with the ERISA-covered plan or IRA. described in that section. in connection with the First Request, 7. The inclusion of Section I(g) in PTE which extended the relief provided in Relevant ERISA Provisions and PTE 84– 84–14 is, in part, based on an PTE 2015–15.9 PTE 2016–12 had an 14 expectation that QPAMs will maintain a effective date of October 24, 2016, and 3. The rules set forth in section 406 high standard of integrity. This was scheduled to end on the earlier of of ERISA and section 4975(c)(1) of the expectation extends not only to the April 23, 2017, or the effective date of Code proscribe certain ‘‘prohibited QPAM itself, but also to those who may the Department’s final action in transactions’’ between plans and related be in a position to influence the policies connection with the exemption request. parties with respect to those plans. of the QPAM. 12. On December 22, 2016, the Under ERISA, such parties are known as Prior Conviction and Related Department published PTE 2016–13, in ‘‘parties in interest.’’ Under section Exemptions connection with the Second Request, 3(14) of ERISA, parties in interest with which granted temporary exemptive respect to a plan include, among others, 8. On October 11, 2011, DIMA first relief permitting DB QPAMs to rely on the plan fiduciary, a sponsoring requested an administrative exemption PTE 84–14 for a period of nine months, employer of the plan, a union whose from the Department (the First Request) notwithstanding the Korean Conviction to allow certain DB QPAMs to continue members are covered by the plan, and the U.S. Conviction (collectively, utilizing the relief set forth in PTE 84– service providers with respect to the the Convictions).10 PTE 2016–13 had an 14, notwithstanding an impending plan, and certain of their affiliates.5 effective date of April 18, 2017, ending criminal conviction of Deutsche 4. The prohibited transaction on the earlier of twelve months or the Securities Korea Co. (DSK), a Deutsche provisions under section 406(a) of effective date of the Department’s grant Bank subsidiary based in the Republic ERISA and 4975(c)(1) of the Code of permanent exemptive relief. of Korea (Korea), under Korean law for prohibit, in relevant part, sales, leases, 13. On December 29, 2017, the spot/futures-linked market price loans or the provision of services Department granted PTE 2017–04,11 between a party in interest and a plan manipulation (the Korean Conviction). 9. While the Department was which provided temporary exemptive (or an entity whose assets are plan considering the First Request, DIMA relief, permitting the DB QPAMs to assets), as well as the use of plan assets submitted a second exemption continue to rely on PTE 84–14 for a by or for the benefit of, or a transfer of period of three years beginning April 18, 6 application (the Second Request) to plan assets to, a party in interest. allow certain DB QPAMs to continue 2018, and ending on April 17, 2021, Under the authority of section 408(a) of relying on PTE 84–14 for a period of 10 notwithstanding the Convictions. ERISA and section 4975(c)(2) of the years, notwithstanding both the Korean Thereafter, on February 18, 2018, the Code, the Department has the authority Conviction, and the then-anticipated Department issued certain technical to grant exemptions from such additional criminal conviction of DB corrections with respect to PTE 2017– 12 ‘‘prohibited transactions’’ in accordance Group Services UK Limited (DB Group 04. with the procedures set forth in 29 CFR Services), Deutsche Bank’s indirect 14. On December 12, 2018, Korea’s part 2570, subpart B (76 FR 66637, wholly-owned subsidiary based in Seoul High Court for the 7th Criminal 66644, October 27, 2011). London, United Kingdom, under U.S. Division reversed the Seoul Central 5. PTE 84–14 reflects the law for one count of wire fraud in District Court’s decision and declared Department’s conclusion that it could connection with its role in manipulating the defendants not guilty. Korea’s Seoul provide broad relief from the prohibited the United States Dollar (U.S. Dollar) High Court’s decision is currently under transaction provisions of section 406(a) based London Interbank Offered Rate appellate review. of ERISA and 4975(c)(1) of the Code, in (LIBOR) (the U.S. Conviction). the circumstances set forth in that The Applicant’s Third Exemption 10. On September 4, 2015, the Request exemption, only if the commitments Department published PTE 2015–15, in and the investments of plan assets, and connection with the First Request, 15. On April 24, 2020, the Applicant the negotiations leading thereto, are the which provided temporary exemptive submitted another prohibited sole responsibility of an independent, relief permitting DB QPAMs to continue transaction exemption application (the discretionary manager. relying on PTE 84–14 for a period of Third Request) seeking to extend the 6. Section I(g) of PTE 84–14 prevents relief provided in PTE 2017–04, which an entity that may otherwise meet the 7 Section VI(d) of PTE 84–14 defines the term expires on April 17, 2021, for an definition of a QPAM from utilizing the ‘‘affiliate’’ for purposes of Section I(g) as ‘‘(1) Any additional six years. The Applicant exemptive relief provided by PTE 84– person directly or indirectly through one or more requested that the reversed Korean 14, for itself and its client plans, if that intermediaries, controlling, controlled by, or under Conviction not be taken into common control with the person, (2) Any director of, relative of, or partner in, any such person, (3) consideration in enacting conditions for 5 Under the Code such parties, or similar parties, Any corporation, partnership, trust or the Third Request. are referred to as ‘‘disqualified persons.’’ unincorporated enterprise of which such person is 6 The prohibited transaction provisions also an officer, director, or a 5 percent or more partner 8 80 FR 53574 (September 4, 2015). include certain fiduciary prohibited transactions or owner, and (4) Any employee or officer of the 9 under section 406(b) of ERISA and 4975(c)(1)(E) person who—(A) Is a highly compensated employee 81 FR 75153 (October 28, 2016). and (F) of the Code. These include transactions (as defined in Section 4975(e)(2)(H) of the Code) or 10 81 FR 94028 (December 22, 2016). involving fiduciary self-dealing, fiduciary conflicts officer (earning 10 percent or more of the yearly 11 82 FR 61840 (December 29, 2017). of interest, and kickbacks to fiduciaries. PTE 84–14 wages of such person), or (B) Has direct or indirect 12 Unless otherwise noted, PTEs 2015–15, 2016– provides only very narrow conditional relief for authority, responsibility or control regarding the 12, 2016–13, and 2017–04 are also referred to transactions described in Section 406(b) of ERISA. custody, management or disposition of plan assets.’’ herein as the ‘‘Prior Exemptions.’’

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16. According to the Applicant, since treated consistently with other Deutsche Bank employed send IBORs the granting of PTE 2017–04, the DB similarly-situated applicants; 13 (d) the that would benefit the traders’ QPAMs have enhanced their policies Compliance Officer requirement that derivatives positions rather than and procedures, implemented numerous PTE 2017–04 imposed is a reasonable accurate rates that comported with the protocols to improve their compliance substitute for a full audit; and (e) definitional provisions governing processes, and acted in accordance with elimination of the audit requirement IBORs. The Traders’ misconduct a culture of regulatory compliance in would benefit Covered Plan participants affected the value, and cash flows, of the asset management business. The because audits are expensive and derivatives contracts, including interest Applicant states that, if the extension of require the expenditure of significant rate swap contracts. PTE 2017–04 is denied, the DB QPAMs amounts of time by the asset managers’ 23. The Department also notes that on may be effectively eliminated as asset control functions. January 8, 2021, Deutsche Bank entered managers for many ERISA-covered 20. Alternatively, in the event that the into a deferred prosecution agreement plans and IRAs because they would be Department requires additional audits, with the U.S. Department of Justice. unable to provide the trading the Applicant asks the Department to Deutsche Bank agreed to pay more than efficiencies and breadth of investment impose an audit requirement every $130 million to resolve the U.S. choices and potential counterparties other year, as imposed on other government’s investigation into afforded by the QPAM Exemption. applicants convicted of a single crime. violations of the Foreign Corrupt 17. The Applicant states that the Department’s Response: As noted by Practices Act (FCPA) and a separate proposed exemption may prevent the the Applicant, the Department has investigation into a commodities fraud following harms/costs to affected plans: previously granted individual scheme. The resolution includes Loss of plans’ preferred asset manager; exemptions containing biennial audits, criminal penalties of $85,186,206, fees incurred to search, hire and that permit asset managers to continue criminal disgorgement of $681,480, transition to a new private manager; to rely on the relief provided by PTE victim compensation payments of and/or transaction costs relating to early 84–14, notwithstanding a single $1,223,738, and $43,329,622 to be paid liquidation of real estate and other violation of Section I(g) of PTE 84–14. to the U.S. Securities & Exchange investments. Those exemptions (the FX Exemptions) Commission. In the deferred 18. The Department specifically arose from judgments of convictions prosecution agreement, Deutsche Bank requests that the Applicant provide against JPMorgan Chase & Co., Citicorp admitted, accepted, and acknowledged information verifying the various and Barclays PLC, for violations of the that, among other things, it was potential costs and harms associated Sherman Antitrust Act, 15 U.S.C. 1, for responsible under United States law for with denial of the exemption. In criminal misconduct affecting the the acts of its officers, directors, addition, the Department requests that Foreign Exchange (FX) Spot Market (the employees, and agents, as charged. The the Applicant provide information on FX Convictions). The conditions in the charges stem from a scheme to conceal the size of any adverse impacts relative FX Exemptions include a biennial audit. corrupt payments and bribes made to to the size of the affected portfolios; any 21. In developing the FX Exemptions, third-party intermediaries by making costs or harms in excess of the normal the Department considered a variety of false entries on Deutsche Bank’s books transaction costs associated with factors associated with the criminal and records, as well as related internal changing asset managers; and the basis misconduct that gave arise to the FX accounting control violations, and a for concluding that any benefits to Convictions. In granting the FX separate scheme to engage in fraudulent affected investors would be insufficient Exemptions, the Department determined and manipulative commodities trading to offset any transaction costs or other that a biennial audit, combined with the practices involving publicly-traded adverse impacts flowing from denial of FX Exemptions’ other protective precious metals futures contracts. The the exemption. The Department also conditions, provided adequate FCPA misconduct occurred between specifically requests comments from the protection for affected Covered Plans. 2009 and 2016, and the Commodities public, particularly including Covered 22. With respect to this proposed fraud misconduct occurred between Plans and IRA owners, on these same exemption, the Department considered a 2009 and 2013. issues, including the magnitude of variety of factors specific to this 24. After reviewing the record, possible costs or harms, if any, that application. The scope and seriousness including evidence of the magnitude, would stem from denial of the of the misconduct by the DB Group gravity, duration and pervasiveness of exemption, as well as the public’s views Services’ traders (the Traders) was the LIBOR misconduct, the FCPA on whether the Department should deny extensive and egregious. The Traders misconduct, and the commodities fraud the exemption, rather than adopt the manipulated LIBOR, which is a variable misconduct, the Department believes proposal as set forth herein. rate that is linked to the global that a three-year exemption with annual derivatives market, which includes plan audits is appropriate. The Department Applicant’s Requested Modifications to investors. According to the Statement of further views it as appropriate to PTE 2017–04: No More Audits Facts filed in the U.S. Conviction, from preclude relief to the extent that either: 19. The Applicant requests that the approximately 2003 through at least The DB QPAMs were involved in the DB QPAMs not be required to undergo 2010, the Traders defrauded their conduct that gave rise to the deferred further independent audits because: (a) counterparties by secretly manipulating prosecution agreement; or Covered Plan The Independent Auditor determined the LIBOR for the U.S. Dollar, Yen, and assets were involved in the transactions that the DB QPAMs adhered to the Pound Sterling, as well as the EURIBOR that gave rise to the deferred conditions in the previously granted (collectively, the IBORs). The Traders prosecution agreement. A three-year related exemptions; (b) the U.S. requested that the IBORs submitters that exemption will enable the Department Conviction occurred outside of the DB to review the DB QPAMs’ ongoing QPAMs’ operations, in an entity that is 13 The Applicant cited the following individual compliance efforts after a reasonable entirely separate from the asset exemptions: PTE 2017–03, JPMorgan Chase & Co., period, and determine whether any 82 FR 61816 (December 29, 2017); PTE 2017–05, management business; (c) the need for Citigroup Inc., 82 FR 61816 (December 29, 2017); adjustments are necessary to the the current exemption rests on a single and PTE 2017–06, Barclays Capital Inc., 82 FR conditions of this exemption. The need crime, and the exemption should be 61816 (December 29, 2017). for such ongoing review is amply

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supported by the seriousness of the Section I(a) after the words ‘‘such conducted at least annually, for all misconduct cited above. In addition, QPAMs:’’ ‘‘Who had responsibility for, relevant DB QPAM asset/portfolio however, the Department notes recent or exercised authority in connection management, trading, legal, media reports concerning potential with, the management of plan assets.’’ compliance, and internal audit misconduct relating to the sale of a wide The Applicant requests that the personnel . . . The training must: . . . range of investment products, including Department add the following language (ii) Be conducted by a professional who hedges, swaps, and derivatives; a to Section I(b) after the words ‘‘such has been prudently selected and who possible price-fixing conspiracy relating QPAMs:’’ ‘‘Who had responsibility for, has appropriate technical training and to Treasury securities; possible or exercised authority in connection proficiency with ERISA and the Code.’’ violations of the Markets in Financial with, the management of plan assets.’’ The Applicant requests that the Instruments Directive; and other 28. The Applicant notes that the Department add the following language matters.14 The Department requests above-described language is consistent to the proposed exemption: ‘‘[t]he comments from the Applicant and with parallel provisions in some of the Training may be conducted interested parties with information on other individual exemptions previously electronically or via website.’’ these matters and their bearing on granted by the Department that involve Department’s Response: Section whether to grant the proposed a single conviction.16 I(h)(2) of this proposed exemption is exemption on the terms proposed. Department’s Response: The consistent with the Applicant’s request, Department is not persuaded that the which is particularly appropriate Applicant’s Requested Modification to conditions in this exemption should because of the ongoing pandemic. PTE 2017–04: Removal of DSK and mirror the conditions in the exemptions 31. Auditor’s Failure to Comply. Revision of the Term ‘‘Convictions.’’ cited by the Applicant. Each applicant Section I(i)(11) of PTE 2017–04 provides 25. PTE 2017–04 provides relief for for an exemption must demonstrate, and that: ‘‘The auditor must provide the the U.S. Conviction and the Korean the Department must affirmatively find, Department, upon request, for Conviction, using the defined term on the record, that the requested relief inspection and review, access to all the ‘‘Convictions.’’ 15 The Applicant notes is in the interest of, and protective of, work papers created and utilized in the that DSK’s conviction in Korea was affected plans and IRAs, and course of the audit, provided such reversed, and requests that this administratively feasible based on the access and inspection is otherwise proposed exemption redefine the term specific record before it. In the permitted by law.’’ In addition, Section ‘‘Convictions’’ to reference only the U.S. Department’s view, the original I(r) of PTE 2017–04 provides that: ‘‘A Conviction. The Applicant further language of PTE 2017–04 remains DB QPAM will not fail to meet the terms requests that the Department remove all appropriate as applied to the Applicant. of this exemption, solely because a references to ‘‘DSK’’ in the operative The Department also notes in this different DB QPAM fails to satisfy a language of the proposed exemption. connection that it will not automatically condition for relief described in Sections Department’s Response: The decline to impose a condition it believes I(c), (d), (h), (i), (j), (k), (l), (o), and (q) Department concurs with the appropriate for the protection of affected if the independent auditor described in Applicant’s request. plans and IRAs merely because an Section I(i) fails a provision of the 26. Employees Covered by Sections earlier exemption does not contain that exemption other than the requirement I(a) and I(b). Section I(a) of PTE 2017– condition. described in Section I(i)(11), provided 04 provides, in pertinent part, that: 29. The conduct that is the subject of that such failure did not result from any ‘‘[t]he DB QPAMs (including their the exemptions cited by the Applicant, actions or inactions of Deutsche Bank or officers, directors, agents other than including the roles and corporate its affiliates.’’ 32. The Applicant requests that relief Deutsche Bank, and employees of such responsibilities of the persons who to the DB QPAMs and the Covered Plans QPAMs) did not know of, have reason carried out that conduct, is materially not be conditioned on the Independent to know of, or participate in the criminal different than, and distinguishable from, Auditor’s cooperation with the conduct . . .’’ In addition, Section I(b) the conduct, including the roles and Department or disclosure of work of PTE 2017–04 provides, in pertinent corporate responsibilities of the persons papers because the DB QPAMs and the part, that: ‘‘[t]he DB QPAMs (including involved in the conduct that is the Covered Plans cannot control the their officers, directors, and agents other subject of this proposed exemption. The than Deutsche Bank, and employees of Independent Auditor’s actions. Applicant has not demonstrated that it Department’s Response: The such DB QPAMs) . . .’’ would be in the interest of Covered Department declines to make the 27. The Applicant requests that the Plans to grant relief that allows non- Applicant’s requested revisions. The Department add following language to asset management personnel at a DB Department expects the DB QPAMs and QPAM to have participated in the the Independent Auditor to make every 14 Dominic Lau, et al., Deutsche Bank Probing criminal conduct that gave rise to the effort to ensure that their respective Sales of Investment Banking Products, U.S. Conviction. Finally, Section I(a) Bloomberg.com, https://www.bloomberg.com/news/ responsibilities under the exemption are articles/2021-01-24/deutsche-bank-probes- and (b) of this proposal are consistent fulfilled, and to contact the Office of misselling-of-investment-bank-products-ft (last with the Department’s understanding of Exemption Determinations in a timely updated Jan. 25, 2021). the record, which includes express manner any time guidance is needed. 15 Specifically, Section II(a) of PTE 2017–04 representations made by the Applicant. defines the term ‘‘Convictions’’ to mean, in part: (1) 33. Modification of Notice The judgment of conviction against DB Group 30. Training Conducted Requirements. PTE 2017–04 requires Services, in Case 3:15–cr–00062–RNC to be entered Electronically. Section I(h)(2) of PTE that various notifications be given to in the United States District Court for the District 2017–04 provides that: ‘‘Each DB QPAM Covered Plan clients, such as a notice of of Connecticut to a single count of wire fraud, in must develop and implement a program violation of 18 U.S.C. 1343, and (2) the judgment clients’ right to receive summary of conviction against DSK entered on January 25, of training (the Training), to be policies. The Applicant requests that 2016, in Seoul Central District Court, relating to this proposed exemption not require charges filed against DSK under Articles 176, 443, 16 PTE 2017–03, 82 FR 61816 (December 29, and 448 of South Korea’s Financial Investment 2017); PTE 2017–05, 82 FR 61816 (December 29, current Covered Plan clients to receive Services and Capital Markets Act for spot/futures- 2017); and PTE 2017–06, 82 FR 61816 (December notifications that they previously linked market price manipulation. 29, 2017). received pursuant to PTE 2017–04.

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Department’s Response: Section I(j)(7) b. ‘‘In the interest of.’’ The would be beneficial for the ERISA of this proposal is consistent with the Department has tentatively determined plans.17 Applicant’s request. that the proposed exemption is in the 39. The Applicant represents that 34. Miscellaneous Provisions. The interests of the participants and Covered Plan fiduciaries expend Applicant requests to modify the term beneficiaries of each affected Covered significant resources, including time ‘‘General Counsel’’ as referred to in PTE Plan. It is the Department’s and money, in selecting asset managers 2017–04, and changing such term to understanding, based on representations for their plans. Forcing Plan fiduciaries ‘‘general counsel’’ since it is not a from the Applicant, that if the requested to terminate their chosen managers— defined term. exemption is denied, Covered Plans because the managers are unable to rely Department’s Response: This may be unable to maintain their on PTE 84–14’s relief will cause plans proposed exemption uses the term ‘‘the to incur a number of additional costs. investment strategy with their current QPAM’s general counsel’’ to clarify The following costs are in addition to asset manager, and may be subject to relevant provisions of the proposed the opportunity costs of investing in disruptions and costs associated with exemption. cash pending reinvestment with a new 35. Lastly, the Applicant requests changing asset managers. The DB manager; terminating such management adding the phrase ‘‘or modifying’’ to the QPAMs claim that their ERISA plan services may result in the following definition of Covered Plan in Section clients have long availed themselves of specific harm to the relevant ERISA II(b) of PTE 2017–04, to clarify that a the benefit of the DB QPAMs’ plan: Loss of the investor’s preferred disclaimer may be made in a investment expertise, even after the manager, loss of leading investment modification of a contract, arrangement, grant of PTE 2017–04. As noted above, manager/performance, consulting fees, or agreement with a Covered Plan. The however, the Department specifically time loss in evaluating alternative definition, once modified, would read, requests commenters, including investment managers, legal fees, in pertinent part: ‘‘A Covered Plan does Covered Plans and IRA owners, transaction costs for direct real estate not include an ERISA-covered Plan or comment on the magnitude of costs or early liquidation, costs for non-direct IRA to the extent the DB QPAM has harms, if any, that would stem from real estate liquidation, and legal costs expressly disclaimed reliance on QPAM denial of the Exemption. for new trading agreements. If the status or PTE 84–14 in entering into or 37. The DB QPAMs state that granting extension of PTE 2017–04 were to be modifying its contract, arrangement, or the exemption would enable the DB denied, then the DB QPAMs may be agreement with the ERISA-covered plan QPAMs to continue to effect a wide effectively eliminated as asset managers or IRA.’’ range of beneficial transactions on their for many Covered Plans because they Department’s Response: The ERISA clients’ behalf without undue would be unable to provide the trading Department declines to make the administrative delay, or other efficiencies, breadth of investment requested revision. The Applicant has conditions or limitations that could be choices, and potential counterparties not demonstrated that each of the DB disadvantageous to the ERISA plan afforded by the QPAM Exemption. The QPAM’s processes for modifying its Department specifically seeks comments clients. The Applicant represents that contracts, arrangements or agreements from Covered Plans and IRAs, as well as without the ability to serve as QPAMs, with Covered Plans would alert and the Applicant, on the validity of these certain prudent and appropriate inform a Covered Plan fiduciary to the concerns and the magnitude of the same extent as an express disclaimer set investment opportunities may not be associated costs and harms, if any, forth in a Covered Plan’s initial contract, available to the ERISA plan clients of should the Department decline to grant arrangement or agreement with a DB Deutsche Bank asset managers. Here too, the requested exemption. QPAM. the Department specifically requests c. ‘‘Protective of.’’ The Department comments from Covered Plans and IRAs has tentatively determined that this Statutory Findings as to the specific costs or harms, if any, proposed exemption, if granted, is 36. Section 408(a) of ERISA provides, that would flow from denial of the protective of Covered Plans. The in part, that the Department may not exemption, including evidence as to any proposal has a limited term of three grant an exemption unless the valuable investment opportunities that years, and has similar conditions to PTE Department finds that the exemption is plans would have to forego, and the 2017–04. However, the Department has administratively feasible, in the interest basis for concluding that those determined to revise certain of those of affected plans and of their investments would no longer be conditions so that it can make its participants and beneficiaries, and available to plans on advantageous required finding that the proposed protective of the rights of such terms. three-year exemption will be protective participants and beneficiaries. 38. The Applicant states that PTE 84– of the rights of participants and a. ‘‘Administratively Feasible.’’ The 14 is one of the most commonly used beneficiaries of Covered Plans. For Department has tentatively determined prohibited transaction exemptions and, example, this proposed exemption that the proposal is administratively for some transactions, may be the only clarifies that the term ‘‘participate in,’’ feasible since, among other things, a as referenced below, refers not only to available exemption. If the requested qualified independent auditor will be active participation in the criminal exemption were not granted, ERISA required to perform an in-depth audit conduct that is the subject of the U.S. plan clients could be effectively covering, among other things, each DB Conviction, but also to knowing QPAM’s compliance with the prohibited from entering into certain approval of the criminal conduct that is exemption, and a corresponding written transactions, either because no other the subject of the U.S. Conviction, or audit report will be provided to the exemption is available or the knowledge of the conduct without Department and available to the public. counterparty is not willing to enter into The independent audit will provide an the transaction without the protections 17 As noted in the text, the Department incentive for, and a measure of, provided by PTE 84–14. The Applicant specifically requests comments on the scope and compliance, while reducing the claims that the loss of the ability to use magnitude of alleged negative impacts, including PTE 84–14 could significantly delay or any increased costs, which Covered Plans and IRAs immediate need for review and would sustain if the Department were to deny the oversight by the Department. even make impossible transactions that exemption.

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taking active steps to prohibit the QPAMs fully comply with ERISA’s conclusions cannot be based solely on conduct, including reporting the fiduciary duties, as applicable, and with the Exemption Report created by the conduct to the individual’s supervisors, ERISA and the Code’s prohibited Compliance Officer, described below, in and to the Board of Directors. transaction provisions, as applicable; lieu of independent determinations and 40. Several of this proposed the DB QPAMs do not knowingly testing performed by the auditor. exemption’s conditions are aimed at participate in any other person’s 46. The Audit Report must be ensuring that the DB QPAMs were not violation of ERISA or the Code with certified by the respective DB QPAM’s involved in the conduct that gave rise to respect to Covered Plans; any filings or general counsel or one of the three most the U.S. Conviction. Accordingly, the statements made by the DB QPAMs to senior executive officers of the DB proposal generally precludes relief to regulators, on behalf of or in relation to QPAM to which the Audit Report the extent the DB QPAMs were aware Covered Plans, are materially accurate applies. A copy of the Audit Report of, participated in, approved of, and complete; the DB QPAMs do not must be provided to the Audit furthered, benefitted, or profited from, make material misrepresentations or Committee of Deutsche Bank’s the conduct that gave rise to the U.S. omit material information in Supervisory Board. A senior executive Conviction.18 Further, the DB QPAMs communications with such regulators officer, who has a direct reporting line may not employ or knowingly engage with respect to Covered Plans; the DB to Deutsche Bank’s highest ranking legal any of the individuals that participated QPAMs do not make material compliance officer, must review the in the conduct attributable to the U.S. misrepresentations or omit material Audit Report for each DB QPAM and Conviction. information in communications with must certify in writing, under penalty of 41. The proposal further provides that Covered Plans; the DB QPAMs comply perjury, that such officer has reviewed no DB QPAM will use its authority or with the terms of the exemption; and each Audit Report. Deutsche Bank must influence to direct an ‘‘investment any violation of, or failure to comply notify the Department in the event of a fund’’ that is subject to ERISA or the with any of these items, is corrected as change in the committee to which the Code and managed by such DB QPAM soon as reasonably possible upon Audit Report will be provided. with respect to one of more Covered discovery, or as soon after the DB 47. This proposal requires that, Plans, to enter into any transaction with QPAM reasonably should have known throughout the Exemption Period, with DB Group Services to provide any of the noncompliance (whichever is respect to any arrangement, agreement, service to such investment fund, for a earlier). Any such violation or or contract between a DB QPAM and a direct or indirect fee borne by such compliance failure not so corrected Covered Plan, the DB QPAM must agree investment fund, regardless of whether must be reported, upon the discovery of and warrant: (i) To comply with ERISA such transaction or service may such failure to so correct, in writing, to and the Code, as applicable with respect otherwise be within the scope of relief appropriate corporate officers, the head to such Covered Plan; and (ii) to refrain provided by an administrative or of compliance and the QPAM’s general from engaging in prohibited transactions statutory exemption. counsel (or their functional equivalent), that are not otherwise exempt (and to 42. If granted, the exemption will and the independent auditor promptly correct any inadvertent terminate if Deutsche Bank or any of its responsible for reviewing compliance prohibited transactions). The DB affiliates are convicted of any additional with the Policies. QPAMs must further agree and warrant crimes described in Section I(g) of PTE 44. This proposal mandates training to comply with the standards of 84–14, or if any of the other conditions (Training), which is similar to the prudence and loyalty set forth in section of PTE 84–14 have not been met. Also, training required under PTE 2017–04. In 404 of ERISA with respect to each such with limited exceptions, DB Group this regard, all relevant DB QPAM asset/ ERISA-covered plan. Each DB QPAM Services will not act as a fiduciary portfolio management, trading, legal, must also agree and warrant to within the meaning of section compliance, and internal audit indemnify and hold harmless such Covered Plan for any actual losses 3(21)(A)(i) or (iii) of ERISA, or section personnel must be trained during the resulting directly from any of the 4975(e)(3)(A) and (C) of the Code, with Exemption Period. Among other things, following: (a) A DB QPAM’s violation of respect to ERISA-covered plan and IRA the Training must, at a minimum, cover ERISA’s fiduciary duties, as applicable, assets, except DB Group Services may the Policies, ERISA and Code and/or the prohibited transaction act as such a fiduciary with respect to compliance, ethical conduct, the provisions of ERISA and the Code, as employee benefit plans sponsored for its consequences for not complying with applicable; (b) a breach of contract by own employees or employees of an the conditions of this exemption (including any loss of exemptive relief the DB QPAM; or (c) any claim arising affiliate. out of the failure of such DB QPAM to 43. The proposal requires each DB provided herein), and the requirement qualify for the exemptive relief provided QPAM to update, implement and follow for prompt reporting of wrongdoing. The Training must be conducted by a by PTE 84–14 as a result of a violation certain written policies and procedures professional who has been prudently of Section I(g) of PTE 84–14 other than (the Policies). These Policies are similar selected and who has appropriate the Conviction. This condition applies to the policies and procedures technical training and proficiency with only to actual losses caused by the DB mandated by PTE 2017–04. In general ERISA and the Code. QPAM. The Department views actual terms, the Policies must require, and 45. Under this proposal, as in PTE losses arising from unwinding must be reasonably designed to ensure 2017–04, each DB QPAM must submit transactions with third parties, and from that, among other things: The asset to an annual audit conducted by an transitioning Covered Plan assets to management decisions of the DB independent auditor. Among other third parties, to be ‘‘direct’’ results of QPAMs are conducted independently of things, the auditor must test a sample of violating the terms of this provision. the corporate management and business each DB QPAM’s transactions involving 48. This proposed exemption contains activities of DB Group Services; the DB Covered Plans, sufficient in size and specific notice requirements. Each DB nature to afford the auditor a reasonable QPAM must provide a notice regarding 18 For clarity, references to the DB QPAMs include any individual employed by or engaged to basis to determine such QPAM’s the proposed three-year exemption, work on behalf of these QPAMs during or after the operational compliance with the along with a separate summary period of misconduct. Policies and Training. The auditor’s describing the facts that led to the

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Conviction (the Summary), which have certify in writing that to his or her attributable to the U.S. Conviction. If, been submitted to the Department, and knowledge the report is accurate and during the Exemption Period, an entity a prominently displayed statement (the note whether the DB QPAMs have within the Deutsche Bank corporate Statement) that the Conviction results in complied with the Policies and structure is convicted of a crime a failure to meet a condition in PTE 84– Training, and/or corrected (or are described in Section I(g) of PTE 84–14, 14, to each sponsor and beneficial correcting) any instances of (other than the U.S. Conviction), as owner of a Covered Plan that entered noncompliance. referenced in Section I(g) of PTE 84–14, into a written asset or investment 51. The Exemption Report must be relief in this proposed exemption would management agreement with a DB provided to the appropriate corporate terminate immediately. QPAM, or the sponsor of an investment officers of Deutsche Bank and each DB Department’s Notes: This proposed fund in any case where a DB QPAM acts QPAM to which such report relates and three-year exemption provides relief as a sub-adviser to the investment fund to the head of compliance and the from certain of the restrictions set forth in which such ERISA-covered plan and QPAM’s general counsel (or their in sections 406 and 407 of ERISA. No IRA invests. The notice, Summary and functional equivalent) of the relevant relief or waiver of a violation of any Statement must be provided prior to, or DB QPAM. The Exemption Report must other law is provided by the exemption. contemporaneously with, the client’s be made unconditionally available to The relief in this proposed three-year receipt of a written asset management the independent auditor. The exemption would terminate agreement from the DB QPAM. The Exemption Review, including the immediately if, among other things, an clients must receive a Federal Register Compliance Officer’s written Exemption entity within the Deutsche Bank copy of the notice of final three-year Report, must be completed within three corporate structure is convicted of any exemption within sixty (60) days of this (3) months following the end of the crime covered by Section I(g) of PTE 84– exemption’s effective date. The notice period to which it relates. 14 (other than the U.S. Conviction) may be delivered electronically 52. Deutsche Bank must also during the effective period of the (including by an email that has a link to immediately disclose to the Department proposed three-year exemption. While this three-year exemption). any deferred prosecution agreement or such an entity could apply for a new 49. The proposal requires that each non-prosecution agreement with the exemption in that circumstance, the DB QPAM maintain records necessary U.S. Department of Justice, entered into Department is not obligated to grant a to demonstrate that the conditions of by DB or any of its affiliates (as defined requested exemption. this exemption have been met, for six in Section VI(d) of PTE 84–14) in 55. When interpreting and (6) years following the date of any connection with conduct described in implementing this exemption, the transaction for which such DB QPAM Section I(g) of PTE 84–14 or section 411 Applicant and the DB QPAMs should relies upon the relief in the exemption. of ERISA. Deutsche Bank must also resolve any ambiguities in light of the The proposal mandates that DB immediately provide the Department exemption’s protective purposes. To the continue to designate a senior with any information requested by the extent additional clarification is compliance officer (the Compliance Department, as permitted by law, necessary, these persons or entities Officer) who will be responsible for regarding the agreement and/or conduct should contact EBSA’s Office of compliance with the Policies and and allegations that led to the Exemption Determinations, at 202–693– Training requirements described herein. agreement. 8540. 53. The proposal mandates that, The Compliance Officer must conduct Notice to Interested Persons an exemption review (the Exemption among other things, each DB QPAM Review) to determine the adequacy and clearly and prominently inform Covered Notice of the proposed exemption effectiveness of the implementation of Plan clients of their right to obtain a will be provided to all interested the Policies and Training. The copy of the Policies or a description persons within seven days of the Compliance Officer must be a (Summary Policies) which accurately publication of the notice of proposed professional with extensive relevant summarizes key components of the DB exemption in the Federal Register. The experience with a reporting line to the QPAM’s written Policies developed in notice will contain a copy of the notice highest ranking corporate officer in connection with this exemption. If the of proposed exemption, as published in charge of compliance for the applicable Policies are thereafter changed, each the Federal Register, and a DB QPAM. At a minimum, the Covered Plan client must receive a new supplemental statement, as required Exemption Review must include review disclosure within six (6) months pursuant to 29 CFR 2570.43(a)(2). The of the following items: (i) Any following the end of the calendar year supplemental statement will inform compliance matter related to the during which the Policies were interested persons of their right to Policies or Training that was identified changed.19 With respect to this comment on the pending exemption. All by, or reported to, the Compliance requirement, the description may be Written comments are due within thirty Officer during the previous year; (ii) any continuously maintained on a website, seven (37) days of the publication of the material change in the relevant business provided that such website link to the notice of proposed exemption in the activities of the DB QPAMs; and (iii) Policies or Summary Policies is clearly Federal Register. All comments will be any change to ERISA, the Code, or and prominently disclosed to each made available to the public. regulations that may be applicable to the Covered Plan. Warning: If you submit a comment, activities of the DB QPAMs. 54. The proposal requires that DB EBSA recommends that you include 50. The Compliance Officer must QPAMs must comply with each your name and other contact prepare a written report (an Exemption condition of PTE 84–14, as amended, information in the body of your Report) that summarizes his or her with the sole exception of the violation comment, but DO NOT submit material activities during the Exemption of Section I(g) of PTE 84–14 that is information that you consider to be Period and sets forth any instance of confidential, or otherwise protected noncompliance discovered during the 19 In the event Applicant meets this disclosure (such as Social Security number or an Exemption Period, and any related requirement through Summary Policies, changes to unlisted phone number) or confidential the Policies do not result in a requirement of a new corrective action. In each Exemption disclosure unless the Summary Policies are no business information that you do not Report, the Compliance Officer must longer accurate because of the changes. want publicly disclosed. All comments

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may be posted on the internet and can FR 66637, 66644, October 27, 2011).20 conduct that is the subject of the U.S. be retrieved by most internet search Effective December 31, 1978, section Conviction; engines. 102 of Reorganization Plan No. 4 of (d) At all times during the Exemption 1978, 5 U.S.C. App. 1 (1996), transferred Period, no DB QPAM will use its General Information the authority of the Secretary of the authority or influence to direct an The attention of interested persons is Treasury to issue exemptions of the type ‘‘investment fund’’ (as defined in directed to the following: requested to the Secretary of Labor. Section VI(b) of PTE 84–14) that is (1) The fact that a transaction is the Therefore, this notice of proposed subject to ERISA or the Code and subject of an exemption under section exemption is issued solely by the managed by such DB QPAM with 408(a) of the Act and/or section Department. respect to one or more Covered Plan (as defined in Section II(b), to enter into 4975(c)(2) of the Code does not relieve Section I. Covered Transactions a fiduciary or other party in interest or any transaction with DB Group Services, disqualified person from certain other The DB QPAMs, as further defined in or to engage DB Group Services to provisions of the Act and/or the Code, Section II(c), will not be precluded from provide any service to such investment including any prohibited transaction relying on the exemptive relief provided fund, for a direct or indirect fee borne provisions to which the exemption does by Prohibited Transaction Exemption by such investment fund, regardless of 21 not apply and the general fiduciary 84–14 (PTE 84–14), notwithstanding whether such transaction, or service, responsibility provisions of section 404 the ‘‘U.S. Conviction’’ against DB Group may otherwise be within the scope of of the Act, which, among other things, Services (as further defined in Section relief provided by an administrative or require a fiduciary to discharge his II(a)), during the Exemption Period, statutory exemption; duties respecting the plan solely in the provided that the following conditions (e) Any failure of the DB QPAMs to 22 interest of the participants and are satisfied: satisfy Section I(g) of PTE 84–14 arose beneficiaries of the plan and in a (a) The DB QPAMs (including their solely from the U.S. Conviction; prudent fashion in accordance with officers, directors, agents other than (f) A DB QPAM did not exercise Deutsche Bank, and employees of such section 404(a)(1)(b) of the Act; nor does authority over the assets of any plan QPAMs) did not know of, have reason it affect the requirement of section subject to Part 4 of Title I of ERISA (an to know of, or participate in the ERISA-covered plan) or section 4975 of 401(a) of the Code that the plan must criminal conduct of DB Group Services the Code (an IRA) in a manner that it operate for the exclusive benefit of the that is the subject of the U.S. knew, or should have known, would: employees of the employer maintaining Conviction. For purposes of this Further the criminal conduct that is the the plan and their beneficiaries; exemption, ‘‘participate in’’ or subject of the U.S. Conviction; or cause (2) Before an exemption may be ‘‘participated in’’ refers not only to the DB QPAM or its affiliates to directly, granted under section 408(a) of the Act active participation in the criminal or indirectly, profit from the criminal and/or section 4975(c)(2) of the Code, conduct that is the subject of the U.S. conduct that is the subject of the U.S. the Department must find that the Conviction, but also to knowing Conviction; exemption is administratively feasible, approval of the criminal conduct that is (g) Other than with respect to in the interests of the plan and of its the subject of the U.S. Conviction, or employee benefit plans maintained or participants and beneficiaries, and knowledge of the conduct without sponsored for its own employees or the protective of the rights of participants taking active steps to prohibit the employees of an affiliate, DB Group and beneficiaries of the plan; conduct, including reporting the Services will not act as a fiduciary (3) The proposed exemption, if conduct to the individual’s supervisors, within the meaning of section granted, will be supplemental to, and and to the Board of Directors; 3(21)(A)(i) or (iii) of ERISA, or section not in derogation of, any other (b) The DB QPAMs (including their 4975(e)(3)(A) and (C) of the Code, with provisions of the Act and/or the Code, officers, directors, agents other than respect to ERISA-covered plan and IRA including statutory or administrative Deutsche Bank, and employees of such assets; provided, however, DB Group exemptions and transitional rules. QPAMs) did not receive direct Services will not be treated as violating Furthermore, the fact that a transaction compensation, or knowingly receive the conditions of this exemption solely is subject to an administrative or indirect compensation, in connection because it acted as an investment advice statutory exemption is not dispositive of with the criminal conduct that is the fiduciary within the meaning of section whether the transaction is in fact a subject of the U.S. Conviction. 3(21)(A)(ii) of ERISA, or section prohibited transaction; and (c) The DB QPAMs do not currently 4975(e)(3)(B) of the Code, or because DB (4) The proposed exemption, if and will not in the future employ or Group Services employees may be granted, will be subject to the express knowingly engage any of the individuals double-hatted, seconded, supervised or condition that the material facts and that ‘‘participated in’’ the criminal otherwise subject to the control of a DB representations contained in each QPAM, including in a discretionary application are true and complete, and 20 For purposes of this proposed five-year fiduciary capacity with respect to the that each application accurately exemption, references to section 406 of Title I of the DB QPAM clients; describes all material terms of the Act, unless otherwise specified, should be read to refer as well to the corresponding provisions of (h)(1) Each DB QPAM must continue transaction which is the subject of the section 4975 of the Code. to maintain, adjust (to the extent exemption. 21 49 FR 9494 (March 13, 1984), as corrected at necessary), implement and follow Proposed Exemption 50 FR 41430, (October 10, 1985), as amended at 70 written policies and procedures (the FR 49305 (August 23, 2005), and as amended at 75 Policies). The Policies must require, and The Department is considering FR 38837 (July 6, 2010). 22 Section I(g) of PTE 84–14 generally provides must be reasonably designed to ensure granting a five-year exemption under relief only if ‘‘[n]either the QPAM nor any affiliate that: the authority of section 408(a) of the Act thereof . . . nor any owner . . . of a 5 percent or (i) The asset management decisions of (or ERISA) and section 4975(c)(2) of the more interest in the QPAM is a person who within the DB QPAM are conducted Internal Revenue Code (or Code), and in the 10 years immediately preceding the transaction has been either convicted or released from independently of the corporate accordance with the procedures set imprisonment, whichever is later, as a result of’’ management and business activities of forth in 29 CFR part 2570, subpart B (76 certain felonies including fraud. DB Group Services;

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(ii) The DB QPAM fully complies asset/portfolio management, trading, Training. In this regard, the auditor with ERISA’s fiduciary duties and with legal, compliance, and internal audit must test, for each QPAM, a sample of ERISA and the Code’s prohibited personnel. The Training must: such QPAM’s transactions involving transaction provisions, in each such (i) At a minimum, cover the Policies, Covered Plans, sufficient in size and case as applicable with respect to each ERISA and Code compliance (including nature to afford the auditor a reasonable Covered Plan, and does not knowingly applicable fiduciary duties and the basis to determine such QPAM’s participate in any violation of these prohibited transaction provisions), operational compliance with the duties and provisions with respect to ethical conduct, the consequences for Policies and Training; Covered Plans; not complying with the conditions of (5) For each audit, on or before the (iii) The DB QPAM does not this exemption (including any loss of end of the relevant period described in knowingly participate in any other exemptive relief provided herein), and Section I(i)(1) for completing the audit, person’s violation of ERISA or the Code prompt reporting of wrongdoing; and the auditor must issue a written report with respect to Covered Plans; (ii) Be conducted by a professional (the Audit Report) to Deutsche Bank, (iv) Any filings or statements made by who has been prudently selected and and the DB QPAM to which the audit the DB QPAM to regulators, including, who has appropriate technical training applies that describes the procedures but not limited to, the Department, the and proficiency with ERISA and the performed by the auditor in connection Department of the Treasury, the Code; and with its examination. The auditor, at its Department of Justice, and the Pension (iii) Be conducted in-person, discretion, may issue a single Benefit Guaranty Corporation, on behalf electronically or via a website; consolidated Audit Report that covers of or in relation to Covered Plans, are (i)(1) Each DB QPAM submits to three all the DB QPAMs. The Audit Report materially accurate and complete, to the audits conducted annually by an must include the auditor’s specific best of such QPAM’s knowledge at that independent auditor, who has been determinations regarding: time; prudently selected and who has (i) The adequacy of each DB QPAM’s (v) To the best of the DB QPAM’s appropriate technical training and Policies and Training; each DB QPAM’s knowledge at the time, the DB QPAM proficiency with ERISA and the Code, to compliance with the Policies and does not make material evaluate the adequacy of, and each DB Training; the need, if any, to strengthen misrepresentations or omit material QPAM’s compliance with, the Policies such Policies and Training; and any information in its communications with and Training described herein. The instance of the respective DB QPAM’s such regulators with respect to Covered audit requirement must be incorporated noncompliance with the written Plans, or make material in the Policies. The first audit must Policies and Training described above. misrepresentations or omit material cover a 12 month period that begins on The DB QPAM must promptly address information in its communications with April 18, 2021 and ends on April 17, any noncompliance. The DB QPAM Covered Plans; 2022. The second and third audits must must promptly address or prepare a (vi) The DB QPAM complies with the cover the 12 month period that begins written plan of action to address any terms of this exemption; and on April 18, 2022, and April 18, 2023, determination as to the adequacy of the (2) Any violation of, or failure to respectively. Each of the three annual Policies and Training and the auditor’s comply with an item in subparagraphs audits must be completed no later than recommendations (if any) with respect (h)(1)(ii) through (h)(1)(vi), is corrected six (6) months after the corresponding to strengthening the Policies and as soon as reasonably possible upon audit’s ending period; Training of the respective QPAM. Any discovery, or as soon after the QPAM (2) Within the scope of the audit and action taken or the plan of action to be reasonably should have known of the to the extent necessary for the auditor, taken by the DB QPAM must be noncompliance (whichever is earlier), in its sole opinion, to complete its audit included in an addendum to the Audit and any such violation or compliance and comply with the conditions Report (such addendum must be failure not so corrected is reported, described herein, and only to the extent completed prior to the certification upon the discovery of such failure to so such disclosure is not prevented by state described in Section I(i)(7) below). In correct, in writing, to the head of or federal statute, or involves the event such a plan of action to compliance and the DB QPAM’s general communications subject to attorney- address the auditor’s recommendation counsel (or their functional equivalent) client privilege, each DB QPAM and, if regarding the adequacy of the Policies of the relevant DB QPAM that engaged applicable, Deutsche Bank, will grant and Training is not completed by the in the violation or failure, and the the auditor unconditional access to its time of submission of the Audit Report, independent auditor responsible for business, including, but not limited to: the following period’s Audit Report reviewing compliance with the Policies. Its computer systems; business records; must state whether the plan was A DB QPAM will not be treated as transactional data; workplace locations; satisfactorily completed. Any having failed to develop, implement, Training materials; and personnel. Such determination by the auditor that the maintain, or follow the Policies, access is limited to information relevant respective DB QPAM has implemented, provided that it corrects any instance of to the auditor’s objectives, as specified maintained, and followed sufficient noncompliance as soon as reasonably by the terms of this exemption; Policies and Training must not be based possible upon discovery, or as soon as (3) The auditor’s engagement must solely or in substantial part on an reasonably possible after the QPAM specifically require the auditor to absence of evidence indicating reasonably should have known of the determine whether each DB QPAM has noncompliance. In this last regard, any noncompliance (whichever is earlier), developed, implemented, maintained, finding that a DB QPAM has complied and provided that it adheres to the and followed the Policies in accordance with the requirements under this reporting requirements set forth in this with the conditions of this exemption, subparagraph must be based on subparagraph (2); and has developed and implemented evidence that the particular DB QPAM (3) Each DB QPAM must maintain, the Training, as required herein; has actually implemented, maintained, adjust (to the extent necessary) and (4) The auditor’s engagement must and followed the Policies and Training implement a program of training (the specifically require the auditor to test required by this exemption. Training), to be conducted at least each DB QPAM’s operational Furthermore, the auditor must not annually, for all relevant DB QPAM compliance with the Policies and solely rely on the Exemption Report

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created by the compliance officer (the public record regarding this exemption. (4) Not to restrict the ability of such Compliance Officer), as described in Furthermore, each DB QPAM must Covered Plan to terminate or withdraw Section I(m) below as the basis for the make its Audit Report unconditionally from its arrangement with the DB auditor’s conclusions in lieu of available, electronically or otherwise, QPAM with respect to any investment independent determinations and testing for examination upon request by any in a separately managed account or performed by the auditor as required by duly authorized employee or pooled fund subject to ERISA and Section I(i)(3) and (4) above; representative of the Department, other managed by such QPAM, with the (ii) The adequacy of the most recent relevant regulators, and any fiduciary of exception of reasonable restrictions, Exemption Review described in Section a Covered Plan; appropriately disclosed in advance, that I(m); (10) Any engagement agreement with are specifically designed to ensure (6) The auditor must notify the an auditor to perform the audit required equitable treatment of all investors in a respective DB QPAM of any instance of by this exemption must be submitted to pooled fund in the event such noncompliance identified by the auditor OED no later than two months after the withdrawal or termination may have within five (5) business days after such execution of such agreement; adverse consequences for all other noncompliance is identified by the (11) The auditor must provide the investors. In connection with any such auditor, regardless of whether the audit Department, upon request, for arrangements involving investments in has been completed as of that date; inspection and review, access to all the pooled funds subject to ERISA entered (7) With respect to each Audit Report, workpapers created and used in into after the effective date of PTE 2017– the DB QPAM’s general counsel, or one connection with the audit, provided 04, the adverse consequences must of the three most senior executive such access and inspection is otherwise relate to a lack of liquidity of the officers of the line of business engaged permitted by law; and underlying assets, valuation issues, or in discretionary asset management (12) Deutsche Bank must notify the regulatory reasons that prevent the fund services through the DB QPAM with Department of a change in the from promptly redeeming an ERISA- respect to which the Audit Report independent auditor no later than two covered plan’s or IRA’s investment, and applies, must certify in writing, under (2) months after the engagement of a such restrictions must be applicable to penalty of perjury, that the officer has substitute or subsequent auditor and all such investors and effective no reviewed the Audit Report and this must provide an accurate explanation of longer than reasonably necessary to exemption; that, to the best of such the basis for the substitution or change avoid the adverse consequences; officer’s knowledge at the time, the such including an accurate description of any (5) Not to impose any fees, penalties, DB QPAM has addressed, corrected, material disputes between the or charges for such termination or remedied any noncompliance and terminated auditor and Deutsche Bank withdrawal with the exception of inadequacy or has an appropriate or any of its affiliates; reasonable fees, appropriately disclosed written plan to address any inadequacy (j) As of April 18, 2021, with respect in advance, that are specifically regarding the Policies and Training to any arrangement, agreement, or designed to prevent generally identified in the Audit Report. Such contract between a DB QPAM and a recognized abusive investment practices certification must also include the Covered Plan, the DB QPAM agrees and or specifically designed to ensure signatory’s determination that, to the warrants to Covered Plans: equitable treatment of all investors in a best of such officer’s knowledge at the (1) To comply with ERISA and the pooled fund in the event such time, the Policies and Training in effect Code, as applicable with respect to such withdrawal or termination may have at the time of signing are adequate to Covered Plan; to refrain from engaging adverse consequences for all other ensure compliance with the conditions in prohibited transactions that are not investors, provided that such fees are of this exemption, and with the otherwise exempt (and to promptly applied consistently and in like manner applicable provisions of ERISA and the correct any inadvertent prohibited to all such investors; and Code; transactions); and to comply with the (6) Not to include exculpatory (8) The Audit Committee of Deutsche standards of prudence and loyalty set provisions disclaiming or otherwise Bank’s Supervisory Board is provided a forth in section 404 of ERISA, with limiting liability of the DB QPAM for a copy of each Audit Report; and a senior respect to each such ERISA-covered violation of such agreement’s terms. To executive officer with a direct reporting plan and IRA to the extent that section the extent consistent with Section 410 line to the highest ranking legal 404 is applicable; of ERISA, however, this provision does compliance officer of Deutsche Bank (2) To indemnify and hold harmless not prohibit disclaimers for liability must review the Audit Report for each the Covered Plan for any actual losses caused by an error, misrepresentation, DB QPAM and must certify in writing, resulting directly from a DB QPAM’s or misconduct of a plan fiduciary or under penalty of perjury, that such violation of ERISA’s fiduciary duties, as other party hired by the plan fiduciary officer has reviewed each Audit Report. applicable, and of the prohibited who is independent of Deutsche Bank, Deutsche Bank must provide notice to transaction provisions of ERISA and the and its affiliates, or damages arising the Department in the event of a switch Code, as applicable; a breach of contract from acts outside the control of the DB in the committee to which the Audit by the QPAM; or any claim arising out QPAM; and Report will be provided; of the failure of such DB QPAM to (7) By August 18, 2021, each DB (9) Each DB QPAM provides its qualify for the exemptive relief provided QPAM must provide a notice of its certified Audit Report, by regular mail by PTE 84–14 as a result of a violation obligations under this Section I(j) to to: Office of Exemption Determinations of Section I(g) of PTE 84–14 other than each Covered Plan. For Covered Plans (OED), 200 Constitution Avenue NW, the U.S. Conviction. This condition that enter into a written asset or Suite 400, Washington, DC 20210; or by applies only to actual losses caused by investment management agreement with private carrier to: 122 C Street NW, the DB QPAM’s violations. a DB QPAM on or after April 18, 2021, Suite 400, Washington, DC 20001–2109. (3) Not to require (or otherwise cause) the DB QPAM must agree to its This delivery must take place no later the Covered Plan to waive, limit, or obligations under this section I(j) in an than forty-five (45) days following qualify the liability of the DB QPAM for updated investment management completion of the Audit Report. The violating ERISA or the Code or engaging agreement between the DB QPAM and Audit Report will be made part of the in prohibited transactions; such clients or other written contractual

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agreement. Notwithstanding the above, (2) With respect to each Exemption (v) Each Exemption Review, including a DB QPAM will not violate the Review, the following conditions must the Compliance Officer’s written condition solely because a Covered Plan be met: Exemption Report, must be completed or IRA refuses to sign an updated (i) The Exemption Review includes a within three (3) months following the investment management agreement. review of the DB QPAM’s compliance end of the period to which it relates. This condition will be deemed met for with and effectiveness of the Policies The Exemption Review for the period each Covered Plan that received notice and Training and of the following: Any April 18, 2020 through April 17, 2021 pursuant to PTE 2017–04 that meets the compliance matter related to the must be conducted, and completed, terms of this condition. Policies or Training that was identified under the requirements of PTE 2017–04; (k) Each DB QPAM provides a notice by, or reported to, the Compliance (n) In connection with the deferred regarding the proposed exemption, Officer or others within the compliance prosecution agreement entered on along with a separate summary and risk control function (or its January 8, 2021, between Deutsche Bank describing the facts that led to the U.S. equivalent) during the previous year; and the U.S. Department of Justice, to Conviction (the Summary), which have the most recent Audit Report issued resolve the U.S. government’s been submitted to the Department, and pursuant to this exemption or PTE investigation into violations of the a prominently displayed statement (the 2017–04; any material change in the Foreign Corrupt Practices Act and a Statement) that the U.S. Conviction relevant business activities of the DB separate investigation into a results in a failure to meet a condition QPAMs; and any change to ERISA, the commodities fraud scheme, no DB in PTE 84–14, to each sponsor and Code, or regulations related to fiduciary QPAMs were involved in the conduct beneficial owner of a Covered Plan that duties and the prohibited transaction that gave rise to the deferred entered into a written asset or provisions that may be applicable to the prosecution agreement, and no Covered investment management agreement with activities of the DB QPAMs; Plan assets were involved in the a DB QPAM, or the sponsor of an (ii) The Compliance Officer prepares transactions that gave rise to the investment fund in any case where a DB a written report for each Exemption deferred prosecution agreement; QPAM acts as a sub-adviser to the Review (each, an Exemption Report) (o) Each DB QPAM will maintain investment fund in which such ERISA- that (A) summarizes his or her material records necessary to demonstrate that covered plan and IRA invests. The activities during the preceding year; (B) the conditions of this exemption have notice, Summary and Statement must be sets forth any instance of been met for six (6) years following the provided prior to, or noncompliance discovered during the date of any transaction for which the DB contemporaneously with, the client’s preceding year, and any related QPAM relies upon the relief in the receipt of a written asset management corrective action; (C) details any change exemption; agreement from the DB QPAM. The to the Policies or Training to guard (p) During the Exemption Period, clients must receive a Federal Register against any similar instance of Deutsche Bank: (1) Immediately copy of the notice of final exemption noncompliance occurring again; and (D) discloses to the Department any within sixty (60) days of this makes recommendations, as necessary, Deferred Prosecution Agreement or a exemption’s effective date. The notice for additional training, procedures, Non-Prosecution Agreement with the may be delivered electronically monitoring, or additional and/or U.S. Department of Justice entered into (including by an email that has a link to changed processes or systems, and by Deutsche Bank or any of its affiliates this exemption); management’s actions on such (as defined in Section VI(d) of PTE 84– (l) The DB QPAMs must comply with recommendations; 14) in connection with conduct each condition of PTE 84–14, as (iii) In each Exemption Report, the described in Section I(g) of PTE 84–14 amended, with the sole exception of the Compliance Officer must certify in or section 411 of ERISA; and (2) violation of Section I(g) of PTE 84–14 writing that to the best of his or her immediately provides the Department that is attributable to the U.S. knowledge at the time: (A) The report is any information requested by the Conviction; accurate; (B) the Policies and Training (m)(1) Deutsche Bank continues to are working in a manner which is Department, as permitted by law, designate a senior compliance officer reasonably designed to ensure that the regarding the agreement and/or conduct (the Compliance Officer) who will be Policies and Training requirements and allegations that led to the responsible for compliance with the described herein are met; (C) any known agreement; (q) Each DB QPAM, in its agreements Policies and Training requirements instance of noncompliance during the with, or in other written disclosures described herein. The Compliance preceding year and any related provided to Covered Plans, clearly and Officer must conduct an annual review correction taken to date have been prominently informs Covered Plan for each twelve month period, beginning identified in the Exemption Report; and clients of their right to obtain a copy of on April 18, 2021, (the Exemption (D) the DB QPAMs have complied with the Policies or a description (Summary Review) to determine the adequacy and the Policies and Training, and/or Policies) which accurately summarizes effectiveness of the implementation of corrected (or are correcting) any known key components of the DB QPAM’s the Policies and Training. With respect instances of noncompliance in written Policies developed in to the Compliance Officer, the following accordance with Section I(h) above; connection with this exemption. If the conditions must be met: (iv) Each Exemption Report must be (i) The Compliance Officer must be a provided to appropriate corporate Policies are thereafter changed, each professional who has extensive officers of Deutsche Bank and to each Covered Plan client must receive a new experience with, and knowledge of, the DB QPAM to which such report relates, disclosure within six (6) months regulation of financial services and and to the head of compliance and the following the end of the calendar year products, including under ERISA and DB QPAM’s general counsel (or their during which the Policies were 23 the Code; and functional equivalent) of the relevant changed. With respect to this (ii) The Compliance Officer must have DB QPAM; and the Exemption Report 23 In the event the Applicant meets this disclosure a direct reporting line to the highest must be made unconditionally available requirement through Summary Policies, changes to ranking corporate officer in charge of to the independent auditor described in the Policies shall not result in the requirement for legal compliance for asset management; Section I(i) above; Continued

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requirement, the description may be provided by PTE 84–14, and with notice to www.reginfo.gov/public/do/ continuously maintained on a website, respect to which Deutsche Bank is an PRAMain. Find this particular provided that such website links to the ‘‘affiliate’’ (as defined in section VI(d)(1) information collection by selecting Policies or Summary Policies is clearly of PTE 84–14). The term ‘‘DB QPAM’’ ‘‘Currently under 30-day Review—Open and prominently disclosed to each excludes DB Group Services. for Public Comments’’ or by using the Covered Plan; and (d) The term ‘‘Deutsche Bank’’ means search function. (r) A DB QPAM will not fail to meet Deutsche Bank AG, a publicly-held Comments are invited on: (1) Whether the terms of this exemption solely global banking and financial services the collection of information is because a different DB QPAM fails to company headquartered in Frankfurt, necessary for the proper performance of satisfy a condition for relief described in Germany; the functions of the Department, Sections I(c), (d), (h), (i), (j), (k), (l), (o) (e) The term ‘‘Exemption Period’’ including whether the information will and (q) or, if the independent auditor means the three year period from April have practical utility; (2) if the described in Section I(i) fails a provision 18, 2021 and ending on April 17, 2024; information will be processed and used of the exemption other than the (f) The term ‘‘Plea Agreement’’ means in a timely manner; (3) the accuracy of requirement described in Section the Plea Agreement entered into the agency’s estimates of the burden and I(i)(11), provided that such failure did between DB Group Services and the cost of the collection of information, not result from any actions or inactions U.S. Department of Justice, Fraud including the validity of the of Deutsche Bank or its affiliates. Section, Criminal Division, on April 23, methodology and assumptions used; (4) 2015 in connection with Case Number ways to enhance the quality, utility and Section II. Definitions 3:15–cr–00062–RNC filed in the U.S. clarity of the information collection; and (a) The term ‘‘U.S. Conviction’’ means District Court for the District of (5) ways to minimize the burden of the the judgment of conviction against DB Connecticut, subsequently adjudged by collection of information on those who Group Services UK Limited (DB Group the Court on March 28, 2017. are to respond, including the use of Services), entered on April 18, 2017, by Effective Date: This exemption will be automated collection techniques or the United States District Court for the in effect for three years, beginning on other forms of information technology. April 18, 2021. District of Connecticut, in case number FOR FURTHER INFORMATION CONTACT: 3:15–cr–00062–RNC, for one (1) count Signed at Washington, DC, this 8th day of Anthony May by telephone at 202–693– of wire fraud, in violation of 18 U.S.C. February, 2021. 4129 (this is not a toll-free number) or 1343. For all purposes under this Christopher Motta, by email at [email protected]. exemption, ‘‘conduct’’ of any person or Chief, Division of Individual Exemptions, SUPPLEMENTARY INFORMATION: The DOL entity that is the ‘‘subject of [a] Office of Exemption Determinations, Events Management Platform is a shared Conviction’’ encompasses the factual Employee Benefits Security Administration, service that allows a DOL agency to allegations described in Paragraph 13 of U.S. Department of Labor. collect registration information in a way the Plea Agreement filed in the District [FR Doc. 2021–02886 Filed 2–11–21; 8:45 am] that can be tailored to a particular event. Court in case number 3:15–cr–00062– BILLING CODE 4510–29–P As the information needed to register for RNC. specific events may vary, this ICR (b) The term ‘‘Covered Plan’’ means a provides a generic format to obtain any plan subject to Part 4 of Title I of ERISA DEPARTMENT OF LABOR required PRA authorization from the (an ‘‘ERISA-covered plan’’) or a plan OMB. DOL notes that registration subject to section 4975 of the Code (an Office of the Secretary requirements for many events do not ‘‘IRA’’), in each case, with respect to Agency Information Collection require PRA clearance, because the which a DB QPAM relies on PTE 84–14, Activities; Submission for OMB information requested is minimal (e.g. or with respect to which a DB QPAM (or Review; Comment Request; information necessary to identify the any Deutsche Bank affiliate) has Department of Labor Events attendee, address). This information expressly represented that the manager Management Platform collection, however, is subject to the qualifies as a QPAM or relies on PTE Paperwork Reduction Act (PRA). A 84–14. A Covered Plan does not include ACTION: Notice of availability; request Federal agency generally cannot an ERISA-covered plan or IRA to the for comments. conduct or sponsor a collection of extent the DB QPAM has expressly information and the public is generally disclaimed reliance on QPAM status or SUMMARY: The Department of Labor not required to respond to an PTE 84–14 in entering into a contract, (DOL) is submitting this Office of the information collection unless the OMB arrangement, or agreement with the Secretary (OS)-sponsored information approves it for use and the agency ERISA-covered plan or IRA. collection request (ICR) to the Office of (c) The term ‘‘DB QPAM’’ or ‘‘DB Management and Budget (OMB) for displays a currently valid OMB Control QPAMs’’ means DWS Investment review and approval in accordance with Number. In addition, notwithstanding Management Americas, Inc., and any the Paperwork Reduction Act of 1995 any other provisions of law, no person certain current, and future, Deutsche (PRA). Public comments on the ICR are shall generally be subject to penalty for Bank’s asset management affiliates that invited. failing to comply with a collection of qualify as a ‘‘qualified professional asset DATES: The OMB will consider all information that does not display a manager’’ (as defined in Section VI(a) of written comments that agency receives valid OMB Control Number. The DOL PTE 84–14),24 and that rely on the relief on or before March 15, 2021. seeks PRA authorization for this information collection for three (3) ADDRESSES: Written comments and years. OMB authorization for an a new disclosure unless, as a result of changes to recommendations for the proposed information Collection Review cannot the Policies, the Summary Policies are no longer information collection should be sent accurate. be for more than three (3) years without within 30 days of publication of this 24 In general terms, a QPAM is an independent renewal. The DOL notes that currently fiduciary that is a bank, savings and loan association, insurance company, or investment that has acknowledged in a written management approved information collection adviser that meets certain equity or net worth agreement that it is a fiduciary with respect to each requirements submitted to the OMB requirements and other licensure requirements and plan that has retained the QPAM. receive a month-to-month extension

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while they undergo review for Management and Budget (OMB) for Register on November 24, 2020 (85 FR additional substantive information review and approval in accordance with 75049). about this ICR, see the related notice the Paperwork Reduction Act of 1995 This information collection is subject published in the Federal Register on (PRA). Public comments on the ICR are to the PRA. A Federal agency generally November 6, 2020 (85 FR 71106). invited. cannot conduct or sponsor a collection This information collection is subject DATES: The OMB will consider all of information, and the public is to the PRA. A Federal agency generally written comments that agency receives generally not required to respond to an cannot conduct or sponsor a collection on or before March 15, 2021. information collection, unless the OMB of information, and the public is approves it and displays a currently generally not required to respond to an ADDRESSES: Written comments and valid OMB Control Number. In addition, information collection, unless the OMB recommendations for the proposed notwithstanding any other provisions of approves it and displays a currently information collection should be sent law, no person shall generally be subject valid OMB Control Number. In addition, within 30 days of publication of this to penalty for failing to comply with a notwithstanding any other provisions of notice to www.reginfo.gov/public/do/ collection of information that does not law, no person shall generally be subject PRAMain. Find this particular display a valid OMB Control Number. to penalty for failing to comply with a information collection by selecting See 5 CFR 1320.5(a) and 1320.6. collection of information that does not ‘‘Currently under 30-day Review—Open DOL seeks PRA authorization for this display a valid OMB Control Number. for Public Comments’’ or by using the information collection for three (3) See 5 CFR 1320.5(a) and 1320.6. search function. years. OMB authorization for an ICR DOL seeks PRA authorization for this Comments are invited on: (1) Whether cannot be for more than three (3) years information collection for three (3) the collection of information is without renewal. The DOL notes that years. OMB authorization for an ICR necessary for the proper performance of information collection requirements cannot be for more than three (3) years the functions of the Department, submitted to the OMB for existing ICRs without renewal. The DOL notes that including whether the information will receive a month-to-month extension information collection requirements have practical utility; (2) if the while they undergo review. submitted to the OMB for existing ICRs information will be processed and used Agency: DOL–OWCP. receive a month-to-month extension in a timely manner; (3) the accuracy of Title of Collection: Report of Changes while they undergo review. the agency’s estimates of the burden and That May Affect Your Black Lung Agency: DOL–OS. cost of the collection of information, Benefits. Title of Collection: Department of including the validity of the OMB Control Number: 1240–0028. Labor Events Management Platform. methodology and assumptions used; (4) Affected Public: Individuals or OMB Control Number: 1290–0002. ways to enhance the quality, utility and households. Affected Public: Businesses or other clarity of the information collection; and Total Estimated Number of for-profits institutions; not-for-profit (5) ways to minimize the burden of the Respondents: 12,000. institutions. collection of information on those who Total Estimated Number of Total Estimated Number of are to respond, including the use of Responses: 12,000. Respondents: 1,600. automated collection techniques or Total Estimated Annual Time Burden: Total Estimated Number of other forms of information technology. 2,810 hours. Responses: 3,200. Total Estimated Annual Other Costs FOR FURTHER INFORMATION CONTACT: Total Estimated Annual Time Burden: Burden: $0. Anthony May by telephone at 202–693– 250 hours. 4129 (this is not a toll-free number) or Authority: 44 U.S.C. 3507(a)(1)(D). Total Estimated Annual Other Costs _ _ Burden: $0. by email at DOL PRA [email protected]. Dated: February 5, 2021. SUPPLEMENTARY INFORMATION: The Anthony May, (Authority: 44 U.S.C. 3507(a)(1)(D)) requirements contained within the Management and Program Analyst. Dated: January 19, 2021. Report of Changes That May Affect Your [FR Doc. 2021–02874 Filed 2–11–21; 8:45 am] Anthony May, Black Lung Benefits information BILLING CODE 4510–CK–P Management and Program Analyst. collection include forms that help [FR Doc. 2021–02875 Filed 2–11–21; 8:45 am] determine continuing eligibility of BILLING CODE 4510–04–P primary beneficiaries receiving black DEPARTMENT OF LABOR lung benefits. The primary beneficiary or their representative payee is required Office of the Secretary DEPARTMENT OF LABOR to verify and update certain information that may affect entitlement to benefits, Agency Information Collection Office of the Secretary including changes to income, marital Activities; Submission for OMB status, receipt of state workers’ Review; Comment Request; Quarterly Agency Information Collection compensation benefits, and their Census of Employment and Wages Activities; Submission for OMB dependents’ status. While the Review; Comment Request; Report of ACTION: Notice of availability; request information collected remains the same for comments. Changes That May Affect Your Black as in the currently approved collection, Lung Benefits the updated forms add an electronic SUMMARY: The Department of Labor ACTION: Notice of availability; request filing option. The Black Lung Benefits (DOL) is submitting this Bureau of Labor for comments. Act, 30 U.S.C. 901 et seq., and its Statistics (BLS)-sponsored information implementing regulations, 20 CFR collection request (ICR) to the Office of SUMMARY: The Department of Labor 725.513(a), 725.533(e), authorizes this Management and Budget (OMB) for (DOL) is submitting this Office of the information collection. See 30 U.S.C. review and approval in accordance with Workers’ Compensation Programs 936(a). For additional substantive the Paperwork Reduction Act of 1995 (OWCP)-sponsored information information about this ICR, see the (PRA). Public comments on the ICR are collection request (ICR) to the Office of related notice published in the Federal invited.

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DATES: The OMB will consider all laws and the Unemployment Dated: February 5, 2021. written comments that agency receives Compensation for the Federal Anthony May, on or before March 15, 2021. Employees program. The consequences Management and Program Analyst. ADDRESSES: Written comments and of not collecting QCEW data would be [FR Doc. 2021–02873 Filed 2–11–21; 8:45 am] recommendations for the proposed grave to the Federal statistical BILLING CODE 4510–24–P information collection should be sent community. The BLS would not have a within 30 days of publication of this sampling frame for its establishment notice to www.reginfo.gov/public/do/ surveys; it would not be able to publish NATIONAL CREDIT UNION PRAMain. Find this particular as accurate current estimates of ADMINISTRATION information collection by selecting employment for the U.S., States, and ‘‘Currently under 30-day Review—Open metropolitan areas; and it would not be Submission for OMB Review; for Public Comments’’ or by using the able to publish quarterly census totals of Comment Request search function. local establishment counts, Comments are invited on: (1) Whether employment, and wages. The Bureau of AGENCY: National Credit Union the collection of information is Economic Analysis would not be able to Administration (NCUA). necessary for the proper performance of publish as accurate personal income ACTION: Notice. the functions of the Department, data in a timely manner for the U.S., including whether the information will States, and local areas. Finally, the SUMMARY: The National Credit Union have practical utility; (2) if the Department of Labor’s Employment Administration (NCUA) will submit the information will be processed and used Training Administration would not following information collection request in a timely manner; (3) the accuracy of have the information it needs to to the Office of Management and Budget the agency’s estimates of the burden and administer the Unemployment (OMB) for review and clearance in cost of the collection of information, Insurance Program. accordance with the Paperwork Reduction Act of 1995, on or after the including the validity of the For additional substantive date of publication of this notice. methodology and assumptions used; (4) information about this ICR, see the ways to enhance the quality, utility and related notice published in the Federal DATES: Comments should be received on clarity of the information collection; and Register on October 9, 2020 (85 FR or before March 15, 2021 to be assured (5) ways to minimize the burden of the 64167). of consideration. collection of information on those who This information collection is subject ADDRESSES: Written comments and are to respond, including the use of to the PRA. A Federal agency generally recommendations for the proposed automated collection techniques or cannot conduct or sponsor a collection information collection should be sent other forms of information technology. of information, and the public is within 30 days of publication of this FOR FURTHER INFORMATION CONTACT: generally not required to respond to an notice to www.reginfo.gov/public/do/ Anthony May by telephone at 202–693– information collection, unless the OMB PRAMain. Find this particular 4129 (this is not a toll-free number) or approves it and displays a currently information collection by selecting _ _ by email at DOL PRA [email protected]. valid OMB Control Number. In addition, ‘‘Currently under 30-day Review—Open SUPPLEMENTARY INFORMATION: The notwithstanding any other provisions of for Public Comments’’ or by using the QCEW program is implementing law, no person shall generally be subject search function. improvements to the methods used to to penalty for failing to comply with a FOR FURTHER INFORMATION CONTACT: impute data for missing employer collection of information that does not Copies of the submission may be reports starting in October 2020. The display a valid OMB Control Number. obtained by contacting Mackie Malaka current method of imputation estimates See 5 CFR 1320.5(a) and 1320.6. at (703) 548–2704, emailing the current month’s employment or DOL seeks PRA authorization for this [email protected], or viewing current quarterly wages by applying the information collection for three (3) the entire information collection request change from a year earlier to the years. OMB authorization for an ICR at www.reginfo.gov. previous month’s reported employment cannot be for more than three (3) years SUPPLEMENTARY INFORMATION: and/or quarterly wages. A drawback to without renewal. The DOL notes that OMB Number: 3133–0180. this procedure is that it uses the data information collection requirements Type of Review: Extension of a from a year earlier, which may not submitted to the OMB for existing ICRs currently approved collection. reflect current economic conditions. receive a month-to-month extension Title: Liquidity and Contingency BLS anticipates that the number of while they undergo review. Funding Plans, 12 CFR 741.12. nonresponding employers will be Abstract: The 2008 financial crisis Agency: DOL–BLS. substantially higher than usual in the demonstrated the importance of good second quarter of 2020, as a result of the Title of Collection: Quarterly Census liquidity risk management to the safety business response to the coronavirus of Employment and Wages. and soundness of financial institutions. (COVID–19) pandemic. Existing OMB Control Number: 1220–0012. In conjunction with the OCC, FRB, imputation methods would likely Affected Public: State, local, and tribal FDIC, and Conference of State Bank understate the impact of the pandemic governments. Supervisors (CSBS), adopted the on the U.S. economy. BLS has Total Estimated Number of Interagency Policy Statement on conducted research on improvements to Respondents: 53. Funding and Liquidity Risk its imputation methodology and will Total Estimated Number of Management in March of 2010. implement these improvements with the Responses: 212. In October 2013, to clarify NCUA’s first release of data for the second expectation on the Interagency Policy Total Estimated Annual Time Burden: quarter of 2020. The QCEW program is Statement and to reduce the regulatory 821,500 hours. the only Federal statistical program that burden on small credit unions, NCUA provides information on establishments, Total Estimated Annual Other Costs codified the requirements for Liquidity wages, tax contributions and the Burden: $0. and Contingency Funding Plans as number of employees subject to State UI Authority: 44 U.S.C. 3507(a)(1)(D). § 741.12. The rule establishes a three-

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tier framework for federally insured 30 days from the date the report is with the responsibility of investigating credit unions, based on asset size. submitted to Congress and the OMB. or prosecuting such violation, or Federally insured credit union with ADDRESSES: Deputy Chairman for charged with enforcing or implementing assets under $50 million must maintain Management & Budget; National the statute, rule, regulation, or order a basic policy, federally insured credit Endowment for the Arts; 400 7th Street issued pursuant thereto. Such referral unions with assets of $50 million and SW, Washington, DC 20506; telefax at shall be deemed to authorize: (1) Any over must maintain a contingency (202) 682–5798 or by electronic mail at and all appropriate and necessary uses funding plan, and federally insured [email protected]. of such records in a court of law or credit unions with assets over $250 FOR FURTHER INFORMATION CONTACT: Ann before an administrative board or million must maintain a contingency Eilers, Deputy Chairman for hearing; and (2) Such other interagency funding plan and establish a federal Management & Budget, (202) 682–5534. referrals as may be necessary to carry liquidity contingency source. out the receiving agencies’ assigned law SUPPLEMENTARY INFORMATION: In Affected Public: Private Sector: Not- enforcement duties. accordance with 5 U.S.C. 552a(e)(4), the for-profit institutions. 4. The names, Social Security Estimated Total Annual Burden Endowment is today republishing a numbers, home addresses, dates of Hours: 4,247. notice of the existence and character of birth, dates of hire, quarterly earnings, By Melane Conyers-Ausbrooks, its systems of records in order to make employer identifying information, and Secretary of the Board, the National available in one place in the Federal state of hire of employees may be Credit Union Administration, on Register the most up-to-date disclosed as a routine use to the Office February 9, 2021. information regarding these systems. of Child Support Enforcement, This republication has become Dated: February 9, 2021. Administration for Children and necessary to reflect administrative Families, Department of Health and Mackie I. Malaka, changes, such as agency move, agency Human Services, as follows: NCUA PRA Clearance Officer. restructuring and the increased use of (a) For use in the Federal Parent [FR Doc. 2021–02954 Filed 2–11–21; 8:45 am] electronic technology, that have been Locator System (FPLS) and the Federal BILLING CODE 7535–01–P made at the Endowment since the last Tax Offset System for the purpose of publication of a notice of its systems of locating individuals to establish records. paternity, establishing and modifying NATIONAL ENDOWMENT FOR THE Statement of General Routine Uses orders of child support, identifying ARTS sources of income, and for other child The following general routine uses are support enforcement actions as required Privacy Act of 1974: Republication of incorporated by this reference into each by the Personal Responsibility and Notice of Systems of Records system of records set forth herein, Work Opportunity Reconciliation Act of unless specifically limited in the system 1996 (Pub. L. 104–193); AGENCY: National Endowment for the description. (b) For release to the Social Security Arts. 1. A record may be disclosed as a Administration for the purpose of ACTION: Notice of republication of routine use to a Member of Congress or verifying Social Security numbers in systems of records, proposed systems of his or her staff, when the Member of connection with the operation of the records, and new routine uses. Congress or his or her staff requests the FPLS; and information on behalf of and at the (c) For release to the U.S. Department SUMMARY: The National Endowment for request of the individual who is the of the Treasury (Treasury) for the the Arts (Endowment) is publishing a subject of the record. purpose of payroll, savings bonds, and notice of its systems of records with 2. A record may be disclosed as a other deductions; administering the descriptions of the systems and the routine use to designated officers and Earned Income Tax Credit Program ways in which they are maintained, as employees of other agencies and (Section 32, Internal Revenue Code of required by the Privacy Act of 1974. departments of the Federal government 1986); and verifying a claim with This notice reflects administrative having an interest in the subject respect to employment on a tax return, changes that have been made at the individual for employment purposes as required by the Personal Endowment since the last publication of (including the hiring or retention of any Responsibility and Work Opportunity a notice of its systems of records. This employee; the issuance of a security Reconciliation Act of 1996 (Pub. L. 104– notice also will enable individuals who clearance; the letting of a contract; or 193). wish to access information maintained the issuance of a license, grant, or other 5. A record may be disclosed as a in Endowment systems to make accurate benefit by the requesting agency) to the routine use in the course of presenting and specific requests for such extent that the information is relevant evidence to a court, magistrate, or information. and necessary to the requesting agency’s administrative tribunal of appropriate DATES: In accordance with 5 U.S.C. decision on the matter involved. jurisdiction, and such disclosure may 552a(r), on June 19, 2008, the National 3. In the event that a record in a include disclosures to opposing counsel Endowment for the Arts filed a report as system of records maintained by the in the course of settlement negotiations. to the changes proposed in this notice Endowment indicates, either by itself or 6. Information from any system of with the Committee on Oversight and in combination with other information records may be used as a data source for Government Reform of the House of in the Endowment’s possession, a management information, for the Representatives; the Senate Committee violation or potential violation of the production of summary descriptive on Homeland Security and law (whether civil, criminal, or statistics and analytical studies in Governmental Affairs; and the regulatory in nature, and whether support of the function for which the Administrator, Office of Information arising by statute or by regulation, rule, records are collected and maintained, or and Regulatory Affairs, Office of or order issued pursuant thereto), that for related personnel management Management and Budget (OMB). The record may be referred, as a routine use, functions or manpower studies. deadline to submit comments on the to the appropriate agency, whether Information may also be disclosed to Endowment’s proposed changes will be Federal, state, local, or foreign, charged respond to general requests for

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statistical information (without personal confirmed compromise and prevent, CATEGORIES OF INDIVIDUALS COVERED BY THE identification of individuals) under the minimize, or remedy such harm. SYSTEM: Freedom of Information Act. Individuals whom the Endowment Table of Contents 7. A record may be disclosed as a may ask or has asked to serve on routine use to a contractor, expert, or This document gives notice that the application review panels. consultant of the Endowment (or an following Endowment systems of office within the Endowment) when the records are in effect: CATEGORIES OF RECORDS IN THE SYSTEM: purpose of the release is to perform a NEA–1 Panelist, Electronic Grants Name, address, telephone number, survey, audit, or other review of the Management System (eGMS) replaced Social Security number, and other data Endowment’s procedures and Automated Panel Bank System (APBS) concerning potential and actual operations. NEA–2 Panelists, Paper Files panelists, including information about 8. A record from any system of NEA–3 National Council on the Arts, areas of artistic expertise and prior records may be disclosed as a routine Member Information panel service. use to the National Archives and NEA–4 Grants and Cooperative Records Administration in records Agreements: Electronic Grants RECORD SOURCE CATEGORIES: management inspections conducted Management System (eGMS) Data in this system is obtained from under authority of 44 U.S.C. 2904 and NEA–5 Grants, Paper Files individuals covered by the system, as 2906. NEA–6 Contracts well as from Endowment employees. 9. A record may be disclosed to a NEA–7 Payroll/Personnel System NEA–8 Government Purchasing and Card ROUTINE USES OF RECORDS MAINTAINED IN THE contractor, grantee, or other recipient of Holders Federal funds when the record to be SYSTEM, INCLUDING CATEGORIES OF USERS AND NEA–9 Financial Management Information THE PURPOSES OF SUCH USES: released reflects serious inadequacies System (FMIS) with the recipient’s personnel, and NEA–10 Finance Subsidiary Tracking Data in this system is used for disclosure of the record is for the Systems identification of panelists and their purpose of permitting the recipient to NEA–11 Finance, Paper File activities in this capacity. See also the effect corrective action in the NEA–12 Equal Employment Opportunity list of General Routine Uses contained government’s best interests. Complaint Case Files in the Preliminary Statement. 10. A record may be disclosed to a NEA–13 Civil Rights Complaint Case Files contractor, grantee, or other recipient of NEA–14 Office of the Inspector General POLICIES AND PRACTICES FOR STORAGE OF RECORDS: Federal funds when the recipient has Investigative Case Files NEA–15 Senate Nomination Files— incurred an indebtedness to the Records in this system are maintained National Council on the Arts in an electronic database. government through its receipt of NEA–16 Jazz Masters Recipients government funds, and release of the NEA–17 National Heritage Fellowship POLICIES AND PRACTICES FOR RETRIEVAL OF record is for the purpose of allowing the Recipients RECORDS: debtor to effect a collection against a NEA–18 Literature Fellowship Recipients Records in this system are retrieved third party. 11. Information in a system of records SYSTEM NAME AND NUMBER: by name. may be disclosed as a routine use to the Panelists Electronic Grants POLICIES AND PRACTICES FOR RETENTION AND Treasury; other Federal agencies; Management System (eGMS)/NEA–1. DISPOSAL OF RECORDS: ‘‘consumer reporting agencies’’ (as Records in this system are maintained SYSTEM CLASSIFICATION: defined in the Fair Credit Reporting Act, and updated on a continuing basis, as 15 U.S.C. 168la(f), or the Federal Claims Sensitive. new information is received by the Collection Act of 1966, 31 U.S.C. National Endowment for the Arts staff. SYSTEM LOCATION: 370(a)(3); or private collection Endowment staff will periodically contractors for the purpose of collecting Authorized National Endowment for request updated information from a debt owed to the Federal government the Arts (NEA) staff may access National individuals who already have a People as provided in the regulations Endowment for the Humanities (NEH), record in eGMS. Endowment staff will promulgated by the Endowment and electronic grant management system via also periodically purge the eGMS published at 45 CFR 1150. online web portal. 400 7th Street SW, People records pertaining to individuals 12. To appropriate agencies, entities, Washington, DC 20506. NEH provides who have been in the eGMS for three to and persons when (1) the Endowment these services under System of Record five years, but who have not served on suspects or has confirmed that the Notice NEH–1. a panel. security or confidentiality of information in the system of record has SYSTEM MANAGER(S): ADMINISTRATIVE, TECHNICAL, AND PHYSICAL been compromised; (2) the Endowment Chief Information Officer; National SAFEGUARDS: has determined that as a result of the Endowment for the Humanities; This system is maintained in a locked suspected or confirmed compromise [email protected]. computer room that can be accessed there is a risk of harm to economic or only by authorized employees of the property interests, identity theft or AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Endowment or the National Endowment fraud, or harm to the security or National Foundation on the Arts and for the Humanities. Access to records in integrity of this system or other systems the Humanities Act of 1965, as amended this system is further controlled by or programs (whether maintained by the (20 U.S.C. 951 et seq.). password, with different levels of Endowment or another agency or entity) modification rights assigned to PURPOSE(S) OF THE SYSTEM: that rely upon the compromised individuals and offices at the information; and (3) the disclosure To provide a central repository for Endowment based on their specific job made to such agencies, entities, and information about art experts who could functions. persons is reasonably necessary to assist be or have been called upon to serve on in connection with the Endowment’s application review panels and make RECORD ACCESS PROCEDURES: efforts to respond to the suspected or recommendations on grant awards. See 45 CFR part 1159.

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CONTESTING RECORD PROCEDURES: POLICIES AND PRACTICES FOR STORAGE OF PURPOSE(S) OF THE SYSTEM: See 45 CFR part 1159. RECORD: To provide a central repository for Records in this system are maintained information about past and present NOTIFICATION PROCEDURES: in filing cabinets. members of the Council. See 45 CFR part 1159. POLICIES AND PRACTICES FOR RETRIEVAL OF CATEGORIES OF INDIVIDUALS COVERED BY THE EXEMPTIONS PROMULGATED FOR THE SYSTEM: RECORDS: SYSTEM: None. Records in this system are retrieved Past and present members of the by name. National Council on the Arts. HISTORY: CATEGORIES OF RECORDS IN THE SYSTEM: Panelists Electronic Grants POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS: Name, address, telephone number, Management System (eGMS) replaces Social Security number, and other The Office of Guidelines and Panel the panelists Automated Panel Bank information concerning past and present Operations maintains historical paper System (APBS) that was retired with the members of the Council, such as press files that are static due to the new implementation of eGMS. clippings and correspondence. System Location change 1100 electronic capability of the eGMS. These Pennsylvania Avenue NW, Washington, are historical records that are required RECORD SOURCE CATEGORIES: DC 20506. under the Federal Advisory Committee Data in this system is obtained from Act. individuals covered by the system, as SYSTEM NAME AND NUMBER: Discipline offices may also maintain well as from Endowment employees Panelists, Paper Files/NEA–2. paper files about individuals who have involved with the activities of the served on panels for their divisions. The Council. SYSTEM CLASSIFICATION: Endowment’s Finance Office maintains Sensitive. copies of panelist contracts. Each ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND Discipline office destroys its panelist THE PURPOSES OF SUCH USES: SYSTEM LOCATION: contracts after the conclusion of the Data in this system is used for National Endowment for the Arts, 400 panel. 7th Street SW, Washington, DC 20506. identification of members of the Council ADMINISTRATIVE, TECHNICAL, AND PHYSICAL and their activities in this capacity. See SYSTEM MANAGER(S): SAFEGUARDS: also the list of General Routine Uses Director of Guidelines and Panel Cabinets containing the records in contained in the Preliminary Statement. Operations: [email protected]. this system are kept locked. POLICIES AND PRACTICES FOR STORAGE OF RECORDS: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: RECORD ACCESS PROCEDURES: Records in this system are maintained National Foundation on the Arts and See 45 CFR part 1159. both electronically and in paper files the Humanities Act of 1965, as amended kept in file cabinets. (20 U.S.C. 951 et seq.). CONTESTING RECORD PROCEDURES: See 45 CFR part 1159. POLICIES AND PRACTICIES FOR RETRIEVAL OF PURPOSE(S) OF THE SYSTEM: RECORDS: Historical information about actual NOTIFICATION PROCEDURES: Records in this system are retrieved panelists that predates the electronic See 45 CFR part 1159. by name. capability of eGMS. EXEMPTIONS PROMULGATED FOR THE SYSTEM: POLICIES AND PRACTICIES FOR RETENTION AND DISPOSAL OF RECORDS: CATEGORIES OF INDIVIDUALS COVERED BY THE None. SYSTEM: Records in this system are maintained Individuals whom the Endowment HISTORY: on an indefinite basis for reference may ask or has asked to serve on Panelists, Paper Files System Location purposes. application review panels. change 1100 Pennsylvania Avenue NW, ADMINISTRAIVE, TECHNICAL, AND PHYSICAL Washington, DC 20506. SAFEGUARDS: CATEGORIES OF RECORDS IN THE SYSTEM: SYSTEM NAME AND NUMBER: Rooms containing the paper records Historical information about actual in this system are kept locked during panelists. This system includes National Council on the Arts, Member non-working hours. materials such as resumes and panelist Information/NEA–3. The electronic records in this system profile forms. SYSTEM CLASSIFICATION: are maintained on the office hard drive which is password-protected. RECORD SOURCE CATEGORIES: Sensitive. Data in this system is obtained from RECORD ACCESS PROCEDURES: individuals covered by the system, as SYSTEM LOCATION: See 45 CFR part 1159. well as from Endowment employees and Office of Chief of Staff/Council other individuals nominating potential Operations; 400 7th Street SW, CONTESTING RECORD PROCEDURES: panelists. Washington, DC 20506. See 45 CFR part 1159. NOTIFICATION PROCEDURES: ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM MANAGER(S): SYSTEM, INCLUDING CATEGORIES OF USERS AND Chief of Staff or Council Coordinator; See 45 CFR part 1159. THE PURPOSES OF SUCH USES: [email protected]. EXEMPTIONS PROMULGATED FOR THE SYSTEM: These are historical records that are None. required under the Federal Advisory AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Committee Act. See also the list of National Foundation on the Arts and HISTORY: General Routine Uses contained in the the Humanities Act of 1965, as amended National Council on the Arts, Member Preliminary Statement. (20 U.S.C. 951 et seq.). Information System Location change

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1100 Pennsylvania Avenue NW, well as from Endowment employees SECURITY CLASSIFICATION: Washington, DC 20506. involved in the administration of grants. Sensitive.

SYSTEM NAME AND NUMBER: ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM LOCATION: Grants and Cooperative Agreements, SYSTEM, INCLUDING CATEGORIES OF USERS AND 400 7th Street SW, Washington, DC THE PURPOSES OF SUCH USES: Electronic Grants Management System 20506. (eGMS)/NEA–4. Data in this system may be used for general administration of the SYSTEM MANAGER(S): SECURITY CLASSIFICATION: application review and award process, Grants Officer (Director); jacobsn@ Sensitive. grants management, statistical research, arts.gov. and Congressional oversight and SYSTEM LOCATION: analysis of trends. See also the list of AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Authorized National Endowment for General Routine Uses contained in the National Foundation on the Arts and the Arts (NEA) staff may access National preliminary Statement. the Humanities Act of 1965, as amended Endowment for the Humanities (NEH) (20 U.S.C. 951 et seq.). electronic grant management system via POLICIES AND PRACTICES FOR STORAGE OF an online web portal. 400 7th Street SW, RECORDS: PURPOSE(S) OF THE SYSTEM: Washington, DC 20506. NEH provides Records in this system are maintained To supplement the GMS and eGMS these services under System of Record in an electronic database. with information well suited for Notice NEH–1. maintenance in hard copy form. POLICIES AND PRACTICES FOR RETRIEVAL OF SYSTEM MANAGER(S): RECORDS: CATEGORIES OF INDIVIDUALS COVERED BY THE Grants Officer (Director) and/or CIO of Records in this system are retrieved SYSTEM: Information and Technology; National by name, application number, grant Individuals who have applied to the Endowment for the Humanities; number, or constituent identification NEA for financial assistance in the form [email protected]. number. of grants.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: POLICIES AND PRACTICES FOR RETENTION AND CATEGORIES OF RECORDS IN THE SYSTEM: National Foundation on the Arts and DISPOSAL OF RECORDS: Additional information concerning the Humanities Act of 1965, as amended Records in this system are maintained NEA decisions to award grants and (20 U.S.C. 951 et seq.). on an indefinite basis for reference cooperative agreements, disburse funds, purposes; however, records will be and close out awards. Materials include PURPOSE(S) OF THE SYSTEM: closed out and not accessible for applications, award notification letters To provide a central repository for viewing after the required retention and any approved amendments, information about grant and cooperative period (currently 7 years from the date payment requests, correspondence, and agreement applicants, recipients, and of closeout). final reports. awards. ADMINISTRATIVE TECHNICAL AND PHYSICAL , , RECORD SOURCE CATEGORIES: CATEGORIES OF INDIVIDUALS COVERED BY THE SAFEGUARDS: Data in this system is obtained from SYSTEM: This system is maintained in a locked individuals covered by the system, as Individual and organizations who computer room that can be accessed well as from Endowment employees have applied to the National only by authorized employees of the involved in the administration of grants. Endowment for the Arts (NEA) for Endowment and the National financial assistance in the form of grants Endowment for the Humanities. Access ROUTINE USES OF RECORDS MAINTAINED IN THE and cooperative agreements. to records in this system is controlled by SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: CATEGORIES OF RECORDS IN THE SYSTEM: PIV access, with different levels of Name, address, telephone number, modification rights assigned to Data in this system may be used for Social Security number, Taxpayer or individuals and offices at the NEA general administration of the grant and Employee identification numbers (TIN, based on their specific job functions. cooperative agreement review and award process, award management EIN) assigned by the IRS, Dun & RECORD ACCESS PROCEDURES: including payment and amendment Bradstreet numbers assigned by Dun & See 45 CFR part 1159. Bradstreet, application numbers requests, statistical research, and assigned by the National Endowment for CONTESTING RECORD PROCEDURES: Congressional oversight and analysis of the Arts (NEA). National Standard and See 45 CFR part 1159. trends. See also the list of General other agency established codes, and Routine Uses contained in the NOTIFICATION PROCEDURES: award action dates. Banking information Preliminary Statement. See 45 CFR part 1159. is not maintained in the Electronic POLICIES AND PRACTICES FOR STORAGE OF Grants Management System (eGMS). EXEMPTIONS PROMULGATED FOR THE SYSTEM: RECORDS: Additional information concerning None. Records in this system are maintained National Endowment for Arts (NEA) in file cabinets. decisions to award grants and HISTORY: cooperative agreements, disburse funds, Grants and Cooperative Agreements, POLICIES AND PRACTICES FOR RETRIEVAL OF and close out awards. Materials include Electronic Grants Management System RECORDS: applications, award notifications and (eGMS) replaces Grants, Grants Records in this system are retrieved any approved amendments, payment Management System (GMS); System by name, application number, or grant requests, correspondence, and final Location changed from 1100 number. reports. Pennsylvania Avenue NW, Washington, DC 20506. POLICIES AND PRACTICES FOR RETENTION AND RECORD SOURCE CATEGORIES: DISPOSAL OF RECORDS: Data in this system is obtained from SYSTEM NAME AND NUMBER: The Office of Grants maintains paper individuals covered by the system, as Grants, Paper Files/NEA–5. files of award made in FY 17 and earlier

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that are still open, which are retired and RECORD SOURCE CATEGORIES: EXEMPTIONS PROMULGATED THE SYSTEM: destroyed after seven years. When the Data in this system is obtained from None. final descriptive and financial status individuals covered by the system, as reports are received and accepted, the well as from Endowment employees HISTORY: grant and cooperative agreement files involved in contract development, Contracts replaces Contracts and are retired first to the Federal Records administration, and execution. Cooperative Agreements; System Center, and then to the National Location changed from 1100 Archives and Records Administration. ROUTINE USES OF RECORDS MAINTAINED IN THE Pennsylvania Avenue NW, Washington, The FY 17 paper award files are SYSTEM, INCLUDING CATEGORIES OF USERS AND DC 20506. THE PURPOSES OF SUCH USES: scanned to a specific computer system SYSTEM NAME/NUMBER: LAN drive that has limited access. Data in this system may be used for General Accounting Office audits and Payroll/Personnel System/NEA–7. ADMINISTRTIVE, TECHNICAL, AND PHYSICAL Congressional oversight. See also the list SECURITY CLASSIFICATION: SAFEGUARDS: of General Routine Uses contained in Files containing records in this the Preliminary Statement. Sensitive. system are kept locked during non- SYSTEM LOCATION: working hours. POLICIES AND PRACTICES FOR STORAGE FOR RECORDS: National Endowment for the Arts RECORD ACCESS PROCEDURES: The Contracts Office maintains (NEA), Department of Human See 45 CFR part 1159. records in this system in an electronic Resources. 400 7th Street SW, database, word processing files, and file Washington, DC 20506. CONTESTING RECORDS PROCEDURES: cabinets. The Finance office also Pursuant to an Interagency Agreement See 45 CFR part 1159. maintains paper files in this system in between the NEA and the National file cabinets. Finance Center (‘‘NFC’’), a component NOTIFICATION PROCEDURES: organization of the United States See 45 CFR part 1159. POLICIES AND PRACTICES RETRIEVAL OF Department of Agriculture’s Office of RECORDS: the Chief Financial Officer, NFC EXEMPTIONS PROMULGATED FOR THE SYSTEM: Database files are retrieved by name provides NEA with the following None. or by contract or cooperative agreement services: Payroll processing, payroll HISTORY: number. Word processing files are account processing, salary payment of retrieved by contract or cooperative processing, receipt and processing of Grant, Paper Files System Location agreement number. Paper files time and attendance data, and other change 1100 Pennsylvania Avenue NW, maintained by the Contracts Office are functions necessary to perform these Washington, DC 20506. retrieved by name. Paper files services. NFC provides these services SYSTEM NAME AND NUMBER: maintained by the Finance Office are using the Department of Agriculture’s Contracts/NEA–6. retrieved by name, Social Security payroll systems, which are covered number, or vendor number. under Department of Agriculture SYSTEM CLASSIFICATION: System of Record Notice OPM/GOV–1. POLICIES AND PRACTICES FOR RETENTION AND Sensitive. DISPOSAL OF RECORDS: SYSTEM MANAGER(S): SYSTEM LOCATION: Database and word processing files Director of Human Resources; 400 7th Street SW, Washington, DC are maintained on an indefinite basis for [email protected]. 20506. reference purposes. Paper files maintained by the Contracts Office are AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SYSTEM MANAGER(S): shipped to the National Archives and National Foundation on the Arts and Administrative Officer (Director of Records Administration after the the Humanities Act of 1965, as amended Administrative Services) and/or contract or cooperative agreement is (20 U.S.C. 951 et seq.); Federal Director of Finance [email protected]. physically completed, and they are Personnel Manual and Treasury Fiscal destroyed six years and three months Requirements Manual. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: later. Paper files maintained by the PURPOSE(S) OF THE SYSTEM: National Foundation on the Arts and Finance Office are also maintained for the Humanities Act of 1965, as amended six years and three months, and then To document the Endowment’s (20 U.S.C. 9 51 et seq.). destroyed. personnel processes and to calculate and process payroll. PURPOSE(S) OF THE SYSTEM: ADMINISTRATIVE, TECHNICAL, AND PHYSICAL To maintain a record of contracts and SAFEGUARDS: CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: cooperative agreements entered into by Database and word processing files the Endowment. are protected by a password available to Employees of the Endowment. Grants and Contracts Office staff. Rooms CATEGORIES OF RECORDS IN THE SYSTEM: CATEGORIES OF INDIVIDUALS COVERED BY THE containing paper files are kept locked SYSTEM: Payroll and personnel information, during non-working hours. Individuals who have entered into such as time and attendance data, administrative contracts with the RECORD ACCESS PROCEDURES: statements of earnings and leave, Endowment. See 45 CFR part 1159. training data, wage and tax statements, and payroll and personnel transactions. CATEGORIES OF RECORDS IN THE SYSTEM: CONTESTING RECORD PROCEDURES: This system includes some data that Relevant information concerning the See 45 CFR part 1159. may also be maintained in the contract, such as copies of the signed Endowment’s official personnel folders, document and requests for payment/ NOTIFICATION PROCEDURES: which are managed in accordance with invoices. See 45 CFR part 1159. Office of Personnel Management (OPM)

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regulations. The OPM has given notice the duration of an individual’s well as from Endowment employees of its system of records covering official employment with the Endowment or involved in administration and personnel folders in OPM/GOVT–1. another indefinite period. oversight of government purchasing cards. RECORD SOURCE CATEGORIES: ADMINSTRATIVE, TECHNICAL, AND PHYSICAL Data in this system is obtained from SAFEGUARDS: ROUTINE USES OF RECORDS MAINTAINED IN THE individuals covered by the system, as NEA limits access to records within SYSTEM, INCLUDING CATEGORIES OF USERS AND well as from Endowment employees this system to authorized personnel THE PURPOSES OF SUCH USES: involved in the administration of whose official duties require such See the list of General Routine Uses personnel and payroll processes. access; namely, Office of Human contained in the Preliminary Statement. Resources personnel and senior staff. POLICIES AND PRACTICES FOR STORAGE OF ROUTINE USES OF RECORDS MAINTAINED IN THE Access to records in this system is SYSTEM, INCLUDING CATEGORIES OF USERS AND RECORDS: further controlled by password. NEA THE PURPOSES OF SUCH USES: keeps records in this system in locked The Administrative Services Office Data in this system may be file cabinets. maintains records in this system in an transmitted to the U.S. Departments of electronic database and in paper records Agriculture and Treasury, and RECORD ACCESS PROCEDURES: in file cabinets. The Finance Office employee-designated financial See 45 CFR part 1159. maintains additional paper records in institutions to effect issuance of this system in file cabinets. paychecks to employees and CONTESTING RECORD PROCEDURES: distributions of pay according to See 45 CFR part 1159. POLICIES AND PRACTICES RETRIEVAL OF RECORDS: employee directions for authorized NOTIFICATION PROCEDURES: purposes. Data in this system may also Electronic records in this system are be used to prepare payroll, meet See 45 CFR part 1159. retrieved by name, office, account number, or spending limit. Paper government recordkeeping and EXEMPTIONS PROMULGATED FOR THE SYSTEM: records in this system are retrieved by reporting requirements, and retrieve and None. apply payroll and personnel name or Social Security number. information as required for agency HISTORY: POLICIES AND PRACTICES RETENTION AND needs. See also the list of General Location changed from 1100 DISPOSAL OF RECORDS: Routine Uses contained in the Pennsylvania Avenue NW, Washington, Records in this system are maintained Preliminary Statement. DC 20506. on an indefinite basis for reference POLICIES AND PRACTICES FOR STORAGE OF SYSTEM NAME AND NUMBER: purposes. Records concerning RECORDS: individuals not issued credit cards are Government Purchasing Card destroyed. Electronic records in this system are Holders/NEA–8. maintained off-site by the Department of ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SECURITY CLASSIFICATION: Agriculture’s National Finance Center SAFEGUARDS: (NFC) but can be accessed by Sensitive. Access to electronic records in this individuals in the Office of Human system is controlled by a password, Resources and by timekeepers for each SYSTEM LOCATION: which is available only to the of the Endowment’s offices. Records 400 7th Street SW, Washington, DC Approving Official. Rooms containing generated through the NFC are 20506. paper records in this system are kept maintained by the Office of Human SYSTEM MANAGER(S): locked during non-working hours. Resources. The Office of Human Administrative Officer (Director of Resources also maintains paper records RECORD ACCESS PROCEDURES: Administrative Services) and/or of security folders, training folders, and See 45 CFR part 1159. health records in file cabinets. Office Director of Finance; [email protected]. timekeepers maintain paper time and AUTHORITY FOR MAINTENANCE OF THE SYSTEM: CONTESTING RECORD PROCEDURES: attendance records for three years in file National Foundation on the Arts and See 45 CFR part 1159. cabinets in their offices. Division offices the Humanities Act of 1965, as amended NOTIFICATION PROCEDURES: also may use file cabinets to maintain (20 U.S.C. 951 et seq.). paper records concerning performance See 45 CFR part 1159. reviews and other personnel actions. PURPOSE(S) OF THE SYSTEM: EXEMPTIONS PROMULGATED FOR THE SYSTEM: To maintain a record of Endowment POLICIES AND PRACTICES FOR RETRIEVAL OF None. RECORDS: employees authorized to use government purchasing cards. Records in this system are retrieved HISTORY: by name, Social Security number, or CATEGORIES OF INDIVIDUALS COVERED BY THE Government Purchasing Card Holders date of birth. SYSTEM: System Location changed from 1100 Endowment employees who have Pennsylvania Avenue NW, Washington. POLICIES AND PRACTICIES FOR RETENTIVAL AND DISPOSAL OF RECORDS: been issued credit cards to make official SYSTEM NAME AND NUMBER: purchases. The Office of Human Resources Financial Management Information maintains paper records in this system CATEGORIES OF RECORDS IN THE SYSTEM: System/NEA–9 (FMIS), DELPHI (the in accordance with the General Services Name, office, account number, and Department of Transportation’s (DOT’s) Administration’s General Records spending limits. Oracle Federal Financial System made Schedule 2. Division offices may available to the National Endowment for maintain paper records concerning RECORD SOURCE CATEGORIES: the Arts (NEA) through a cross-servicing performance reviews and other Data in this system is obtained from agreement with DOT’s Enterprise personnel actions in their divisions for individuals covered by the system, as Service Center.

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SECURITY CLASSIFICATION: Department of Agriculture’s National System of Records Notice GSA/ Sensitive. Finance Center (NFC). GOVT–4.

SYSTEM LOCATION: POLICIES AND PRACTICES FOR STORAGE OF SYSTEM MANAGER(S): RECORDS: Authorized NEA staff may access Accounting Officer (Director of DELPHI Oracle Federal Financial Records in this system are maintained Finance); [email protected]. System electronically via an online web on electronically. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: portal. This system is hosted by the POLICIES AND PRACTICES FOR RETRIEVAL OF Department of Transportation facility in RECORDS: National Foundation on the Arts and Oklahoma City, Oklahoma. NEA stores Records in this system are retrieved the Humanities Act of 1965, as amended certain supporting documents in hard- by name, Social Security number, tax/ (20 U.S.C. 951 et seq.). copy files with its Finance and Budget employee identification number, or Office. DOT provides these services PURPOSE(S) OF THE SYSTEM: vendor number. under System of Record Notice DOT/ To supplement DELPHI with ALL 7. POLICIES AND PRACTICES FOR RETENTION AND electronic records that cannot be DISPOSAL OF RECORDS: maintained within that system. SYSTEM MANAGER(S): Records in this system are maintained Accounting Officer (Director of CATEGORIES OF INDIVIDUALS COVERED BY THE on an indefinite basis for reference SYSTEM: Finance); [email protected]. purposes. Grant recipients, Endowment AUTHORITY FOR MAINTENANCE OF THE SYSTEM: ADMINISTRATIVE, TECHNICAL, AND PHYSICAL employees, vendors, and other National Foundation on the Arts and SAFEGUARDS: individuals involved in financial the Humanities Act of 1965, as amended This system is maintained in a locked transactions with the Endowment. (20 U.S.C. 951 et seq.). computer room that can be accessed CATEGORIES OF RECORDS IN THE SYSTEM: PURPOSE(S) OF THE SYSTEM: only by authorized employees of the NEA and the National Endowment for (1) Files contain payment information To promote effective fund control and the Humanities. Access to records in for processing all payments. financial management; to provide a this system is further controlled by (2) The Travel Authorizations Files central repository for information about password, available to the Budget, contain employee expense data from the NEA’s financial transactions; and to Finance, and Information and travel duty. The GSA has given notice enable the NEA Budget and Finance Technology Management Offices. of its system of records covering the offices to share a common system for Different levels of modification rights official travel files GSA/GOVT–4. entering allocation, commitment, and are assigned to these three offices and obligation information. (3) The Travel Voucher Files NEA employees therein, based on their containing employee expense data from CATEGORIES OF RECORDS IN THE SYSTEM: specific job functions. travel duty. The GSA has given notice of its system of records covering travel Name, address, Social Security RECORD ACCESS PROCEDURES: number, object class, category code, service providers GSA/GOVT–4. See 45 CFR part 1159. discipline code, office code, sub-object RECORD SOURCE CATEGORIES: class code, bank information, Common CONTESTING RECORD PROCEDURES: Data in this system is obtained from Accounting Number, Council meeting See 45 CFR part 1159. number, document number, schedule individuals covered by the system and number, tax/employee identification NOTIFICATION PROCEDURES: from Endowment employees who are number, vendor number, funding fiscal See 45 CFR part 1159. involved with the management of these year, transaction processing dates, and subsidiary tracking systems. fund type. EXEMPTIONS PROMULGATED FOR THE SYSTEM: ROUTINE USES OF RECORDS MAINTAINED IN THE None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM, INCLUDING CATEGORIES OF USERS AND SYSTEM: HISTORY: THE PURPOSES OF SUCH USES: NEA staff employees, grant recipients, Financial Management Information See the list of General Routine Uses vendors, and other individuals involved System (FMIS) System Location contained in the Preliminary Statement. in financial transactions with the NEA. changed from 1100 Pennsylvania POLICIES AND PRACTICES FOR STORAGE OF Avenue NW; Washington, DC 20506. RECORD SOURCE CATEGORIES: RECORDS: Data in this system is obtained from SYSTEM NAME AND NUMBER: Records in this system are maintained individuals covered by the system and Finance, Subsidiary Tracking in electronic databases. from NEA employees who are involved Systems/NEA–10. POLICIES AND PRACTICES FOR RETRIEVAL OF with the NEA’s fund control and RECORDS: financial management. SECURITY CLASSIFICATION: Sensitive. Records in the Secure Payment ROUTINE USES OF RECORDS MAINTAINED IN THE System (SPS) are retrieved by name, SYSTEM, INCLUDING CATEGORIES OF USERS AND SYSTEM LOCATION: Social Security number, taxpayer THE PURPOSES OF SUCH USES: Finance Office; 400 7th Street SW; identification number, or supplier See the list of General Routine Uses Washington, DC 20506. NEA staff may number. contained in the Preliminary Statement. access the E2 Solutions information In addition, this system interfaces with system electronically via online. This POLICIES AND PRACTICES FOR RETENTION AND the Grants Management System (GMS) system is sponsored by the U.S. General DISPOSAL OF RECORDS: (see NEA–4) and extracts data from a Services Administration Program Records in this system are maintained magnetic tape containing Payroll/ Management Office (GSA PMO). GSA on an indefinite basis for reference Personnel information generated by the provides these services under the purposes.

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ADMINISTRATIVE, TECHNICAL, AND PHYSICAL became delinquent; amounts accrued for ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS: interest, penalties, administrative costs, SAFEGUARDS: Access to records in this system is and payment on account; date the debt Rooms containing the records in this controlled by password. was referred to the Treasury for offset; system are kept locked during non- and basis for termination of debt. These working hours. RECORD ACCESS PROCEDURES: files also include copies of bills for RECORD ACCESS PROCEDURES: See 45 CFR part 1159. collection; invoices; correspondence See 45 CFR part 1159. CONTESTING RECORD PROCEDURES: between the Endowment and the debtor relating to the debt; and documents CONTESTING RECORD PROCEDURES: See 45 CFR part 1159. required to refer accounts to the See 45 CFR part 1159. NOTIFICATION PROCEDURES: Treasury, other Federal agencies, or See 45 CFR part 1159. private collection contractor for debt NOTIFICATION PROCEDURES: collection. See 45 CFR part 1159. EXEMPTIONS PROMULGATED FOR THE SYSTEM: (2) The Donations to Gift Fund Files None. contain copies of checks and letters EXEMPTIONS PROMULGATED FOR THE SYSTEM: submitted by donors. None. HISTORY: (3) The 1099 Files contain data HISTORY: Finance, Subsidiary Tracking System concerning expenses over $600 per Location changed from 1100 Finance, Paper Files System Location calendar year that are reported to the changed from 1100 Pennsylvania Pennsylvania Avenue NW; Washington, Internal Revenue Service. DC 20506. Avenue NW; Washington, DC 20506. (4) The Travel Credit Cards Files SYSTEM NAME AND NUMBER: contain applications for credit cards and SYSTEM NAME AND NUMBER: Finance, Paper Files/NEA–11. credit score reports. The GSA has given Equal Employment Opportunity notice of its system of records covering Complaint Case Files/NEA–12. SECURITY CLASSFICATION: the official Travel Charge Card Program SECURITY CLASSIFICATION: Sensitive. GSA/GOVT–3. (5) The Star Awards Files contain data Sensitive. SYSTEM LOCATION: concerning awards for Endowment SYSTEM LOCATION: Finance Office; 400 7th Street SW; employees. Washington, DC 20506. Office of Equal Employment RECORD SOURCE CATEGORIES: Opportunity/Civil Rights; 400 7th Street SYSTEM MANAGER(S): SW; Washington, DC 20506. Data in this system is obtained from Accounting Officer (Director of individuals covered by the system, SYSTEM MANAGER(S): Finance); [email protected]. Endowment employees, creditor Acting Director of Civil Rights; AUTHORITY FOR MAINTENANCE OF THE SYSTEM: agencies, collection agencies, credit [email protected]. bureaus, Federal employing agencies, National Foundation on the Arts and AUTHORITY FOR MAINTENANCE OF THE SYSTEM: the Humanities Act of 1965, as amended and other Federal agencies furnishing (20 U.S.C. 951 seq). In addition, the identifying information. National Foundation on the Arts and maintenance of debt collection records the Humanities Act of 1965, as amended ROUTINE USES OF RECORDS MAINTAINED IN THE (20 U.S.C. 951 et seq.). in the Accounts Receivables Files is SYSTEM, INCLUDING CATEGORIES OF USERS AND authorized by the Debt Collection Act of THE PURPOSES OF SUCH USES: PURPOSE(S) OF THE SYSTEM: 1982, Public Law 97–365; the Cash See the list of General Routine Uses To enable the Endowment to Management Improvement Act contained in the Preliminary Statement. investigate and adjudicate internal Amendments of 1992; and the Debt complaints of discrimination. Collection Improvement Act of 1996 POLICIES AND PRACTICES FOR STORAGE OF (Pub. L. I 04–134). RECORDS: CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: PURPOSE(S) OF THE SYSTEM: Records in this system are maintained in file cabinets. Endowment employees and To supplement DELPHI with applicants for employment at the information well suited for maintenance POLICIES AND PRACTICES FOR RETRIEVAL OF Endowment who have filed formal in hard copy form. RECORDS: complaints of discrimination against the Endowment. CATEGORIES OF INDIVIDUALS COVERED BY THE Records in this system are retrieved SYSTEM: by name; Social Security number; CATEGORIES OF RECORDS IN THE SYSTEM: Grant recipients, Endowment taxpayer identification number; or Relevant information concerning the employees, vendors, and other contract number of the employee, complaint of discrimination, such as individuals involved in financial contractor, or grantee. correspondence and documentation transactions with the Endowment. POLICIES AND PRACTICES FOR RETENTION AND concerning the filing of the complaint CATEGORIES OF RECORDS IN THE SYSTEM: DISPOSAL OF RECORDS: and stages leading to its disposition. (1) The Accounts Receivables Files The retention and disposal of debt ROUTINE USES OF RECORDS MAINTAINED IN THE contain data concerning the type and collection records in the Accounts SYSTEM, INCLUDING CATEGORIES OF USERS AND amount of debts owed to the Receivables Files are covered by the THE PURPOSES OF SUCH USES: Endowment, as well as debt collection General Services Administration’s Data in this system may be disclosed efforts. These files contain, as General Records Schedule 6. Other as necessary to enforce or implement appropriate, the name and address of records in this system are retained on the statute, rule, regulation, or order the debtor; taxpayer’s identification site or in storage for six years and three under which the charge of number; basis of the debt; date a debt months, and then destroyed. discrimination has been filed. This

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authorization includes disclosures of CATEGORIES OF INDIVIDUALS COVERED BY THE EXEMPTIONS PROMULGATED FOR THE SYSTEM: data to a Federal, state, or local agency SYSTEM: None. charged with the responsibility of Individuals who have filed formal investigating, enforcing, or complaints of discrimination against the HISTORY: implementing such a statute, rule, Endowment. However, this system does Civil Rights Complaint Case Files regulation, or order. See also the list of not include complaints made by either System Location change 1100 General Routine Uses contained in the Endowment employees or applicants for Pennsylvania Avenue NW; Washington. Preliminary Statement. employment at the Endowment. SYSTEM NAME AND NUMBER: POLICIES AND PRACTICES FOR STORAGE OF CATEGORIES OF RECORDS IN THE SYSTEM: Office of the Inspector General RECORDS: Relevant information concerning the Investigative Case Files/NEA–14. Records in this system are maintained complaint of discrimination, including SYSTEM CLASSIFICATION: on computer servers and in file cabinets. correspondence and documentation Sensitive. POLICIES AND PRACTICES FOR RETRIEVAL OF concerning the filing of the complaint RECORDS: and stages leading to its disposition. SYSTEM LOCATION: Office of the Inspector General; 400 Records in this system are retrieved RECORD SOURCE CATEGORIES: by name. 7th Street SW; Washington, DC 20506. Data in this system is obtained from POLICIES AND PRACTICES FOR RETENTION AND individuals covered by the system and SYSTEM MANAGER(S): DISPOSAL OF RECORDS: from Endowment employees who are Inspector General; [email protected]. Complaint files are destroyed four involved with the claim or proceeding. years after resolution of the case. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: ROUTINE USES OF RECORDS MAINTAINED IN THE Inspector General Act of 1978, as ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SYSTEM, INCLUDING CATEGORIES OF USERS AND amended (5 U.S.C. app. 3). SAFEGUARDS: THE PURPOSES OF SUCH USES: EEO files on computer servers are Data in this system may be disclosed PURPOSE(S): limited in access to NEA EEO personnel as necessary to enforce or implement To maintain files of investigative and only. Paper files are kept in a locked file the statute, rule, regulation or order reporting activities carried out by the cabinet. under which the charge of Office of the Inspector General. discrimination has been filed. This RECORD ACCESS PROCEDURES: PURPOSE(S) OF THE SYSTEM: authorization includes disclosures of See 45 CFR part 1159. data to a federal, state, or local agency To maintain files of investigative and reporting activities carried out by the CONTESTING RECORD PROCEDURES: charged with the responsibility of Office of the Inspector General. See 45 CFR part 1159. investigating, enforcing, or implementing such a statute, rule, CATEGORIES OF INDIVIDUALS COVERED BY THE NOTIFICATION PROCEDURES: regulation, or order. See also the list of SYSTEM: See 45 CFR part 1159. General Routing Uses contained in the Individuals and entities who are or Preliminary Statement. EXEMPTIONS PROMULGAGED FOR THE SYSTEM: have been the subject of investigations None. POLICIES AND PRACTICES FOR STORAGE OF by the Office of the Inspector General, RECORDS: or who provide information in HISTORY: Records in this system are maintained connection with such investigations. Equal Employment Opportunity on computer servers and in file cabinets. These individuals include, but are not Complaint Case Files System Location limited to, former and present change 1100 Pennsylvania Avenue NW; POLICIES AND PRACTICES FOR RETRIEVAL OF Endowment employees; former and Washington, DC 20506. RECORDS: present Endowment grant recipients; former and present contractors and SYSTEM NAME AND NUMBER: Records in this system are retrieved by name or a control number assigned subcontractors, and their employees; Civil Rights Complaint Case Files/ to each external complaint of former and present consultants; and Nea–13. discrimination. other individuals and entities that had, SYSTEM CLASSIFICATION: have, or are seeking to obtain business POLICIES AND PRACTICES FOR RETENTION AND relationships with the Endowment. Sensitive. DISPOSAL OF RECORDS: SYSTEM LOCATION: Complaint files are destroyed four CATEGORIES OF RECORDS IN THE SYSTEM: Office of Equal Employment years after resolution of the case. Correspondence relevant to the Opportunity/Office of Civil Rights; 400 investigation; working papers of the ADMINISTRATIVE, TECHNICAL, AND PHYSICAL staff, investigative notes, internal staff 7th Street SW; Washington, DC 20506. SAFEGUARDS: memoranda, and other documents and SYSTEM MANAGER(S): Civil rights files on computer servers records relating to the investigation; Acting Director of Civil Rights; are limited in access to NEA Civil Rights information about criminal, civil, or [email protected]. personnel only. Paper files are kept in administrative referrals; information a locked file cabinet. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: provided by subjects of the National Foundation on the Arts and RECORD ACCESS PROCEDURES: investigation, individuals with whom the Humanities Act of 1965, as amended See 45 CFR part 1159. the subjects are associated, (20 U.S.C. 951 et seq.). complainants, or witnesses; information CONTESTING RECORD PROCEDURES: provided by Federal, State, or local PURPOSE(S) OF THE SYSTEM: See 45 CFR part 1159. governmental investigative or law To enable the Endowment to enforcement agencies, or other investigate and adjudicate external NOTIFICATION PROCEDURES: organizations; copies of subpoenas complaints of discrimination. See 45 CFR part 1159. issued during the investigation; and

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opening reports, progress reports, and that are locked during non-working SYSTEM MANAGER(S): closing reports, with recommendations hours and are accessible to the Inspector Designated Agency Ethics Officer; for corrective action. General only. [email protected].

RECORD SOURCE CATEGORIES: RECORD ACCESS PROCEDURES: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Data in this system is obtained from The major part of this system is National Foundation on the Arts and individuals who are covered by the exempted from this requirement the Humanities Act of 1965, as amended system, as well as from individuals with pursuant to 5 U.S.C. 552a(j)(2) or (k)(2). (20 U.S.C. 951 et seq.) 5 CFR 2634.901 whom the subjects are associated; To the extent that this system is not et seq. Federal, State, or local governmental subject to exemption, it is subject to PURPOSE(S) OF THE SYSTEM: investigative or law enforcement access. A determination as to exemption To maintain a record of the members agencies; and other organizations. shall be made at the time a request for of the NCA’s financial disclosure reports access is received. Access requests must ROUTINE USES OF RECORDS MAINTAINED IN THE upon nomination. SYSTEM, INCLUDING CATEGORIES OF USERS AND be sent to the Office of the General THE PURPOSES OF SUCH USES: Counsel in accordance with the CATEGORIES OF INDIVIDUALS COVERED BY THE procedures published at 45 CFR part SYSTEM: Data in this system may be disclosed 1159. Members of the National Council on to any source, either private or the Arts (NCA). governmental, to the extent necessary to CONTESTING RECORD PROCEDURES: secure from such source information The major part of this system is CATEGORIES OF RECORDS IN THE SYSTEM: relevant to, and sought in furtherance exempted from this requirement Confidential Financial Disclosure of, a legitimate investigation or audit. pursuant to 5 U.S.C. 552a(j)(2) or (k)(2). Reports (SF–450), and clearance letters Data in this system may also be To the extent that this system is not to the U.S. Senate for nominees to the disclosed to the Office of the Inspector subject to exemption, it is subject to NCA. General’s or the Endowment’s legal access and contest. A determination as RECORD SOURCE CATEGORIES: representative, including the U.S. to exemption shall be made at the time Department of Justice and other outside Data in this system is obtained from a request for access is received. Access individuals covered by the system. legal counsel, when the Office of the requests must be sent to the Office of the Inspector General or the Endowment is General Counsel in accordance with the POLICIES AND PRACTICES FOR STORAGE OF a party in actual or anticipated litigation procedures published at 45 CFR part RECORDS: or has an interest in such litigation. 1159. Records are kept electronically as well See also the list of General Routine as in hard copy that are locked in file Uses contained in the Preliminary NOTIFICATION PROCEDURES: cabinets. Statement. See 45 CFR part 1159. POLICIES AND PRACTICES FOR RETRIEVAL OF POLICIES AND PRACTICES FOR STORAGE OF EXEMPTIONS PROMULAGED FOR THE SYSTEM: RECORDS: RECORDS: This system is exempted from 5 Records are kept electronically as well Records in this system are maintained U.S.C. 552a except subsections (b); (c)(l) as in hard copy that are locked in file in file cabinets. and (2); (e)(4)(A) through (F); (e)(6), (7), cabinets. POLICIES AND PRACTICES FOR RETRIEVAL OF (9), (10), and (11); and (i) under POLICIES AND PRACTICES FOR RETENTION AND RECORDS: 552a(i)(2) to the extent that the system DISPOSAL OF RECORDS: Records in this system are retrieved pertains to enforcement of criminal Records are destroy(ed) 6 years after by name, report number, or laws. This system is exempted from 5 receipt of the OGE Form 450 by the chronological ordering. U.S.C. 552a(c)(3); (d); (e)(l); (e)(4)(G), agency, except when the OGE Form 450 (H), and (I); and (f) under 5 U.S.C. supports one or more subsequent POLICIES AND PRACTICES FOR RETENTION AND 552a(k)(2) to the extent that the system DISPOSAL OF RECORDS: Optional OGE Form 450–As then consists of investigatory material destroy 6 years after receipt of the last Records in this system are maintained compiled for law enforcement purposes, related OGE Form 450–A by the agency, on-site until eligible for destruction. other than material within the scope of or when no longer needed for active Work papers used in evaluating the exemption at 5 U.S.C. 552a(j)(2). investigation, whichever is later. This grantees’ audit reports and financial These exemptions are contained in 45 disposition instruction is mandatory; statements are destroyed on a three-year CFR part 1159. deviations are not allowed. cycle, or until eligible for destruction. Work papers and correspondence HISTORY: ADMINISTRATIVE, TECHNICAL, AND PHYSICAL prepared and/or obtained during the Office of the Inspector General SAFEGUARDS: clearance process of audit Investigative Files System Location This system is maintained in a locked recommendations are destroyed on a changed from 1100 Pennsylvania file cabinet within an office that is six-year cycle from the date that the Avenue NW; Washington, DC 20506. locked during nonbusiness hours. recommendations are cleared. All other RECORD ACCESS PROCEDURES: records in this system are destroyed on SYSTEM NAME AND NUMBER: a seven-year cycle. Senate Nomination Files—National See 45 CFR part 1159. Council on the Arts/NEA–15. CONTESTING RECORD PROCEDURES: ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS: SECURITY CLASSIFICATION: See 45 CFR part 1159. Work papers for allegation and other Sensitive. NOTIFICATION PROCEDURES: investigative reviews conducted by or See 45 CFR part 1159. for the Office of the Inspector General SYSTEM LOCATION: are kept in a locked file cabinet. All Office of General Counsel; 400 7th EXEMPTIONS PROMULGAGED FOR THE SYSTEM: records in this system are kept in rooms Street SW; Washington, DC 20506. None.

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HISTORY: years have passed, nominee records are ROUTINE USES OF RECORDS MAINTAINED IN THE Office of the Inspector General shredded. Records pertaining to SYSTEM, INCLUDING, CATEGORIES OF USERS AND Investigative Files System Location recipients are maintained permanently PURPOSES OF SUCH USES: changed from 1100 Pennsylvania at the Endowment. Information in this system is used to Avenue NW, Washington, DC 20506. compile nominee packages for review ADMINISTRATIVE, TECHNICAL, AND PHYSICAL by a panel in selecting the recipients of SAFEGUARDS: SYSTEM NAME AND NUMBER: National Heritage Fellowships. Jazz Masters Recipients/NEA–16. Records in this system are maintained in a locked file cabinet located within POLICIES AND PRACTICES FOR STORAGE OF SYSTEM CLASSIFICATION: an office that is kept locked during non- RECORDS: Sensitive. business hours. Electronic records in All records in this system are this system are accessible only to SYSTEM LOCATION: maintained in paper format in locked division staff. Performing Arts Division, 400 7th file cabinets and in electronic form in a Street SW, Washington, DC 20506. RECORD ACCESS PROCEDURES: database accessible only to division See 45 CFR part 1159. staff. SYSTEM MANAGER(S): POLICIES AND PRACTICES FOR RETRIEVAL OF Division Coordinator; Performing Arts CONTESTING RECORD PROCEDURES: RECORDS: Division; [email protected]. See 45 CFR part 1159. Records in this system are retrieved AUTHORITY FOR MAINTENANCE OF THE SYSTEM: NOTIFICATION PROCEDURES: by name of nominee or by name of National Foundation on the Arts and See 45 CFR part 1159. recipient. the Humanities Act of 1965, as amended EXEMPTIONS PROMULGATED FOR THE SYSTEM: (20 U.S.C. 951 et seq.). POLICIES AND PRACTICES RETENTION AND None. DISPOSAL OF RECORDS: PURPOSE(S) OF THE SYSTEM: Records pertaining to nominees are HISTORY: To create a central repository for maintained for five years. After five Jazz Masters Recipients System information about individuals who have years have passed, nominee records are Location changed from 1100 been nominated to receive a NEA Jazz shredded. Records pertaining to Pennsylvania Avenue NW, Washington, Masters Fellowship award and to create recipients are maintained permanently DC 20506. a record of NEA Jazz Masters at the Endowment. Fellowship recipients. SYSTEM NAME AND NAME: ADMINISTRATIVE, TECHNICAL, AND PHYSICAL CATEGORIES OF INDIVIDUALS COVERED BY THE National Heritage Fellowship SAFEGUARDS: Recipients/NEA–17. SYSTEM: Papers in this system are maintained Individuals nominated to receive a SECURITY CLASSIFICATION: in a locked file cabinet located within NEA Jazz Masters award from the Sensitive. an office that is kept locked during non- Endowment and recipients of the award. business hours. Electronic records in SYSTEM LOCATION: CATEGORIES OF RECORDS IN THE SYSTEM: this system are password protected and Multidisciplinary Division, 400 7th accessible only to division staff. Name, address, telephone number, Street SW, Washington, DC 20506. email, biographical information. RECORD ACCESS PROCEDURES: SYSTEM MANAGER(S): See 45 CFR part 1159. RECORD SOURCE CATEGORIES: Division Coordinator; murphyc@ Data in this system is obtained from arts.gov. CONTESTING RECORD PROCEDURES: individuals covered by the system. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: See 45 CFR part 1159. ROUTINE USES OF RECORDS MAINTAINED IN THE National Foundation on the Arts and NOTIFICATION PROCEDURES: SYSTEM, INCLUDING CATEGORIES OF USERS AND the Humanities Act of 1965, as amended PURPOSES OF SUCH USES: See 45 CFR part 1159. (20 U.S.C. 951 et seq.). Information in this system is used to EXEMPTIONS PROMULGATED FOR THE SYSTEM: compile nominee packages for review PURPOSE(S) OF THE SYSTEM: by a panel in selecting the recipients of To create a central repository for None. the NEA Jazz Masters Fellowship award. information about individuals who have HISTORY: been nominated to receive a National POLICIES AND PRACTICES FOR STORAGE OF National Heritage Fellowship Heritage Fellowship and to create a RECORDS: Recipients System Location changed record of National Heritage Fellowship from 1100 Pennsylvania Avenue NW, All records in this system are recipients. maintained in paper format in file Washington, DC 20506. cabinets and in electronic form in a CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM NAME AND NUMBER: Database. Accessible only to division SYSTEM: staff. Individuals nominated to receive a Literature Fellowship Recipients/ National Heritage Fellowship from the NEA–18. POLICIES AND PRACTICES RETRIEVAL OF Endowment and recipients of the RECORDS: SECURITY CLASSIFIED: fellowship. Records in this system are retrieved Sensitive. by name of nominee or by name of CATEGORIES OF RECORDS IN THE SYSTEM: SYSTEM LOCATION: recipient. Name, address, telephone number, email, biographical information. Literature Division; 400 7th Street POLICIES AND PRACTICES FOR RETENTION AND SW, Washington, DC 20506. DISPOSAL OF RECORDS: RECORD SOURCE CATEGORIES: Records pertaining to nominees are Data in this system is obtained from SYSTEM MANAGER(S): maintained for five years. After five individuals covered by the system. Literature Director, [email protected].

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM: HISTORY: Thursday, March 4, 2021 National Foundation on the Arts and Literature Fellowship Recipients 9:30 a.m.–11:00 a.m.: Be riskSMART the Humanities Act of 1965, as amended System Location changed from 1100 Update (Open)—The Committee will (20 U.S.C. 951 et seq.). Pennsylvania Avenue NW, Washington, have presentations and discussion with DC 20506. PURPOSE(S) OF THE SYSTEM: representatives from the NRC staff Dated: January 11, 2021. regarding the subject topic. To create a central repository for 11:00 a.m.–12:30 p.m.: EMBARK information about individuals who have Anthony M. Bennett, Director of Administrative Services. Venture Studios Briefing (Open)—The been nominated to receive a Literature Committee will have presentations and [FR Doc. 2021–02879 Filed 2–11–21; 8:45 am] Fellowship and to create a record of discussion with representatives from the Literature Fellowship recipients. BILLING CODE 7537–01–P NRC staff regarding the subject topic. CATEGORIES OF INDIVIDUALS COVERED BY THE 1:30 p.m.–5:30 p.m.: Regulatory Basis: SYSTEM: 10 CFR Parts 50/52/Other Business NUCLEAR REGULATORY (Open)—The Committee will have Individual applicants for a Literature COMMISSION Fellowship from the Endowment and presentations and discussion with representatives from the NRC staff recipients of the fellowship. 683rd Meeting of the Advisory regarding the subject topics. CATEGORIES OF RECORDS IN THE SYSTEM: Committee on Reactor Safeguards (ACRS) Friday, March 5, 2021 Name, address, telephone number, email address, biographical information. In accordance with the purposes of 9:30 a.m.–12:30 p.m.: Future ACRS Sections 29 and 182b of the Atomic Activities/Report of the Planning and RECORD SOURCE CATEGORIES: Energy Act (42 U.S.C. 2039, 2232(b)), Procedures Subcommittee and Data in this system is obtained from the Advisory Committee on Reactor Reconciliation of ACRS Comments and individuals covered by the system. Safeguards (ACRS) will hold meetings Recommendations/Preparation of on March 3–5, 2021. As part of the Reports (Open/Closed)—The Committee ROUTINE USES OF RECORDS MAINTAINED IN THE will hear discussion of the SYSTEM, INCLUDING CATEGORIES OF USERS AND coordinated government response to PURPOSES OF SUCH USES: combat the COVID–19 public health recommendations of the Planning and emergency, the Committee will conduct Procedures Subcommittee regarding Information in this system is used to items proposed for consideration by the compile nominee packages for review virtual meetings. The public will be able to participate in any open sessions via Full Committee during future ACRS by a panel in selecting the recipients of meetings, and/or proceed to preparation Literature Fellowships. 1–866–822–3032, pass code 8272423#. A more detailed agenda may be found of reports as determined by the POLICIES AND PRACTICES FOR STORAGE OF at the ACRS public website at https:// Chairman. RECORDS: www.nrc.gov/reading-rm/doc- Note: Pursuant to 5 U.S.C. 552b(c)(2) and All records in this system are collections/acrs/agenda/index.html. (6), a portion of this meeting may be closed maintained in electronic format in the to discuss organizational and personnel Electronic Grants Management System Wednesday, March 3, 2021 matters that relate solely to internal (eGMS). 9:30 a.m.–9:35 a.m.: Opening personnel rules and practices of the ACRS, and information the release of which would Remarks by the ACRS Chairman POLICIES AND PRACTICES FOR RETRIEVAL OF constitute a clearly unwarranted invasion of (Open)—The ACRS Chairman will make RECORDS: personal privacy. opening remarks regarding the conduct Records in this system are retrieved of the meeting. Note: Pursuant to 5 U.S.C. 552b(c)(4), a by name of recipient or by application 9:35 a.m.–11:30 a.m.: Integrated portion of this session may be closed in order number. Human Event Analysis System— to discuss and protect information designated as proprietary. POLICIES AND PRACTICES FOR RETENTION AND General Methodology Report DISPOSAL OF RECORDS: Preparation (Open)—The Committee 1:30 p.m.–6:00 p.m.: Preparation of ACRS Reports (Open/Closed)—The Records pertaining to unsuccessful will have remarks by the Probabilistic Committee will continue its discussion applicants are kept in eGMS Risk Assessment subcommittee of proposed ACRS reports. permanently. Records pertaining to Chairman regarding the subject topic award recipients are maintained and report writing. Note: Pursuant to 5 U.S.C. 552b(c)(2) and permanently at the Endowment. 1:00 p.m.–3:00 p.m.: Regulatory Guide (6), a portion of this meeting may be closed 1.240, ‘‘Fresh and Spent Fuel Criticality to discuss organizational and personnel ADMINISTRATIVE, TECHNICAL, AND PHYISCAL Analyses’’ (Open)—The Committee will matters that relate solely to internal SAFEGUARDS: have presentations and discussion with personnel rules and practices of the ACRS, Records in this system are maintained representatives from the NRC staff and information the release of which would constitute a clearly unwarranted invasion of in eGMS, a secure system accessed only regarding the subject topic. personal privacy. by NEA staff PIV card. 3:00 p.m.–5:00 p.m.: Gateway for Accelerated Innovation in Nuclear and Note: Pursuant to 5 U.S.C. 552b(c)(4), a RECORD ACCESS PROCEDURES: Advanced Reactor Demonstration portion of this session may be closed in order See 45 CFR part 1159. Program (Open)—The Committee will to discuss and protect information designated as proprietary. CONTESTING RECORD PROCEDURES: have presentations and discussion with representatives from the NRC staff and Procedures for the conduct of and See 45 CFR part 1159 the Department of Energy staff regarding participation in ACRS meetings were NOTIFICATION PROCEDURES: the subject topics. published in the Federal Register on See 45 CFR part 1159 5:00 p.m.–6:00 p.m.: Preparation of June 13, 2019 (84 FR 27662). In ACRS Reports (Open)—The Committee accordance with those procedures, oral EXEMPTIONS PROMULGATED FOR THE SYSTEM: will continue its discussion of proposed or written views may be presented by None. ACRS reports. members of the public, including

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representatives of the nuclear industry. SECURITIES AND EXCHANGE disapprove, the proposed rule change Persons desiring to make oral statements COMMISSION (File No. SR–BOX–2020–38). should notify Quynh Nguyen, Cognizant [Release No. 34–91077; File No. SR–BOX– For the Commission, by the Division of ACRS Staff and the Designated Federal 2020–38] Trading and Markets, pursuant to delegated Officer (DFO) (Telephone: 301–415– authority.6 5844, Email: [email protected]), 5 Self-Regulatory Organizations; BOX J. Matthew DeLesDernier, days before the meeting, if possible, so Exchange LLC; Notice of Designation Assistant Secretary. that appropriate arrangements can be of a Longer Period for Commission [FR Doc. 2021–02866 Filed 2–11–21; 8:45 am] made to allow necessary time during the Action on a Proposed Rule Change To BILLING CODE 8011–01–P meeting for such statements. In view of Amend BOX Rule 7620 the possibility that the schedule for (Accommodation Transactions) ACRS meetings may be adjusted by the SECURITIES AND EXCHANGE February 8, 2021. COMMISSION Chairman as necessary to facilitate the On December 10, 2020, BOX conduct of the meeting, persons Exchange LLC (‘‘BOX’’ or ‘‘Exchange’’) [SEC File No. 270–035, OMB Control No. planning to attend should check with filed with the Securities and Exchange 3235–0029] the Cognizant ACRS staff if such Commission (‘‘Commission’’), pursuant rescheduling would result in major Submission for OMB Review; to Section 19(b)(1) of the Securities Comment Request inconvenience. Exchange Act of 1934 (‘‘Act’’) 1 and Rule An electronic copy of each 19b–4 thereunder,2 a proposed rule Upon Written Request, Copies Available presentation should be emailed to the change to amend BOX Rule 7620 From: Securities and Exchange Cognizant ACRS Staff at least one day (Accommodation Transactions) to allow Commission, Office of FOIA Services, before meeting. Floor Brokers to enter opening cabinet 100 F Street NE, Washington, DC orders on behalf of customers and floor 20549–2736 In accordance with Subsection 10(d) market makers, and codify that cabinet of Public Law 92–463 and 5 U.S.C. Extension: orders will execute in open outcry Rule 17f–2(c) 552b(c), certain portions of this meeting pursuant to the BOX Rule 7600 series. Notice is hereby given that pursuant may be closed, as specifically noted The proposed rule change was to the Paperwork Reduction Act of 1995 above. Use of still, motion picture, and published for comment in the Federal (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the television cameras during the meeting Register on December 30, 2020.3 The Securities and Exchange Commission may be limited to selected portions of Commission received no comments on (‘‘Commission’’) has submitted to the the meeting as determined by the the proposed rule change. Office of Management and Budget Chairman. Electronic recordings will be Section 19(b)(2) of the Act 4 provides (‘‘OMB’’) a request for approval of permitted only during the open portions that, within 45 days of the publication extension of the previously approved of the meeting. of notice of the filing of a proposed rule collection of information provided for in change, or within such longer period up ACRS meeting agendas, meeting Rule 17f–2(c) (17 CFR 240.17f–2(c)), to 90 days as the Commission may transcripts, and letter reports are under the Securities Exchange Act of designate if it finds such longer period available through the NRC Public 1934 (15 U.S.C. 78a et seq.). Document Room (PDR) at pdr.resource@ to be appropriate and publishes its Rule 17f–2(c) allows persons required nrc.gov, or by calling the PDR at 1–800– reasons for so finding or as to which the to be fingerprinted pursuant to Section self-regulatory organization consents, 397–4209, or from the Publicly 17(f)(2) of the Act to submit their the Commission shall either approve the Available Records System component of fingerprints to the Attorney General of proposed rule change, disapprove the the United States or its designee (i.e., NRC’s Agencywide Documents Access proposed rule change, or institute and Management System (ADAMS), the Federal Bureau of Investigation proceedings to determine whether the (‘‘FBI’’)) through a registered national which is accessible from the NRC proposed rule change should be website at https://www.nrc.gov/reading- securities exchange or a registered disapproved. The 45th day after national securities association rm/adams.html or http://www.nrc.gov/ publication of the notice for this reading-rm/doc-collections/#ACRS/. (collectively, also known as ‘‘self- proposed rule change is February 13, regulatory organizations’’ or ‘‘SROs’’) Dated: February 9, 2021. 2021. The Commission is extending this pursuant to a fingerprint plan filed with, Russell E. Chazell, 45-day time period. and declared effective by, the The Commission finds it appropriate Commission. Fingerprint plans have Federal Advisory Committee Management to designate a longer period within Officer, Office of the Secretary. been approved for the American, which to take action on the proposed Boston, Chicago, New York, and [FR Doc. 2021–02884 Filed 2–11–21; 8:45 am] rule change so that it has sufficient time Philadelphia stock exchanges and for BILLING CODE 7590–01–P to consider the proposed rule change. the Financial Industry Regulatory Accordingly, the Commission, pursuant Authority (‘‘FINRA’’) and the Chicago to Section 19(b)(2) of the Act,5 Board Options Exchange. Currently, the designates March 30, 2021 as the date bulk of the fingerprints are submitted by which the Commission shall either through FINRA. approve or disapprove, or institute It is estimated that 3,900 respondents proceedings to determine whether to submit approximately 281,804 sets of fingerprints (consisting of 1 15 U.S.C.78s(b)(1). approximately 253,721 electronic sets 2 17 CFR 240.19b–4. 3 See Securities Exchange Act Release No. 90792 and 28,083 hard copy sets) to SROs on (December 23, 2020), 85 FR 86610. an annual basis. The Commission 4 15 U.S.C. 78s(b)(2). 5 Id. 6 17 CFR 200.30–3(a)(31).

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estimates that it would take SECURITIES AND EXCHANGE with default management and the close- approximately 15 minutes to create and COMMISSION out process. Currently, Subsection 4.4 provides only for an in-person meeting submit each fingerprint card. The total [Release No. 34–91075; File No. SR–ICC– time burden is therefore estimated to be 2020–014] of the CDS Default Committee in a approximately 70,451 hours, or private room at ICC’s New York offices approximately 18 hours per respondent, Self-Regulatory Organizations; ICE (‘‘Secure Trading Facility’’). The annually. Clear Credit LLC; Order Approving proposed changes specify that ICC may Proposed Rule Change Relating to the convene its CDS Default Committee at In addition, the SROs charge an the Secure Trading Facility or remotely estimated $26 fee for processing ICC Clearing Participant Default Management Procedures by teleconference (‘‘Remote Trader fingerprint cards submitted Consultation’’) in the event the electronically, resulting in a total annual February 8, 2021. Committee is unable to meet in person. cost to all 3,900 respondents of Introduction The proposed changes also specify that approximately $6,596,746, or the ICC Chief Risk Officer (‘‘CRO’’) will approximately $1,691 per respondent On December 22, 2020, ICE Clear decide whether to convene the CDS per year. The SROs charge an estimated Credit LLC (‘‘ICC’’) filed with the Default Committee in person or $41 fee for processing fingerprint cards Securities and Exchange Commission remotely, and that such decision will submitted in hard copy, resulting in a (‘‘Commission’’), pursuant to Section depend on the circumstances at the time total annual cost to all 3,900 19(b)(1) of the Securities Exchange Act of the declaration of the default. of 1934 (‘‘Act’’) 1 and Rule 19b–4 respondents of approximately ICC also proposes updates to Section thereunder,2 a proposed rule change to $1,151,403, or approximately $295 per 6 (Default Declaration). Currently, revise its Clearing Participant (‘‘CP’’) respondent per year. The combined Subsection 6.1.5 (CCO Pre-Declaration Default Management Procedures (the annual cost to all respondents is thus Initiated Actions) requires the ICC Chief ‘‘Default Management Procedures’’).3 approximately $7,748,149. Compliance Officer (‘‘CCO’’) to inform The proposed rule change was default contacts at the Commission and Because the FBI will not accept published for comment in the Federal the Commodity Futures Trading fingerprint cards directly from Register on January 8, 2020.4 The Commission (‘‘CFTC’’) by telephone of a submitting organizations, Commission Commission did not receive comments potential CP default. The proposed approval of fingerprint plans from on the proposed rule change. For the changes to Subsection 6.1.5 would reasons discussed below, the certain SROs is essential to carry out the allow the CCO to inform the default Commission is approving the proposed Congressional goal to fingerprint contacts at Commission and the CFTC rule change. securities industry personnel. Filing by telephone or email of a potential these plans for review assures users and II. Description of the Proposed Rule default, and further direct the CCO to their personnel that fingerprint cards Change inform other regulators of the potential will be handled responsibly and with ICC’s proposed rule change would default as may be required. Amended due care for confidentiality. make clarifying changes to the Default Subsection 6.4 (Default Declaration An agency may not conduct or Management Procedures to formalize Notification) similarly directs the CCO sponsor, and a person is not required to the process for convening remote to notify other regulators (in addition to respond to, a collection of information meetings of ICC’s CDS Default the Commission and the CFTC) of a under the PRA unless it displays a Committee, and to update certain default if applicable, and replaces the currently valid OMB control number. procedures for notifications by word ‘‘all’’ with ‘‘above’’ in the phrase ‘‘Upon the CCO confirming all The public may view background designated ICC officers as part of its CP default management process.5 This notifications have been completed,’’ in documentation for this information the last paragraph of this subsection. collection at the following website: process includes the actions that ICC takes to determine that a CP is in default The proposed updates to Subsection www.reginfo.gov. Find this particular 6.5.3 (CRO Post-Declaration information collection by selecting and to close-out the defaulting CP’s portfolio.6 Preparation) relate to the CRO’s actions ‘‘Currently under 30-day Review—Open Specifically, ICC proposes revisions to to convene the CDS Default Committee for Public Comments’’ or by using the Subsection 4.4 (Secure Trading Facility) after a declaration of default and to search function. Written comments and of the Default Management Procedures determine whether this Committee will recommendations for the proposed related to convening the ICC CDS meet in person or remotely at such post- information collection should be sent Default Committee, which consists of declaration phase. If the CRO convenes within 30 days of publication of this designated employees of eligible CPs an in-person CDS Default Committee notice to (i) www.reginfo.gov/public/do/ that have CDS trading experience and meeting at the Secure Trading Facility, PRAMain and (ii) David Bottom, are deemed seconded to ICC to assist the proposed updates to Subsection Director/Chief Information Officer, 6.5.3 clarify that the CRO will work Securities and Exchange Commission, c/ 1 15 U.S.C. 78s(b)(1). with ICC’s Risk Committee and other o Cynthia Roscoe, 100 F Street NE, 2 17 CFR 240.19b–4. ICC staff as required to perform certain Washington, DC 20549, or by sending an 3 Capitalized terms used but not defined herein specified actions. The proposed _ have the meanings specified in the ICC Clearing revisions to Subsection 6.5.4 (CCO Post- email to: PRA [email protected]. Rules (the ‘‘Rules’’). Declaration Actions) make clarifications Dated: February 9, 2021. 4 Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change in respect of the notice that the CCO J. Matthew DeLesDernier, Relating to the ICC Clearing Participant Default provides to the compliance personnel of Assistant Secretary. Management Procedures, Exchange Act Release No. a CDS Default Committee member 90841 (January 4, 2021), 86 FR 1555 (January 8, [FR Doc. 2021–02959 Filed 2–11–21; 8:45 am] 2021) (SR–ICC–2020–014) (‘‘Notice’’). following a declaration of a default, BILLING CODE 8011–01–P 5 The description herein is substantially including the prospect that the CDS excerpted from the Notice. Default Committee may meet by 6 See Notice, 86 FR at 1555. teleconference.

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ICC also proposes changes to Section responsible, and, in general, to protect B. Consistency With Rules 17Ad– 7 (CDS Default Committee investors and the public interest.10 22(e)(2)(i) and (v) Consultation). The proposed changes The Commission believes that, by Rules 17Ad–22(e)(2)(i) and (v) reference ICC’s ability to convene the clarifying ICC’s process for convening require, in relevant part, that ICC CDS Default Committee remotely. remote meetings of its CDS Default establish, implement, maintain, and Amended Subsection 7.1 (Convening a Committee and updating its default enforce written policies and procedures CDS Default Committee Meeting) notification procedures to regulators reasonably designed to provide for formalizes the process for convening a and CP trading and compliance governance arrangements that are clear CDS Default Committee for Remote personnel, the proposed rule change and transparent and that specify clear Trader Consultation, including the should enhance ICC’s ability to manage and direct lines of responsibility.12 procedure for the CRO to request that the risks associated with a CP default The Commission believes that the ICC’s Risk Department will provide the and the timely close-out of the proposed rule change’s revisions to notice via email to CDS Default defaulter’s CDS portfolio. Specifically, assign clear and updated Committee members and what the Commission believes that, by responsibilities to the CRO and CCO information is included in the notice. including explicit authorization and during each phase of the default The changes also specify the particular instructions for the CRO to convene the declaration process in the Default email contents and other actions that CDS Default Committee for Remote Management Procedures provide for would be taken for convening the CDS Trader Consultation via teleconference governance arrangements that are clear Default Committee at the Secure if circumstances prevent the CDS and transparent and that specify clear Trading Facility or by Remote Trader Default Committee from meeting in and direct lines of responsibility. Consultation, respectively, or by either person, the proposed rule change would Specifically, the proposed rule change means. Amended Subsection 7.3 (Initial enhance the ability of ICC to respond would update and clarify the CCO’s pre- CDS Default Committee Meeting) promptly to the risks posed by a given declaration, default declaration, and specifies that ICC’s provision of access CP default situation and would provide post-declaration notification to the cleared portfolios of defaulting particular processes for addressing a responsibilities, so that information is CPs are conducted where default via a Remote Trader imparted to all relevant stakeholders. technologically practicable during the Consultation. Likewise, the Commission Further, the proposed rule change initial CDS Default Committee meeting. believes that, by including updated would update and clarify the CRO’s Current Subsection 7.3 does not contain notification procedures related to a CP post-declaration responsibilities, the phrase ‘‘where technologically default, ICC’s relevant stakeholders, including documenting the CRO’s practicable.’’ In addition, amended such as the CDS Default Committee decision-making authority and actions Subsection 7.3 makes minor members, CP trading and compliance for convening the CDS Default grammatical updates, including adding personnel, and regulators, would be Committee at either an in-person a parenthetical and updating the better informed of the status of a CP meeting at the Secure Trading Facility sentence structure for clarity. default situation, thus facilitating their or via Remote Trader Consultation by ability to participate in the default teleconference, depending on the III. Commission Findings management process as needed and circumstances at the time of the default provide prompt and responsive declaration. In the Commission’s view, Section 19(b)(2)(C) of the Act directs feedback. the Commission to approve a proposed including these responsibilities should Therefore, the Commission believes ensure that the relevant stakeholders rule change of a self-regulatory that the proposed rule change generally organization if it finds that the proposed have clear and transparent information should provide ICC with enhanced on their respective roles and rule change is consistent with the clarity, efficiency and flexibility in how requirements of the Act and the rules responsibilities at each phase of the it manages and responds to the risks of default management process. and regulations thereunder applicable to CP defaults, which in turn should help the organization presenting it.7 For the Accordingly, the Commission believes ICC maintain its resilience in the event that the proposed revisions to the reasons given below, the Commission of a default. By improving ICC’s ability finds that the proposed rule change is Default Management Procedures are to manage a CP default, the Commission reasonably designed to provide for consistent with Section 17A(b)(3)(F) of believes that the proposed rule change governance arrangements that are clear the Act 8 and Rules 17Ad–22(e)(2)(i), should also improve ICC’s ability to and transparent and that specify clear (e)(2)(v), and (e)(13) thereunder.9 avoid losses that could result from a CP and direct lines of responsibility, A. Consistency With Section default. The Commission further consistent with Rules 17Ad–22(e)(2)(i) 17A(b)(3)(F) of the Act believes that such losses, if not properly and (v).13 managed, could hinder ICC’s ability to Section 17A(b)(3)(F) of the Act continue operations and therefore clear C. Consistency With Rule 17Ad– requires, among other things, that the and settle securities transactions and 22(e)(13) rules of ICC be designed to promote the safeguard securities and funds in its Rule 17Ad–22(e)(13) requires ICC to prompt and accurate clearance and custody or control. Therefore, for these establish, implement, maintain and settlement of securities transactions reasons, the Commission finds that the enforce written policies and procedures and, to the extent applicable, derivative proposed rule change should promote reasonably designed to ensure that it has agreements, contracts, and transactions, the prompt and accurate clearance and the authority and operational capacity to assure the safeguarding of securities settlement of securities transactions and to take timely action to contain losses and funds which are in the custody or assure the safeguarding of securities and and liquidity demands and continue to control of ICC or for which it is funds in ICC’s custody and control, meet its obligations by, at a minimum, consistent with the Section 17A(b)(3)(F) requiring its participants and, when 11 7 15 U.S.C. 78s(b)(2)(C). of the Act. practicable, other stakeholders to 8 15 U.S.C. 78q–1(b)(3)(F). 9 17 CFR 240.17Ad–22(e)(2)(i), (e)(2)(v), and 10 15 U.S.C. 78q–1(b)(3)(F). 12 17 CFR 240.17Ad–22(e)(2)(i) and (v). (e)(13). 11 15 U.S.C. 78q–1(b)(3)(F). 13 17 CFR 240.17Ad–22(e)(2)(i) and (v).

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participate in the testing and review of SECURITIES AND EXCHANGE in writing within 60 days of this its default procedures, including any COMMISSION publication. close-out procedure, at least annually An agency may not conduct or and following material changes thereto. [SEC File No. 270–104, OMB Control No. sponsor, and a person is not required to By amending the Default Management 3235–0119] respond to, a collection of information unless it displays a currently valid Procedures to document and formalize Proposed Collection; Comment control number. the procedures for convening the CDS Request Please direct your written comment to Default Committee remotely by David Bottom, Director/Chief teleconference, the proposed rule Upon Written Request Copies Available Information Officer, Securities and change would promote ICC’s ability to From: Securities and Exchange Exchange Commission, c/o Cynthia efficiently and safely manage its close- Commission, Office of FOIA Services, Roscoe, 100 F Street NE, Washington, out process when the CDS Default 100 F Street NE, Washington, DC DC 20549 or send an email to: PRA_ Committee cannot meet in person, 20549–2736. [email protected]. which would help to ensure that ICC Extension: Dated: February 8, 2021. has the authority and operational Rule 12g3–2 J. Matthew DeLesDernier, capacity to take timely action to contain Notice is hereby given that, pursuant losses and liquidity demands and Assistant Secretary. to the Paperwork Reduction Act of 1995 [FR Doc. 2021–02865 Filed 2–11–21; 8:45 am] continue to meet its obligations in the (44 U.S.C. 3501 et seq.), the Securities BILLING CODE 8011–01–P event of default. In addition, the and Exchange Commission Commission believes the proposed (‘‘Commission’’) is soliciting comments updates and clarification changes to the on the collection of information SECURITIES AND EXCHANGE default notification procedures would summarized below. The Commission COMMISSION ensure that ICC’s relevant stakeholders plans to submit this existing collection stay informed throughout the default of information to the Office of [Release No. 34–91078; File No. SR– management process and enable them to Management and Budget for extension CboeEDGX–2021–009] and approval. provide responsive feedback that may Self-Regulatory Organizations; Cboe Rule 12g3–2 (17 CFR 240.12g3–2) also help ICC to take timely action to EDGX Exchange, Inc.; Notice of Filing under the Securities Exchange Act of contain losses and liquidity demands and Immediate Effectiveness of a 1934 (the ‘‘Exchange Act’’) provides an while meeting its obligations. For these Proposed Rule Change Relating To exemption from Section 12(g) of the reasons, the Commission finds that the Amend the Fee Schedule proposed rule change is consistent with Exchange Act (15 U.S.C. 78l(g)) for Rule 17Ad–22(e)(13).14 foreign private issuers. Rule 12g3–2 is February 8, 2021. designed to provide investors in foreign Pursuant to Section 19(b)(1) of the IV. Conclusion securities with information about such Securities Exchange Act of 1934 (the securities and the foreign issuer. The ‘‘Act’’),1 and Rule 19b–4 thereunder,2 On the basis of the foregoing, the information filed under Rule 12g3–2 Commission finds that the proposed notice is hereby given that on February must be filed with the Commission and 1, 2021, Cboe EDGX Exchange, Inc. (the rule change is consistent with the is publicly available. We estimate that it ‘‘Exchange’’ or ‘‘EDGX’’) filed with the requirements of the Act, and in takes 8.95 hours per response to prepare Securities and Exchange Commission particular, with the requirements of and is filed by approximately 1,386 15 (the ‘‘Commission’’) the proposed rule Section 17A(b)(3)(F) of the Act and respondents. Each respondent files an change as described in Items I, II, and Rules 17Ad–22(e)(2)(i), (e)(2)(v), and estimated 12 times submissions III below, which Items have been 16 (e)(13) thereunder. pursuant to Rule 12g3–2 per year for a prepared by the Exchange. The It is therefore ordered pursuant to total of 16,632 respondents. We estimate Commission is publishing this notice to Section 19(b)(2) of the Act 17 that the that 25% of 8.95 hours per response solicit comments on the proposed rule proposed rule change (SR–ICC–2020– (2.237 hours per response) to provide change from interested persons. 014) be, and hereby is, approved.18 the information required under Rule 12g3–2 for a total annual reporting I. Self-Regulatory Organization’s For the Commission, by the Division of burden of 37,206 hours (2.237 hours per Statement of the Terms of Substance of Trading and Markets, pursuant to delegated response × 16,632 responses). the Proposed Rule Change 19 authority. Written comments are invited on: (a) Cboe EDGX Exchange, Inc. (the J. Matthew DeLesDernier, Whether this proposed collection of ‘‘Exchange’’ or ‘‘EDGX’’) is filing with Assistant Secretary. information is necessary for the proper the Securities and Exchange [FR Doc. 2021–02868 Filed 2–11–21; 8:45 am] performance of the functions of the Commission (‘‘Commission’’) a BILLING CODE 8011–01–P agency, including whether the proposed rule change to amend the fee information will have practical utility; schedule. The text of the proposed rule (b) the accuracy of the agency’s estimate change is provided in Exhibit 5. of the burden imposed by the collection 14 The text of the proposed rule change 17 CFR 240.17Ad–22(e)(13). of information; (c) ways to enhance the 15 is also available on the Exchange’s 15 U.S.C. 78q–1(b)(3)(F). quality, utility, and clarity of the 16 website (http://markets.cboe.com/us/ 17 CFR 240.17Ad–22(e)(2)(i), (e)(2)(v), and information collected; and (d) ways to _ (e)(13). options/regulation/rule filings/edgx/), 17 15 U.S.C. 78s(b)(2). minimize the burden of the collection of at the Exchange’s Office of the 18 In approving the proposed rule change, the information on respondents, including Secretary, and at the Commission’s Commission considered the proposal’s impact on through the use of automated collection Public Reference Room. efficiency, competition, and capital formation. 15 techniques or other forms of information U.S.C. 78c(f). technology. Consideration will be given 1 15 U.S.C. 78s(b)(1). 19 17 CFR 200.30–3(a)(12). to comments and suggestions submitted 2 17 CFR 240.19b–4.

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II. Self-Regulatory Organization’s [sic] a standard rebate of $0.00009 per adds an ADV 11 greater than or equal to Statement of the Purpose of, and share for orders that add liquidity and 0.50% of the TCV; and (3) removes an Statutory Basis for, the Proposed Rule assesses a fee of 0.30% of Dollar Value ADV of greater than or equal to 0.80% Change for orders that remove liquidity. of the TCV. In its filing with the Commission, the Additionally, in response to the Additionally, under the Add/Remove Exchange included statements competitive environment, the Exchange Volume Tiers in footnote 1 of the Fee concerning the purpose of and basis for also offers tiered pricing which provides Schedule, the Exchange also provides the proposed rule change and discussed Members opportunities to qualify for for three Non-Displayed Add Volume any comments it received on the higher rebates or reduced fees where Tiers, which offer enhanced rebates on proposed rule change. The text of these certain volume criteria and thresholds Members’ orders yielding fee codes ‘‘DM’’ 12, ‘‘HA’’ 13, ‘‘MM’’ 14 and ‘‘RP’’ 15 statements may be examined at the are met. Tiered pricing provides an where a Member reaches certain places specified in Item IV below. The incremental incentive for Members to required volume-based criteria offered Exchange has prepared summaries, set strive for higher tier levels, which forth in sections A, B, and C below, of in each tier. For example, Non- provides increasingly higher benefits or Displayed Add Volume Tier 3 provides the most significant aspects of such discounts for satisfying increasingly statements. an enhanced rebated of $0.0025 on more stringent criteria. qualifying orders (i.e., DM, HA, MM and A. Self-Regulatory Organization’s Currently, the Exchange provides for RP) where a Member has an ADAV 16 of Statement of the Purpose of, and certain Add/Remove Volume Tiers greater than or equal to 0.10% of TCV Statutory Basis for, the Proposed Rule under footnote 1 of the Fee Schedule. for Non-Displayed orders that yield fee Change More specifically, the Add/Remove codes DM, HA, HI, MM or RP. The 1. Purpose Volume Tiers provide for seven Exchange now proposes to add a new different volume tiers that offer Non-Displayed tier, specifically, a Non- The Exchange proposes to amend its enhanced rebates on Members’ orders Displayed Step-Up Tier, which provides fee schedule applicable to its equities yielding fee codes ‘‘B’’ 4, ‘‘V’’ 5, ‘‘Y’’ 6, an enhanced rebate of $0.0025 where a trading platform (‘‘EDGX Equities’’) by ‘‘3’’ 7 and ‘‘4’’ 8, where a Member Member: (1) Has a Step-Up Add TCV amending its Add/Remove Volume reaches certain volume-based criteria from January 2021 greater than or equal Tiers, effective February 1, 2021. to 0.10%; (2) adds an ADV greater than The Exchange first notes that it offered in each tier. Two of these tiers are ‘‘Growth Tiers’’, which are designed or equal to 0.50% of the TCV; and (3) operates in a highly competitive market removes an ADV of greater than or equal in which market participants can to encourage growth in order flow by providing specific criteria in which to 0.80% of the TCV. readily direct order flow to competing Growth Tier 2, as amended, and the Members must increase their relative venues if they deem fee levels at a new Non-Displayed Step-Up Tier, both liquidity each month over a particular venue to be excessive or of which offer the same three-pronged predetermined baseline. Growth Tier 2, incentives to be insufficient. More criteria, are designed to incentivize for example, provides an enhanced specifically, the Exchange is only one of overall order flow, particularly by rebate of $0.0027 on qualifying orders 16 registered equities exchanges, as well offering enhanced rebates for both as a number of alternative trading (i.e., B, V, Y, 3 and 4) where a Member 9 displayed (i.e., B, V, Y, 3 and 4) and systems and other off-exchange venues has a Retail Step-Up Add TCV (i.e., non-displayed (DM, HA, MM and RP) 10 that do not have similar self-regulatory yielding fee code ZA) from May 2020 orders if a Member meets the different, responsibilities under the Exchange Act, that is greater than or equal to 0.10%. incrementally more difficult criteria as to which market participants may direct The Exchange now proposes to amend amended in Growth Tier 2 or the their order flow. Based on publicly Growth Tier 2 to provide an increased additional opportunity as provided in 3 available information, no single enhanced rebated of $0.0030 on the proposed Non-Displayed Step-Up registered equities exchange has more qualifying orders where a Member: (1) Tier. Specifically the proposed criteria than 16% of the market share. Thus, in Has a Step-Up Add TCV from January will encourage a Member to: (1) Grow in such a low-concentrated and highly 2021 greater than or equal to 0.10%; (2) overall order flow (by providing criteria competitive market, no single equities in which a Member must increase exchange possesses significant pricing 4 Appended to orders that add liquidity to EDGX relative overall order flow, not just retail power in the execution of order flow. (Tape B) and offers a rebate of $0.0016 per share. order flow, each month over baseline The Exchange in particular operates a 5 Appended to orders that add liquidity to EDGX liquidity in January 2021); (2) increase ‘‘Maker-Taker’’ model whereby it pays (Tape A) and offers a rebate of $0.0016 per share. credits to members that provide 6 Appended to orders that add liquidity to EDGX 11 ‘‘ADV’’ means average daily volume calculated liquidity and assesses fees to those that (Tape C) and offers a rebate of $0.0016 per share. 7 Appended to orders that add liquidity to EDGX as the number of shares added to, removed from, remove liquidity. The Exchange’s fee pre and post market (Tape A or C) and offers a or routed by, the Exchange, or any combination or schedule sets forth the standard rebates rebate of $0.0016 per share. subset thereof, per day. ADV is calculated on a and rates applied per share for orders 8 Appended to orders that add liquidity to EDGX monthly basis. pre and post market (Tape B) and offers a rebate of 12 Appended to orders that add liquidity using that provide and remove liquidity, MidPoint Discretionary order within discretionary respectively. Currently, for orders $0.0016 per share. 9 ‘‘Step-Up Add TCV’’ means ADAV as a range and are provided a rebate of $0.00100. priced at or above $1.00, the Exchange percentage of TCV in the relevant baseline month 13 Appended to non-displayed orders that add provides a standard rebate of $0.0016 subtracted from current ADAV as a percentage of liquidity and are provided a rebate of $0.00100. per share for orders that add liquidity TCV. ‘‘TCV’’ means total consolidated volume 14 Appended to non-displayed orders that add and assesses a fee of $0.0027 per share calculated as the volume reported by all exchanges liquidity using Mid-Point Peg and are provided a and trade reporting facilities to a consolidated rebate of $0.00100. for orders that remove liquidity. For transaction reporting plan for the month for which 15 Appended to non-displayed orders that add orders priced below $1.00, the Exchange the fees apply. ‘‘ADAV’’ means ADAV means liquidity using Supplemental Peg and are provided average daily added volume calculated as the a rebate of $0.00100. 3 See Cboe Global Markets, U.S. Equities Market number of shares added per day. ADAV is 16 ‘‘ADAV’’ means ADAV means average daily Volume Summary, Month-to-Date (January 25, calculated on a monthly basis. added volume calculated as the number of shares 2021), available at https://markets.cboe.com/us/ 10 Appended to Retail Orders that add liquidity to added per day. ADAV is calculated on a monthly equities/market_statistics/. EDGX and offers a rebate of $0.0032 per share. basis.

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liquidity adding volume; and (3) believes the proposed changes to proposed tiers, each based on a increase in liquidity removing volume, Growth Tier 2 and the proposed new Member’s overall growth in all order in order to receive the proposed Non-Displayed Step-Up Tier are flow and their liquidity adding and enhanced rebates. Overall, the proposed reasonable because they either amend removing orders, will generally benefit criteria and enhanced rebates provide an existing opportunity or provide an all market participants by incentivizing an additional opportunity for Members additional opportunity for Members to continuous liquidity and thus, deeper to submit more order flow inclusive of receive an enhanced rebate on more liquid markets as well as increased all orders, liquidity adding Members on qualifying orders by means of overall execution opportunities. Indeed, the the Exchange to contribute to a deeper, order flow, including both liquidity Exchange notes that greater add volume more liquid market, and liquidity adding and removing orders. The order flow may provide for deeper, more executing Members on the Exchange to Exchange notes that relative volume- liquid markets and execution increase transactions and take execution based incentives and discounts have opportunities, and greater remove opportunities provided by such been widely adopted by exchanges,20 volume order flow may increase increased liquidity, together providing including the Exchange,21 and are transactions on the Exchange, which the for overall enhanced price discovery reasonable, equitable and non- Exchange believes incentivizes liquidity and price improvement opportunities discriminatory because they are open to providers to submit additional liquidity on the Exchange. As such, increased all members on an equal basis and and execution opportunities, thus, overall order flow benefits all Members provide additional benefits or discounts providing an overall increase in price by contributing towards a robust and that are reasonably related to (i) the discovery and transparency on the well-balanced market ecosystem. value to an exchange’s market quality Exchange. and (ii) associated higher levels of 2. Statutory Basis Further, the Exchange believes that market activity, such as higher levels of the proposed rule changes are The Exchange believes that the liquidity provision and/or growth proposed rule change is consistent with reasonable as they do not represent a patterns. Additionally, as noted above, significant departure from the current the objectives of Section 6 of the Act,17 the Exchange operates in a highly in general, and furthers the objectives of criteria or enhanced rebates currently competitive market. The Exchange is offered in the Fee Schedule. First, the Section 6(b)(4),18 in particular, as it is only one of several equity venues to Exchange believes that modifying designed to provide for the equitable which market participants may direct existing criteria in Growth Tier 2 is allocation of reasonable dues, fees and their order flow, and it represents a reasonably designed to be incrementally other charges among its Members, small percentage of the overall market. more difficult to achieve than the issuers and other persons using its It is also only one of several maker-taker current criteria and therefore is facilities. The Exchange also believes exchanges. Competing equity exchanges commensurate with the proposed that the proposed rule change is offer similar tiered pricing structures to increased enhanced rebate. The consistent with the objectives of Section that of the Exchange, including Exchange also believes that the 6(b)(5) 19 requirements that the rules of schedules of rebates and fees that apply proposed criteria and enhanced rebate an exchange be designed to prevent based upon members achieving certain fraudulent and manipulative acts and volume and/or growth thresholds. These remains in line with the incremental practices, to promote just and equitable competing pricing schedules, moreover, increase in difficulty from Growth Tier principles of trade, to foster cooperation are presently comparable to those that 1. Growth Tier 1 may be met if a and coordination with persons engaged the Exchange provides, including the Member: (1) Adds an ADV greater than in regulating, clearing, settling, pricing of comparable tiers.22 or equal to 0.20% of the TCV; and (2) processing information with respect to, Moreover, the Exchange believes the has a Step-Up Add TCV from March and facilitating transactions in two proposed tiers are a reasonable 2019 of greater than or equal to 0.10%., securities, to remove impediments to means to encourage overall growth in whereas proposed Growth Tier 2 and perfect the mechanism of a free and Members’ overall order flow to the provides for an additional prong of open market and a national market Exchange and to incentivize Members to criteria, as well as modestly increased system, and, in general, to protect continue to provide liquidity adding percentages of ADV over TCV, that a investors and the public interest, and, and liquidity removing to the Exchange Member must meet to receive an particularly, is not designed to permit by offering them a different or enhanced rebate. Second, the Exchange unfair discrimination between additional opportunity than those believes that the proposed criteria in the customers, issuers, brokers, or dealers. opportunities currently under the Add/ new Non-Displayed Step-Up Tier is of As described above, the Exchange Remove Volume Tiers to receive an comparable difficulty to the criteria in operates in a highly competitive market enhanced rebate on qualifying orders. Non-Displayed Add Volume Tier 3, in which market participants can The Exchange believes that the which offers the same enhanced rebate readily direct order flow to competing for the same qualifying orders if a venues if they deem fee levels at a 20 See e.g., Nasdaq PSX Price List [sic], Rebate to Member has an ADAV greater than or particular venue to be excessive or Add Displayed Liquidity (Per Share Executed), and equal to 0.10% of TCV for Non- Rebate to Add Other Non-Displayed Liquidity, Displayed orders that yield fee codes incentives to be insufficient. The which provide rebates to members for adding proposed rule change reflects a displayed and non-displayed liquidity over certain DM, HA, HI, MM or RP. The Exchange competitive pricing structure designed thresholds of TCV ranging between $0.00075 and notes that the sum of Non-Displayed to incentivize market participants to $0.00305, available at http://nasdaqtrader.com/ orders only as an add-volume (ADAV) Trader.aspx?id=PriceListTrading2; and Cboe BZX percentage presents a more narrow, thus direct their order flow to the Exchange, U.S. Equities Exchange Fee Schedule, Footnote 1, which the Exchange believes would Add Volume Tiers, which provides similar comparable in difficulty, type of order enhance market quality to the benefit of incentives for displayed and non-displayed flow that a Member must submit to all Members. In particular, the Exchange liquidity and offers rebates ranging between achieve the criteria in Non-Displayed $0.0018 and $0.0031. Add Volume Tier 3, and therefore, the 21 See generally, Cboe EDGX U.S. Equities 17 15 U.S.C. 78f. Exchange Fee Schedule, Footnote 1, Add Volume proposed enhanced rebate offered under 18 15 U.S.C. 78f(b)(4). Tiers [sic]. the Non-Displayed Step-Up Tier is 19 15 U.S.C. 78f.(b)(5). 22 See supra note 20. commensurate with the same enhanced

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rebate offered under Non-Displayed Commission’s goal in adopting products, and services in the securities Add Volume Tier 3. Regulation NMS of fostering markets. Specifically, in Regulation The Exchange believes that the competition among orders, which NMS, the Commission highlighted the proposal represents an equitable promotes ‘‘more efficient pricing of importance of market forces in allocation of fees and rebates and is not individual stocks for all types of orders, determining prices and SRO revenues unfairly discriminatory because all large and small.’’ and, also, recognized that current Members will continue to be eligible for The Exchange believes the proposed regulation of the market system ‘‘has Growth Tier 2, as amended, and all rule change does not impose any burden been remarkably successful in Members will be eligible for proposed on intramarket competition that is not promoting market competition in its Non-Displayed Step-Up Tier. All necessary or appropriate in furtherance broader forms that are most important to Members will have the opportunity to of the purposes of the Act. Particularly, investors and listed companies.’’ The meet the two tiers’ criteria and will the proposed change applies to all fact that this market is competitive has receive the proposed corresponding Members equally in that all Members enhanced rebates for their respective are eligible for the proposed Growth also long been recognized by the courts. qualifying orders if they meet such Tier and Non-Displayed Step-Up Tier, In NetCoalition v. Securities and criteria. Without having a view of have a reasonable opportunity to meet Exchange Commission, the D.C. Circuit activity on other markets and off- the tiers’ criteria and will all stated as follows: ‘‘[n]o one disputes exchange venues, the Exchange has no automatically and uniformly receive the that competition for order flow is way of knowing whether this proposed corresponding enhanced rebate on their ‘fierce.’ . . . As the SEC explained, ‘[i]n rule change would definitely result in respective qualifying orders if such the U.S. national market system, buyers any Members qualifying for the criteria is met. Additionally, the and sellers of securities, and the broker- proposed tiers. While the Exchange has proposed tiers are designed to attract dealers that act as their order-routing no way of predicting with certainty how additional overall order flow to the agents, have a wide range of choices of the proposed tier will impact Member Exchange. The Exchange believes that where to route orders for execution’; activity, the Exchange anticipates that at the amended and additional tier criteria [and] ‘no exchange can afford to take its least three Members will be able to would incentivize market participants market share percentages for granted’ compete for and reach the proposed to grow their overall order flow because ‘no exchange possesses a criteria in Growth Tier 2 and the Non- submitted to the Exchange, both monopoly, regulatory or otherwise, in Displayed Step-Up Tier. The Exchange liquidity adding and removing order the execution of order flow from broker anticipates that multiple Member types flow, bringing with it improved price dealers’. . . .’’. Accordingly, the will compete to reach the proposed transparency. The Exchange believes Exchange does not believe its proposed tiers, broker-dealers and liquidity greater overall order flow and pricing fee change imposes any burden on providers, each providing distinct types transparency benefits all market competition that is not necessary or of order flow to the Exchange to the participants on the Exchange by appropriate in furtherance of the benefit of all market participants. The providing more trading opportunities, purposes of the Act. Exchange also notes that proposed tiers enhancing market quality, and will not adversely impact any Member’s continuing to encourage Members to C. Self-Regulatory Organization’s pricing or ability to qualify for other send orders, thereby contributing Statement on Comments on the reduced fee or enhanced rebate tiers. towards a robust and well-balanced Proposed Rule Change Received From Should a Member not meet the market ecosystem, which benefits all Members, Participants, or Others proposed criteria under either of the market participants. proposed tiers, the Member will merely The Exchange believes the proposed The Exchange neither solicited nor not receive that corresponding rule change does not impose any burden received comments on the proposed enhanced rebate. Furthermore, the on intermarket competition that is not rule change. proposed enhanced rebates in Growth necessary or appropriate in furtherance III. Date of Effectiveness of the Tier 2 and the Non-Displayed Step-Up of the purposes of the Act. As Tier will each automatically and previously discussed, the Exchange Proposed Rule Change and Timing for uniformly apply to all Members’ operates in a highly competitive market. Commission Action qualifying orders for all Members that Members have numerous alternative The foregoing rule change has become venues that they may participate on and meet the required criteria under the effective pursuant to Section 19(b)(3)(A) direct their order flow, including 15 proposed tiers. of the Act 23 and paragraph (f) of Rule other equities exchanges and off- 24 B. Self-Regulatory Organization’s exchange venues and alternative trading 19b–4 thereunder. At any time within Statement on Burden on Competition systems. Additionally, the Exchange 60 days of the filing of the proposed rule The Exchange does not believe that represents a small percentage of the change, the Commission summarily may the proposed rule changes will impose overall market. Based on publicly temporarily suspend such rule change if any burden on competition not available information, no single equities it appears to the Commission that such necessary or appropriate in furtherance exchange has more than 16% of the action is necessary or appropriate in the of the purposes of the Act. Rather, as market share. Therefore, no exchange public interest, for the protection of discussed above, the Exchange believes possesses significant pricing power in investors, or otherwise in furtherance of that the proposed change would the execution of order flow. Indeed, the purposes of the Act. If the encourage the submission of additional participants can readily choose to send Commission takes such action, the order flow to a public exchange, thereby their orders to other exchange and off- Commission will institute proceedings promoting market depth, execution exchange venues if they deem fee levels to determine whether the proposed rule incentives and enhanced execution at those other venues to be more change should be approved or opportunities, as well as price discovery favorable. Moreover, the Commission disapproved. and transparency for all Members. As a has repeatedly expressed its preference result, the Exchange believes that the for competition over regulatory 23 15 U.S.C. 78s(b)(3)(A). proposed change furthers the intervention in determining prices, 24 17 CFR 240.19b–4(f).

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IV. Solicitation of Comments For the Commission, by the Division of STANS were developed and operate, Trading and Markets, pursuant to delegated including the various parameters and 25 Interested persons are invited to authority. assumptions contained within those submit written data, views and J. Matthew DeLesDernier, components 5 and the mathematical arguments concerning the foregoing, Assistant Secretary. theories underlying the selection of including whether the proposed rule [FR Doc. 2021–02857 Filed 2–11–21; 8:45 am] those quantitative methods (‘‘Model change is consistent with the Act. BILLING CODE 8011–01–P Whitepapers’’). The Model Whitepapers Comments may be submitted by any of are currently synthesized in a single the following methods: document, the Margins Methodology, SECURITIES AND EXCHANGE Electronic Comments describing how STANS operates from COMMISSION end to end. Pursuant to section 19(b) of • Use the Commission’s internet [Release No. 34–91079; File No. SR–OCC– the Exchange Act and Rule 19b–4 comment form (http://www.sec.gov/ 2020–016] thereunder,6 OCC has filed, and the rules/sro.shtml); or Commission has approved, sections of • Send an email to rule-comments@ Self-Regulatory Organizations; The Options Clearing Corporation; Order OCC’s Margins Methodology as rules in sec.gov. Please include File Number SR– 7 Approving Proposed Rule Change to the past. OCC has not, however, filed CboeEDGX–2021–009 on the subject Concerning the Options Clearing the Margins Methodology in its entirety. line. Corporation’s System for Theoretical Additionally, OCC has requested Paper Comments Analysis and Numerical Simulation confidential treatment for those sections (‘‘STANS’’) Methodology of the Margins Methodology that it has • 8 Send paper comments in triplicate Documentation filed with the Commission. to Secretary, Securities and Exchange OCC now proposes to replace the February 8, 2021. Commission, 100 F Street NE, Margins Methodology in its entirety Washington, DC 20549–1090. I. Introduction (both sections that have and have not All submissions should refer to File On December 9, 2020, the Options been filed as rules) with a description of Number SR–CboeEDGX–2021–009. This Clearing Corporation (‘‘OCC’’) filed with OCC’s system for calculating daily and file number should be included on the the Securities and Exchange intra-day margin requirements for its subject line if email is used. To help the Commission (‘‘Commission’’) the Clearing Members (the ‘‘STANS Commission process and review your proposed rule change SR–OCC–2020– Methodology Description’’).9 OCC stated comments more efficiently, please use 016 (‘‘Proposed Rule Change’’) pursuant that the proposed STANS Methodology only one method. The Commission will to Section 19(b) of the Securities Description includes the material post all comments on the Commission’s Exchange Act of 1934 (‘‘Exchange aspects of OCC’s risk-based margin internet website (http://www.sec.gov/ Act’’) 1 and Rule 19b–4 2 thereunder to system.10 OCC intends to make the rules/sro.shtml). Copies of the adopt a new document describing OCC’s proposed STANS Methodology submission, all subsequent system for calculating daily and intra- amendments, all written statements day margin requirements for its Clearing 5 See Securities Exchange Act Release No. 82473 with respect to the proposed rule Members.3 The Proposed Rule Change (Jan. 9, 2018), 83 FR 2271 (Jan. 16, 2018) (File No. change that are filed with the was published for public comment in SR–OCC–2017–011), which describes how OCC periodically reviews the parameters and Commission, and all written the Federal Register on December 29, assumptions used by STANS pursuant to its Model communications relating to the 2020.4 The Commission has received no Risk Management Policy and in accordance with 17 proposed rule change between the comments regarding the Proposed Rule CFR 240.17Ad–22(e)(6). Commission and any person, other than Change. This order approves the 6 15 U.S.C. 78s(b)(1) and 17 CFR 240.19b–4. those that may be withheld from the Proposed Rule Change. 7 See Securities Exchange Act Release No. 74966 public in accordance with the (May 14, 2015), 80 FR 29784 (May 22, 2015) (File II. Background No. SR–OCC–2015–010); Securities Exchange Act provisions of 5 U.S.C. 552, will be Release No. 76128 (Dec. 28, 2015), 81 FR 135 (Jan. available for website viewing and To manage the credit risk posed by its 4, 2016) (File No. SR–OCC–2015–016); Securities printing in the Commission’s Public Clearing Members, OCC collects margin Exchange Act Release No. 79818 (Jan. 18, 2017), 82 collateral both daily and intraday. OCC FR 8455 (Jan. 25, 2017) (File No. SR–OCC–2017– Reference Room, 100 F Street NE, 001); Securities Exchange Act Release No. 82161 Washington, DC 20549, on official uses its System for Theoretical Analysis (Nov. 28, 2017), 82 FR 57306 (Dec. 4, 2017) (File business days between the hours of and Numerical Simulation (‘‘STANS’’) No. SR–OCC–2017–022); Securities Exchange Act 10:00 a.m. and 3:00 p.m. Copies of the to set risk-based margin requirements Release No. 84524 (Nov. 2, 2018), 83 FR 55918 for its Clearing Members. The margin (Nov. 8, 2018) (File No. SR–OCC–2018–014); filing also will be available for Securities Exchange Act Release No. 85440 (Mar. inspection and copying at the principal requirements calculated using STANS 28, 2019), 84 FR 13082 (Apr. 3, 2019) (File No. SR– office of the Exchange. All comments consist of an estimate of a 99 percent OCC–2019–002); Securities Exchange Act Release received will be posted without change. expected shortfall (‘‘ES’’) over a two-day No. 85755 (Apr. 30, 2019), 87 FR 19815 (May 6, time horizon with additional charges for 2019) (File No. SR–OCC–2019–004); Securities Persons submitting comments are Exchange Act Release No. 86296 (Jul. 3, 2019), 84 cautioned that we do not redact or edit model risk, stress tests, liquidation FR 32816 (Jul. 9, 2019) (File No. SR–OCC–2019– personal identifying information from costs, and various add-ons. 005); Securities Exchange Act Release No. 87387 comment submissions. You should OCC maintains technical (Oct. 23, 2019), 84 FR 57890 (Oct. 29, 2019) (File documentation that describes how the No. SR–OCC–2019–010); Securities Exchange Act submit only information that you wish Release No. 89392 (Jul. 24, 2020), 85 FR 45938 (Jul. to make available publicly. All various quantitative components of 30,2020) (File No. SR–OCC–2020–007); Securities submissions should refer to File Exchange Act Release No. 90139 (Oct. 8, 2020), 85 Number SR–CboeEDGX–2021–009 and 1 15 U.S.C. 78s(b)(1). FR 65886 (Oct. 16, 2020) (File No. SR– OCC–2020– should be submitted on or before March 2 17 CFR 240.19b–4. 012). 3 8 See id. 5, 2021. See Notice of Filing infra note 4, 85 FR at 85788. 4 Securities Exchange Act Release No. 34–90763 9 OCC also proposes conforming changes to its (Dec. 21, 2020), 85 FR 85788 (Dec. 29, 2020) (File Margin Policy. 25 17 CFR 200.30–3(a)(12). No. SR–OCC–2020–016) (‘‘Notice of Filing’’). 10 See Notice of Filing, 85 FR at 85789.

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Description available to Clearing framework to price treasury securities; charges discuss a based margin charge, Members.11 (iv) a generic futures model to price error compensation charge, liquidation The proposed STANS Methodology linear derivatives with limited term cost charge, and positive risk reversal Description would include substantially structures; (v) a specialized factor model charge. The base margin charge consists the same information as the Margins to price variance futures; (vi) a synthetic of an ES calculation with the addition Methodology with the exception of futures model to price specified of Extreme Value Theory loss modeling various details, described below, that products such as volatility index-based and a stress test component. The error OCC does not believe would be futures (e.g., VIX futures); and (vii) compensation charge is designed to appropriately included in the STANS econometric parameters related to compensate for the estimation error 12 Methodology Description. OCC stated volatility forecasts and marginal inherent in ES calculations. The that the purpose of the STANS distributions, and calibrates these liquidation cost charge is designed to Methodology Description would be to parameters using ten-year histories of cover the costs of selling long positions enable an informed reader to the foregoing data inputs. at the current bid price and covering understand OCC’s modeling choices and The sub-sections related to copula short positions at the current ask price the interconnectedness of STANS model construction describes the use of a following the default of a Clearing components in producing OCC margin copula to quantify the joint behavior Member. The positive risk reversal requirements, and that the portions of and dependence structure of the risk the Margins Methodology not carried factors used by STANS.14 The STANS charge ensures that total calculated forward in the STANS Methodology Methodology Description covers OCC’s margin requirement is at least equal to Description are extraneous to this process for estimating the copula as well the estimated liquidation cost, even in purpose.13 as simulating price movements based on the event a position is liquidated at the random draws from the multivariate current market price. Proposed STANS Methodology Student’s t-distribution described by the Model utilities. The final substantive Description copula. The document also describes section of the STANS Methodology As noted above, the proposed STANS OCC’s process for identifying and Description addresses several model Methodology Description covers OCC’s separately processing risk factors with utilities that OCC applies at various system for calculating daily and intra- incomplete data sets that lack sufficient points in the STANS methodology, to day margin requirements for its Clearing data to estimate the copula. Specifically, incorporate various market and Members. The proposed document the STANS Methodology Description operational factors that affect options includes three sections with various addresses the application of conditional pricing and thereby produce model subsections as described below and in and default simulations to estimate results which more accurately reflect greater detail in the Notice of Filing. correlations for risk factors excluded current and potential market conditions. The STANS Methodology Description from the copula simulation in STANS Such utilities include the incorporation begins with an executive summary. The due to a lack of data. of expected cash dividends on a stock executive summary would state that the The sub-sections related to implied into options pricing in STANS. The purpose of STANS is to determine volatility smoothing and options pricing STANS Methodology Description also margin requirements for OCC’s Clearing describe how OCC uses the inputs and addresses OCC’s processes for obtaining Members, and would describe the types outputs described in the subsections on relevant risk factors for both the most of positions and collateral modeled model and econometric calibration and recent opening price and the most through STANS. The executive copula construction. Specifically, the recent closing price to include a joint summary would also briefly describe STANS Methodology Description distribution of both overnight and daily OCC’s procedures related to both model discusses OCC’s processing for returns on relevant risk factors within monitoring and price editing. performing implied volatility smoothing the copula described above. Further, the Model components. The bulk of the as well as pricing European-style STANS Methodology Description STANS Methodology Description covers options, American-style options, Asian discusses OCC’s process for addressing the model components in STANS, FLEX options,15 and Cliquet options.16 option expirations occurring during the including model and econometric The document also discusses how period in which OCC closes out a calibration, copula construction, STANS can also be used to price defaulted Clearing Member’s portfolio. implied volatility smoothing and forward start options.17 options pricing, and the application of The sub-sections related to the Finally, the document describes the the theoretical derivatives prices to aggregation of various component portfolio specific haircut model that actual positions in Clearing Members’ OCC uses to haircut values for accounts to calculate margin 14 A copula is a mathematical construct used in withdrawals or deposits of collateral requirements through the aggregation of probability theory to calculate the cumulative made throughout the day. various component charges. The sub- distribution of a set of random variables. 15 Asian options are European-style options for Additional Details sections related to model and which the settlement price is determined based on econometric calibration cover the use of the difference between the aggregate exercise price As noted above, STANS Methodology (i) returns on equity securities that are and the aggregate current underlying interest value, Description would not include details based on current market prices to create which is based on the average of twelve monthly price observations. See Securities Exchange Release from the Margins Methodology that OCC econometric parameters and for pricing; No. 74966 (May 14, 2015), 80 FR 29784 (May 22, believes are extraneous to the purpose (ii) implied volatility risk factors to 2015) (File No. SR–OCC–2015–010). of enabling an informed reader to measure the expected future volatility of 16 Cliquet options are European-style options for understand OCC’s modeling choices and an option’s underlying security at which the settlement price is determined based on the interconnectedness of STANS model expiration; (iii) Nelson-Siegel the (positive) sum of capped returns of an index on pre-determined dates over a specified period of components in producing OCC margin time. See id., n. 9. requirements. As described below, and 11 See Notice of Filing, 85 FR at 85790. 17 Forward start options are options for which the in greater detail in the Notice of Filing, 12 OCC does not propose to change its margin strike price in dollars is unknown prior to the the details in the Margins Methodology methodology as part of the Proposed Rule Change. determination date of the strike shortly before 13 See Notice of Filing, 85 FR at 85790. expiration. See Notice of Filing, 85 FR at 85796. that would not be included in the

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STANS Methodology Description fall optimization to produce arbitrage-free thereunder applicable to such thematically into eight categories.18 options prices for European options. organization.19 After carefully First, the STANS Methodology Sixth, the STANS Methodology considering the Proposed Rule Change, Description would not describe Description would not include the Commission finds that the proposal historical modeling practices and redundant descriptions of a model is consistent with the requirements of potential future enhancements that do component appearing in multiple the Exchange Act and the rules and not describe how a model currently chapters. For example, the Executive regulations thereunder applicable to functions. For example, the STANS Summary of the STANS Methodology OCC. More specifically, the Commission Methodology Description would not Description would not include details of finds that the proposal is consistent include background on OCC’s decision the STANS methodology also found in with Section 17A(b)(3)(F) of the to incorporate implied volatility the main body of the document. Exchange Act,20 Rule 17Ad–22(e)(6) 21 modeling into STANS. Similarly, the Similarly, the section of the proposed thereunder, as described in detail STANS Methodology Description would STANS Methodology Description below. not summarize historical changes OCC discussing conditional and default has made to the manner in which simulations would not include A. Consistency With Section STANS calculates a total margin charge. introductory text restating the use of 17A(b)(3)(F) of the Exchange Act Second, the STANS Methodology time series in STANS, which is Section 17A(b)(3)(F) of the Exchange Description would not describe the set described elsewhere in the document. Act requires, among other things, that of current products to which each Seventh, the STANS Methodology the rules of a clearing agency be STANS component applies. For Description would not describe OCC’s designed to assure the safeguarding of example, the STANS Methodology implementation of a model in its securities and funds which are in its Description would list products eligible internal technology systems. Such custody or control or for which it is for implied volatility scenarios details include detailed steps for a responsible.22 OCC uses STANS to set modeling in STANS. linear interpolation/extrapolation used risk-based margin requirements for its Third, the STANS Methodology to construct a volatility surface from Clearing Members. OCC proposes to Description would not describe OCC’s smoothed volatilities. Similarly, the describe its modeling choices and the model configuration choices. Such STANS Methodology Description would interconnectedness of STANS model configuration choices include a list of not include discussion of the processes components in producing such margin control parameters of the Newton- OCC uses to operationalize the STANS requirements within its rules by Raphson method OCC uses to calculate methodology in its systems. adopting the STANS Methodology implied volatilities for vanilla options. Finally, the STANS Methodology Description. The aspects of STANS Similarly, the STANS Methodology Description would not describe manual described in the STANS Methodology Description would not describe the margin adjustments and add-ons that Description directly relate to OCC’s parameters that OCC uses to calibrate OCC employs pursuant to OCC rules, ability to accurately risk manage liquidation grids when calculating its policies, or procedures outside of Clearing Member portfolios by liquidation cost charge. STANS. Such adjustments include calculating and collecting an Fourth, the STANS Methodology additional margin charges related to appropriate amount of collateral. The Description would not describe model cross-margin accounts established under Commission notes that only some of the testing results and supporting rationale. OCC’s Rule 704. Similarly, the STANS aspects of STANS addressed in the Such testing results would include Methodology Description would not STANS Methodology Description are model testing and validation results for describe ‘‘derived scenarios,’’ which are currently addressed in the portions of OCC’s implied volatility model. a special case of conditional simulations the Margins Methodology that OCC has Similarly, the STANS Methodology related to exchange rate risk factors filed with the Commission. Description would not describe the addressed elsewhere in OCC’s The Commission believes that, even mathematical rationale for the procedures. with the removal of the additional cumulative distribution function, details from the Margins Methodology Changes to Margin Policy inverse cumulative distribution described above, the proposed STANS function, and degrees of freedom for the OCC also proposes conforming Methodology Description is designed to Student’s t-distribution used by the changes to its Margin Policy to reflect help ensure that OCC’s margin GARCH model for implied volatility risk the adoption of the STANS methodology calculates and collects factors. Methodology Description and the margin sufficient to mitigate OCC’s Fifth, the STANS Methodology retirement of the Margins Methodology. credit exposure to a Clearing Member Description would not describe Additionally, OCC proposes to make default. The Commission also believes standard mathematical and economic other non-substantive changes to the that accurate calculation of margin is theories and techniques that are well- Margin Policy to correct typographical necessary to help ensure that OCC is known in quantitative finance, readily errors, update references to other related able to risk manage the default of a found in public sources, and do not internal OCC policies and procedures, Clearing Member without recourse to include OCC-specific modifications or and conform the policy to OCC’s current the assets of non-defaulting Clearing applications. For example, the STANS internal policy template. Members, which supports the Methodology Description would not safeguarding of securities and funds in describe the standard Glosten- III. Discussion and Commission’s Findings OCC’s custody. Accordingly, the Jagannathan-Runkle GARCH model and Commission believes that the the use of a Student’s t-distribution. Section 19(b)(2)(C) of the Exchange replacement of the Margins Similarly, the STANS Methodology Act directs the Commission to approve Methodology with the STANS Margin Description would not describe the a proposed rule change of a self- Vega-weighted least squares calculation regulatory organization if it finds that 19 15 U.S.C. 78s(b)(2)(C). performed during the first round of such proposed rule change is consistent 20 15 U.S.C. 78q–1(b)(3)(F). with the requirements of the Exchange 21 17 CFR 240.17Ad–22(e)(6). 18 See Notice of Filing, 85 FR at 85790. Act and the rules and regulations 22 15 U.S.C. 78q–1(b)(3)(F).

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Description is consistent with the due to the withdrawal or deposit of SECURITIES AND EXCHANGE requirements of Section 17A(b)(3)(F) of collateral). COMMISSION the Exchange Act.23 Section (v) under Rule 17Ad–22(e)(6) [SEC File No. 270–125, OMB Control No. B. Consistency With Rule 17Ad–22(e)(6) requires that the policies and 3235–0104] Under the Exchange Act procedures required pursuant to Rule 17Ad–22(e)(6) describe a risk-based Proposed Collection; Comment Rules 17Ad–22(e)(6) generally Request requires each covered clearing agency margin system that uses an appropriate that provides central counterparty method for measuring credit exposure to Upon Written Request Copies Available services to establish, implement, accounts for relevant product risk From: Securities and Exchange maintain, and enforce written policies factors and portfolio effects across Commission, Office of FOIA Services, and procedures reasonably designed to products.27 As discussed above, the 100 F Street NE, Washington, DC cover its credit exposure to its STANS Methodology Description covers 20549–2736 participants by establishing a risk-based the various STANS components that Extension: margin system that meets certain provide the inputs and outputs Form 3 standards.24 As described above, the necessary for OCC to conduct implied Notice is hereby given that pursuant, STANS Methodology Description volatility smoothing and options pricing addresses OCC’s modeling choices and to the Paperwork Reduction Act of 1995 (e.g., model components addressing (44 U.S.C. 3501 et seq.), the Securities the interconnectedness of STANS model derivatives based on equities and components in producing risk-based and Exchange Commission treasuries as well as generic futures, (‘‘Commission’’) is soliciting comments margin requirements. variance futures, and volatility index- Section (i) under Rule 17Ad–22(e)(6) on the collections of information based futures) as well as the implied requires that the policies and summarized below. The Commission volatility smoothing and options pricing procedures required pursuant to Rule plans to submit this existing collection themselves. 17Ad–22(e)(6) describe a risk-based of information to the Office of margin system that considers and Based on the foregoing, the Management and Budget for extension produces margin levels commensurate Commission believes that the and approval. with the risks and particular attributes replacement of the Margins Exchange Act Forms 3 is filed by of each relevant product, portfolio, and Methodology with the STANS Margin insiders of public companies that have market.25 As described above, the Description is consistent with the a class of securities registered under STANS Methodology Description covers requirements of Rule 17Ad–22(e)(6) Section 12 of the Exchange Act. Form 3 various components of STANS designed under the Exchange Act.28 is an initial statement beneficial to address the particular attributes of the ownership of securities. Approximately products that OCC clears (e.g., IV. Conclusion 21,968 insiders file Form 3 annually and American-style options, European-style it takes approximately 0.50 hours to On the basis of the foregoing, the prepare for a total of 10,984 annual options, Asian FLEX options, Cliquet Commission finds that the Proposed options) as well as the risks presented burden hours (0.50 hours per response Rule Change is consistent with the × by a specific portfolio (e.g., liquidation 21,968 responses). requirements of the Exchange Act, and cost charges). Further, the STANS Written comments are invited on: (a) in particular, the requirements of Whether this proposed collection of Methodology Description also describes 29 OCC’s process addressing the entrance Section 17A of the Exchange Act and information is necessary for the proper of new products into the markets for the rules and regulations thereunder. performance of the functions of the which it clears (identifying and It is therefore ordered, pursuant to agency, including whether the separately processing risk factors with Section 19(b)(2) of the Exchange Act,30 information will have practical utility; incomplete data sets that lack sufficient that the Proposed Rule Change (SR– (b) the accuracy of the agency’s estimate data to estimate the copula). OCC–2020–016) be, and hereby is, of the burden imposed by the collection of information; (c) ways to enhance the Section (iii) under Rule 17Ad–22(e)(6) approved. requires that the policies and quality, utility, and clarity of the procedures required pursuant to Rule For the Commission, by the Division of information collected; and (d) ways to Trading and Markets, pursuant to delegated minimize the burden of the collection of 17Ad–22(e)(6) describe a risk-based 31 margin system that calculates margin authority. information on respondents, including sufficient to cover its potential future J. Matthew DeLesDernier, through the use of automated collection exposure to participants in the interval Assistant Secretary. techniques or other forms of information between the last margin collection and [FR Doc. 2021–02859 Filed 2–11–21; 8:45 am] technology. Consideration will be given to comments and suggestions submitted the close out of positions following a BILLING CODE 8011–01–P participant default.26 As described in writing within 60 days of this above, the STANS Methodology publication. Description discusses various model An agency may not conduct or utilities that pertain to events occurring sponsor, and a person is not required to between the collection of margin and respond to, a collection of information closing out of a defaulted Clearing unless it displays a currently valid Member’s portfolio (e.g., cash dividend 27 17 CFR 240.17Ad–22(e)(6)(v). control number. Please direct your written comment to payments, option expiration, and 28 17 CFR 240.17Ad–22(e)(6). changes to portfolio specific haircuts 29 In approving this Proposed Rule Change, the David Bottom, Director/Chief Commission has considered the proposed rules’ Information Officer, Securities and 23 15 U.S.C. 78q–1(b)(3)(F). impact on efficiency, competition, and capital Exchange Commission, c/o Cynthia 24 17 CFR 240.17Ad–22(e)(6). formation. See 15 U.S.C. 78c(f). Roscoe, 100 F Street NE, Washington, 25 17 CFR 240.17Ad–22(e)(6)(i). 30 15 U.S.C. 78s(b)(2). DC 20549 or send an email to: PRA_ 26 17 CFR 240.17Ad–22(e)(6)(iii). 31 17 CFR 200.30–3(a)(12). [email protected].

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Dated: February 8, 2021. unless it displays a currently valid association with covered entities. The J. Matthew DeLesDernier, control number. rule enables the Commission or other Assistant Secretary. Please direct your written comment to examining authority to ascertain [FR Doc. 2021–02862 Filed 2–11–21; 8:45 am] David Bottom, Director/Chief whether all covered persons are being Information Officer, Securities and BILLING CODE 8011–01–P fingerprinted and whether proper Exchange Commission, c/o Cynthia procedures regarding fingerprinting are Roscoe, 100 F Street NE, Washington, being followed. Retention of these _ SECURITIES AND EXCHANGE DC 20549 or send an email to: PRA records for a period of not less than COMMISSION [email protected]. three years after termination of a Dated: February 8, 2021. covered person’s employment or [SEC File No. 270–170, OMB Control No. J. Matthew DeLesDernier, relationship with a covered entity 3235–0167] Assistant Secretary. ensures that law enforcement officials [FR Doc. 2021–02863 Filed 2–11–21; 8:45 am] will have easy access to fingerprint Proposed Collection; Comment BILLING CODE 8011–01–P cards on a timely basis. This in turn acts Request as an effective deterrent to employee misconduct. Upon Written Request Copies Available From: Securities and Exchange SECURITIES AND EXCHANGE Approximately 3,900 respondents are Commission, Office of FOIA Services, COMMISSION subject to the recordkeeping 100 F Street NE, Washington, DC [SEC File No. 270–36, OMB Control No. requirements of the rule. Each 20549–2736. 3235–0028] respondent maintains approximately 68 new records per year, each of which Extension: Submission for OMB Review; Form 15 takes approximately 2 minutes per Comment Request record to maintain, for an annual Notice is hereby given that, pursuant Upon Written Request, Copies Available burden of approximately 2.2666667 to the Paperwork Reduction Act of 1995 hours (68 records times 2 minutes). The (44 U.S.C. 3501 et seq.), the Securities From: Securities and Exchange Commission, Office of FOIA Services, total annual time burden for all and Exchange Commission respondents is approximately 8,840 (‘‘Commission’’) is soliciting comments 100 F Street NE, Washington, DC 20549–2736 hours (3,900 respondents times on the collection of information 2.2666667 hours). As noted above, all summarized below. The Commission Extension: records maintained subject to the rule Rule 17f–2(d) plans to submit this existing collection must be retained for a period of not less of information to the Office of Notice is hereby given that pursuant than three years after termination of a Management and Budget for extension to the Paperwork Reduction Act of 1995 covered person’s employment or and approval. (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the relationship with a covered entity. In Form 15 (17 CFR 249.323) is a Securities and Exchange Commission addition, we estimate the total annual certification of termination of a class of (‘‘Commission’’) has submitted to the cost burden to respondents is security under Section 12(g) or notice of Office of Management and Budget approximately $39,000 in third party suspension of duty to file reports (‘‘OMB’’) a request for approval of storage costs. pursuant to Sections 13 and 15(d) of the extension of the previously approved Securities Exchange Act of 1934 (15 collection of information provided for in An agency may not conduct or U.S.C. 78a et seq.). We estimate that Rule 17f–2(d) (17 CFR 240.17f–2(d)), sponsor, and a person is not required to approximately 1,062 issuers file Form under the Securities Exchange Act of respond to, a collection of information 15 annually and it takes approximately 1934 (15 U.S.C. 78a et seq.). under the PRA unless it displays a 1.5 hours per response to prepare for a Rule 17f–2(d) requires that records currently valid OMB control number. total of 1,593 annual burden hours (1.5 created pursuant to the fingerprinting The public may view background hours per response × 1,062 responses). requirements of Section 17(f)(2) of the documentation for this information Written comments are invited on: (a) Act be maintained and preserved by collection at the following website: Whether this proposed collection of every member of a national securities www.reginfo.gov. Find this particular information is necessary for the proper exchange, broker, dealer, registered information collection by selecting performance of the functions of the transfer agent and registered clearing ‘‘Currently under 30-day Review—Open agency, including whether the agency (‘‘covered entities’’ or for Public Comments’’ or by using the information will have practical utility; ‘‘respondents’’); permits, under certain search function. Written comments and (b) the accuracy of the agency’s estimate circumstances, the records required to recommendations for the proposed of the burden imposed by the collection be maintained and preserved by a information collection should be sent of information; (c) ways to enhance the member of a national securities within 30 days of publication of this quality, utility, and clarity of the exchange, broker, or dealer to be notice to (i) www.reginfo.gov/public/do/ information collected; and (d) ways to maintained and preserved by a self- PRAMain and (ii) David Bottom, minimize the burden of the collection of regulatory organization that is also the Director/Chief Information Officer, information on respondents, including designated examining authority for that Securities and Exchange Commission, c/ through the use of automated collection member, broker or dealer; and permits o Cynthia Roscoe, 100 F Street NE, techniques or other forms of information the required records to be preserved on Washington, DC 20549, or by sending an technology. Consideration will be given microfilm. The general purpose of Rule email to: [email protected]. to comments and suggestions submitted 17f–2 is to: (i) Identify security risk Dated: February 9, 2021. in writing within 60 days of this personnel; (ii) provide criminal record publication. information so that employers can make J. Matthew DeLesDernier, An agency may not conduct or fully informed employment decisions; Assistant Secretary. sponsor, and a person is not required to and (iii) deter persons with criminal [FR Doc. 2021–02958 Filed 2–11–21; 8:45 am] respond to, a collection of information records from seeking employment or BILLING CODE 8011–01–P

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SECURITIES AND EXCHANGE private equity funds (‘‘large private adviser or private fund, although the COMMISSION equity advisers’’). All other respondents Commission may use Form PF are considered smaller private fund information in an enforcement action. [SEC File No. 270–636, OMB Control No. An agency may not conduct or sponsor, 3235–0679] advisers. The Commission estimates that most and a person is not required to respond Submission for OMB Review; filers of Form PF have already made to, a collection of information unless it Comment Request their first filing, and so the burden displays a currently valid OMB control hours applicable to those filers will number. Upon Written Request, Copies Available reflect only ongoing burdens, and not The public may view the background From: Securities and Exchange start-up burdens. Accordingly, the documentation for this information Commission, Office of FOIA Services, Commission estimates the total annual collection at the following website, 100 F Street NE, Washington, DC reporting and recordkeeping burden of www.reginfo.gov. Comments should be 20549–2736 the collection of information for each directed to: (i) Desk Officer for the Extension: respondent is as follows: Securities and Exchange Commission, Form PF (a) For smaller private fund advisers Office of Information and Regulatory Affairs, Office of Management and Notice is hereby given that, pursuant making their first Form PF filing, an estimated amortized average annual burden Budget, Room 10102, New Executive to the Paperwork Reduction Act of 1995 Office Building, Washington, DC 20503, (44 U.S.C. 3501 et seq.) (‘‘Paperwork of 23 hours for each of the first three years; (b) for smaller private fund advisers that or by sending an email to: Reduction Act’’), the Securities and already make Form PF filings, an estimated [email protected]; and (ii) Exchange Commission (the amortized average annual burden of 15 hours David Bottom, Director/Chief ‘‘Commission’’) has submitted to the for each of the next three years; Information Officer, Securities and Office of Management and Budget (c) for large hedge fund advisers making Exchange Commission, c/o Cynthia their first Form PF filing, an estimated (‘‘OMB’’) a request for extension of the Roscoe, 100 F Street NE, Washington, previously approved collection of amortized average annual burden of 658 _ hours for each of the first three years; DC 20549 or send an email to: PRA information discussed below. [email protected]. Written comments Rule 204(b)–1 (17 CFR 275.204(b)–1) (d) for large hedge fund advisers that already make Form PF filings, an estimated and recommendations for the proposed under the Investment Advisers Act of amortized average annual burden of 600 information collection should be sent 1940 (15 U.S.C. 80b–1 et seq.) hours for each of the next three years; within 30 days of publication of this implements sections 404 and 406 of the (e) for large liquidity fund advisers making notice to www.reginfo.gov/public/do/ Dodd-Frank Wall Street Reform and their first Form PF filing, an estimated PRAMain. Find this particular Consumer Protection Act (the ‘‘Dodd- amortized average annual burden of 588 information collection by selecting hours for each of the first three years; Frank Act’’) by requiring private fund ‘‘Currently under 30-day Review—Open advisers that have at least $150 million (f) for large liquidity fund advisers that already make Form PF filings, an estimated for Public Comments’’ or by using the in private fund assets under search function. management to report certain amortized average annual burden of 280 hours for each of the next three years; information regarding the private funds Dated: February 9, 2021. (g) for large private equity advisers making J. Matthew DeLesDernier, they advise on Form PF. These advisers their first Form PF filing, an estimated are the respondents to the collection of amortized average annual burden of 133 Assistant Secretary. information. hours for each of the first three years; and [FR Doc. 2021–02962 Filed 2–11–21; 8:45 am] Form PF is designed to facilitate the (h) for large private equity advisers that BILLING CODE 8011–01–P Financial Stability Oversight Council’s already make Form PF filings, an estimated (‘‘FSOC’’) monitoring of systemic risk in amortized average annual burden of 100 the private fund industry and to assist hours for each of the next three years. SECURITIES AND EXCHANGE FSOC in determining whether and how With respect to annual internal costs, COMMISSION to deploy its regulatory tools with the Commission estimates the collection [SEC File No. 270–613, OMB Control No. respect to nonbank financial companies. of information will result in 127.06 3235–0712] The Commission and the Commodity burden hours per year on average for Futures Trading Commission may also each respondent. With respect to Proposed Collection; Comment use information collected on Form PF in external cost burdens, the Commission Request their regulatory programs, including estimates a range from $0 to $50,000 per Upon Written Request Copies Available examinations, investigations and adviser. From: Securities and Exchange investor protection efforts relating to Estimates of average burden hours Commission, Office of FOIA Services, private fund advisers. and costs are made solely for the 100 F Street NE, Washington, DC Form PF divides respondents into two purposes of the Paperwork Reduction 20549–2736 broad groups, Large Private Fund Act and are not derived from a Advisers and smaller private fund comprehensive or even representative Extension: advisers. ‘‘Large Private Fund Advisers’’ survey or study of the costs of Credit Risk Retention—Regulation RR are advisers with at least $1.5 billion in Commission rules and forms. Notice is hereby given that, pursuant assets under management attributable to Compliance with the collection of to the Paperwork Reduction Act of 1995 hedge funds (‘‘large hedge fund information requirements of Form PF is (44 U.S.C. 3501 et seq.), the Securities advisers’’), advisers that manage mandatory for advisers that satisfy the and Exchange Commission ‘‘liquidity funds’’ and have at least $1 criteria described in Instruction 1 to the (‘‘Commission’’) is soliciting comments billion in combined assets under Form. Responses to the collection of on the collection of information management attributable to liquidity information will be kept confidential to summarized below. The Commission funds and registered money market the extent permitted by law. The plans to submit this existing collection funds (‘‘large liquidity fund advisers’’), Commission does not intend to make of information to the Office of and advisers with at least $2 billion in public information reported on Form PF Management and Budget for extension assets under management attributable to that is identifiable to any particular and approval.

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Credit Risk Retention (‘‘Regulation Please direct your written comment to do not involve any changes to the ICE RR’’) (17 CFR 246.1 through 246.22) David Bottom, Director/Chief Clear Europe Clearing Rules or recordkeeping and disclosure Information Officer, Securities and Procedures.5 requirements implement Section 15G of Exchange Commission, c/o Cynthia II. Clearing Agency’s Statement of the the Securities Exchange Act of 1934 (15 Roscoe, 100 F Street NE, Washington, Purpose of, and Statutory Basis for, the U.S.C. 78o–11) Section 15G clarifies the DC 20549 or send an email to: PRA_ Proposed Rule Change scope and application of Section 306(a) [email protected]. of the Sarbanes-Oxley Act of 2002 (15 Dated: February 8, 2021. In its filing with the Commission, ICE Clear Europe included statements U.S.C. 7244(a)). Section 306(a) of the J. Matthew DeLesDernier, Sarbanes-Oxley Act requires, among concerning the purpose of and basis for Assistant Secretary. other things, an issuer to provide timely the proposed rule change. The text of notice to its directors and executive [FR Doc. 2021–02861 Filed 2–11–21; 8:45 am] these statements may be examined at officers and to the Commission of the BILLING CODE 8011–01–P the places specified in Item IV below. imposition of a blackout period that ICE Clear Europe has prepared would trigger a trading prohibition summaries, set forth in sections (A), (B), SECURITIES AND EXCHANGE under Section 306(a)(1) of the Sarbanes- and (C) below, of the most significant COMMISSION Oxley Act. Section 306(a)(1) prohibits aspects of such statements. any director or executive officer of an [Release No. 34–91076; File No. SR–ICEEU– (A) Clearing Agency’s Statement of the 2021–001] issuer of any equity security, from Purpose of, and Statutory Basis for, the directly or indirectly, purchasing, Proposed Rule Change selling or otherwise acquiring or Self-Regulatory Organizations; ICE transferring any equity security of that Clear Europe Limited; Notice of Filing (a) Purpose and Immediate Effectiveness of issuer during the blackout period with The purpose of the proposed rule respect to such equity security, if the Proposed Rule Change Relating to Amendments to Clearing Fees for ICE changes is for ICE Clear Europe to director or executive officer acquired reduce the clearing fees for Three Month the equity security in connection with Futures Europe Three Month Swiss ® SARON in line with the changes to the his or her service or employment. Average Rate Overnight (SARON ) Index Futures Contract notional size of the contract, which the Approximately 1,647 issuers file using Exchange is proposing to decrease in Regulation RR responses and it takes February 8, 2021. size by a factor of four. (Equivalent approximately 14.389 hours per Pursuant to Section 19(b)(1) of the reductions in the trading fee are being response. We estimate that 75% of the Securities Exchange Act of 1934 proposed by the Exchange.) 14.389 hours per response (10.792 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 As there is no current Open Interest hours) is prepared by the registrant for notice is hereby given that on February in the Three Month SARON contract, a total annual reporting burden of 1, 2021, ICE Clear Europe Limited (‘‘ICE the proposed change to the notional size 17,774 hours (10.792 hours per response × Clear Europe’’) filed with the Securities of the contract is being made to help 1,647 responses). and Exchange Commission simplify the transition of Open Interest Written comments are invited on: (a) (‘‘Commission’’) the proposed rule from the existing ICE Futures Europe Whether this proposed collection of changes described in Items I, II and III Three Month Euroswiss futures contract information is necessary for the proper below, which Items have been primarily (‘‘Three Month Euroswiss’’), which performance of the functions of the prepared by ICE Clear Europe. ICE Clear references Three Month Swiss Franc agency, including whether the Europe filed the proposed rule change LIBOR, to the Three Month SARON information will have practical utility; pursuant to Section 19(b)(3)(A) of the contract which references the Swiss (b) the accuracy of the agency’s estimate Act 3 and Rule 19b–4(f)(2) thereunder,4 Average Overnight Rate. Currently, of the burden imposed by the collection so that the proposal was immediately Three Month SARON is four times of information; (c) ways to enhance the effective upon filing with the larger in notional size than Three Month quality, utility, and clarity of the Commission. The Commission is Euroswiss so this proposed change will information collected; and (d) ways to publishing this notice to solicit enable the transition of Open Interest on minimize the burden of the collection of comments on the proposed rule change a one to one futures contract basis. As information on respondents, including from interested persons. the contract size of the Three Month through the use of automated collection SARON contract is reducing by a factor techniques or other forms of information I. Clearing Agency’s Statement of the of 4, so the trading and clearing fees will technology. Consideration will be given Terms of Substance of the Proposed reduce by the same amount. Attached to comments and suggestions submitted Rule Change [sic] as Exhibit 5 is an attachment in writing within 60 days of this ICE Clear Europe Limited (‘‘ICE Clear containing tables listing the new fee publication. Europe’’) proposes rule changes relating schedules and a Circular in advance of An agency may not conduct or to amendments to clearing fees for ICE the proposed effective date. The new sponsor, and a person is not required to Futures Europe Three Month Swiss fees are intended to come into effect on respond to, a collection of information Average Rate Overnight (SARON®) 01 March 2021 subject to regulatory unless it displays a currently valid Index futures contract (‘‘Three Month approval. The proposed revisions to the control number. SARON’’). The proposed amendments fees are described in detail as follows.

1 15 U.S.C. 78s(b)(1). 3 15 U.S.C. 78s(b)(3)(a). 5 Capitalized terms used but not defined herein 2 17 CFR 240.19b–4. 4 17 CFR 240.19b–4(f)(2). have the meanings specified in the ICE Clear Europe Clearing Rules.

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(b) Statutory Basis Members as they are decreasing in line IV. Solicitation of Comments with the size of the contract and ICE Clear Europe believes that the Interested persons are invited to therefore ICE Clear Europe believes that proposed rule changes are consistent submit written data, views, and the new fees would be set at an with the requirements of the Act, arguments concerning the foregoing, 6 appropriate level to better reflect the including Section 17A of the Act and including whether the proposed rule cost that the Clearing House takes on by regulations thereunder applicable to it. change is consistent with the Act. ICE Clear Europe’s fees are imposed at facilitating the relevant clearing Comments may be submitted by any of the product level on a per transaction services. ICE Clear Europe does not the following methods: basis (as are the applicable Exchange believe that the amendments would fees). As a result, the fees apply equally adversely affect the ability of such Electronic Comments to all market participants who trade/ Clearing Members or other market • Use the Commission’s internet clear the Contracts. ICE Clear Europe participants generally to access clearing comment form (http://www.sec.gov/ has determined that the reduced fees are services for the Contracts. Further, since rules/sro.shtml) or the revised fees will apply to all commensurate with the reduction in the • Send an email to rule-comments@ Clearing Members that clear the notional size of the contract and will sec.gov. Please include File Number SR– products, ICE Clear Europe believes that provide an appropriate balance between ICEEU–2021–001 on the subject line. the costs of clearing, and expenses the amendments would not otherwise incurred by ICE Clear Europe. As such, affect competition among Clearing Paper Comments in ICE Clear Europe’s view, the Members, adversely affect the market for • Send paper comments in triplicate amendments are consistent with the clearing services or limit market to Secretary, Securities and Exchange equitable allocation of reasonable dues, participants’ choices for obtaining Commission, 100 F Street NE, fees and other charges among its clearing services. Washington, DC 20549–1090. Clearing Members and other market (C) Self-Regulatory Organization’s participants, within the meaning of All submissions should refer to File Statement on Comments on the Section 17A(b)(3)(D) of the Act,7 and Number SR–ICEEU–2021–001. This file Proposed Rule Change Received From further do not unfairly discriminate number should be included on the Members, Participants or Others among such participants in their use of subject line if email is used. To help the Commission process and review your the Clearing House, within the meaning Written comments relating to the of Section 17A(b)(3)(F) of the Act.8 comments more efficiently, please use proposed changes to the rules have not only one method. The Commission will (B) Self-Regulatory Organization’s been solicited or received. ICE Clear post all comments on the Commission’s Statement on Burden on Competition Europe will notify the Commission of internet website (http://www.sec.gov/ any written comments received by ICE rules/sro.shtml). Copies of the ICE Clear Europe does not believe the Clear Europe. proposed rule changes would have any submission, all subsequent impact, or impose any burden, on III. Date of Effectiveness of the amendments, all written statements competition not necessary or Proposed Rule Change and Timing for with respect to the proposed rule appropriate in furtherance of the Commission Action change that are filed with the purpose of the Act. As discussed above, Commission, and all written because fees are imposed on a per The foregoing rule change has become communications relating to the transaction basis at the product level, effective pursuant to Section proposed rule change between the the changes to the fees are applied 19(b)(3)(A) 9 of the Act and paragraph (f) Commission and any person, other than equally to all those market participants of Rule 19b–4 10 thereunder. At any time those that may be withheld from the who trade and/or clear the Contracts. within 60 days of the filing of the public in accordance with the The amendments with respect to the proposed rule change, the Commission provisions of 5 U.S.C. 552, will be SARON contract will not result in summarily may temporarily suspend available for website viewing and higher fees for particular Clearing such rule change if it appears to the printing in the Commission’s Public Commission that such action is Reference Room, 100 F Street NE, 6 15 U.S.C. 78q–1. necessary or appropriate in the public Washington, DC 20549, on official 7 15 U.S.C. 78q–1(b)(3)(D). Under this provision, interest, for the protection of investors, business days between the hours of ‘‘[a] clearing agency shall not be registered unless or otherwise in furtherance of the 10:00 a.m. and 3:00 p.m. Copies of such the Commission determines that—(D) The rules of purposes of the Act. filings will also be available for the clearing agency provide for the equitable allocation of reasonable dues, fees, and other inspection and copying at the principal charges among its participants.’’ 9 15 U.S.C. 78s(b)(3)(A). office of ICE Clear Europe and on ICE 8 15 U.S.C. 78q–1(b)(3)(F). 10 17 CFR 240.19b–4(f)(2). Clear Europe’s website at https://

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www.theice.com/notices/ prepare and is filed by 643 respondents Management and Budget for extension Notices.shtml?regulatoryFilings. annually. We estimate that 25% of the and approval. All comments received will be posted 1.35 hour per response (0.338 hours) is Form ABS–EE (17 CFR 249.1401) is without change. Persons submitting prepared by the filer for a total annual filed by asset-backed issuers to provide comments are cautioned that we do not reporting burden of 217 hours (0.338 asset-level information for registered redact or edit personal identifying hours per response × 643 responses). information from comment submissions. Written comments are invited on: (a) offerings of asset-backed securities at You should submit only information Whether this proposed collection of the time of securitization and on an that you wish to make available information is necessary for the proper ongoing basis required by Item 1111(h) publicly. All submissions should refer performance of the functions of the of Regulation AB (17 CFR 229.1111(h)). to File Number SR–ICEEU–2021–001 agency, including whether the The purpose of the information and should be submitted on or before information will have practical utility; collected on Form ABS–EE is to March 5, 2021. (b) the accuracy of the agency’s estimate implement the disclosure requirements of Section 7(c) of the Securities Act of For the Commission, by the Division of of the burden imposed by the collection Trading and Markets, pursuant to delegated of information; (c) ways to enhance the 1933 (15 U.S.C. 77g(c)) to provide authority.11 quality, utility, and clarity of the information regarding the use of J. Matthew DeLesDernier, information collected; and (d) ways to representations and warranties in the Assistant Secretary. minimize the burden of the collection of asset-backed securities markets. We [FR Doc. 2021–02858 Filed 2–11–21; 8:45 am] information on respondents, including estimate that approximately 13,374 through the use of automated collection BILLING CODE 8011–01–P securitizers will file Form ABS–EE techniques or other forms of information annually at estimated 170,089 burden technology. Consideration will be given hours per response. In addition, we SECURITIES AND EXCHANGE to comments and suggestions submitted estimate that 25% of the 50.87152 hours COMMISSION in writing within 60 days of this per response (12.71788 hours) is carried publication. internally by the securitizers for a total [SEC File No. 270–270, OMB Control No. An agency may not conduct or annual reporting burden of 170,089 3235–0292] sponsor, and a person is not required to hours (12.71788 hours per response × respond to, a collection of information Proposed Collection; Comment 13,374 responses). Request unless it displays a currently valid control number. Written comments are invited on: (a) Upon Written Request Copies Available Please direct your written comment to Whether this proposed collection of From: Securities and Exchange David Bottom, Director/Chief information is necessary for the proper Commission, Office of FOIA Services, Information Officer, Securities and performance of the functions of the 100 F Street NE, Washington, DC Exchange Commission, c/o Cynthia agency, including whether the 20549–2736 Roscoe, 100 F Street NE, Washington, information will have practical utility; _ Form F–6 DC 20549 or send an email to: PRA (b) the accuracy of the agency’s estimate [email protected]. Notice is hereby given that, pursuant of the burden imposed by the collection to the Paperwork Reduction Act of 1995 Dated: February 8, 2021. of information; (c) ways to enhance the (44 U.S.C. 3501 et seq.), the Securities J. Matthew DeLesDernier, quality, utility, and clarity of the and Exchange Commission Assistant Secretary. information collected; and (d) ways to (‘‘Commission’’) is soliciting comments [FR Doc. 2021–02864 Filed 2–11–21; 8:45 am] minimize the burden of the collection of on the collection of information BILLING CODE 8011–01–P information on respondents, including summarized below. The Commission through the use of automated collection plans to submit this existing collection techniques or other forms of information of information to the Office of SECURITIES AND EXCHANGE technology. Consideration will be given Management and Budget for approval. COMMISSION to comments and suggestions submitted Form F–6 (17 CFR 239.36) is a form [SEC File No. 270–609, OMB Control in writing within 60 days of this used by foreign companies to register No.3235–0706] publication. the offer and sale of American An agency may not conduct or Depositary Receipts (ADRs) under the Proposed Collection; Comment sponsor, and a person is not required to Securities Act of 1933 (15 U.S.C. 77a et Request respond to, a collection of information seq.). Form F–6 requires disclosure of Upon Written Request Copies Available unless it displays a currently valid information regarding the terms of the From: Securities and Exchange depository bank, fees charged, and a control number. Commission, Office of FOIA Services, description of the ADRs. No special Please direct your written comment to 100 F Street NE, Washington, DC information regarding the foreign David Bottom, Director/Chief 20549–2736 company is required to be prepared or Information Officer, Securities and disclosed, although the foreign company Extension: Exchange Commission, c/o Cynthia must be one which periodically Form ABS–EE Roscoe, 100 F Street NE, Washington, furnishes information to the Notice is hereby given that, pursuant DC 20549 or send an email to: PRA_ Commission. The information is needed to the Paperwork Reduction Act of 1995 [email protected]. to ensure that investors in ADRs have (44 U.S.C. 3501 et seq.), the Securities full disclosure of information and Exchange Commission Dated: February 9, 2021. concerning the deposit agreement and (‘‘Commission’’) is soliciting comments J. Matthew DeLesDernier, the foreign company. Form F–6 takes on the collection of information Assistant Secretary. approximately 1.35 hour per response to summarized below. The Commission [FR Doc. 2021–02960 Filed 2–11–21; 8:45 am] plans to submit this existing collection BILLING CODE 8011–01–P 11 17 CFR 200.30–3(a)(12). of information to the Office of

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SMALL BUSINESS ADMINISTRATION (Catalog of Federal Domestic Assistance Percent Number 59008) Businesses without Credit [Disaster Declaration #16862 and #16863; Cynthia Pitts, Available Elsewhere ...... 3.000 Maryland Disaster Number MD–00042] Acting Associate Administrator for Disaster Non-Profit Organizations with Assistance. Presidential Declaration of a Major Credit Available Elsewhere ... 2.750 [FR Doc. 2021–02881 Filed 2–11–21; 8:45 am] Non-Profit Organizations with- Disaster for Public Assistance Only for BILLING CODE 8026–03–P out Credit Available Else- the State of Maryland where ...... 2.750 For Economic Injury: AGENCY: U.S. Small Business SMALL BUSINESS ADMINISTRATION Businesses & Small Agricultural Administration. Cooperatives without Credit ACTION: Notice. [Disaster Declaration #16867 and #16868; Available Elsewhere ...... 3.000 Texas Disaster Number TX–00578] Non-Profit Organizations with- SUMMARY: This is a Notice of the out Credit Available Else- Presidential declaration of a major Administrative Declaration of a where ...... 2.750 disaster for Public Assistance Only for Disaster for the State of Texas the State of Maryland (FEMA–4583– AGENCY: U.S. Small Business The number assigned to this disaster DR), dated 02/04/2021. Administration. for physical damage is 16867 8 and for Incident: Tropical Storm Isaias. economic injury is 16868 0. ACTION: Notice. Incident Period: 08/03/2020 through The States which received an EIDL 08/04/2020. SUMMARY: This is a notice of an Declaration # are Texas, Louisiana. DATES: Issued on 02/04/2021. Administrative declaration of a disaster (Catalog of Federal Domestic Assistance Physical Loan Application Deadline for the State of Texas dated 02/08/2021. Number 59008) Date: 04/05/2021. Incident: Hurricane Laura. Tami Perriello, Economic Injury (EIDL) Loan Incident Period: 08/23/2020 through Acting Administrator. 08/27/2020. Application Deadline Date: 11/04/2021. [FR Doc. 2021–02926 Filed 2–11–21; 8:45 am] DATES ADDRESSES: Submit completed loan : Issued on 02/08/2021. BILLING CODE 8026–03–P applications to: U.S. Small Business Physical Loan Application Deadline Administration, Processing and Date: 04/09/2021. Disbursement Center, 14925 Kingsport Economic Injury (EIDL) Loan SMALL BUSINESS ADMINISTRATION Application Deadline Date: 11/08/2021. Road, Fort Worth, TX 76155. [Disaster Declaration #16864 and #16865; FOR FURTHER INFORMATION CONTACT: A. ADDRESSES: Submit completed loan Washington Disaster Number WA–00091] Escobar, Office of Disaster Assistance, applications to: U.S. Small Business U.S. Small Business Administration, Administration, Processing and Presidential Declaration of a Major 409 3rd Street SW, Suite 6050, Disbursement Center, 14925 Kingsport Disaster for Public Assistance Only for Washington, DC 20416, (202) 205–6734. Road, Fort Worth, TX 76155. the State of Washington FOR FURTHER INFORMATION CONTACT: A. SUPPLEMENTARY INFORMATION: Notice is AGENCY: U.S. Small Business hereby given that as a result of the Escobar, Office of Disaster Assistance, Administration. U.S. Small Business Administration, President’s major disaster declaration on ACTION: Notice. 02/04/2021, Private Non-Profit 409 3rd Street SW, Suite 6050, organizations that provide essential Washington, DC 20416, (202) 205–6734. SUMMARY: This is a Notice of the services of a governmental nature may SUPPLEMENTARY INFORMATION: Notice is Presidential declaration of a major file disaster loan applications at the hereby given that as a result of the disaster for Public Assistance Only for address listed above or other locally Administrator’s disaster declaration, the State of Washington (FEMA–4584– announced locations. applications for disaster loans may be DR), dated 02/04/2021. The following areas have been filed at the address listed above or other Incident: Wildfires and Straight-line determined to be adversely affected by locally announced locations. Winds. the disaster: The following areas have been Incident Period: 09/01/2020 through determined to be adversely affected by 09/19/2020. Primary Counties: Calvert, Dorchester, the disaster: DATES Saint Mary’s. : Issued on 02/04/2021. Primary Counties: Newton, Orange, Physical Loan Application Deadline The Interest Rates are: Sabine. Date: 04/05/2021. Economic Injury (EIDL) Loan Percent Contiguous Counties/Parishes: Texas: Hardin, Jasper, Jefferson, San Application Deadline Date: 11/04/2021. For Physical Damage: Augustine, Shelby. ADDRESSES: Submit completed loan Non-Profit Organizations with Louisiana: Beauregard, Calcasieu, applications to: U.S. Small Business Credit Available Elsewhere ... 2.750 Cameron, Sabine, Vernon. Administration, Processing and Non-Profit Organizations with- The Interest Rates are: Disbursement Center, 14925 Kingsport out Credit Available Else- Road, Fort Worth, TX 76155. where ...... 2.750 Percent FOR FURTHER INFORMATION CONTACT: For Economic Injury: A. Non-Profit Organizations with- Escobar, Office of Disaster Assistance, For Physical Damage: out Credit Available Else- U.S. Small Business Administration, Homeowners with Credit Avail- where ...... 2.750 409 3rd Street SW, Suite 6050, able Elsewhere ...... 2.375 Homeowners without Credit Washington, DC 20416, (202) 205–6734. The number assigned to this disaster Available Elsewhere ...... 1.188 SUPPLEMENTARY INFORMATION: Notice is for physical damage is 16862 8 and for Businesses with Credit Avail- hereby given that as a result of the economic injury is 16863 0. able Elsewhere ...... 6.000 President’s major disaster declaration on

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02/04/2021, Private Non-Profit provide common carrier rail service to OFFICE OF THE UNITED STATES organizations that provide essential Tri-Star DEF LLC, and also will hold TRADE REPRESENTATIVE services of a governmental nature may itself out to provide common carrier rail file disaster loan applications at the service over the Line.1 Notice Regarding Periodic Revision of Section 301 Action: Enforcement of address listed above or other locally ECRT certifies that the proposed announced locations. U.S. WTO Rights in Large Civil Aircraft acquisition and operation of the Line The following areas have been Dispute does not involve a provision or determined to be adversely affected by AGENCY: the disaster: agreement that may limit future Office of the United States interchange with a third-party Trade Representative (USTR). Primary Counties/Areas: Douglas, connecting carrier. ECRT further Franklin, Kittitas, Lincoln, ACTION: Notice. certifies that its projected annual Okanogan, Pend Oreille, Skamania, SUMMARY: The U.S. Trade Whitman, Yakima and the revenues as a result of this transaction will not exceed the maximum revenue Representative together with the Confederated Tribes of the Colville affected United States industry have Reservation and the Confederated of a Class III rail carrier and will not exceed $5 million. agreed that it is unnecessary at this time Tribes and Bands of the Yakama to revise the action in the Section 301 Nation. The transaction may be consummated investigation involving the enforcement The Interest Rates are: on or after February 26, 2021, the of U.S. rights in the World Trade effective date of the exemption (30 days Organization (WTO) dispute involving For Physical Damage: after the verified notice was filed). Large Civil Aircraft subsidies provided Non-Profit Organizations with If the verified notice contains false or by certain current or former member Credit Available Elsewhere ... 2.750 misleading information, the exemption States of the European Union. The U.S. Non-Profit Organizations with- is void ab initio. Petitions to revoke the Trade Representative will continue to out Credit Available Else- consider the action taken in the where ...... 2.750 exemption under 49 U.S.C. 10502(d) For Economic Injury: may be filed at any time. The filing of investigation. Non-Profit Organizations with- a petition to revoke will not DATES: This exception to periodic out Credit Available Else- automatically stay the effectiveness of revisions is applicable as of February 8, where ...... 2.750 the exemption. Petitions for stay must 2021. be filed no later than February 19, 2021 FOR FURTHER INFORMATION CONTACT: The number assigned to this disaster For (at least seven days before the questions about the investigation or this for physical damage is 16864 5 and for exemption becomes effective). economic injury is 16865 0. notice, contact Associate General Counsel Megan Grimball, at (202) 395– (Catalog of Federal Domestic Assistance All pleadings, referring to Docket No. Number 59008) FD 36482, should be filed with the 5725, or Director for Europe Michael Surface Transportation Board via e- Rogers, at (202) 395–3320. Cynthia Pitts, filing on the Board’s website. In SUPPLEMENTARY INFORMATION: Acting Associate Administrator for Disaster addition, a copy of each pleading must A. Proceedings in the Investigation Assistance. be served on ECRT’s representative, [FR Doc. 2021–02880 Filed 2–11–21; 8:45 am] Thomas F. McFarland, Thomas F. For background on the proceedings in BILLING CODE 8026–03–P McFarland, P.C., 2230 Marston Lane, this investigation, please see the prior Flossmoor, IL 60422–1336. notices issued in the investigation, including: Notice of initiation (84 FR SURFACE TRANSPORTATION BOARD According to ECRT, this action is 15028 (April 12, 2019)); notice of categorically excluded from determination and action (84 FR 54245 [Docket No. FD 36482] environmental review under 49 CFR (October 9, 2019)); and notices of 1105.6 and from historic reporting East Chicago Rail Terminal, LLC— revision of action (85 FR 10204 Acquisition and Operation requirements under 49 CFR 1105.8. (February 21, 2020), 85 FR 50866 Exemption—Rail Line of Chrome, LLC Board decisions and notices are (August 18, 2020), and 86 FR 674 at East Chicago, Ind. available at www.stb.gov. (January 6, 2021)). East Chicago Rail Terminal, LLC Decided: February 8, 2021. B. Periodic Revisions and Exceptions (ECRT), a noncarrier, has filed a verified By the Board, Allison C. Davis, Director, Thereto notice of exemption under 49 CFR Office of Proceedings. Section 306(b)(2)(B)–(F) of the Trade 1150.31 to acquire from Chrome, LLC Eden Besera, Act of 1974, as amended, provides for (Chrome), and operate approximately Clearance Clerk. periodic revisions of the list of goods 467 feet of track between the connection [FR Doc. 2021–02846 Filed 2–11–21; 8:45 am] subject to additional duties imposed in to Indiana Harbor Belt Railroad response to the failure of a U.S. trading BILLING CODE 4915–01–P Company (IHB) at a point 363 feet north partner to implement a WTO Dispute of the center line of Michigan Avenue Settlement Body (DSB) at East Chicago, Ind., and the end of recommendation. The statute includes track on private property of Chrome at exceptions to the periodic revisions. As East Chicago, Ind. (the Line). According relevant here, section 306(b)(2)(B)(ii)(II) to the verified notice, the Line is not provides that no revision is required if identified by mileposts. the U.S. Trade Representative and the ECRT states that an agreement has 1 ECRT states that IHB currently operates over the U.S. industry affected by the non- been reached under which Chrome will Line pursuant to a private side track agreement compliance with the DSB convey the Line to ECRT. ECRT further dated July 1, 1985, between IHB and a Chrome recommendation agree that a revision of states that, after consummation, it will predecessor, Standard Forgings Company. the list is unnecessary.

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The most recent revision to the list of Forsyth Street, Suite 17T100; Atlanta, a. Fulton County Library at the Sandy goods subject to additional duties was Georgia 30303; 8:00 a.m. to 5:00 p.m. Springs Branch (395 Mount Vernon effective on January 12, 2021. See 86 FR (eastern time) Monday through Friday, Hwy NE, Sandy Springs, GA 30328), 674 (January 6, 2021). In light of the (404) 562–3630; email: Moises.Marrero@ b. Fulton County Library at the recent revision, the U.S. Trade dot.gov. For Georgia Department of Roswell Branch (115 Norcross St, Representative has agreed with the Transportation (GDOT): Mr. Russell Roswell, GA 30075), affected U.S. industry that it is McMurry Commissioner, Georgia c. Fulton County Library at the East unnecessary at this time to revise the Department of Transportation, 600 West Roswell Branch (2301 Holcomb Bridge action. The U.S. Trade Representative Peachtree Street, 22nd Floor, Atlanta, Rd, Roswell, GA 30076), will continue to consider the action Georgia 30308, 8:00 a.m. to 5:00 p.m. d. Fulton County Library at the taken in this investigation. (eastern time) Monday through Friday, Alpharetta Branch (10 Park Plaza, Telephone: (404) 631–1990, email: Alpharetta, GA 30009), William Busis, [email protected]. e. Fulton County Library at the Milton Deputy Assistant USTR for Monitoring and SUPPLEMENTARY INFORMATION: Notice is Branch (855 Mayfield Rd, Milton, GA Enforcement and Chair, Section 301 hereby given that FHWA and other 30009), Committee, Office of the United States Trade f. DeKalb Public Library at the Representative. federal agencies have taken final actions by issuing licenses and approvals for the Dunwoody Branch (5339 Chamblee [FR Doc. 2021–02869 Filed 2–11–21; 8:45 am] following highway project in the State Dunwoody Rd, Dunwoody, GA 30338), BILLING CODE 3290–F0–P of Georgia: The State Route 400 Express and Lanes located in metropolitan Atlanta, g. Forsyth County Public Library at Georgia. The Selected Alternative will the Sharon Forks Branch (2820 Old DEPARTMENT OF TRANSPORTATION add two (2) priced Express Lanes in Atlanta Rd, Cumming, GA 30041). each direction along State Route 400 This notice applies to all Federal Federal Highway Administration from North Springs MARTA station agency decisions as of the issuance date of this notice and all laws under which Notice of Final Federal Agency Action (currently Exit 5C) to McGinnis Ferry Road and one (1) priced Express Lane in such actions were taken, including but on Proposed Highway in Georgia, not limited to: State Route 400 Express Lanes, Fulton each direction from McGinnis Ferry Road to approximately 0.9 mile north of 1. General: National Environmental and Forsyth Counties, Georgia (Atlanta Policy Act (NEPA) [42 U.S.C. 4321– Metropolitan Area) McFarland Parkway (currently Exit 12) in Forsyth County. The approximate 4351]; Federal-Aid Highway Act [23 AGENCY: Federal Lead Agency: Federal length of the proposed construction is U.S.C. 109] and [23 U.S.C. 128]; Highway Administration (FHWA), approximately 16 miles. The facility 2. Air: Clean Air Act [42 U.S.C. 7401– Department of Transportation (DOT). will be tolled by electronic toll lane 7671(q)]. 3. Land: Section 4(f) of the ACTION: Notice of limitations on claims (ETL). The purpose of the project is listed below: Department of Transportation Act of for judicial review of action by FHWA • 1966 [49 U.S.C. 303]; Landscaping and and other federal agencies. Provide a transportation alternative that offers reliable travel times for Scenic Enhancement (Wildflowers) [23 U.S.C. 319]. SUMMARY: This notice announces actions drivers and transit users; 4. Wildlife: Endangered Species Act taken by FHWA and other Federal • Improve connections between [16 U.S.C. 1531–1544 and Section agencies that are final. This final agency regional destinations through priced, 1536]; Migratory Bird Treaty Act [16 action relates to a proposed highway additional lanes that integrate with the U.S.C. 703–712]. project, the State Route (SR) 400 Express greater metro Atlanta express lanes 5. Historic and Cultural Resources: Lanes beginning from the North Springs network; • Section 106 of the National Historic Metropolitan Atlanta Rapid Transit Accelerate project delivery. Preservation Act of 1966, as amended Authority (MARTA) station in Fulton The actions by the Federal agencies [16 U.S.C. 470(f)]. Archeological County and ending at 0.9 mile north of and the laws under which such actions Resources Protection Act of 1977 [16 McFarland Parkway in Forsyth County, were taken are described in the U.S.C. 470(aa)–470(mm)]; Archeological Georgia. The approximate length of the Environmental Assessment (EA) and Historic Preservation Act [16 U.S.C. proposed project is approximately 16 approved on July 29, 2020, and the 469–469(c)]; Native American Grave miles. The FHWA’s Finding of No FONSI for the project, approved on Protection and Repatriation Act Significant Impact (FONSI) provides February 5, 2020, and in other documents in the project records. The (NAGPRA) [25 U.S.C. 3001–3013]. details on the Selected Alternative for 6. Social and Economic: Civil Rights the proposed improvements. FONSI and other project records are available by contacting FHWA or the Act of 1964 [42 U.S.C. 2000(d)– DATES: By this notice, FHWA is advising Georgia Department of Transportation at 2000(d)(1)]; Farmland Protection Policy the public of final agency actions the addresses listed above. The EA and Act (FPPA) [7 U.S.C. 4201–4209]; subject to 23 U.S.C. 139(l)(1). A claim FONSI can be reviewed and American Indian Religious Freedom Act seeking judicial review of the Federal downloaded from the project website in [42 U.S.C. 1996]. agency actions on the highway project two ways: 7. Hazardous Materials: will be barred unless the claim is filed (1) At https://0001757- Comprehensive Environmental on or before July 12, 2021. If the Federal gdot.hub.arcgis.com/ and click on Response, Compensation, and Liability law that authorizes judicial review of a Environmental Assessment (EA) and Act (CERCLA) [42 U.S.C. 9601–9675]; claim provides a time period of less FONSI; and Superfund Amendments and than 150 days for filing such claim, then (2) Electronic versions of the EA and Reauthorization Act of 1986 (SARA); that shorter time period still applies. the FONSI have been sent to the Resource Conservation and Recovery FOR FURTHER INFORMATION CONTACT: For following local libraries in the vicinity Act (RCRA) [42 U.S.C. 6901–6992(k)]; FHWA: Mr. Moises Marrero, Division of the SR 400 corridor with a request to Comprehensive Environmental Administrator, Georgia Division, make the digital document available to Response, Compensation, and Liability Federal Highway Administration, 61 patrons, including: Act [42 U.S.C. 9601–9675].

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8. Noise: Federal-Aid Highway Act of the improvement of program addressed, stamped envelope or 1970, Public Law 91–605 [84 Stat. management. The purpose of this notice postcard if you submitted your 1713]. is to allow 60 days for public comment comments by mail or hand delivery, or 9. Executive Orders: E.O. 12898, before FMCSA submits its request to print the acknowledgement page that Federal Actions to Address OMB. appears after submitting comments Environmental Justice in Minority DATES: We must receive your comments online. Comments received after the Populations and Low Income on or before April 13, 2021. comment closing date will be included Populations; E.O. 11593 Protection and in the docket and will be considered to ADDRESSES: You may submit comments Enhancement of Cultural Resources; the extent practicable. identified by Federal Docket E.O. 13175, Consultation and Management System (FDMS) Docket FOR FURTHER INFORMATION CONTACT: Mr. Coordination with Indian Tribal Number FMCSA–2020–0215 using any Dan Britton, FMCSA, Office of Research. Governments; E.O. 13045 Protection of of the following methods: Telephone 202–366–9980; or email Children from Environmental Health • Federal eRulemaking Portal: http:// [email protected]. Department of Risks and Safety Risks; E.O. 13112, www.regulations.gov. Follow the online Transportation, Federal Motor Carrier Invasive Species; E.O. 11514, Protection instructions for submitting comments. Safety Administration, 1200 New Jersey and Enhancement of Environmental • Fax: 1–202–493–2251. Avenue SE, Mail Stop W63–312, Quality: E.O. 13287 Preserve America. • Mail: Docket Management Facility; Washington, DC 20590. Nothing in this notice creates a cause of U.S. Department of Transportation, 1200 SUPPLEMENTARY INFORMATION: action under these Executive Orders. New Jersey Avenue SE, West Building, Background: Executive Order 12862, (Catalog of Federal Domestic Assistance Ground Floor, Room W12–140, ‘‘Setting Customer Service Standards,’’ Program Number 20.205, Highway Planning Washington, DC 20590–0001. directs Federal agencies to provide and Construction. The regulations • Hand Delivery or Courier: West service to the public that matches or implementing Executive Order 12372 Building, Ground Floor, Room W12– exceeds the best service available in the regarding intergovernmental consultation on 140, 1200 New Jersey Avenue SE, private sector (58 FR 48257, Sept. 11, Federal programs and activities apply to this program.) Washington, DC, between 9 a.m. and 5 1993). In order to work continuously to p.m. E.T., Monday through Friday, ensure that our programs are effective Authority: 23 U.S.C. 139 (l)(1). except Federal holidays. and meet our customers’ needs, FMCSA Issued on: February 5, 2021. Instructions: All submissions must seeks to extend OMB approval of a Moises Marrero, include the agency name and docket generic clearance to collect qualitative Division Administrator, Atlanta, Georgia. number. For detailed instructions on feedback from our customers on our [FR Doc. 2021–02803 Filed 2–11–21; 8:45 am] submitting comments and additional service delivery. The surveys covered in this generic clearance provide a way for BILLING CODE 4910–22–P information on the exemption process, see the ‘‘Public Participation’’ heading FMCSA to collect this data directly from below. Note that all comments received our customers. DEPARTMENT OF TRANSPORTATION will be posted without change to http:// The proposed future information www.regulations.gov, including any collection activity provides a means to Federal Motor Carrier Safety personal information provided. Please garner qualitative customer and Administration see the ‘‘Privacy Act’’ heading below. stakeholder feedback in an efficient, Docket: For access to the docket to timely manner, in accordance with the [Docket No. FMCSA–2020–0215] read background documents or Administration’s commitment to Agency Information Collection comments received, go to http:// improving service delivery. By Activities: Renewal of an Approved www.regulations.gov, and follow the qualitative feedback, we mean Information Collection Request; online instructions for accessing the information that provides useful Comment Request; Generic Clearance dockets, or go to the street address listed insights on perceptions and opinions, for the Collection of Qualitative above. but are not statistical surveys that yield Feedback on Agency Service Delivery Privacy Act: Anyone can search the quantitative results that can be electronic form of all comments generalized to the population of study. AGENCY: Federal Motor Carrier Safety received into any of our dockets by the This feedback will provide insights into Administration (FMCSA), DOT. name of the individual submitting the customer or stakeholder perceptions, ACTION: Notice and request for comment (or signing the comment, if experiences, and expectations, provide comments. submitted on behalf of an association, an early warning of issues with service, business, labor union, etc.). You may or focus attention on areas where SUMMARY: In accordance with the review DOT’s complete Privacy Act communication, training, or changes in Paperwork Reduction Act of 1995, Statement for the Federal Docket operations might improve delivery of FMCSA announces its plan to submit Management System published in the products or services. The information the Information Collection Request (ICR) Federal Register on January 17, 2008 collected from our customers and described below to the Office of (73 FR 3316), or you may visit https:// stakeholders will help ensure that users Management and Budget (OMB) for its www.gpo.gov/fdsys/pkg/FR-2008-01-17/ have an effective, efficient, and review and approval, and invites public pdf/E8-785.pdf. satisfying experience with FMCSA’s comment. FMCSA requests approval to Public Participation: The Federal programs. extend an existing ICR titled, ‘‘Generic eRulemaking Portal is available 24 The solicitation of feedback will target Clearance for the Collection of hours each day, 365 days each year. You areas such as: Timeliness, Qualitative Feedback on Agency Service can obtain electronic submission and appropriateness, accuracy of Delivery.’’ This ICR allows for ongoing, retrieval help and guidelines under the information, courtesy, efficiency of collaborative and actionable ‘‘help’’ section of the Federal service delivery, and resolution of communication between FMCSA and its eRulemaking Portal website. If you want issues with service delivery. Responses customers and stakeholders. It also us to notify you that we received your will be assessed to plan and inform allows feedback to contribute directly to comments, please include a self- efforts to improve or maintain the

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quality of service offered to the public. eligible for submission for other generic DEPARTMENT OF TRANSPORTATION If this information is not collected, vital mechanisms that are designed to yield feedback from customers and quantitative results. Federal Motor Carrier Safety Administration stakeholders on the Agency’s services As a general matter, information will be unavailable. collections will not result in any new [Docket No. FMCSA–2020–0226] The agency will only submit a collection for approval under this system of records containing privacy information and will not ask questions Agency Information Collection generic clearance if it meets the Activities; Renewal of a Currently- following conditions: of a sensitive nature, such as sexual • behavior and attitudes, religious beliefs, Approved Information Collection The collections are voluntary; Request: Application for Certificate of • The collections are low-burden for and other matters that are commonly Registration for Foreign Motor Carriers respondents (based on considerations of considered private. and Foreign Motor Private Carriers total burden hours, total number of Title: Generic Clearance for the respondents, or burden-hours per Collection of Qualitative Feedback on AGENCY: Federal Motor Carrier Safety respondent) and are low-cost for both Agency Service Delivery. Administration (FMCSA), DOT. the respondents and the Federal OMB Control Number: 2126–0049. ACTION: Notice and request for Government; comments. • The collections are non- Type of Request: Renewal of a controversial and do not raise issues of currently-approved information SUMMARY: In accordance with the concern to other Federal agencies; collection. Paperwork Reduction Act of 1995, • Any collection is targeted to the Respondents: State and local agencies, FMCSA announces its plan to submit solicitation of opinions from the general public and stakeholders, the Information Collection Request (ICR) respondents who have experience with described below to the Office of the program or may have experience original equipment manufacturers and suppliers to the commercial motor Management and Budget (OMB) for its with the program in the near future; review and approval and invites public • vehicle (CMV) industry, CMV fleet Personally identifiable information comment. The purpose of this ICR owners, CMV owner-operators, state (PII) is collected only to the extent titled, ‘‘Application for Certificate of necessary and is not retained; CMV safety agencies, research • Registration for Foreign Motor Carriers Information gathered will be used organizations and contractors, news and Foreign Motor Private Carriers,’’ only internally for general service organizations, safety advocacy groups, requires foreign (Mexico-based) for-hire improvement and program management and other Federal agencies. and private motor carriers to file an purposes and is not intended for release Estimated Number of Respondents: application Form OP–2 if they wish to outside of the agency; • 9,270. register to transport property only Information gathered will not be within municipalities in the United used for the purpose of substantially Estimated Time per Response: Range from 5 to 30 minutes. States on the U.S.-Mexico international informing influential policy decisions; borders or within the commercial zones and Expiration Date: August 31, 2021. of such municipalities. • Information gathered will yield qualitative information; the collections Frequency of Response: Generally, on DATES: We must receive your comments will not be designed or expected to an annual basis. on or before April 13, 2021. yield statistically reliable results or used Estimated Total Annual Burden: ADDRESSES: You may submit comments as though the results are generalizable to 2,233 hours. identified by Federal Docket the population of study. Public Comments Invited: You are Management System (FDMS) Docket Feedback collected under this generic asked to comment on any aspect of this Number FMCSA–2020–0226 using any clearance provides useful information, information collection, including: (1) of the following methods: but it does not yield data that can be • Federal eRulemaking Portal: http:// Whether the proposed collection is generalized to the overall population. www.regulations.gov. Follow the online necessary for the performance of This type of generic clearance for instructions for submitting comments. qualitative information will not be used FMCSA’s functions; (2) the accuracy of • Fax: 1–202–493–2251. for quantitative information collections the estimated burden; (3) ways for • Mail: Docket Operations; U.S. that are designed to yield reliably FMCSA to enhance the quality, Department of Transportation, 1200 actionable results, such as monitoring usefulness, and clarity of the collected New Jersey Avenue SE, West Building, trends over time or documenting information; and (4) ways that the Ground Floor, Room W12–140, program performance. Such data uses burden could be minimized without Washington, DC 20590–0001. require more rigorous designs that reducing the quality of the collected • Hand Delivery or Courier: U.S. address: The target population to which information. The agency will summarize Department of Transportation, 1200 generalizations will be made, the or include your comments in the request New Jersey Avenue SE, West Building, sampling frame, the sample design for OMB’s clearance of this information Ground Floor, Room W12–140, (including stratification and clustering), collection. Washington, DC 20590–0001 between 9 the precision requirements or power Issued under the authority of 49 CFR a.m. and 5 p.m. e.t., Monday through calculations that justify the proposed 1.87. Friday, except Federal holidays. sample size, the expected response rate, Instructions: All submissions must methods for assessing potential non- Thomas P. Keane, include the Agency name and docket response bias, the protocols for data Associate Administrator, Office of Research number. For detailed instructions on collection, and any testing procedures and Registration. submitting comments, see the Public that were or will be undertaken prior to [FR Doc. 2021–02850 Filed 2–11–21; 8:45 am] Participation heading below. Note that fielding the study. Depending on the BILLING CODE 4910–EX–P all comments received will be posted degree of influence the results are likely without change to http:// to have, such collections may still be www.regulations.gov, including any

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personal information provided. Please FMCSA. The form requests information ACTION: Notice. see the Privacy Act heading below. on the foreign motor carrier’s name, Docket: For access to the docket to address, U.S. DOT Number, form of SUMMARY: In compliance with the read background documents or business (e.g., corporation, sole Paperwork Reduction Act (PRA) of comments received, go to http:// proprietorship, partnership), locations 1995, this notice announces that the www.regulations.gov, and follow the where the applicant plans to operate, Veterans Health Administration, online instructions for accessing the types of registration requested (e.g., for- Department of Veterans Affairs, will dockets, or go to the street address listed hire motor carrier, household goods submit the collection of information above. carrier, motor private carrier), abstracted below to the Office of Privacy Act: In accordance with 5 insurance, safety certifications, Management and Budget (OMB) for U.S.C. 553(c), DOT solicits comments household goods arbitration review and comment. The PRA from the public to better inform its certifications, and compliance submission describes the nature of the rulemaking process. DOT posts these certifications. information collection and its expected comments, without edit, including any Title: Application for Certificate of cost and burden, and it includes the personal information the commenter Registration for Foreign Motor Carriers actual data collection instrument. provides, to www.regulations.gov, as and Foreign Motor Private Carriers. DATES: Written comments and described in the system of records OMB Control Number: 2126–0019. recommendations for the proposed notice (DOT/ALL–14 FDMS), which can Type of Request: Renewal of a information collection should be sent be reviewed at www.dot.gov/privacy. currently-approved information within 30 days of publication of this Public Participation: The Federal collection. notice to www.reginfo.gov/public/do/ eRulemaking Portal is available 24 Respondents: Foreign motor carriers. PRAMain. Find this particular hours each day, 365 days each year. You Estimated Number of Respondents: information collection by selecting can obtain electronic submission and 31. ‘‘Currently under 30-day Review—Open retrieval help and guidelines under the Estimated Time per Response: 1.5 for Public Comments’’ or by using the ‘‘help’’ section of the Federal hours to complete or update Form OP– search function. Refer to ‘‘OMB Control eRulemaking Portal website. If you want 2. No. 2900–0556.’’ us to notify you that we received your Expiration Date: October 31, 2021. FOR FURTHER INFORMATION CONTACT: comments, please include a self- Frequency of Response: Occasionally. Maribel Aponte, Office of Enterprise addressed, stamped envelope or Estimated Total Annual Burden: 47 and Integration, Data Governance × 1 postcard, or print the acknowledgement hours [31 responses 1 ⁄2 hours to Analytics (008), 1717 H Street NW, page that appears after submitting complete Form OP–2 = 47 hours]. Washington, DC 20006, (202) 266–4688 comments online. Comments received Public Comments Invited: You are or email [email protected]. Please after the comment closing date will be asked to comment on any aspect of this refer to ‘‘OMB Control No. 2900–0556’’ included in the docket and will be information collection, including: (1) in any correspondence. considered to the extent practicable. Whether the proposed collection is necessary for the performance of SUPPLEMENTARY INFORMATION: FOR FURTHER INFORMATION CONTACT: Ms. FMCSA’s functions; (2) the accuracy of Authority: 44 U.S.C. 3501–21. Dora Tambo-Gonzales, Office of the estimated burden; (3) ways for Title: VA Advance Directive: Durable Registration, Licensing and Insurance FMCSA to enhance the quality, Power of Attorney for Health Care and Division, Department of Transportation, usefulness, and clarity of the collected Living Will, VA Form 10–0137. Federal Motor Carrier Safety information; and (4) ways that the OMB Control Number: 2900–0556. Administration, West Building 6th burden could be minimized without Type of Review: Extension of a Floor, 1200 New Jersey Avenue SE, reducing the quality of the collected currently approved collection. Washington, DC 20590. Telephone: information. The agency will summarize Abstract: Section 7331 of title 38, 202–366–2577; email: or include your comments in the request United States Code (U.S.C.), requires, in [email protected]. for OMB’s clearance of this information relevant part, that the Secretary of SUPPLEMENTARY INFORMATION: collection. Veterans Affairs, upon the Background: Title 49 U.S.C. 13902(c) Issued under the authority of 49 CFR recommendation of the Under Secretary contains basic licensing procedures for 1.87. for Health, prescribe regulations to registering foreign (Mexico-based) motor ensure, to the maximum extent carriers to operate across the U.S.- Thomas P. Keane, practicable, that all Department of Mexico international border into the Associate Administrator, Office of Research Veterans Affairs (VA) patient care be United States. 49 CFR pt. 368 contains and Registration. carried out only with the full and the regulations that require foreign [FR Doc. 2021–02851 Filed 2–11–21; 8:45 am] informed consent of the patient, or in (Mexico-based) motor carriers to apply BILLING CODE 4910–EX–P appropriate cases, a representative to the FMCSA for a Certificate of thereof. Based on VA’s interpretation of Registration to provide interstate this statute and our mandate in 38 transportation in municipalities in the DEPARTMENT OF VETERANS U.S.C. 7301(b) to provide a complete United States on the U.S.-Mexico AFFAIRS medical and hospital service, we international border or within the recognize that patients with decision- commercial zones of such [OMB Control No. 2900–0556] making capacity have the right to state municipalities as defined in 49 U.S.C. Agency Information Collection Activity their treatment preferences in a VA or 13902(c)(4)(A). The FMCSA carries out Under OMB Review: VA Advance other valid advance directive. this registration program under Directive: Durable Power of Attorney VA Form 10–0137, VA Advance authority delegated by the Secretary of for Health Care and Living Will Directive: Durable Power of Attorney for Transportation. Health Care and Living Will, is the VA Foreign (Mexico-based) motor carriers AGENCY: Veterans Health recognized legal document that permits use Form OP–2 to apply for Certificate Administration, Department of Veterans VA patients to designate a health care of Registration authority with the Affairs. agent and/or specify preferences for

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future health care. The VA Advance By direction of the Secretary. Title 38 U.S.C. 1705 requires VA to Directive is invoked if a patient becomes Maribel Aponte, design, establish, and operate a system unable to make health care decisions for VA PRA Clearance Officer, Office of of annual patient enrollment in himself or herself. Use of the VA Enterprise and Integration, Data Governance accordance with a series of stipulated Advance Directive is specified in VHA Analytics, Department of Veterans Affairs. priorities. Title 38 U.S.C. 1722 Handbook 1004.02, Advance Care [FR Doc. 2021–02853 Filed 2–11–21; 8:45 am] establishes eligibility assessment Planning and Management of Advance BILLING CODE 8320–01–P procedures for cost-free VA medical Directives. Veterans’ rights to designate care, based on income levels, which a health care agent and specify health determines whether nonservice- care preferences in advance are codified DEPARTMENT OF VETERANS connected and 0% service-connected in 38 CFR 17.32. This regulation also AFFAIRS non-compensable Veterans are able to obligates VA to recognize advance [OMB Control No. 2900–0091] defray the necessary expenses of care for directives and to use the information nonservice-connected conditions. contained therein when health care Agency Information Collection Activity Further, when the Veteran projects that decisions must be made for a patient Under OMB Review: VA Health his or her attributable income for the that has lost decision making capacity. Benefits: Application, Update, and current calendar year would be VA Form 10–0137 (both English and Hardship Determination substantially below the applicable Spanish-English language versions) has income thresholds, the Veteran would AGENCY: a current OMB Paperwork Reduction Veterans Health be considered unable to defray the Act (PRA) clearance under OMB Control Administration, Department of Veterans expenses of care and VA may exempt Number 2900–0556. In addition, 2900– Affairs. the Veteran from the requirement to pay 0556 now includes the collection of a ACTION: Notice. copayments for hospital or outpatient ‘‘Close Personal Friend Statement’’ for care. incapacitated Veterans who have not SUMMARY: In compliance with the completed an Advance Directive and are Paperwork Reduction Act (PRA) of This collection of information is in need of health care. When a Veteran 1995, this notice announces that the required to properly administer health is incapacitated and does not have an Veterans Health Administration, benefits to eligible Veterans. Advance Directive, the VA regulations Department of Veterans Affairs, will a. VA Form 10–10EZ, Application for allow a statement to be submitted from submit the collection of information Health Benefits, is used to collect a ‘‘Close Personal Friend’’ who will be abstracted below to the Office of Veteran information during the initial responsible for making health care Management and Budget (OMB) for application process for VA medical care, decisions on behalf of the Veteran. It is review and comment. The PRA nursing home, domiciliary, dental estimated that 300 such statements will submission describes the nature of the benefits, etc. information collection and its expected be collected annually. VA seeks to b. VA Form 10–10EZR, Health renew the PRA clearance for the cost and burden, and it includes the actual data collection instrument. Benefits Update Form, is used to update information collection under OMB a Veteran’s personal information, such Control Number 2900–0556. DATES: Written comments and as marital status, address, health An agency may not conduct or recommendations for the proposed insurance and financial information, for sponsor, and a person is not required to information collection should be sent renewal of health benefits. respond to a collection of information within 30 days of publication of this unless it displays a currently valid OMB notice to www.reginfo.gov/public/do/ c. VA Form 10–10HS, Request for control number. The Federal Register PRAMain. Find this particular Hardship Determination, is used to Notice with a 60-day comment period information collection by selecting collect information from Veterans who soliciting comments on this collection ‘‘Currently under 30-day Review—Open are in a copay required status for of information was published at 85 FR for Public Comments’’ or by using the hospital care and medical services, but 196 on October 8, 2020, pages 63661. search function. Refer to ‘‘OMB Control due to a loss of income project their No. 2900–0091. income for the current year will be VA Form 10–0137 substantially below the VA means test FOR FURTHER INFORMATION CONTACT: limits. Affected Public: Individuals and Maribel Aponte, Office of Enterprise households. and Integration, Data Governance These forms collect information to Estimated Annual Burden: 171,811 Analytics (008), 1717 H Street NW, enroll a Veteran for health benefits, hours. Washington, DC 20006, (202) 266–4688 establish basic eligibility, identify 3rd Estimated Average Burden per or email [email protected]. Please party health insurance coverage, Respondent: 30 minutes. refer to ‘‘OMB Control No. 2900–0091’’ identify prescription copayment, Frequency of Response: Once in any correspondence. provide for income verification, and annually. SUPPLEMENTARY INFORMATION: serve as a mechanism to make changes Estimated Number of Respondents: upon admission for benefits or yearly 343,622. Authority: 44 U.S.C. 3501–21. Title: VA Health Benefits: financial updates. Close Personal Friend Statement Application, Update, and Hardship An agency may not conduct or Affected Public: Individuals and Determination, VA Forms 10–10EZ, 10– sponsor, and a person is not required to households. 10EZR and 10–10HS. respond to a collection of information Estimated Annual Burden: 50 hours. OMB Control Number: 2900–0091. unless it displays a currently valid OMB Estimated Average Burden per Type of Review: Extension of a control number. The Federal Register Respondent: 10 minutes. currently approved collection. Notice with a 60-day comment period Frequency of Response: Once Abstract: Title 38 U.S.C. Chapter 17 soliciting comments on this collection annually. authorizes VA to provide hospital care, of information was published at 85 FR Estimated Number of Respondents: medical services, domiciliary care, and 209 on October 28, 2020, pages 68418 300. nursing home care to eligible Veterans. and 68419.

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VA Form 10–10EZ Estimated Annual Burden: 343,600 Estimated Average Burden per Affected Public: Individuals and hours. Respondent: 15 minutes. households. Estimated Average Burden per Frequency of Response: Annually. Respondent: 24 minutes. Estimated Annual Burden: 270,000 Estimated Number of Respondents: hours. Frequency of Response: Annually. 7,000. Estimated Average Burden per Estimated Number of Respondents: Respondent: 30 minutes. 859,000. By direction of the Secretary. Frequency of Response: Annually. Maribel Aponte, Estimated Number of Respondents: VA Form 10–10HS 540,000. VA PRA Clearance Officer, Office of Affected Public: Individuals and Enterprise and Integration, Data Governance VA Form 10–10EZR households. Analytics, Department of Veterans Affairs. Affected Public: Individuals and Estimated Annual Burden: 1,750 [FR Doc. 2021–02885 Filed 2–11–21; 8:45 am] households. hours. BILLING CODE 8320–01–P

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Part II

The President

Executive Order 14014—Blocking Property With Respect to the Situation in Burma

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Federal Register Presidential Documents Vol. 86, No. 28

Friday, February 12, 2021

Title 3— Executive Order 14014 of February 10, 2021

The President Blocking Property With Respect to the Situation in Burma

By the authority vested in me as President by the Constitution and the laws of the United States of America, including the International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.) (IEEPA), the National Emer- gencies Act (50 U.S.C. 1601 et seq.) (NEA), section 212(f) of the Immigration and Nationality Act of 1952 (8 U.S.C. 1182(f)), and section 301 of title 3, United States Code, I, JOSEPH R. BIDEN JR., President of the United States of America, find that the situation in and in relation to Burma, and in particular the February 1, 2021, coup, in which the military overthrew the democratically elected civilian government of Burma and unjustly arrested and detained government leaders, politicians, human rights defenders, journalists, and religious leaders, thereby rejecting the will of the people of Burma as expressed in elections held in November 2020 and undermining the country’s democratic transition and rule of law, constitutes an unusual and extraordinary threat to the national security and foreign policy of the United States. I hereby declare a national emergency to deal with that threat. Accordingly, I hereby order: Section 1. (a) All property and interests in property that are in the United States, that hereafter come within the United States, or that are or hereafter come within the possession or control of any United States person of the following persons are blocked and may not be transferred, paid, exported, withdrawn, or otherwise dealt in: any foreign person determined by the Secretary of the Treasury, in consultation with the Secretary of State: (i) to operate in the defense sector of the Burmese economy or any other sector of the Burmese economy as may be determined by the Secretary of the Treasury, in consultation with the Secretary of State; (ii) to be responsible for or complicit in, or to have directly or indirectly engaged or attempted to engage in, any of the following: (A) actions or policies that undermine democratic processes or institu- tions in Burma; (B) actions or policies that threaten the peace, security, or stability of Burma; (C) actions or policies that prohibit, limit, or penalize the exercise of freedom of expression or assembly by people in Burma, or that limit access to print, online, or broadcast media in Burma; or (D) the arbitrary detention or torture of any person in Burma or other serious human rights abuse in Burma; (iii) to be or have been a leader or official of: (A) the military or security forces of Burma, or any successor entity to any of the foregoing; (B) the Government of Burma on or after February 2, 2021; (C) an entity that has, or whose members have, engaged in any activity described in subsection (a)(ii) of this section relating to the leader’s or official’s tenure; or

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(D) an entity whose property and interests in property are blocked pursuant to this order as a result of activities related to the leader’s or official’s tenure; (iv) to be a political subdivision, agency, or instrumentality of the Govern- ment of Burma; (v) to be a spouse or adult child of any person whose property and interests in property are blocked pursuant to this order; (vi) to have materially assisted, sponsored, or provided financial, material, or technological support for, or goods or services to or in support of any person whose property and interests in property are blocked pursuant to this order; or (vii) to be owned or controlled by, or to have acted or purported to act for or on behalf of, directly or indirectly, the military or security forces of Burma or any person whose property and interests in property are blocked pursuant to this order. (b) The prohibitions in subsection (a) of this section apply except to the extent provided by statutes, or in regulations, orders, directives, or licenses that may be issued pursuant to this order, and notwithstanding any contract entered into or any license or permit granted before the date of this order. Sec. 2. The prohibitions in section 1 of this order include: (a) the making of any contribution or provision of funds, goods, or services by, to, or for the benefit of any person whose property and interests in property are blocked pursuant to this order; and (b) the receipt of any contribution or provision of funds, goods, or services from any such person. Sec. 3. (a) The unrestricted immigrant and nonimmigrant entry into the United States of noncitizens determined to meet one or more of the criteria in section 1(a) of this order would be detrimental to the interests of the United States, and the entry of such persons into the United States, as immigrants or nonimmigrants, is hereby suspended, except where the Sec- retary of State or the Secretary of Homeland Security, as appropriate, deter- mines that the person’s entry would not be contrary to the interests of the United States, including when the Secretary of State or the Secretary of Homeland Security, as appropriate, so determines, based on a rec- ommendation of the Attorney General, that the person’s entry would further important United States law enforcement objectives. (b) The Secretary of State shall implement this authority as it applies to visas pursuant to such procedures as the Secretary of State, in consultation with the Secretary of Homeland Security, may establish. (c) The Secretary of Homeland Security shall implement this order as it applies to the entry of noncitizens pursuant to such procedures as the Secretary of Homeland Security, in consultation with the Secretary of State, may establish. (d) Such persons shall be treated by this section in the same manner as persons covered by section 1 of Proclamation 8693 of July 24, 2011 (Suspension of Entry of Aliens Subject to United Nations Security Council Travel Bans and International Emergency Economic Powers Act Sanctions). Sec. 4. (a) Any transaction that evades or avoids, has the purpose of evading or avoiding, causes a violation of, or attempts to violate any of the prohibi- tions set forth in this order is prohibited. (b) Any conspiracy formed to violate any of the prohibitions set forth in this order is prohibited. Sec. 5. I hereby determine that the making of donations of the types of articles specified in section 203(b)(2) of IEEPA (50 U.S.C. 1702(b)(2)) by, to, or for the benefit of any person whose property and interests in property are blocked pursuant to section 1 of this order would seriously impair my ability to deal with the national emergency declared in this order,

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and I hereby prohibit such donations as provided by section 1 of this order. Sec. 6. For the purposes of this order: (a) the term ‘‘entity’’ means a partnership, association, trust, joint venture, corporation, group, subgroup, or other organization; (b) the term ‘‘Government of Burma’’ means the Government of Burma, any political subdivision, agency, or instrumentality thereof, including the Central Bank of Myanmar, and any person owned or controlled by, or acting for or on behalf of, the Government of Burma; (c) the term ‘‘noncitizen’’ means any person who is not a citizen or noncitizen national of the United States; (d) the term ‘‘person’’ means an individual or entity; and (e) the term ‘‘United States person’’ means any United States citizen, permanent resident alien, entity organized under the laws of the United States or any jurisdiction within the United States (including foreign branches), or any person in the United States. Sec. 7. For those persons whose property and interests in property are blocked pursuant to this order who might have a constitutional presence in the United States, I find that because of the ability to transfer funds or other assets instantaneously, prior notice to such persons of measures to be taken pursuant to this order would render those measures ineffectual. I therefore determine that for these measures to be effective in addressing the national emergency declared in this order, there need be no prior notice of a listing or determination made pursuant to section 1 of this order. Sec. 8. The Secretary of the Treasury, in consultation with the Secretary of State, is hereby authorized to take such actions, including the promulgation of rules and regulations, and to employ all powers granted to the President by IEEPA as may be necessary to carry out the purposes of this order. The Secretary of the Treasury may, consistent with applicable law, redelegate any of these functions within the Department of the Treasury. All depart- ments and agencies of the United States shall take all appropriate measures within their authority to carry out the provisions of this order. Sec. 9. Nothing in this order is intended to affect the continued effectiveness of any action taken pursuant to Executive Order 13742 of October 7, 2016 (Termination of Emergency With Respect to the Actions and Policies of the Government of Burma). Sec. 10. The Secretary of the Treasury, in consultation with the Secretary of State, is hereby authorized to submit recurring and final reports to the Congress on the national emergency declared in this order, consistent with section 401(c) of the NEA (50 U.S.C. 1641(c)) and section 204(c) of IEEPA (50 U.S.C. 1703(c)). Sec. 11. (a) Nothing in this order shall be construed to impair or otherwise affect: (i) the authority granted by law to an executive department or agency, or the head thereof; or (ii) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals. (b) This order shall be implemented consistent with applicable law and subject to the availability of appropriations.

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

THE WHITE HOUSE, February 10, 2021.

[FR Doc. 2021–03139 Filed 2–11–21; 11:15 am] Billing code 3295–F1–P

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Reader Aids Federal Register Vol. 86, No. 28 Friday, February 12, 2021

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING FEBRUARY

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. January 14, 2021 ...... 7789 Presidential Documents 3 CFR Executive orders and proclamations 741–6000 Proclamations: 5 CFR The United States Government Manual 741–6000 9880 (revoked by EO 2634...... 7635 14010) ...... 8267 Other Services 2636...... 7635 10139 (revoked by 1201...... 7797 Electronic and on-line services (voice) 741–6020 Proc. 10144) ...... 8265 Privacy Act Compilation 741–6050 10144...... 8265 7 CFR 10145...... 8537 945...... 9253 10146...... 8539 ELECTRONIC RESEARCH 1468...... 8113 10147...... 8541 World Wide Web Executive Orders: 8 CFR 12898 (amended by 214...... 7927, 8543 Full text of the daily Federal Register, CFR and other publications 14008) ...... 7619 is located at: www.govinfo.gov. 13767 (revoked by Proposed Rules: 14010) ...... 8267 215...... 8878 Federal Register information and research tools, including Public 235...... 8878 Inspection List and electronic text are located at: 13815 (revoked by EO www.federalregister.gov. 14013) ...... 8839 10 CFR 13841 (revoked by E-mail 14011) ...... 8273 50...... 8685 13888 (revoked by EO 52...... 8685 FEDREGTOC (Daily Federal Register Table of Contents Electronic 14013) ...... 8839 430...... 8548 Mailing List) is an open e-mail service that provides subscribers 13895 (revoked by 431...... 7798, 8553 with a digital form of the Federal Register Table of Contents. The 14007) ...... 7615 1061...... 7799 digital form of the Federal Register Table of Contents includes 14007...... 7615 Proposed Rules: HTML and PDF links to the full text of each document. 14008...... 7619 30...... 7819 To join or leave, go to https://public.govdelivery.com/accounts/ 14009...... 7793 32...... 7819 USGPOOFR/subscriber/new, enter your email address, then 14010...... 8267 50...... 7820 follow the instructions to join, leave, or manage your 14011...... 8273 12 CFR subscription. 14012...... 8277 PENS (Public Law Electronic Notification Service) is an e-mail 14013...... 8839 4...... 9253 service that notifies subscribers of recently enacted laws. 14014...... 9429 50...... 9120 204...... 8853 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Administrative Orders: Memorandums: 217...... 7927, 9261 and select Join or leave the list (or change settings); then follow 225...... 7927, 9261 the instructions. Memorandum of September 21, 2016 238...... 7927, 9261 FEDREGTOC and PENS are mailing lists only. We cannot (reinstated by EO 249...... 9120 respond to specific inquiries. 14008) ...... 7619 252...... 7927, 9261 Reference questions. Send questions and comments about the Memorandum of March 303...... 8089 Federal Register system to: [email protected] 6, 2017 (revoked by 308...... 8104 EO 14013)...... 8839 338...... 8082 The Federal Register staff cannot interpret specific documents or Memorandum of April 329...... 9120 regulations. 4, 2018 (revoked by 362...... 8098 EO 14010)...... 8267 390 ...... 8082, 8089, 8098, 8104 FEDERAL REGISTER PAGES AND DATE, FEBRUARY Memorandum of April 791...... 7949 6, 2018 (revoked by 1026...... 8283 7615–7786...... 1 EO 14010)...... 8267 1074...... 9261 7787–7926...... 2 Memorandum of April 1411...... 8854 7927–8112...... 3 29, 2019 (revoked Proposed Rules: 8113–8266...... 4 by EO 14010)...... 8267 7...... 7979 8267–8536...... 5 Memorandum of May 303...... 8145 8537–8684...... 8 23, 2019 (revoked 333...... 8145 8685–8844...... 9 by Memo. of Feb. 2, 335...... 8145 390...... 8145, 9028 8845–8992...... 10 2021) ...... 8281 8993–9252...... 11 Memorandum of January 13, 2021 ...... 7787 13 CFR 9253–9432...... 12 Memorandum of 120...... 8283 January 27, 2021 ...... 8845 Memorandum of 14 CFR February 2, 2021 ...... 8281 25...... 7799 Presidential 39 ...... 8299, 8302, 8305, 9269, Determinations: 9272 No. 2021–03 of 97...... 7958, 7959

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16 CFR 655...... 7838 34 CFR 44 CFR 305...... 9274 36...... 7974 64...... 9023 25 CFR 668...... 7974 Proposed Rules: 17 CFR 575...... 7646 206...... 8334 36...... 8993 Proposed Rules: 36 CFR 37...... 9224 1000...... 7656 7...... 9289 47 CFR 143...... 7802 701...... 9289 Ch. I ...... 9299 200...... 7961 26 CFR 9...... 8714 37 CFR 210...... 8686 1...... 9285, 9286 15...... 8558 232...... 7961, 7968 Proposed Rules: 10...... 7653 51...... 8872 240...... 7637 1 ...... 7986, 7987, 8721 210...... 9003 54...... 9025, 9295 Proposed Rules: Proposed Rules: 63...... 8872 9...... 9304 29 CFR 201...... 8560 64...... 8558 36...... 9304 73...... 9297 18...... 7927 37...... 9304 38 CFR 74...... 9297 22...... 7807, 8687 38...... 9304 503...... 7927 4...... 8142 Proposed Rules: 39...... 9304 1986...... 7807, 8687 36...... 7811 1...... 8335, 8748 43...... 9304 42...... 7811 2...... 7660 Proposed Rules: 25...... 7660 10...... 8325 18 CFR 39 CFR 51...... 7839 516...... 8325 11...... 8855 54...... 8335, 9309 531...... 8325 Proposed Rules: 153...... 7643 64...... 7681 578...... 8325 20...... 7659, 8722 157...... 7643 90...... 8748 579...... 8325 3030...... 8330 250...... 8131 580...... 8325 292...... 8133 40 CFR 48 CFR 780...... 8326 385...... 8131 788...... 8326 52 ...... 8689, 8691, 8693, 8697, 12...... 8308 Proposed Rules: 795...... 8326 8868, 9290, 9294 25...... 8308 35...... 8309 62...... 8699, 9021 52...... 8308 30 CFR 180 ...... 8700, 8704, 8707, 8710 553...... 9301 20 CFR 271...... 8713 1206...... 9286 655...... 7927 Proposed Rules: 49 CFR 1241...... 7808, 9286 702...... 8686 52 ...... 8561, 8564, 8566, 8569, Proposed Rules: Proposed Rules: Proposed Rules: 8574, 8722, 8727, 8729, 1180...... 8336 250...... 8878 655...... 7656 8734, 8736, 8742, 8743, 550...... 8878 656...... 7656 9031, 9036, 9038, 9039, 50 CFR 702...... 8721 9041, 9307 31 CFR 10...... 8715 62...... 9043 622 ...... 7815, 7977, 8876 22 CFR 1010...... 7810 635...... 8717 35...... 7804 42 CFR 648...... 8559 103...... 7804 33 CFR 423...... 7813 660...... 9301 127...... 7804 110...... 7647 486...... 7814 679 .....7816, 7817, 7818, 8308, 138...... 7804 117...... 7649 1001...... 7815 8719 165 .....7651, 7810, 7972, 8140, Proposed Rules: Proposed Rules: 23 CFR 8687 42...... 9308 223...... 7686, 8749 Proposed Rules: Proposed Rules: 226...... 7686, 8749 470...... 7838 100...... 8328 43 CFR 300...... 9312 635...... 7838 165...... 8157, 8879 10...... 7653 660...... 8750

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