Vol. 86 Tuesday, No. 34 February 23, 2021
Pages 10703–11090
OFFICE OF THE FEDERAL REGISTER
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Contents Federal Register Vol. 86, No. 34
Tuesday, February 23, 2021
Agriculture Department Utah; Infrastructure Requirements for the 2015 Ozone See Forest Service National Ambient Air Quality Standards; Correction, See National Agricultural Statistics Service 10826–10827 West Virginia; 1997 8-Hour Ozone National Ambient Air Centers for Disease Control and Prevention Quality Standard Second Maintenance Plan for the NOTICES West Virginia Portion for the Charleston, Comprising Agency Information Collection Activities; Proposals, Kanawha and Putnam Counties, 10827–10831 Submissions, and Approvals, 10969–10970 Exemption from the Requirement of a Tolerance: Oxalic Acid, 10833–10835 Centers for Medicare & Medicaid Services PROPOSED RULES NOTICES Air Quality State Implementation Plans; Approvals and Agency Information Collection Activities; Proposals, Promulgations: Submissions, and Approvals, 10971–10972 Arizona; Maricopa County Air Quality Department; Stationary Source Permits; New Source Review, Coast Guard 10903–10909 PROPOSED RULES Fees for the Administration of the Toxic Substances Control Special Local Regulations: Act; Extension of Comment Period, 10918 Sector Ohio Valley Annual and Recurring Special Local Hazardous Waste Management System: Regulations, Update, 10894–10899 Identification and Listing of Hazardous Waste, 10911– 10918 Commerce Department National Emission Standards for Hazardous Air Pollutants: See Industry and Security Bureau Mercury Cell Chlor-Alkali Plants, Primary Magnesium See International Trade Administration Refining, Flexible Polyurethane Foam Fabrication See National Oceanic and Atmospheric Administration Operations, Refractory Products Manufacturing, Carbon Black Production, and Cyanide Chemicals Copyright Office, Library of Congress Manufacturing Residual Risk and Technology RULES Reviews, 10909–10911 Group Registration of Works on an Album of Music, 10820– NOTICES 10826 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Defense Department Exchange Network Grants Progress Reports, 10952–10953 NOTICES Certain New Chemicals: Waiver of the Referral Requirement for TRICARE Prime Receipt and Status Information for January 2021, 10958– Enrollees, Not Including Active Duty Service Members, 10963 So They May Receive COVID–19 Vaccines from Any Privacy Act; System of Records, 10949–10958 TRICARE-Authorized Non-Network Provider without Incurring Point-of-Service Charges Where Applicable, Federal Accounting Standards Advisory Board 10942–10943 NOTICES Meetings, 10964 Education Department Reappointment of Chair and Member, 10963 NOTICES Agency Information Collection Activities; Proposals, Federal Aviation Administration Submissions, and Approvals: RULES Reaffirmation Agreement, 10943–10944 Airspace Designations and Reporting Points: Bradford, PA, 10814–10815 Employment and Training Administration Bucholz Army Airfield Kwajalein Atoll, Republic of the NOTICES Marshall Islands, 10801–10803 Labor Certification Process for the Temporary Employment Dumas, AR, 10803–10804 of Aliens in Agriculture in the United States: Kankakee, IL, 10805–10806 2021 Adverse Effect Wage Rates for Non-Range Lone Rock, WI, 10807–10808 Occupations, 10996–10997 Multiple Minnesota Towns, 10810–10812 Smyrna, TN, 10812–10814 Energy Department South-Central Florida Metroplex Project, 10808–10810 See Federal Energy Regulatory Commission Vicinity of Anthony, KS, 10804–10805 Airworthiness Directives: Environmental Protection Agency Airbus Canada Limited Partnership (Type Certificate RULES Previously Held by C Series Aircraft Limited Air Quality State Implementation Plans; Approvals and Partnership (CSALP); Bombardier, Inc.) Airplanes, Promulgations: 10799–10801 Pennsylvania; 1997 8-Hour Ozone National Ambient Air Airbus Defense and Space S.A. (Formerly Known as Quality Standards Second Maintenance Plan for the Construcciones Aeronauticas, S.A.) Airplanes, Scranton-Wilkes-Barre Area, 10831–10832 10740–10742
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Airbus SAS Airplanes, 10733–10736, 10767–10770, Complaint: 10772–10775, 10787–10790 Hecate Energy Greene County 3, LLC v. Central Hudson Bombardier, Inc., Airplanes, 10747–10750 Gas and Electric Corp. New York Independent Dassault Aviation Airplanes, 10738–10740 System Operator Inc., 10944–10945 General Electric Company Turbofan Engines, 10796– Petition for Declaratory Order: 10799 Tucson Electric Power Co., 10944 MHI RJ Aviation ULC (Type Certificate Previously Held by Bombardier, Inc.) Airplanes, 10753–10767 Federal Motor Carrier Safety Administration Pilatus Aircraft Ltd. Airplanes, 10736–10738, 10744– 10747, 10775–10776 NOTICES Piper Aircraft, Inc. Airplanes, 10770–10772 Commercial Driver’s License Standards: The Boeing Company Airplanes, 10750–10753, 10776– Wilson Logistics, 11050–11052 10787, 10790–10796 Qualification of Drivers; Exemption Applications: Yabora Industria Aeronautica S.A. (Type Certificate Epilepsy and Seizure Disorders, 11044–11046, 11049– Previously Held by Embraer S.A.) Airplanes, 10742– 11050 10744 Vision, 11046–11049 PROPOSED RULES Airspace Designations and Reporting Points: Federal Railroad Administration Crooked Creek, AK, 10882–10883 RULES Durant, OK, 10885–10886 State Highway-Rail Grade Crossing Action Plans: Gila Bend, AZ, 10880–10882 Correction, 10857 Hebbronville, TX, 10891–10892 Mineola, TX, 10889–10891 North Dakota, ND, 10883–10885 Federal Reserve System Taunton, MA, 10888–10889 NOTICES Wellsville, NY, 10892–10894 Change in Bank Control: Worcester, MA, 10886–10888 Acquisitions of Shares of a Bank or Bank Holding Airworthiness Directives: Company, 10967 Gulfstream Aerospace Corporation Airplanes, 10875– Formations of, Acquisitions by, and Mergers of Bank 10878 Holding Companies, 10966–10967 Rolls-Royce Deutschland Ltd and Co KG (Type Certificate previously held by Rolls-Royce plc) Turbofan Federal Trade Commission Engines, 10878–10880 NOTICES NOTICES Agency Information Collection Activities; Proposals, Petition for Exemption; Summary: Submissions, and Approvals, 10967–10969 Accelerated Aviation Instruction, LLC, 11044
Federal Communications Commission Fish and Wildlife Service PROPOSED RULES RULES Promoting Broadcast Internet Innovation through ATSC 3.0, Subsistence Management Regulations for Public Lands in 10847–10856 Alaska—2022–23 and 2023–24 Subsistence Taking of Telecommunications Relay Service Rules Modernization, Wildlife Regulations, 10899–10903 10844–10847 Transforming the 2.5 GHz Band; Dismissal of Petitions for Food and Drug Administration Reconsideration, 10839–10844 RULES NOTICES New Animal Drug Applications: Agency Information Collection Activities; Proposals, Beta-Aminopropionitrile Fumarate; n-Butyl Chloride; Submissions, and Approvals, 10964–10966 Cupric Glycinate Injection; Dichlorophene and Toluene; Orgotein For Injection; Tetracycline Tablets, Federal Deposit Insurance Corporation 10818–10819 RULES New Animal Drugs: Parent Companies of Industrial Banks and Industrial Loan Withdrawal of Approval of New Animal Drug Companies, 10703–10729 Applications, 10819–10820 NOTICES Agency Information Collection Activities; Proposals, Federal Emergency Management Agency Submissions, and Approvals: RULES Adverse Experience Reporting for Licensed Biological Suspension of Community Eligibility, 10837–10839 Products; General Records, 10975–10977 Shortages Data Collections, 10972–10974 Federal Energy Regulatory Commission Guidance: NOTICES Policy for Testing of Alcohol (Ethanol) and Isopropyl Application: Alcohol for Methanol, Including during the Public Battle Creek Hydroelectric Project, 10947–10948 Health Emergency (COVID–19), 10977–10979 Lower Saranac Hydro, LLC, 10945–10946 Potential Approach for Defining Durations of Use for PacifiCorp, Klamath River Renewal Corp., and the States Medically Important Antimicrobial Drugs Intended for of California and Oregon, 10946–10947 Use in or on Feed: Combined Filings, 10947–10949 A Concept Paper, 10979–10980
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Forest Service International Trade Commission PROPOSED RULES NOTICES Subsistence Management Regulations for Public Lands in Investigations; Determinations, Modifications, and Rulings, Alaska—2022–23 and 2023–24 Subsistence Taking of etc.: Wildlife Regulations, 10899–10903 Seamless Refined Copper Pipe and Tube from Vietnam, 10994–10996 Health and Human Services Department See Centers for Disease Control and Prevention Labor Department See Centers for Medicare & Medicaid Services See Employment and Training Administration See Food and Drug Administration See Occupational Safety and Health Administration See Health Resources and Services Administration See National Institutes of Health Library of Congress See Substance Abuse and Mental Health Services See Copyright Office, Library of Congress Administration RULES Management and Budget Office National Vaccine Injury Compensation Program: NOTICES Revisions to the Vaccine Injury Table; Delay of Effective Certain Rates Regarding Recovery from Tortiously Liable Date, 10835–10837 Third Persons: Calendar Year 2020 Cost of Outpatient Medical, Dental, and Cosmetic Surgery Services Furnished by the Health Resources and Services Administration Department of Defense Medical Treatment Facilities, NOTICES 11008 National Vaccine Injury Compensation Program: Fiscal Year 2020 Cost of Inpatient Hospital and Medical List of Petitions Received, 10980–10989 Care Treatment Furnished by the Department of Defense Medical Treatment Facilities, 11008 Homeland Security Department See Coast Guard National Agricultural Statistics Service See Federal Emergency Management Agency NOTICES See U.S. Customs and Border Protection Agency Information Collection Activities; Proposals, Submissions, and Approvals, 10919–10920 Housing and Urban Development Department NOTICES National Credit Union Administration Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals: Corporate Credit Unions, 10729–10731 Mortgagee’s Application for Partial Settlement Subordinated Debt, 11060–11085 (Multifamily Mortgage), 10992–10993 PROPOSED RULES Office of Housing Counseling—Agency Performance Risk-Based Net Worth—COVID–19 Regulatory Relief, Review, 10993–10994 10872–10875
Industry and Security Bureau National Institutes of Health NOTICES NOTICES Meetings: Meetings: Regulations and Procedures Technical Advisory Center for Scientific Review, 10990–10991 Committee, 10920 National Institute of Allergy and Infectious Diseases, 10989 National Institute of Neurological Disorders and Stroke, Interior Department 10991 See Fish and Wildlife Service See Ocean Energy Management Bureau National Oceanic and Atmospheric Administration RULES International Trade Administration Fisheries off West Coast States: NOTICES Magnuson-Stevens Act Provisions;; Pacific Coast Antidumping or Countervailing Duty Investigations, Orders, Groundfish Fishery; Salmon Bycatch Minimization, or Reviews: 10857–10871 Certain Cold-Rolled Steel Flat Products and Certain NOTICES Corrosion-Resistant Steel Products from the Republic Agency Information Collection Activities; Proposals, of Korea, 10922–10923 Submissions, and Approvals: Certain Hot-Rolled Steel Flat Products from Australia, Highly Migratory Species Scientific Research Permits, 10923–10925 Exempted Fishing Permits, Letters of Certain Hot-Rolled Steel Flat Products from Japan, Acknowledgment, Display Permits, and Shark 10920–10922 Research Fishery Permits, 10935–10936 Electrolytic Manganese Dioxide from the People’s Southeast Region Individual Fishing Quota Programs, Republic of China, 10925–10926 10936–10937 Granular Polytetrafluoroethylene Resin from India and Unites States Caribbean Commercial Fishermen Census, the Russian Federation, 10931–10934 10939 Initiation of Less-Than-Fair-Value Investigations: Environmental Impact Statements; Availability, etc.: Granular Polytetrafluoroethylene Resin from India and National Marine Fisheries Service Saltonstall-Kennedy the Russian Federation, 10926–10930 Research and Development Program, 10941–10942
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Meetings: Securities and Exchange Commission Fisheries of the Gulf of Mexico and Atlantic; Southeast NOTICES Data, Assessment, and Review, 10936 Meetings: Fisheries of the South Atlantic; Southeast Data, Investor Advisory Committee, 11040 Assessment, and Review, 10939–10940 Self-Regulatory Organizations; Proposed Rule Changes: Gulf of Mexico Fishery Management Council, 10938– Cboe Futures Exchange, LLC, 11020–11022 10939 MIAX Emerald, LLC, 11033–11040 New England Fishery Management Council, 10940 MIAX PEARL, LLC, 11022–11024 Ocean Exploration Advisory Board, 10937–10938 Nasdaq PHLX, LLC, 11031–11033 Pacific Fishery Management Council, 10934–10935 New York Stock Exchange, LLC, 11024–11027 NYSE Arca, Inc., 11027–11031 Nuclear Regulatory Commission Small Business Administration NOTICES RULES Agency Information Collection Activities; Proposals, Consolidation of Mentor-Protege Programs and Other Submissions, and Approvals Government Contracting Amendments: Travel Voucher, 11008–11009 Correction, 10732 Agency Information Collection Activities; Proposals, Ownership and Control of Service-Disabled Veteran-Owned Submissions, and Approvals: Small Business Concerns: Instructions and Reports to Workers: Inspection and Correction, 10732–10733 Investigations, 11019–11020 NOTICES Monthly Notice: Agency Information Collection Activities; Proposals, Applications and Amendments to Facility Operating Submissions, and Approvals, 11041–11043 Licenses and Combined Licenses Involving No Major Disaster Declaration: Significant Hazards Considerations, 11009–11019 Alaska, 11041
Occupational Safety and Health Administration Substance Abuse and Mental Health Services NOTICES Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 10997–10998 Meetings: Application for Expansion of Recognition and Proposed Center for Mental Health Services National Advisory Modification to the Nationally Recognized Testing Council, 10991–10992 Laboratory Program’s List of Appropriate Test National Advisory Council, 10992 Standards: Surface Transportation Board CSA Group Testing and Certification Inc., 11005–11008 NOTICES Application for Expansion of Recognition: Release of Waybill Data, 11043 Bureau Veritas Consumer Products Services, Inc., 11001– Trackage Rights Exemption: 11002 BNSF Railway Co.; Union Pacific Railroad Co., 11043– CSA Group Testing and Certification Inc., 11004–11005 11044 IAPMO Ventures, LLC dba IAPMO EGS, 11002–11004 Applications for Expansion of Recognition and Proposed Transportation Department Modification to the Nationally Recognized Testing See Federal Aviation Administration Laboratory Program’s List of Appropriate Test See Federal Motor Carrier Safety Administration Standards: See Federal Railroad Administration UL, LLC, 10998–11001 See Pipeline and Hazardous Materials Safety Administration Occupational Safety and Health Review Commission NOTICES U.S. Customs and Border Protection Senior Executive Service Performance Review Board RULES Membership, 11020 Temporary Travel Restrictions Applicable to Land Ports of Entry and Ferries Service between the United States Ocean Energy Management Bureau and Canada, 10815–10816 NOTICES Temporary Travel Restrictions Applicable to Land Ports of Withdrawal of the Public Review Period for Cook Inlet Entry and Ferries Service between the United States Lease Sale 258, 10994 and Mexico, 10816–10818 Veterans Affairs Department Pipeline and Hazardous Materials Safety Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals Claim for Reimbursement of Travel Expenses, 11054 Hazardous Materials, 11052–11054 Fiduciary Agreement, 11054–11055 Financial Counseling Statement, 11055–11056 Presidential Documents Supplemental Income Questionnaire (for Philippine EXECUTIVE ORDERS Claims Only), 11056 Executive Orders, Amendments and Revocations: Meetings: Revocation of Executive Order 13801 (EO 14016), 11087– Advisory Committee on Disability Compensation, 11056– 11090 11057
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Geriatric and Gerontology Advisory Committee, 11055 Reader Aids Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, and notice Separate Parts In This Issue of recently enacted public laws. Part II To subscribe to the Federal Register Table of Contents National Credit Union Administration, 11060–11085 electronic mailing list, go to https://public.govdelivery.com/ accounts/USGPOOFR/subscriber/new, enter your e-mail Part III address, then follow the instructions to join, leave, or Presidential Documents, 11087–11090 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 64...... 10844 73...... 10847 Executive Orders: 13801 (revoked by EO 49 CFR 14016) ...... 11089 234...... 10857 14016...... 11089 50 CFR 12 CFR 660...... 10857 354...... 10703 Proposed Rules: 701...... 11060 100...... 10899 702...... 11060 704...... 10729 709...... 11060 741...... 11060 Proposed Rules: 702...... 10872 13 CFR 121...... 10732 125...... 10732 127...... 10732 14 CFR 39 (20 documents) ...... 10733, 10736, 10738, 10740, 10742, 10744, 10747, 10750, 10753, 10567, 10570, 10572, 10775, 10776, 10780, 10784, 10787, 10790, 10796, 10799 71 (9 documents) ...... 10801, 10803, 10804, 10805, 10807, 10808, 10810, 10812, 10814 Proposed Rules: 39 (2 documents) ...... 10875, 10878 71 (9 documents) ...... 10880, 10882, 10883, 10885, 10886, 10888, 10889, 10891, 10892 19 CFR Ch. I (2 documents)...... 10815, 10816 21 CFR 510 (2 documents) ...... 10818, 10819 520 (2 documents) ...... 10818, 10819 522 (2 documents) ...... 10818, 10819 33 CFR Proposed Rules: 100...... 10894 36 CFR Proposed Rules: 242...... 10899 37 CFR 201...... 10820 202...... 10820 40 CFR 52 (3 documents) ...... 10826, 10827, 10831 180...... 10833 Proposed Rules: 52...... 10903 63...... 10909 261...... 10911 700...... 10918 42 CFR 100...... 10835 44 CFR 64...... 10837 47 CFR 1...... 10839
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Rules and Regulations Federal Register Vol. 86, No. 34
Tuesday, February 23, 2021
This section of the FEDERAL REGISTER Review Examiner, (508) 698–0361, nonmember banks,1 including industrial contains regulatory documents having general Extension 8027, [email protected]; Don banks and industrial loan companies applicability and legal effect, most of which Hamm, Special Advisor, (202) 898– (together, ‘‘industrial banks’’).2 In are keyed to and codified in the Code of 3528, [email protected]; Patricia granting deposit insurance, issuing a Federal Regulations, which is published under Colohan, Associate Director, Risk non-objection to a change in control, or 50 titles pursuant to 44 U.S.C. 1510. Management Examinations Branch, approving a merger, the FDIC must 3 The Code of Federal Regulations is sold by (202) 898–7283, [email protected], consider the factors listed in sections 6, the Superintendent of Documents. Division of Risk Management 7(j),4 and 18(c),5 respectively, of the Supervision. Federal Deposit Insurance Act (FDI Act). Congress expressly made all industrial FEDERAL DEPOSIT INSURANCE SUPPLEMENTARY INFORMATION: banks eligible for Federal deposit CORPORATION 6 Table of Contents insurance in 1982. As deposit insurer and as the appropriate Federal banking 12 CFR Part 354 I. Policy Objectives agency for industrial banks, the FDIC RIN 3064–AF31 II. Background supervises industrial banks. A key part A. History of its supervision is evaluating and Parent Companies of Industrial Banks B. Industrial Bank Exclusion Under the mitigating the risks arising from the and Industrial Loan Companies BHCA activities of the control parties and C. Industry Profile owners of insured industrial banks to AGENCY: Federal Deposit Insurance D. Supervision ensure they do not threaten the safe and Corporation. E. GAO and OIG Reports sound operations of those industrial ACTION: Final rule. F. FDIC Moratorium and Other Agency Actions banks or pose undue risk to the Deposit SUMMARY: The Federal Deposit G. 2007 Notice of Proposed Rulemaking— Insurance Fund (DIF). Insurance Corporation is adopting a Part 354 Existing State and Federal laws allow final rule that requires certain H. Dodd-Frank Act and Industrial Banks both financial and commercial conditions and commitments for each III. The Proposed Rule companies to own and control deposit insurance application approval, IV. Discussion of General Comments and industrial banks. Congress expressly non-objection to a change in control Final Rule adopted an exception to permit such notice, and merger application approval A. General Comments companies to own and control that would result in an insured 1. Banking and Commerce industrial banks, without becoming a 2. Lack of Federal Consolidated industrial bank or industrial loan bank holding company (BHC) under the Supervision Bank Holding Company Act (BHCA), as company becoming, on or after the 3. Consumer Protection Risks effective date of the final rule, a part of the Competitive Equality 4. Justification for the Proposed Rule Banking Act of 1987 (CEBA).7 Industrial subsidiary of a company that is not B. Description of the Final Rule banks today are owned by financial and subject to consolidated supervision by 1. Section 354.1—Scope the Federal Reserve Board. The final 2. Section 354.2—Definitions nonfinancial commercial firms. The rule also requires that before any 3. Section 354.3—Written Agreement FDIC has in recent years received industrial bank or industrial loan 4. Section 354.4—Required Commitments applications from groups seeking to company may become a subsidiary of a and Provisions of Written Agreement establish new industrial banks that company that is not subject to 5. Section 354.5—Restrictions on Industrial would be owned by commercial parents. consolidated supervision by the Federal Bank Subsidiaries of Covered Companies Proposals regarding industrial banks Reserve Board, such company and the 6. Section 354.6—Reservation of Authority have presented unique risk profiles industrial bank or industrial loan 7. Responses to Additional Questions compared to traditional community company must enter into one or more V. Expected Effects written agreements with the Federal A. Overview of Industrial Banks 1 See 12 U.S.C. 1811, 1818, 1821, 1831o–1, B. Analysis of the Commitments Deposit Insurance Corporation. 1831p–1. C. Safety and Soundness of Affected Banks 2 Herein, the term ‘‘industrial bank’’ means any DATES: The rule is effective on April 1, D. Broad Effects on the Banking Industry insured State-chartered bank that is an industrial 2021. E. Expected Effects on Consumers bank, industrial loan company, or other similar FOR FURTHER INFORMATION CONTACT: F. Expected Effects on the Economy institution that is excluded from the definition of ‘‘bank’’ in the Bank Holding Company Act pursuant Amanda Ledig, Attorney, (202) 898– VI. Regulatory Analysis to 12 U.S.C. 1841(c)(2)(H). State laws refer to both 7261, [email protected]; Merritt Pardini, A. Regulatory Flexibility Act industrial loan companies and industrial banks. For Counsel, (202) 898–6680, mpardini@ B. Paperwork Reduction Act purposes of this rule, the FDIC is treating the two fdic.gov; Joyce Raidle, Counsel, (202) C. Plain Language types of institutions as the same. The rule does not apply to limited purpose trust companies and credit 898–6763, [email protected]; Gregory D. Riegle Community Development and Regulatory Improvement Act of 1994 card banks that also are exempt from the definition Feder, Counsel, (202) 898–8724, gfeder@ of ‘‘bank.’’ E. Congressional Review Act fdic.gov; Catherine Topping, Counsel, 3 12 U.S.C. 1816. (202) 898–3975, [email protected]; I. Policy Objectives 4 12 U.S.C. 1817(j). Mark Flanigan, Senior Counsel, (202) 5 12 U.S.C. 1828(c). 898–7426, [email protected]; Ashby The Federal Deposit Insurance 6 Garn-St. Germain Depository Institutions Act of Corporation (FDIC) monitors, evaluates, 1982, Public Law 97–320, 96 Stat. 1469 (Oct. 15, Hilsman, Assistant General Counsel, 1982). (202) 898–6636, [email protected], and takes necessary action to ensure the 7 Public Law 100–86, 101 Stat. 552 (Aug. 10, Legal Division; Scott Leifer, Senior safety and soundness of State 1987).
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bank proposals. These profiles have industrial banks and their parent of both a State authority and the FDIC.13 included potential owners that would companies.11 The chartering States gradually not be subject to Federal consolidated The FDIC is now issuing a final rule, expanded the powers of their industrial supervision,8 affiliations with which is largely consistent with the banks so that today industrial banks organizations whose activities are proposed rule. The final rule makes four generally have the same commercial and primarily commercial in nature, and substantive changes to the proposed consumer lending powers as non-community bank business models.9 rule. First, the final rule requires commercial banks. compliance from covered entities on or Under the FDI Act, industrial banks Given the continuing interest in the are ‘‘State banks’’ 14 and all of the industrial bank charter and the evolving after the effective date of the rule rather than simply after, as proposed. Second, existing FDIC-insured industrial banks business models, the FDIC proposed a 15 the final rule requires additional are ‘‘State nonmember banks.’’ As a rule in March 2020 to codify existing result, the FDIC is the appropriate practices utilized by the FDIC to reporting by Covered Companies regarding systems for protecting the Federal banking agency for industrial supervise industrial banks and their 16 security, confidentiality, and integrity of banks. Each industrial bank is also parent companies, to mitigate undue consumer and nonpublic personal regulated by its respective State risk to the DIF that may otherwise be information. Third, the threshold chartering authority. The FDIC generally presented in the absence of Federal regarding the limitation of a Covered exercises the same supervisory and consolidated supervision of an Company’s representation on the board regulatory authority over industrial industrial bank and its parent company, of a subsidiary industrial bank has been banks as it does over other State and to ensure that the parent company raised in the final rule from 25 percent, nonmember banks. that owns or controls an industrial bank as proposed, to less than 50 percent. B. Industrial Bank Exclusion Under the serves as a source of financial strength Lastly, the final rule modifies the BHCA for the industrial bank, consistent with restrictions on industrial bank section 38A of the FDI Act.10 The subsidiaries concerning the In 1987, Congress enacted the CEBA, proposed rule described certain appointment of directors and senior which exempted industrial banks from commitments that would be required as executive officers to apply to the the definition of ‘‘bank’’ in the BHCA. a condition of the FDIC’s approval of, or industrial bank only during the first As a result, parent companies that non-objection to, each deposit insurance three years after becoming a subsidiary control industrial banks are not BHCs under the BHCA and are not subject to application, change in control notice, or of a Covered Company. These changes the BHCA’s activities restrictions or FRB merger application resulting in an are discussed in sections IV.B.1., supervision and regulation. The industrial bank becoming a subsidiary IV.B.4., and IV.B.5. of this Supplementary Information section industrial bank exception in the BHCA of a company not subject to therefore allows for commercial firms to consolidated supervision by the Federal below. In addition to providing this comprehensive framework for own or control a bank. By contrast, Reserve Board (FRB; each such parent BHCs and savings and loan holding company a Covered Company). The supervision, the final rule also provides interested parties with certainty and companies (SLHCs) are subject to proposed rule required such a company Federal consolidated supervision by the and the subsidiary industrial bank to transparency regarding the FDIC’s practices when making determinations FRB and are generally prohibited from enter into one or more written 17 on filings involving industrial banks. engaging in commercial activities. agreements with the FDIC that contain More specifically, the CEBA redefined certain commitments to be undertaken II. Background the term ‘‘bank’’ in the BHCA to by the company to ensure the safe and include: (1) Any FDIC-insured sound operation of such industrial bank. A. History institution, and (2) any other institution The required commitments include Industrial banks began as small State- that accepts demand or checkable capital and liquidity support from the chartered loan companies in the early deposit accounts and is engaged in the parent to the industrial bank that have 1900s to provide small loans to been incorporated in some form in the industrial workers. Initially, many 13 Prior to 1982, the FDIC had allowed some FDIC’s prior actions to create an industrial banks to become federally insured, but industrial banks did not accept any FDIC insurance was typically limited to those appropriate supervisory structure for deposits and funded themselves instead industrial banks chartered by States where the by issuing investment certificates. relevant State’s law allowed them to receive 8 In the context of the proposed rule, ‘‘Federal However, the Garn-St. Germain ‘‘deposits’’ or to use ‘‘bank’’ in their name. For consolidated supervision’’ referred to the Depository Institutions Act of 1982,12 additional historical context regarding industrial supervision of a parent company and its bank supervision, see The FDIC’s Supervision of subsidiaries by the Federal Reserve Board (FRB). among other effects, made all industrial Industrial Loan Companies: A Historical Consolidated supervision of a bank holding banks eligible for Federal deposit Perspective, Supervisory Insights (2004). company by the FRB encompasses the parent insurance. This expanded eligibility for 14 12 U.S.C. 1813(a)(2). company and its subsidiaries, and allows the FRB Federal deposit insurance brought 15 12 U.S.C. 1813(e)(2). to understand ‘‘the organization’s structure, industrial banks under the supervision 16 12 U.S.C. 1813(q)(2). activities, resources, and risks, as well as to address 17 Section 4 of the BHCA generally prohibits a financial, managerial, operational, or other BHC from acquiring ownership or control of any deficiencies before they pose a danger to the BHC’s 11 In March of 2020, the FDIC approved two company which is not a bank or engaging in any subsidiary depository institutions.’’ See SR Letter deposit insurance applications for industrial banks activity other than those of banking or of managing 08–9, ‘‘Consolidated Supervision of Bank Holding owned by firms whose businesses are or controlling banks and other subsidiaries Companies and the Combined U.S. Operations of predominantly financial in nature, Square Financial authorized under the BHCA. See 12 U.S.C. Foreign Banking Organizations’’ (Oct. 16, 2008). Services, Inc., Salt Lake City, Utah (Square 1843(a)(1) and (2). The Home Owners’ Loan Act 9 See FDIC Deposit Insurance Applications, Financial), and Nelnet Bank, Salt Lake City, Utah (HOLA) governs the activities of SLHCs, as Procedures Manual Supplement, Applications from (Nelnet). As part of both approvals, the FDIC amended by the Dodd-Frank Act, which generally Non-Bank and Non-Community Bank Applicants, required the industrial banks and their parent subjects these companies to the permissible FIL–8–2020 (Feb. 10, 2020). companies to enter into written agreements with the financial holding company activities under section 10 Parent Companies of Industrial Banks and FDIC that are consistent with the requirements of 4(k) of the BHCA (12 U.S.C. 1843(k), activities that Industrial Loan Companies, 85 FR 17771, 17772–73 the proposed and this final rule. are financial in nature or incidental to a financial (Mar. 31, 2020). See also 12 U.S.C. 1831o–1(b). 12 96 Stat. 1469. activity). See 12 U.S.C. 1467a(c)(2)(H).
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business of making commercial loans.18 offered by industrial banks.23 Industrial aggregate total assets. Four industrial This change effectively closed the so- banks have branching rights, subject to banks reported total assets of $10 billion called ‘‘nonbank bank’’ exception certain State law constraints. or more; ten industrial banks reported implicit in the prior BHCA definition of C. Industry Profile total assets of $1 billion or more but less ‘‘bank.’’ The CEBA created explicit than $10 billion. The industrial bank exceptions from this definition for The industrial bank industry has sector today includes a diverse group of certain categories of federally insured evolved since the enactment of the insured financial institutions operating institutions, including industrial banks, CEBA. The industry experienced a variety of business models. A credit card banks, and limited purpose significant asset growth between 1987 significant number of the existing trust companies. The exclusions from and 2006 when total assets held by industrial banks support the commercial the definition of the term ‘‘bank’’ industrial banks grew from $4.2 billion or specialty finance operations of their 24 created in 1987 by the CEBA remain in to $213 billion. From 2000 to 2006, 24 parent company and are funded through 25 effect today. To be eligible for the CEBA industrial banks became insured. As non-core sources. exception from the BHCA definition of of January 30, 2007, there were 58 ‘‘bank,’’ an industrial bank must have insured industrial banks with $177 The reduction in the number of received a charter from one of the billion in aggregate total assets.26 The industrial banks from 2007 to 2020 was limited number of States eligible to ownership structure and business due to a variety of factors, including issue industrial bank charters, and the models of industrial banks evolved as mergers, conversions, voluntary law of the chartering State must have industrial banks were acquired or liquidations, and the failure of two 28 required Federal deposit insurance as of formed by a variety of commercial firms, small institutions. For business, March 5, 1987. In addition, an industrial including, among others, BMW, Target, marketplace, or strategic reasons, bank must meet one of the following Pitney Bowes, and Harley Davidson. For several industrial banks converted to criteria: (i) Not accept demand instance, certain companies established commercial banks and thus became deposits,19 (ii) have total assets of less industrial banks, in part, to support the ‘‘banks’’ under the BHCA. Four than $100 million, or (iii) have been sale of the manufactured products (e.g. industrial banks were approved in 2007 acquired prior to August 10, 1987.20 automobiles) or other services, whereas and 2008; however, none of those Industrial banks are currently certain retailers established industrial institutions exist today.29 Moratoria chartered in California, Hawaii, banks to issue general purpose credit imposed by the FDIC and Congress (as Minnesota, Nevada, and Utah. Under cards. In addition, certain financial discussed below) were also a factor. the CEBA, these States were permitted companies also formed or acquired Since the beginning of 2017, the FDIC to grandfather existing industrial banks industrial banks to provide access to has received 12 Federal deposit and continue to charter new industrial Federal deposit insurance for brokerage insurance applications related to banks.21 Generally, industrial banks customers’ cash management account proposed industrial banks. Of those, two offer limited deposit products, a full balances. The cash balances their have been approved,30 eight have been range of commercial and consumer customers maintain with the securities withdrawn, and two are pending.31 The loans, and other banking services. affiliate are swept into insured, interest- FDIC anticipates potential continued Although some industrial banks that bearing accounts at the industrial bank interest in the establishment of have total assets of less than $100 subsidiary, thereby providing the industrial banks, particularly with million accept demand deposits, most brokerage customers with FDIC-insured regard to proposed institutions that plan industrial banks do not offer demand deposits during the period of time that to pursue a specialty or limited purpose deposits. Negotiable order of cash is held for future investment. business model. withdrawal (NOW) accounts 22 may be Since 2007, the industrial bank industry has experienced contraction 18 in Minnesota. An additional industrial bank, Nelnet 12 U.S.C. 1841(c)(1). both in terms of the number of Bank, began operations in November of 2020. 19 Regulation D, 12 CFR part 204, implements the institutions and aggregate total assets. Square Financial was approved in March and has reserve requirements of section 19 of the Federal not opened for business. Reserve Act and defines a demand deposit as a As of September 30, 2020, there were 23 28 Security Savings Bank, Henderson, Nevada, deposit that is payable on demand, or issued with 27 industrial banks with $173 billion in failed in February 2009, and Advanta Bank an original maturity or required notice period of less than seven days, or a deposit representing Corporation, Draper, Utah, failed in March 2010. 23 12 U.S.C. 1832(a). Only certain types of 29 funds for which the depository institution does not In each case, the institution pursued a customers may maintain deposits in a NOW reserve the right to require at least seven days’ voluntary transaction that led to termination of the account. 12 U.S.C. 1832(a)(2). written notice of an intended withdrawal. Demand respective institution’s industrial bank charter. One 24 deposits may be in the form of (i) checking Most of the growth during this period is institution converted to a commercial bank charter accounts; (ii) certified, cashier’s, teller’s, and attributable to financial services firms that and continues to operate, one merged and the officer’s checks; and (iii) traveler’s checks and controlled industrial banks offering sweep deposit resultant bank continues to operate, and two money orders that are primary obligations of the programs to provide Federal deposit insurance for terminated deposit insurance following voluntary issuing institution. Other forms of accounts may customers’ free cash balances and to American liquidations. Such transactions generally result also meet the definition of ‘‘demand deposit.’’ See Express moving its credit card operations from its from proprietary strategic determinations by the 12 CFR 204.2(b)(1). Delaware-chartered credit card bank to its Utah- institutions and their parent companies or 20 12 U.S.C. 1841(c)(2)(H). chartered industrial bank. investors. 25 21 Colorado was also grandfathered but it has no During this time period, the FDIC received 57 30 In March of 2020, the FDIC approved the active industrial banks and has since repealed its applications for Federal deposit insurance for deposit insurance applications of Nelnet Bank and industrial bank statute. industrial banks, 53 of which were acted on. Also Square Financial. Square Financial has not yet 22 A NOW account is an interest-earning bank during this time period, 21 industrial banks ceased commenced operations. account whereby the owner may write drafts against to operate due to mergers, conversions, voluntary 31 Decisions to withdraw an application are made the money held on deposit. NOW accounts were liquidations, and one failure (Southern Pacific at the discretion of the organizers and can be developed when certain financial institutions were Bank, Torrance, CA, failed in 2003). attributed to a variety of reasons. In some cases, an prohibited from paying interest on demand 26 Of the 58 industrial banks existing at this time, application is withdrawn and then refiled after deposits. The prohibition on paying interest on 45 were chartered in Utah and California. The changes are incorporated into the proposal. In such demand deposits was lifted when the FRB repealed remaining industrial banks were chartered in cases, the new application is reviewed by the FDIC its Regulation Q, effective July 21, 2011. See 76 FR Colorado, Hawaii, Minnesota, and Nevada. without prejudice. In other cases, the applicant 42015 (July 18, 2011). Many provisions of the 27 Of the 23 industrial banks existing as of June may, for strategic reasons, determine that pursuing repealed Regulation Q were transferred to the FRB’s 30, 2020, 14 were chartered in Utah, four in an insured industrial bank charter is not in the Regulation D. Nevada, three in California, one in Hawaii, and one organizers’ best interests.
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D. Supervision industrial bank. Such written insurance, enter into written agreements Because industrial banks are insured agreements provide required during the acquisition of an insured State nonmember banks, they are commitments for the parent company to depository institution, and to pursue subject to the FDIC’s Rules and provide financial resources and a means enforcement actions. for the FDIC to pursue formal Regulations, as well as other provisions F. FDIC Moratorium and Other Agency of law, including restrictions under the enforcement action under sections 8 and 39 Actions Federal Reserve Act governing 50 of the FDI Act should a party fail In 2005, Wal-Mart Bank’s application transactions with affiliates,32 anti-tying to comply with the agreements. for Federal deposit insurance drew provisions of the BHCA,33 and insider E. GAO and OIG Reports extensive public attention to the lending regulations. Industrial banks are Beginning in 2004, the FDIC Office of industrial bank charter. The FDIC also subject to regular examination, Inspector General (OIG) conducted two received more than 13,800 comment including examinations focused on evaluations and the Government letters regarding Wal-Mart’s proposal. safety and soundness, Bank Secrecy Act Accountability Office (GAO) conducted Most of the commenters were opposed and Anti-Money Laundering a statutorily mandated study regarding to the application. Commenters also compliance, consumer protection the FDIC’s supervision of industrial raised broader concerns about industrial including Community Reinvestment Act banks, including its use of prudential banks, including the risk posed to the (CRA) compliance, information conditions.40 An OIG evaluation DIF by industrial banks owned by technology (IT), and trust services, as published in 2004 focused on whether parent companies that are not subject to appropriate. Pursuant to section 10(b)(4) industrial banks posed greater risk to Federal consolidated supervision. of the FDI Act, the FDIC has the the DIF than other financial institutions, Similar concerns were expressed by authority to examine the affairs of any and reviewed the FDIC’s supervisory witnesses during three days of public industrial bank affiliate, including the approach in identifying and mitigating hearings held by the FDIC in the spring parent company, as may be necessary to material risks posed to those institutions of 2006 concerning the Wal-Mart determine the relationship between the by their parent companies. A July 2006 application. Also in 2006, The Home institution and the affiliate, and the OIG evaluation reviewed the FDIC’s Depot filed a change in control notice in effect of such relationship on the process for reviewing and approving connection with its proposed depository institution.34 In addition, under section 38A of the industrial bank applications for deposit acquisition of EnerBank, a Utah- FDI Act, as amended by the Dodd Frank insurance and monitoring conditions chartered industrial bank. The FDIC Wall Street Reform and Consumer imposed with respect to industrial bank received approximately 830 comment Protection Act (Dodd-Frank Act),35 the business plans. A September 2005 GAO letters regarding the notice, almost all of FDIC is required to impose a study cited several risks posed to banks which expressed opposition to the requirement on companies that directly operating in a holding company proposed acquisition. Ultimately, the or indirectly own or control an structure, including adverse Wal-Mart application and The Home industrial bank to serve as a source of intercompany transactions, operations Depot’s notice were withdrawn. To evaluate the concerns and issues financial strength for that institution.36 risk, and reputation risk. The GAO raised with respect to the Wal-Mart and In addition, subsection (d) of section study also discussed concerns about the The Home Depot filings and industrial 38A of the FDI Act provides explicit FDIC’s ability to protect an industrial banks generally, on July 28, 2006, the statutory authority for the appropriate bank from those risks as effectively as FDIC imposed a six-month moratorium Federal banking agency to require the Federal consolidated supervisory 41 on FDIC action with respect to deposit reports from a controlling company to approach under the BHCA. These reports acknowledged the insurance applications and change in assess the ability of the company to FDIC’s supervisory actions to ensure the control notices involving industrial comply with the source of strength independence and safety and soundness 42 The FDIC suspended agency requirement, and to enforce compliance banks. of commercially owned industrial by such company.37 action in order to further evaluate (i) Consistent with section 38A and other banks. The reports further industry developments; (ii) the various authorities under the FDI Act, the FDIC acknowledged the FDIC’s authorities to issues, facts, and arguments raised with has historically required capital and protect an industrial bank from the risks respect to the industrial bank industry; liquidity maintenance agreements posed by its parent company and (iii) whether there were emerging safety (CALMAs) 38 and other written affiliates. These authorities include the and soundness issues or policy issues agreements between the FDIC and FDIC’s authority to conduct involving industrial banks or other risks controlling parties of industrial banks as examinations, impose conditions on and to the DIF; and (iv) whether statutory, well as the imposition of prudential enter into written agreements with an regulatory, or policy changes should be conditions when approving or non- industrial bank parent company, made in the FDIC’s oversight of objecting to certain filings involving an terminate an industrial bank’s deposit industrial banks in order to protect the DIF or important Congressional 39 See 12 U.S.C. 1818 and 1831aa. 43 32 See 12 U.S.C. 1828(j)(1)(A). objectives. 40 See OIG Evaluation 04–048, The Division of 33 In connection with this moratorium, For purposes of section 106 of the BHCA, an Supervision and Consumer Protection’s Approach industrial bank is treated as a ‘‘bank’’ and is subject for Supervising Limited-Charter Depository on August 23, 2006, the FDIC published to the anti-tying restrictions therein. See 12 U.S.C. Institutions (2004), available at https:// a notice and request for comment on a 1843(f)(1). www.fdicig.gov/reports04/04-048.pdf; OIG 34 12 U.S.C. 1820(b)(4). wide range of issues concerning Evaluation 06–014, The FDIC’s Industrial Loan 44 35 industrial banks. The FDIC received Public Law 111–203, 124 Stat. 1376 (July 21, Company Deposit Insurance Application Process 2010). (2006), available at https://www.fdicig.gov/ 36 12 U.S.C. 1831o–1(b). reports06/06-014.pdf; U.S. Gov’t Accountability 42 See Moratorium on Certain Industrial Loan 37 See 12 U.S.C. 1831o–1(d). Office, GAO–05–621, Industrial Loan Corporations: Company Applications and Notices, 71 FR 43482 38 When the FDIC has required a CALMA, the Recent Asset Growth and Commercial Interest (Aug. 1, 2006). capital levels required generally have exceeded the Highlight Differences in Regulatory Authority (Sept. 43 Id. at 43483. average thresholds required of community banks, 2005), available at https://www.gao.gov/products/ 44 See Industrial Loan Companies and Industrial due to the risks involved in the business plans of GAO-05-621(GAO-05-621). Banks, 71 FR 49456 (Aug. 23, 2006). The Notice many industrial banks. 41 GAO–05–621. included questions concerning the current risk
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over 12,600 comment letters in response to assess the parent company’s the advent of the crises, applications to to the notice.45 The substantive continuing ability to serve as a source of form de novo insured institutions, or to comments related to the risk profile of strength for the insured industrial bank, acquire existing institutions, declined the industrial bank industry, concerns and to identify and respond to problems significantly, including with respect to over the mixing of banking and or risks that may develop in the industrial banks. commerce, the FDIC’s practices when company or its subsidiaries. H. Dodd-Frank Act and Industrial Banks making determinations in industrial Similar to this final rule, the 2007 bank applications and notices, whether NPR would have required a parent As discussed above and in reaction to commercial ownership of industrial company to enter into a written the 2008–09 financial crisis, the Dodd- banks should be allowed, and perceived agreement with the FDIC containing Frank Act amended the FDI Act by needs for supervisory change. required commitments related to the adding section 38A.50 Under section The moratorium was effective through examination of, and reporting and 38A, for any insured depository January 31, 2007, at which time the recordkeeping by, the industrial bank, institution that is not a subsidiary of a FDIC extended the moratorium one the parent company, and its affiliates. BHC or SLHC, the appropriate Federal additional year for deposit insurance The majority of commenters did not banking agency for the insured applications and change in control oppose these requirements, noting the depository institution must require any notices for industrial banks that would FDIC already has authority to collect company that directly or indirectly be owned by commercial companies.46 such information under section 10(b)(4) controls such institution to serve as a The moratorium was not applicable to of the FDI Act.48 Many commenters, source of financial strength for the industrial banks to be owned by however, objected to limiting parent institution.51 financial companies. company representation on the Through the Dodd-Frank Act, G. 2007 Notice of Proposed Rulemaking industrial bank subsidiary’s board of Congress also imposed a three-year (NPR)—Part 354 directors to 25 percent, and argued moratorium on the FDIC’s approval of instead for requiring that a majority of deposit insurance applications for In addition to extending the directors be independent. The majority industrial banks that were owned or moratorium for one year with respect to 52 of commenters stated that the FDIC controlled by a commercial firm. The commercial parent companies, the FDIC should not impose capital requirement Dodd-Frank Act moratorium also published for comment a proposed rule commitments as contemplated in the applied to the FDIC’s non-objection to designed to strengthen the FDIC’s 2007 NPR on commercial parents of any change in control of an industrial consideration of applications and industrial banks because a one-size-fits bank that would place the institution notices for industrial banks to be all regulatory approach to capital under the control of a commercial controlled by financial companies not firm.53 The moratorium expired in July subject to Federal consolidated bank requirements would not be appropriate due to the idiosyncratic business 2013, without any further action by supervision, identified as part 354 (2007 Congress. NPR).47 The 2007 NPR would have models and operations of such parent companies. In addition, the Dodd-Frank Act imposed requirements on applications directed the GAO to conduct a study of for deposit insurance, merger Though the 2007 NPR did not affect industrial banks that would be the implications of removing all applications, and notices for change in exceptions from the definition of control that would result in an controlled by companies engaged in commercial activities, several ‘‘bank’’ under the BHCA. The GAO industrial bank becoming a subsidiary report was published in January of of a company engaged solely in commenters addressed the distinction between industrial banks owned by 2012.54 This report examined the financial activities that is not subject to number and general characteristics of Federal consolidated bank supervision financial and nonfinancial companies. by either the FRB or the then-existing Two commenters contended that the FDIC lacked authority to draw a kinds, both inside and outside the traditional Office of Thrift Supervision (OTS). The banking system, and thus endangered the financial rule would have established safeguards distinction between financial and system itself. Second, a banking crisis, nonfinancial industrial bank owners accompanied by a swiftly increasing number of both troubled and failed insured depository profile of the industrial bank industry, safety and absent a change in law. Several soundness issues uniquely associated with commenters argued that drawing such a institutions, began in 2008 and continued until ownership of such institutions, the FDIC’s practice 2013. distinction would essentially repeal the 50 with respect to evaluating and making See 12 U.S.C. 1831o–1. exception of industrial banks from the 51 determinations on industrial bank applications and 12 U.S.C. 1831o–1(b). This amendment also notices, whether a distinction should be made definition of ‘‘bank’’ in the BHCA. There requires the appropriate Federal banking agency for when the industrial bank is owned by an entity that was little consensus among commenters a BHC or SLHC to require the BHC or SLHC to serve is commercial in nature, and the adequacy of the as to whether commercially owned as a source of financial strength for any subsidiary FDIC’s supervisory approach with respect to of the BHC or SLHC that is a depository institution. industrial banks. industrial banks pose unique safety and 12 U.S.C. 1831o–1(a). 45 Approximately 12,485 comments on the notice soundness issues. 52 Public Law 111–203, title VI, section 603(a), were generated either supporting or opposing the The FDIC did not finalize the 2007 124 Stat. 1597 (2010). Section 603(a) also imposed proposed industrial bank to be owned by Wal-Mart NPR. Although multiple factors a moratorium on FDIC action on deposit insurance or the proposed acquisition of Enerbank, also an contributed to the FDIC’s decision to not applications by credit card banks and trust banks industrial bank, by The Home Depot. The remaining owned or controlled by a commercial firm. The comment letters were sent by individuals, law advance a final rule, the most significant Dodd-Frank Act defined a ‘‘commercial firm’’ for firms, community banks, financial services trade factor was the onset of two this purpose as a company that derives less than 15 associations, existing and proposed industrial banks interconnected and overlapping crises: percent of its annual gross revenues from activities or their parent companies, the Conference of State that are financial in nature, as defined in section Bank Supervisors, and two members of Congress. the financial crisis of 2008–09, and the 4(k) of the BHCA (12 U.S.C. 1843(k)), or from 49 46 See Moratorium on Certain Industrial Bank banking crisis from 2008 to 2013. With ownership or control of depository institutions. Applications and Notices, 72 FR 5290 (Feb. 5, 53 Id. 2007). 48 See 12 U.S.C. 1820(b)(4). 54 See U.S. Government Accountability Office, 47 See Industrial Bank Subsidiaries of Financial 49 See Crisis and Response, An FDIC History, GAO–12–160, Characteristics and Regulation of Companies 72 FR 5217 (Feb. 5, 2007); see also 2008–2013, available at https://www.fdic.gov/bank/ Exempt Institutions and the Implications of https://www.fdic.gov/news/news/press/2007/ historical/crisis/. The financial crisis in 2008 and Removing the Exemptions (Jan. 2012), available at pr07007.html. 2009 threatened large financial institutions of all https://www.gao.gov/products/GAO-12-160.
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exempt institutions, the Federal • Causing an independent annual FDI Act,59 including rules to ensure the regulatory system for such institutions, audit of each industrial bank. safety and soundness of industrial banks and potential implications of subjecting • Limiting the Covered Company’s and to protect the DIF. Moreover, as the the holding companies of such representation on the industrial bank’s only agency with the power to grant or institutions to BHCA requirements. The board of directors or managers (board), terminate deposit insurance, the FDIC GAO report noted that the industrial as the case may be, to 25 percent. has a unique responsibility for the safety bank industry experienced significant • Maintaining the industrial bank’s and soundness of all insured 60 asset growth in the 2000s and, during capital and liquidity at such levels as institutions. In granting deposit this time, the profile of industrial banks insurance, the FDIC must consider the deemed appropriate and take other 61 changed: Rather than representing a action necessary to provide the factors in section 6 of the FDI Act; class of small, limited-purpose industrial bank with a resource for these factors generally focus on the institutions, industrial banks became a additional capital or liquidity. safety and soundness of the proposed diverse group of insured institutions institution and any risk it may pose to • Entering into a tax allocation with a variety of business lines.55 the DIF. The FDIC is also authorized to agreement.58 Ultimately, the GAO found that Federal permit or deny various transactions by regulation of the exempt institutions’ The proposal also set forth the FDIC’s State nonmember banks, including parent companies varied, noting that authority to require, as an additional merger and change in bank control FDIC officials interviewed in connection commitment, a contingency plan that, transactions, based to a large extent on with the study indicated that among other items, provides a strategy safety and soundness considerations supervision of exempt institutions was for the orderly disposition of the and on its assessment of the risk to the adequate, but also noted the added industrial bank without the need for the DIF.62 benefit of Federal consolidated appointment of a receiver or The FDIC has the responsibility to supervision. Finally, data examined by conservator. consider filings based on statutory the GAO suggested that removing the Recently, a number of companies criteria and make decisions. Following BHCA exceptions would likely have a have considered options for providing the publication of the proposed rule, the limited impact on the overall credit financial products and services by FDIC approved two deposit insurance market, chiefly because the overall establishing an industrial bank applications, by Square Financial and market share of exempt institutions was, subsidiary. Many companies have Nelnet, to create de novo industrial at the time of the study, small.56 publicly noted the benefits of deposit banks, the first such approvals since insurance and establishing a deposit- 2008. The FDIC determined that the III. The Proposed Rule taking institution. Although many applications satisfied the seven On March 31, 2020, the FDIC interested parties operate business statutory factors under section 6 of the published a notice of proposed models focused on traditional FDI Act, and the FDIC’s approval of rulemaking (NPR or proposal) to community bank products and services, deposit insurance for these industrial establish a supervisory framework for others operate unique business models, banks fulfilled the Agency’s statutory industrial banks and their parent some of which are focused on responsibility. As part of both companies that are not subject to innovative technologies and strategies, approvals, the FDIC required the Federal consolidated supervision.57 The including newer business models industrial banks and their parent proposed rule required certain employed by fintech firms that utilize companies to enter into CALMAs and conditions, commitments, and novel or unproven products or Parent Company Agreements to protect restrictions for each deposit insurance processes. the industrial bank and address application approval, non-objection to a Some of the companies recently potential risks to the DIF. change in control notice, and merger exploring an industrial bank charter The FDIC invited comment on all application approval that would result engage in commercial activities or have aspects of the March 2020 proposal, in an industrial bank becoming a diversified business operations and including questions posed by the subsidiary of a company not subject to activities that would not otherwise be Agency. The comment period for the 63 consolidated supervision by the FRB. permissible for BHCs under the BHCA proposed rule ended on July 1, 2020. The proposal required such a Covered and applicable regulations. Given the continuing interest in the establishment 59 ‘‘[T]he Corporation . . . shall have power . . . Company to enter into one or more [t]o prescribe by its Board of Directors such rules written agreements with the FDIC and of industrial banks, particularly with and regulations as it may deem necessary to carry the industrial bank subsidiary. The regard to proposed institutions that plan out the provisions of this chapter or of any other commitments included: to implement specialty or limited law which it has the responsibility of administering • purpose business models, including or enforcing (except to the extent that authority to Furnishing an initial listing, with issue such rules and regulations has been expressly annual updates, of the Covered those focused on innovative and exclusively granted to any other regulatory Company’s subsidiaries. technologies, the FDIC believes a rule is agency).’’ 12 U.S.C. 1819(a)(Tenth). • Consenting to FDIC examination of appropriate to provide necessary 60 See 12 U.S.C. 1815, 1818(a). 61 the Covered Company and its transparency for market participants. Such factors are the financial history and Through this final rule, the FDIC is condition of the depository institution, the subsidiaries. adequacy of the depository institution’s capital • Submitting an annual report on the formalizing its framework to supervise structure, the future earnings prospects of the Covered Company and its subsidiaries, industrial banks and mitigate risk to the depository institution, the general character and fitness of the management of the depository and such other reports as requested. DIF that may otherwise be presented in the absence of Federal consolidated institution, the risk presented by such depository • institution to the DIF, the convenience and needs Maintaining such records as the supervision of an industrial bank and its FDIC deemed necessary. of the community to be served by such depository parent company. institution, and whether the depository institution’s The FDIC has the authority to issue corporate powers are consistent with the purposes 55 Id. at 13. of the FDI Act. See 12 U.S.C. 1816. 56 The GAO did not recommend repeal of the rules to carry out the provisions of the 62 See 12 U.S.C. 1817(j), 1828(c), and 1828(d). exemption. 63 Given the disruptions caused by the COVID–19 57 85 FR 17771 (Mar. 31, 2020). 58 See proposed § 354.4(a)(1) through (8). global pandemic, the FDIC announced on May 27,
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The FDIC received 29 comments from proposed rule and expressed a range of Congressional exception of industrial industry group/trade associations, concerns, which are discussed below. banks from the BHCA’s restrictions on insured depository institutions, commercial affiliations and the FDIC’s 1. Banking and Commerce consumer and public interest groups, statutory obligations to receive and State banking regulator(s), law firms, a Commenters’ criticism of the process applications related to member of Congress, academics, and industrial bank charter, and by industrial banks. other interested parties.64 In addition, extension the proposed rule, is focused, These commenters also argued that the FDIC received three letters related to in part, on the mixing of banking and allowing commercial firms and the subject matter considered in the commerce through the commercial industrial banks to combine could proposed rule prior to the formal ownership of an industrial bank. The potentially lead to conflicts of interest comment period. The FDIC is now main argument is that commercial in the lending process and undue finalizing the proposed rule, with ownership of an industrial bank concentrations of economic power— changes based on public comments, as disregards the policy of separation of concerns they contend underlie the described in detail below. banking and commerce embodied in the general prohibition against the mixing BHCA 65 and raises risk to the DIF as a of commerce and banking in the BHCA. IV. Discussion of General Comments result of a lack of Federal consolidated As noted above, the decision to allow and Final Rule supervision over the commercial parent commercial firms to own industrial A. General Comments company. banks was a decision made by Congress. Although Federal banking regulation Industrial banks are restricted from Many commenters were supportive of has historically advanced a policy of making favorable loans to their affiliates the FDIC’s overall effort to provide separating banking and commerce, there by sections 23A and 23B of the Federal certainty, clarity, and transparency to is an express Congressional exception of Reserve Act, which quantitatively and the supervisory framework for the industrial banks from the BHCA’s qualitatively limit transactions between parent companies and affiliates of restrictions on commercial affiliations.66 an industrial bank and its affiliates.67 industrial banks. A number of The CEBA exception does not limit Furthermore, section 23B of the Federal commenters were generally supportive eligible parent companies to those Reserve Act requires that any of the industrial bank charter citing the engaged in financial activities. The transaction between a bank and its benefits of charter choice, increased FDIC’s responsibility is to implement affiliates must be ‘‘on terms and under competition, and the provision of the law as it exists today. Whether circumstances, including credit financial services. These commenters commercial firms should continue to be standards, that are substantially the asserted the charter poses no increased able to own industrial banks is a policy same, or at least as favorable to [the] risk to the DIF. In their view, the parent decision for Congress to make. bank or its subsidiary as those companies serve as an important source Some commenters requested that the prevailing at the time for comparable of strength and governance for the FDIC impose a new moratorium on transactions’’ with unaffiliated subsidiary industrial bank. They deposit insurance applications companies.68 All covered transactions asserted that in times of stress, a involving industrial banks to allow for between an industrial bank and its diversified parent may be in a better legislative action. Certain commenters affiliates must be on terms and position to provide capital support to a argued that a moratorium, or a delay in conditions that are consistent with safe bank subsidiary than a BHC whose the rulemaking more generally, was and sound banking practices.69 assets consist almost entirely of the important in light of the current Commenters’ competition concerns bank subsidiary. These commenters also economic stress and uncertainty caused were based on the possibility that large argued that an industrial bank benefits by the COVID–19 pandemic. The commercial or technology firms will from its business relationship with the purpose of this final rule is to ensure acquire industrial banks and lead to parent, for example, through marketing adequate oversight of industrial banks commercial and financial conglomerates support and fewer start-up costs. State owned by financial and commercial with concentrated and excessive regulators stated that the joint companies. Additional moratoria or economic power. These commenters supervisory approach to supervising delays in processing and considering were concerned that the FDIC will not industrial banks with the FDIC has been applications are outside the scope of adequately consider the anti-trust effective, and industrial banks with this rulemaking and would be implications of commercial and commercial parents do not present an inconsistent with the express financial conglomerates. The FDIC outsized safety and soundness risk. recognizes that there is a possibility that Comments submitted by bank trade 65 See Federal Reserve Bank of San Francisco, Economic Letter 1998–21, The Separation of large and complex companies may seek associations, consumer groups, and Banking and Commerce (July 3, 1998), available at to acquire an industrial bank as academics were generally critical of the https://www.frbsf.org/economic-research/ emerging technologies and other trends publications/economic-letter/1998/july/separation- are leading to changes in the provision banking-commerce/. 2020, that it would extend the comment period of banking services. The FDIC has from June 1, 2020, to July 1, 2020, to allow 66 The legislative history of the CEBA offers no interested parties additional time to analyze the explanation of why this exception was adopted. discretion to evaluate the competitive proposal and prepare comments. While the industrial bank exception was included effects of such proposals when 64 On March 15, 2020, bank trade groups, and in the Senate version of the Act, the House version considering a deposit insurance omitted it. The Conference report does not shed consumer and civil rights groups sent a letter to the application, specifically the statutory FDIC urging the agency not to approve deposit much light: insurance applications submitted by industrial INDUSTRIAL LOAN COMPANY EXEMPTION factors of the risk to the DIF and the banks until the NPR is finalized. See https:// SECTION 2(C) (2) (H) OF THE BANK HOLDING convenience and needs of the bpi.com/consumer-civil-rights-groups-industry- COMPANY ACT community to be served, in order to urge-fdic-halt-approval-of-industrial-bank- The Senate amendment exempts from the ensure the market for the provision of applications-close-ilc-loopholes-first/. On July 29, definition of ‘‘bank’’ certain industrial banks; 2020, some of the same groups sent a letter to industrial loan companies, or other similar Congress requesting a three-year moratorium on institutions. The House recedes to the Senate. 67 12 U.S.C. 371c(a)(1), 371c–1(a)(1); see also 12 industrial bank licensing applications. See https:// Conference Report to accompany H.R. 27— U.S.C. 1828(j). bpi.com/banking-and-consumer-groups-call-on- Competitive Equality Banking Act of 1987 (July 31, 68 12 U.S.C. 371c–1(b). congress-to-close-ilc-loophole/. 1987), at 121. 69 12 U.S.C. 371c(a)(4).
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banking services remains competitive As discussed in the proposed rule, the Reserve Act and need not pose and safe and sound.70 Moreover, the FDIC has both the authority and the excessive risk to the bank or the banking FDIC must consider the anticompetitive capacity to effectively regulate system. effects of a transaction when it is industrial banks and their parent The rule also strengthens the FDIC evaluating a notice under the Change in companies, and this rule strengthens the supervisory framework in the area of Bank Control Act (CBCA) or an FDIC’s supervision. The FDIC uses its contingency planning. This rule allows application under the Bank Merger supervisory authorities to mitigate the the FDIC to impose a contingency plan Act.71 Recognizing that the business risks posed to insured depository requirement, as needed, which will lead models proposed by industrial banks are institutions whose parent companies are the FDIC, as well as the Covered evolving (e.g., the increasing interplay not subject to consolidated supervision. Company and its subsidiary industrial of services between the bank and its In considering applications for deposit bank, to a better understanding of the nonfinancial affiliates), the FDIC is insurance and mergers, as well as interdependencies, operational risks, issuing this rule in order to help ensure change in control notices, the FDIC uses and other circumstances or events that the safety and soundness of industrial prudential conditions, as needed, to could create safety and soundness banks that become subsidiaries of ensure sufficient autonomy and concerns for the insured industrial bank Covered Companies. insulation of the insured depository and attendant risk to the DIF. When institution from its parent and affiliates. imposed, this additional commitment 2. Lack of Federal Consolidated The FDIC also requires CALMAs, which will provide for recovery actions that Supervision generally exceed the minimum capital address any financial or operational Many commenters that were critical requirements for traditional community stress that may threaten the industrial of the proposed rule also argued that the banks, and other written agreements bank. potential future expansion of banks between the FDIC and controlling Finally, the FDIC’s oversight and operating under the CEBA exception parties of industrial banks. These enforcement power extends to the threatens the Federal safety net because agreements are enforceable under parent or affiliates of any industrial the FDIC lacks the statutory tools to sections 8 and 50 of the FDI Act. In bank whose activities affect that bank, adequately examine and supervise addition, under section 38A of the FDI further protecting the industrial bank 76 industrial banks and their parents and Act, the FDIC is required to impose a from risky activities of affiliates. affiliates. These commenters noted for requirement on companies that directly The FDIC has not found that instance the many ecommerce affiliate or indirectly own or control an industrial banks pose unique safety and relationships of a large, overseas parent industrial bank to serve as a source of soundness concerns based on the company. The FDIC sought comment on financial strength for that institution.73 activities of the parent organization. whether the commitments requiring Subsection (d) of section 38A of the FDI Industrial banks are subject to all of the examination and reporting included in Act also provides explicit statutory same restrictions and requirements, the proposed rule were the best authority for the appropriate Federal regulatory oversight, and safety and approach to gain transparency and banking agency to require reports from soundness exams as any other kind of insured depository institution. As such, identify any potential risk to the a controlling company to assess the the risks posed are substantially similar industrial banks. A number of ability of the company to comply with to those of all other charter types. A commenters argued that the eight the source of strength requirement, and number of commenters noted that two commitments in the FDIC’s proposed to enforce compliance by such 74 industrial banks failed during the recent rule ‘‘fail to achieve parity with the company. These prudential conditions financial crisis. While these failed regime of consolidated supervision and requirements will be embodied in institutions were owned by parent required for BHCs.’’ Elements they written agreements consistent with the companies not subject to Federal viewed as lacking included framework established by this final rule. consolidated supervision, the failures consolidated capital and liquidity In addition, an important focus of the FDIC’s examination and supervision were not the result of factors related to standards for the Covered Company, the industrial bank charter, as further including both the industrial bank and program is evaluating and mitigating risk to insured depository institutions discussed below. all affiliated entities under common Certain commenters also observed ownership, examination for compliance from affiliates. This includes examining the insured depository institution for that several large corporate owners of with the Volcker Rule requirements, industrial banks experienced stress sections 23A and 23B, and provisions in compliance with laws and regulations, including affiliate transaction limits and during the 2008–09 financial crisis. In the Gramm-Leach-Bliley Act (GLBA) 72 capital maintenance.75 some cases, the parent organizations on data safeguards and privacy of The examination reviews envisioned under this final rule ultimately filed bankruptcy, while customer information. Such others pursued strategies to resolve the commenters also argued that the FDIC provide the basis and opportunity to more fully evaluate the institution’s stress, including through access to does not have the authority to conduct government programs intended to full-scope examinations across any and affiliate relationships. As noted above, most conflict situations affecting banks alleviate the effects of the crisis within all affiliates, including the parent the financial services sector. These company, in their own right. Several and their affiliates can be mitigated through the supervisory process and programs included the FDIC’s commenters suggested that the FDIC ask Temporary Liquidity Guarantee Program Congress to transfer the supervision of application of the restrictions in sections 23A and 23B of the Federal (TLGP) and the Troubled Asset Relief parent companies of industrial banks to Program (TARP) administered by the the FRB to conduct consolidated 73 12 U.S.C. 1831o–1(b). Department of the Treasury. Desired supervision. 74 See 12 U.S.C. 1831o–1(d). access to these programs contributed to 75 See Report to the Congress and the Financial several companies pursuing conversions 70 As part of its considerations, the FDIC may also Stability Oversight Council Pursuant to Section 620 of an industrial bank to a commercial seek the views of other Federal agencies. of the Dodd-Frank Act (Sept. 2016). The 2016 joint 71 See 12 U.S.C. 1817(j)(7)(A), (B); 1828(c)(5). report evaluated the risks of bank activities and bank, which required approval of the 72 Financial Services Modernization Act of 1999, affiliations, as required by section 620 of the Dodd- Public Law 106–102, 113 Stat. 1338 (1999). Frank Act. 76 See 12 U.S.C. 1820(b) and 1820(b)(4)(A).
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parent company to become a BHC institutions, including industrial banks, In the absence of a single, subject to regulation and supervision by that exceed those imposed on most comprehensive Federal law regulating the FRB. other business types. Specifically, the privacy and the collection use, However, it is important to note that GLBA and implementing rules (1) processing, disclosure, security, and each institution or company described impose limitations on information disposal of personal information, the in the comments was engaged in sharing between financial institutions FDIC will continue to supervise and activities permissible for all Federal and and nonaffiliated third parties and examine industrial banks and enforce State banks, BHCs, or financial holding require disclosure of information compliance with the GLBA and all other companies, as evidenced by the ability sharing policies and practices to Federal consumer protection laws and to gain approval for the conversions to consumers and customers, and (2) regulations. In addition, and in response commercial banks and BHCs. Further, require financial institutions to develop, to the concerns expressed by the types and degree of stress were also implement, and maintain commenters that a Covered Company experienced by many other insured comprehensive information security and affiliates that are not engaged in depository institutions and banking programs.78 However, businesses that financial services would not be covered companies, some of which also sought are not subject to the GLBA are not free by the GLBA, the FDIC is including in participation in TLGP and/or TARP, from all privacy and data protection the final rule a requirement for a failed, or pursued transactions to requirements. There are other Federal Covered Company to inform the FDIC restructure the organization, merge, or laws that address privacy and data about its systems for protecting the raise capital to alleviate stress or avert protection that may apply to a Covered security, confidentiality, and integrity of failure. As such, the circumstances Company and its affiliates as well as consumer and nonpublic personal involving the companies highlighted in financial institutions. As one example, information, as part of the Covered the comments were not dissimilar to the Fair Credit Reporting Act (FCRA) Company’s commitment to submit an those facing other banking companies, establishes standards for collection and annual report to the FDIC. This including companies subject to Federal permissible purposes for dissemination reporting will provide the FDIC with a consolidated supervision. of data by consumer reporting agencies better understanding across all of a 3. Consumer Protection Risks and obligations on furnishers of Covered Company’s financial and information. As another example, nonfinancial affiliates and activities and Commenters opposed to the proposed section 5 of the Federal Trade provide the means to monitor for rule also argued that the growth in Commission Act (FTC Act) provides potential consumer protection risks. industrial banks poses broader broad authority to the FTC to pursue The FDIC will evaluate privacy and consumer protection risks. They unfair and deceptive trade acts and data protection issues presented by a asserted that the parent companies of practices against most businesses arising deposit insurance application, a change industrial banks are not subject to in control notice, or a merger Federal financial privacy and from privacy and data protection 79 application involving an industrial bank information security requirements and practices. Further, the Dodd-Frank Act on a case-by-case basis. When the absence of these requirements granted the Consumer Financial appropriate, the FDIC may consider creates risk for customers of the Protection Bureau (CFPB) broad imposing heightened requirements industrial banks, whether or not they authority to enforce unfair, deceptive, specific to industrial banks and Covered also obtain products and services from and abusive acts and practices related to Companies regarding the use of the parent companies or nonfinancial consumer financial products and consumer financial data for commercial affiliates. BHCs and SLHCs are limited services that may cover the activities of 80 purposes. Decisions will be based on the in their use of consumer financial data a Covered Company and its affiliates. size and complexity of the industrial for commercial purposes. These Adding to the complexity at the Federal bank, the nature and scope of its commenters asserted that industrial level, States have enacted laws bank parent companies should be governing the collection, use, activities, the sensitivity of any subject to the same restrictions. protection, and disclosure of personal customer information at issue, and the While there is no general Federal information. Many States have unique facts and circumstances of the regime covering how nonpublic consumer protection and privacy laws filing before the FDIC. personal information held in the U.S. as well as laws similar to the FTC Act Certain commenters expressed may be disclosed or how it must be that prohibit unfair or deceptive concerns about industrial bank and secured, financial institutions, business practices.81 nonbank partnerships that the including industrial banks, are subject commenters believe have led to 82 to Title V of the GLBA.77 The GLBA and 78 See, e.g., 12 CFR part 332, Privacy of Consumer increased predatory lending. A major its implementing regulations, cited by Financial Information. 79 The FTC is empowered to seek injunctive relief Cal. Legis. Serv. Prop. 24 (2020). The Massachusetts some commenters, impose a range of and voluntary consent decrees that can result in Data Security Regulation includes State-level privacy obligations on financial FTC oversight of a company for a period of up to general data protection security requirements. 201 20 years and may carry financial penalties for future Mass. Code Regs. 17.00 et seq. The Act to Protect 77 Subtitle A of Title V of the GLBA, captioned violations. The Federal banking agencies enforce the Privacy of Online Consumer Information ‘‘Disclosure of Nonpublic Personal Information,’’ section 5 as to financial institutions under their enacted by the Maine legislature is another example limits the instances in which a financial institution supervision. of a State law governing the privacy of consumer may disclose nonpublic personal information about 80 The CFPB has been active in the privacy area information. 35–A M.R.S. section 9301. These a consumer to nonaffiliated third parties, and and recently issued an advanced notice of proposed examples underscore the fact that although a requires a financial institution to disclose certain rulemaking (ANPR) seeking input on the financial uniform Federal law has not been enacted, privacy information sharing practices. ‘‘Nonpublic personal records access right granted by section 1033 of the is increasingly in the forefront of the public and information’’ is defined to mean any personally Dodd-Frank Act pertaining to consumer legislators alike. identifiable financial information that is provided information in the control or possession of 82 The concern appears to arise from perceived by the consumer to the financial institution; results consumer financial services providers. 85 FR 71003 abuses of longstanding statutory authority rather from any transaction with the consumer or service (Nov. 6, 2020). than the proposed rule. Congress enacted section 27 performed for the consumer; or is otherwise 81 For example, the California Consumer Privacy of the FDI Act, 12 U.S.C. 1831d, in 1980, permitting obtained by the financial institution, but which is Act of 2018 serves as an omnibus law governing State banks to charge interest at the rate permitted not ‘‘publicly available information.’’ See 15 U.S.C. privacy rights. It was recently amended and by the law of the State where the bank is located, 6801–09. expanded by the California Privacy Rights Act. 2020 Continued
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component of the FDIC’s mission is to legal, and policy considerations for the institutions across the banking industry. ensure that financial institutions treat proposed rule, such that interested In addition, interest in industrial bank consumers and depositors fairly, and parties were able to—and did—submit a charters was affected by changes in operate in compliance with Federal variety of comments on a number of certain State laws that limited the consumer protection, anti- issues raised in and by the proposed ability to form or acquire industrial discrimination, and community rule. banks, and was reflected in the number reinvestment laws. The FDIC addresses A few commenters argued that the of industrial banks seeking conversions the problem of predatory lending by NPR did not adequately discuss the to commercial bank charters. The taking supervisory action, by FDIC’s decision to allow industrial bank factors, collectively, argued against encouraging and assisting banks to serve applications in the wake of both the moving forward with a final rule, as did all sectors of their community, and by temporary moratorium the FDIC put the opportunity to closely monitor the providing consumers with information into place from 2006 to 2008 and the performance of industrial banks during to help make informed financial subsequent 2010 to 2013 moratorium a period of significant stress.88 Congress enacted through the Dodd- decisions. Overall, the performance and Frank Act. To reverse the industrial condition of industrial banks during the 4. Justification for the Proposed Rule bank moratorium without additional most recent banking crises was Several commenters raised concerns details, these commenters suggest, is generally consistent with other FDIC- that the FDIC offered insufficient arbitrary and capricious and violates the justification for the proposed rule. In APA. insured institutions based on assigned particular, commenters argued that the As the Supreme Court has noted, supervisory ratings, which consider proposed rule did not set out a ‘‘Agencies are free to change their each institution’s unique business sufficient factual, legal, or policy basis existing policies as long as they provide model, complexity, and risk profile. for proposed rule, and that there was a reasoned explanation for the From the beginning of 2009 through insufficient discussion of the risks, change.’’ 85 The explanation need not 2011, on average, industrial banks were public policy concerns, and statutory prove that ‘‘the reasons for the new assigned composite and component public interest factors concerning policy are better than the reasons for the ratings similar to other charter types industrial banks. old one; it suffices that the new policy with regard to safety and soundness, The Administrative Procedure Act is permissible under the statute, that consumer protection, and the CRA. (APA) 83 requires a notice of proposed there are good reasons for it, and that Further, the portfolio of industrial banks rulemaking to provide sufficient factual the agency believes it to be better, which reflected similar proportions of detail and rationale for the rule to the conscious change of course institutions that were composite rated 3, permit interested parties to comment adequately indicates.’’ 86 Specifically, 4, or 5 89 during the crisis, as well as a meaningfully.84 ‘‘the agency must examine the relevant similar rate of failure as the portfolio of The proposed rule set out a clear data and articulate a satisfactory traditional community banks. description of the basis for the proposed explanation for its action including a Looking more specifically at financial rule. The NPR discussed the history of rational connection between the facts performance, and notwithstanding their industrial banks in the U.S., both found and the choice made.’’ 87 general focus on nontraditional business generally and in the context of The NPR provided a reasoned models, industrial banks have controversies over the past two decades. discussion of the decision to move experienced, by most key measures of The NPR acknowledged the arguments forward with the proposed rule, as performance and condition, comparable raised by critics, reviewing the potential discussed above. Furthermore, the NPR results to other insured institutions. risks inherent in approving and also explained why it was proceeding Industrial banks tend to maintain higher supervising industrial banks. These now when it chose not to do so with the levels of capital and generate higher include concerns over the mixing of 2007 rulemaking. The NPR noted that earnings. At year-ends 2009 through banking and commerce as well as the the FDIC’s decision not to go forward 2011, industrial banks maintained a risk to the DIF posed by the lack of with the 2007 proposal was rooted in a median tier 1 leverage capital (T1LC) Federal consolidated supervision of number of factors. More specifically, ratio between 13.1 percent and 15.4 parent companies. The NPR also set out while the FDIC considered the percent, whereas, other insured the justification for the proposed rule, comments received on the 2007 institutions maintained a median T1LC including the need to codify and clarify rulemaking, industry conditions and ratio between 9.3 percent and 9.7 supervisory expectations for industrial other factors had the effect of reducing percent. As of June 30, 2020, the median banks and the importance of imposing organizer interest in establishing new T1LC ratio for industrial banks was 14.6 commitments on parent companies to industrial banks. Most notably, interest in organizing new institutions of all ensure the parent company can serve as 88 As noted above in section II.H of this a source of strength for its subsidiary charter types, including industrial Supplementary Information section, after 2013, the industrial bank. The NPR provided banks, diminished given the moratorium imposed by Congress in the Dodd- sufficient discussion of the factual, deteriorating economic and market Frank Act expired by its terms and was not conditions identified as early as mid- renewed. 89 Each financial institution is assigned composite even if that rate exceeds the rate permitted by the 2007. In part, this diminished interest and component ratings for safety and soundness law of the borrower’s State. Federal court reflected the market uncertainty, under the Uniform Financial Institutions Rating precedents reviewing this authority have upheld restricted liquidity, reduced availability System (UFIRS). Under the UFIRS, composite this practice for decades. Section 27 also permits of capital, and difficult interest rate ratings are based on an evaluation and rating of six States to opt out of its coverage by adopting a law, environment experienced by all essential components of an institution’s financial or certifying that the voters of the State have voted condition and operations: Adequacy of capital, the in favor of a provision which states explicitly that quality of assets, the capability of management, the the State does not want section 27 to apply with 85 Encino Motorcars, LLC v. Navarro, 136 S.Ct. quality and level of earnings, the adequacy of respect to loans made in such State. 2117, 2126 (2016). liquidity, and the sensitivity to market risk. 83 5 U.S.C. 551 et seq. 86 F.C.C. v. Fox Television Stations, Inc., 556 U.S. Evaluations of the components take into 84 5 U.S.C. 553(b); see, e.g., National Lifeline 502, 515 (2009). consideration the institution’s size and Association v. F.C.C., 921 F.3d 1105, 1115 (D.C. Cir. 87 Motor Vehicle Mfrs. Ass’n v. State Farm Mut. sophistication, the nature and complexity of its 2019). Auto. Ins. Co., 463 U.S. 29, 43 (1983). activities, and its risk profile.
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percent as compared to 10.3 percent for experienced by industrial banks during approval of the BHC applications was other insured institutions.90 the crisis were not dissimilar from the warranted, based on evaluation of the Similarly, industrial banks reported a circumstances confronting other insured relevant statutory factors and regulatory median return on average assets (ROAA) institutions and were not the result of requirements. Given these ratio of between 0.6 percent and 2.5 factors related to the industrial bank circumstances, the conversions and percent at year-ends 2009 through 2011, charter. In general, the FDIC’s participation in crisis-related programs versus a median ROAA ratio of between supervision helped to isolate the reflected responses to the broader 0.4 percent and 0.7 percent for other insured industrial bank from the stress conditions in all segments of the insured institutions. The median ROAA of the parent organization, which economy, including the financial sector. ratio for industrial banks and other helped in managing the potential risk to Finally, industrial banks did not insured institutions as of June 30, 2020, the industrial bank and the DIF. experience a disproportionate rate of were 1.1 percent and 0.9 percent, Nevertheless, as discussed above, failures when compared to other types respectively.91 several commenters noted the of institutions, and there have not been The capital and earnings ratios for participation of industrial banks or their any industrial bank failures since industrial banks is reflective of the parent organizations in various 2010.94 higher degree of risk inherent in their government programs established This experience with supervision in business models. The specialty nature of during the crisis. There were six the industrial banking space informs the most industrial bank business models, industrial banks (or their parent present rulemaking. The heightened particularly when compared to companies) among the more than 110 source of strength requirements, along traditional community banks (which companies that accessed the debt with other regulatory requirements constitute a large proportion of all other guarantee program component of the included in the final rule, are examples insured institutions), have contributed TLGP, including several owned by of how the FDIC is applying lessons to the maintenance of higher levels of parent companies organized as thrift learned in this rulemaking process. capital and earnings, generally. holding companies. However, it is Some commenters also questioned Additionally, since the mid-2000s, important to note that establishment of why the proposed rule applies to approved filings for industrial banks the TLGP was prompted by the industrial banks that would be owned have largely included CALMAs that unexpected and precipitous market by financial and commercial companies, required higher capital requirements conditions brought on by the related when the FDIC’s 2007 rulemaking was than other insured institutions. housing, financial, and banking crises limited to financial companies and the Further, industrial banks have been that occurred over the period of 2007 FDIC’s extended moratorium applied assigned examination ratings for the through 2011.92 These conditions only to commercial companies. As the capital and earnings components that, impacted even the largest banking FDIC discussed in the proposed rule, on average, were very similar to those of companies in the U.S. and abroad.93 commenters on the 2007 rulemaking other insured institutions. This Some comments noted the crisis-era observed that the FDIC lacked authority generally indicates that industrial banks conversions of industrial banks and to draw a distinction between financial have implemented and maintained their parent organizations to commercial and nonfinancial industrial bank appropriate risk management practices banks and BHCs. Of the conversions owners absent a change in law. The that, given financial condition and noted by commenters, the majority FDIC agrees that the CEBA exception performance, have adequately involved industrial banks that were does not distinguish between compensated for the risks inherent in fundamentally sound, based on the most commercial and financial parent the business models. recent examinations prior to the companies of industrial banks in When compared to other insured conversions. The same held with excluding them from the definition of institutions, industrial banks typically respect to the respective parent ‘‘bank.’’ As discussed above, the FDIC’s maintain a lower volume of liquid assets companies, one of which converted supervisory experience has shown that and rely more heavy on non-core from a thrift holding company to a bank a distinction based on the activities of liabilities to fund longer-term earning holding company during the crisis. In the parent company is not warranted in assets. As a result, while still each case, the FRB determined that this final rule. satisfactory, the liquidity posture for Most crucial, though, is the fact that industrial banks was considered slightly 92 As has been noted in Crisis and Response, the the most recent of the moratoriums lower both during and subsequent to the housing bubble that developed during the early commenters reference expired in 2013. 2000s burst in 2007, bringing the financial system In the ensuing years, Congress has 2008–09 financial crisis. In the FDIC’s ‘‘relatively quickly to the brink of collapse’’ and experience, asset quality has been resulted in the worst economic dislocation in declined to act with regard to industrial comparable between industrial banks decades. Large losses in economic output and large banks. The FDIC, as all agencies, is and other insured institutions, declines in economic indicators were evident, charged with enacting the laws as they including with respect to steep declines in exist today. Therefore, given that the indicating both a manageable volume of employment and household wealth, among other past due loans or other problem assets, indicators. The related banking crisis was also rule is permissible under the statute, as well as satisfactory risk management severe, with almost 500 institutions failing during that it is sufficiently supported by the practices. In addition, management the period of 2008 through 2013. In addition, reasoning presented in the NPR and this between March 2008 and December 2009, the Supplementary Information section, and practices for industrial banks also have number of problem banks rose from 90 to over 700, been in line with that of other insured and ultimately peaked at almost 900 in early 2011. that there is a clear connection between institutions, both during and after the This level constituted nearly 12 percent of all FDIC- the facts at hand and the choice to insured institutions. See note 49. proceed, the rule is a permissible financial crisis. 93 Despite the above, it is important to Some of the industrial banks that were owned change in policy. by thrift holding companies had sister financial The FDIC believes that the final rule, note that some industrial banks institutions that were also FDIC-insured. experienced stress during the 2008–09 Ownership of an industrial bank was not the which is largely consistent with the financial crisis. The circumstances driving force that caused or allowed these entities to issue guaranteed debt through the TLGP. Rather, 94 As noted above, Security Savings Bank, the companies could have accessed the program Henderson, Nevada, failed in February 2009, and 90 FDIC Call Report Data, June 30, 2020. simply by virtue of being a thrift holding company Advanta Bank Corporation, Draper, Utah, failed in 91 Id. or owning an FDIC-insured institution. March 2010.
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proposed rule, is an appropriate that, as of the effective date, are a appropriate means to ensure the safe response to safety and soundness issues subsidiary of a parent company that is and sound operation of the industrial surrounding financial and commercial not subject to Federal consolidated bank. Further, the commenter’s ownership of industrial banks under supervision by the FRB. A number of suggestion would be difficult to existing law. Specific suggestions from commenters expressed the view that the administer because the recommended commenters on the regulation itself are rule, if adopted, should apply only triggers for applicability of the rule— described below in the appropriate prospectively; that is, to industrial engaging in ‘‘nonfinancial’’ activities— sections of this preamble on the specific banks that become a subsidiary of a historically has proven difficult to sections of the rule. parent company that is a Covered define and measure. Accordingly, the Company as of the effective date of the final rule does not adopt the B. Description of the Final Rule rule, noting that existing industrial commenter’s recommendation. 1. Section 354.1—Scope banks and their parents are subject to However, the FDIC will continue to This section of the proposed rule most of the standards of the proposed apply all appropriate supervisory and described the industrial banks and rule. Three commenters requested that enforcement authorities to existing parent companies that would be subject the rule apply to a parent company and industrial banks and their parent to the rule. The proposed rule applied its subsidiary industrial bank if the organizations, as appropriate, to ensure to industrial banks that, after the parent company became a Covered the continued safety and soundness of effective date, become subsidiaries of Company after either the date of FDIC’s the industrial bank. companies that are Covered Companies, notice announcing the FDIC board The FDIC also sought comment on as such term is defined in § 354.2. meeting at which the proposed rule was whether the rule should apply to Industrial bank subsidiaries of considered or the date of the FDIC board industrial banks that do not have a companies that are subject to Federal meeting, rather than the effective date. parent company or to industrial banks consolidated supervision by the FRB Some commenters supported the that are controlled by an individual would not have been covered by the retroactive application of the proposed rather than a company. Several proposed rule. An industrial bank that, rule to all industrial banks that, as of the commenters asserted that it was not on or before the effective date, is a effective date, are a subsidiary of a necessary to apply the requirements of subsidiary of a company that is not parent that is not subject to Federal the proposed rule to industrial banks subject to Federal consolidated consolidated supervision. These without parent companies (or that are supervision by the FRB (a grandfathered commenters asserted that otherwise controlled by an individual rather than industrial bank) generally would not existing industrial banks would enjoy a a company), in part because industrial have been covered by the proposed regulatory advantage over new banks themselves are subject to the rule.95 A grandfathered industrial bank industrial banks. They also argued that same regulatory treatment as State could become subject to the proposed retroactive application would enhance nonmember banks. By contrast, several rule following a grant of deposit the FDIC’s ability to perform its commenters asserted the requirements insurance, change in control, or merger supervisory responsibilities. However, should be applied to such industrial occurring on or after the effective date other commenters expressed concerns banks and/or also to an individual that in which the resulting institution is an that applying the rule retroactively controls an industrial bank. The FDIC industrial bank that is a subsidiary of a would violate the APA as parent believes that industrial banks that are Covered Company. Thus, a companies of existing industrial banks owned by individuals or do not have a grandfathered industrial bank would had no opportunity to consider these parent company generally do not have been subject to the proposed rule, requirements in their decision to present the same potential risks as as would its parent company that is not establish or acquire an industrial bank. industrial banks owned by companies. subject to Federal consolidated These commenters also argued that Industrial banks that are controlled by a supervision, if such a parent company existing industrial banks have a record parent company, whether engaged in acquired control of the grandfathered of sound operations under the existing commercial or financial activities, that supervisory framework. industrial bank pursuant to a grant of are not subject to Federal consolidated In addition, one commenter deposit insurance after the effective supervision present the risks that are recommended that the final rule apply date, a change in bank control addressed by the safeguards in this final to grandfathered industrial banks that rule. In addition, applying the rule to transaction that closes after the effective undergo certain other changes, such as date, or if the grandfathered industrial industrial banks that have a parent when the industrial bank parent company and requiring that the parent bank is the surviving institution in a company acquires a subsidiary engaged merger transaction that closes after the company provide capital support is in nonfinancial activities, or the consistent with the statutory effective date. Industrial banks that are industrial bank parent company engages not subsidiaries of a company, for requirements of section 38A of the FDI in new nonfinancial activities. The final Act. example, those wholly owned by one or rule operates prospectively on the basis more individuals, would not have been After considering these comments of a filing that would result in an regarding the scope of the proposed subject to the proposed rule. industrial bank becoming a subsidiary The FDIC specifically sought rule, the final rule will apply only of a company not subject to prospectively as of the effective date of comment on whether to apply the rule consolidated Federal supervision. In prospectively or to all industrial banks the rule, to industrial banks that become contrast, the suggested triggers, as subsidiaries of companies that are described, would be applied to existing 96 95 Although generally not subject to the rule, Covered Companies. The FDIC must grandfathered industrial banks and their parent industrial banks and their parent companies that are not subject to Federal companies, would not be related to a 96 The proposed rule divided the rule into two consolidated supervision by the FRB will remain filing, and would not necessarily result temporal states, on or before the effective date on subject to FDIC supervision, including but not in any impact to the industrial bank. the one hand, and after the effective date on the limited to examinations and capital requirements. other hand. The final rule amends the dividing line See also the discussion of the reservation of Should such an impact be identified, so that the relevant timeframes would be before the authority in section IV.B.6. of this Supplementary the FDIC would rely on its supervisory effective date and on or after the effective date. This Information. or enforcement authority as the change was made because the effective date is
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consider the requirements of the APA where the FDIC would require a person shares, or otherwise, including to and the Riegle Community Development that controls a Covered Company to join maintain the capital and liquidity levels and Regulatory Improvement Act as a party, such person would be of the subsidiary industrial bank at or (RCDRIA) in determining the effective required to vote their shares or take above FDIC-specified levels. The FDIC date of new regulations, and both of such other appropriate actions to cause intends to make such a determination these statutory schemes generally the Covered Company to fulfill its on a case-by-case basis and will provide for an effective date that follows obligations under the written consider the business plan, capital the date on which the regulations are agreements. The obligation to maintain structure, risk profile, and business published in final form. Thus, the final the subsidiary industrial bank’s capital activities of the Covered Company. rule will be effective on April 1, 2021.97 and liquidity rests with the Covered 2. Section 354.2—Definitions The FDIC also sought comment on Company. whether an individual that controls the Other commenters noted that the This section of the proposed rule parent company of an industrial bank parent company already commits in the listed the definitions that applied to part should be responsible for the CALMA to provide support and were 354. Terms that were not defined in the maintenance of the industrial bank’s concerned that requiring the parent proposed rule that are defined in section capital and liquidity at or above FDIC- company’s shareholders to also provide 3 of the FDI Act had the meanings given specified levels and for causing the a guarantee of support will drive away in section 3 of the FDI Act.98 parent company to comply with the investors. These commenters, however, The term ‘‘control’’ was defined to written agreements, commitments, and were not opposed to a requirement for mean the power, directly or indirectly, restrictions imposed on the industrial the controlling shareholder to commit to to direct the management or policies of bank. The FDIC also asked whether an vote his or her shares to comply with a company or to vote 25 percent or more individual who is the dominant the CALMA. One commenter noted that of any class of voting securities of a shareholder of a Covered Company the Office of the Comptroller of the company and specifically would have should be required to commit to the Currency (OCC) may impose certain included the rebuttable presumption of maintenance of appropriate capital and commitments on the controlling control at 12 CFR 303.82(b)(1) and the liquidity levels. As discussed below, shareholder related to the ownership of presumptions of acting in concert at 12 § 354.3(b) of the proposed rule provided shares and how the controlling CFR 303.82(b)(2) 99 in the same manner that the FDIC may condition a grant of shareholder exercises shareholder and to the same extent as if they applied deposit insurance, issuance of a non- rights. to an acquisition of securities of a objection to a change in control, or Several commenters supported the company instead of a ‘‘covered approval of a merger on an individual approach of imposing certain conditions institution.’’ These definitions are at the level of the Covered Company’s who is a controlling shareholder of a nearly the same as the definitions of controlling shareholder as necessary to Covered Company joining as a party to ‘‘control’’ in the CBCA 100 and the ensure the safety and soundness of the the written agreements required under FDIC’s regulations implementing the subsidiary industrial bank. Some the rule. In such cases where the FDIC CBCA 101 except that they would have commenters asserted that the FDIC would require the controlling broadened the term to apply to control should require the dominant shareholder to join as a party, the of a company and not solely insured shareholders of a parent company to controlling shareholder would be depository institutions so that the maintain appropriate levels of capital required to cause the Covered Company definition can accurately describe the and liquidity. Another commenter to fulfill its obligations under the relationship between the parent argued that the choice of ownership company of an industrial bank and any written agreements through the voting structure should not relieve an of its nonbank subsidiaries, which also of shares, or otherwise. These individual from source of strength and would be affiliates of the industrial obligations include, among other things, other obligations. maintaining each subsidiary industrial The FDIC believes that in order to bank. bank’s capital and liquidity at such ensure that a Covered Company serves Two commenters suggested that the levels as the FDIC deems necessary for as a continuing source of financial rule should incorporate the definition of the safe and sound operation of the strength to the subsidiary industrial control used in the BHCA and its industrial bank (commitment (7)). bank, the FDIC may exercise its implementing regulations. One trade Several commenters criticized the supervisory discretion to require a group commenter argued that such an controlling shareholder requirement. controlling, or dominant, shareholder of approach would lead to consistency in Some commenters argued that an a Covered Company to join as a party to the treatment of parent companies of individual who controls or owns a the written agreements required under insured depository institutions. An parent company should not be held the rule. An individual with controlling industrial bank commenter suggested personally liable for maintaining the ownership has a direct and effective that aligning the proposed rule’s industrial bank’s capital or liquidity. means by which to influence the major definition of control with the BHCA and 102 These commenters expressed concern decisions of the Covered Company by the FRB’s regulatory framework that such a requirement would make it voting shares or by exercising an would create a more uniform system more difficult to attract shareholders influence as a member of the Covered that would make it easier for investors and capital. As noted above, in cases Company’s board of directors. 98 Accordingly, the FDIC is finalizing this 12 U.S.C. 1813. 99 The proposed rule erroneously referred to the commonly understood to be the date upon which requirement in § 354.3(b) as proposed. a rule is effective, not the day before a rule would presumptions set forth at 12 CFR 303.83(b)(1) and take effect. As discussed in the proposed rule, in (2). The final rule corrects that technical error to 97 During the period before the effective date of such cases where FDIC would require correctly refer to § 303.82(b)(1) and (2). the final rule, the FDIC will consider pending the controlling shareholder to join as a 100 12 U.S.C. 1817(j)(8)(B). deposit insurance applications, change in control party, the controlling shareholder would 101 12 CFR 303.80 through 303.88. notices, and merger applications for industrial 102 85 FR 12398 (Mar. 2, 2020); see also banks on a case-by-case basis and impose be required to cause the Covered Regulation Y—Frequently Asked Questions, conditions and requirements as appropriate and Company to fulfill its obligations under available at https://www.federalreserve.gov/ that are consistent with current practice. the written agreements through voting supervisionreg/reg-y-faqs.htm.
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to balance their investment decisions policies of any industrial bank or any to organizationally distance the bank with the regulatory implications of parent company if the company will, from the primary source of strength, certain levels of investment. directly or indirectly, own, control, or most commonly the top tier parent The FDIC has considered these hold with power to vote at least 10 company. Another commenter strongly comments and has decided to retain the percent of any class of voting securities opposed the possible requirement, definition used in the proposed rule. of any industrial bank or any parent arguing that in many cases it would not First, the definition of control proposed company, and either the industrial make sense to create a corporate in the NPR is consistent with the bank’s shares or the parent company’s structure in service of an industrial bank definition of control that the FDIC uses shares are registered under section 12 of that is a small part of the overall in other contexts, namely changes in the Securities Exchange Act of 1934, or activities or assets of a Covered bank control. The FDIC in 2015 no other person (including a company) Company. amended its filing requirements and will own, control, or hold with power Another commenter argued that processing procedures for notices filed to vote a greater percentage of any class complex diversified Covered Companies under the CBCA with respect to of voting securities. If two or more that conduct nonfinancial activities proposed acquisitions of State companies, not acting in concert, will must be required to structure their nonmember banks and certain parent each have the same percentage, each financial activities under an companies thereof.103 Among other such company will have control. As intermediate holding company so that things, the FDIC’s CBCA implementing noted above, control of an industrial the intermediate holding company may regulations adopted the best practices of bank can be indirect. For example, be subjected to enhanced supervision. the related regulations of the OCC and company A may control company B, The final rule will not require a FRB, rendering more consistent the which in turn may control company C Covered Company that conducts CBCA implementing regulations of the which may control an industrial bank. activities other than financial activities Federal banking agencies. Company A and company B would each to conduct some or all of its financial Second, the FDIC is not the Federal have indirect control of the industrial activities (including ownership and banking agency responsible for bank, and company C would have direct control of an industrial bank) through implementing and interpreting the control. As a result, the industrial bank an intermediate holding company.109 BHCA and has not developed precedent would be a subsidiary of companies A, The FDIC believes that such a structure for the implementation of the BHCA. In B, and C. is not required to adequately supervise adopting the CBCA implementing One commenter observed that the industrial banks and their parent regulations, the FDIC noted that it found Supplementary Information for the companies. the logic of the FRB’s interpretations proposed rule characterized BHCs and The final rule includes the definition regarding control under the BHCA SLHCs as generally prohibited from of Covered Company as proposed with 108 useful in analyzing fact patterns under engaging in commercial activities. one revision: The proposed rule defined the CBCA, but did not adopt the FRB’s This commenter noted that a Covered Company as a company that interpretations, preferring instead to grandfathered unitary SLHCs are is not subject to Federal consolidated review each case based on the facts and permitted to engage in certain supervision by the FRB and that circumstances presented.104 ‘‘grandfathered’’ activities, which may controls an industrial bank as a result of The term ‘‘Covered Company’’ meant include commercial activities and the non-objection to a change in bank any company that is not subject to requested that the FDIC clarify its control, or approval of a merger position with respect to grandfathered Federal consolidated supervision by the transaction or deposit insurance after unitary SLHCs. The FDIC recognizes FRB and that, directly or indirectly, the effective date. The final rule applies that certain grandfathered unitary controls an industrial bank (i) as a result where such a non-objection or approval SLHCs may be able to engage in of a change in bank control under occurs on or after the effective date. commercial activities. Further, as the section 7(j) of the FDI Act,105 (ii) as a This revision is not a change in FDIC FDIC intends to apply the final rule result of a merger transaction pursuant policy, but rather a recognition that the prospectively, a grandfathered unitary to section 18(c) of the FDI Act,106 or (iii) effective date is commonly understood SLHC that is subject to Federal that is granted deposit insurance under to be the date upon which a rule is consolidated supervision would not be section 6 of the FDI Act,107 in each case effective.110 after the effective date of the rule. subject to the final rule. In response to question 5 in the NPR, The FDIC received no comment on a Under these provisions, a company commenters were split on whether to number of definitions: The terms ‘‘FDI would control an industrial bank if the require a Covered Company to form an Act,’’ ‘‘filing,’’ ‘‘FRB,’’ ‘‘industrial company would have the power, intermediate holding company from bank,’’ and ‘‘senior executive officer.’’ directly or indirectly, (i) to vote 25 which to conduct its financial activities. The final rule adopts these terms as percent or more of any class of voting One commenter suggested that there proposed. shares of any industrial bank or any would be limited benefit to requiring a In the NPR, the FDIC requested company that controls the industrial Covered Company that conducts comment on whether the rule should bank (i.e., a parent company), or (ii) to activities other than financial activities include other types of nonbank banks, direct the management or policies of to conduct some or all of its financial in addition to industrial banks. One any industrial bank or any parent activities (including ownership and commenter stated that all bank and company. In addition, the FDIC control of an industrial bank) through financial service companies, including presumes that a company would have an intermediate holding company, industrial banks and other institutions the power to direct the management or observing that any potential benefit that have been excluded from the BHCA could be significantly outweighed by definition of bank (such as credit card 103 80 FR 65889 (Oct. 28, 2015). The FDIC the complexity and cost of received no comments on its approach. 109 The FDIC may consider requiring an 104 implementing an intermediate holding 80 FR 65889, 65893. intermediate holding company in the case of a 105 12 U.S.C. 1817(j). company structure, and may only serve Covered Company that is not located in the United 106 12 U.S.C. 1828(c). States and presents unique circumstances. 107 12 U.S.C. 1816. 108 See 85 FR at 17772–73. 110 See also supra note 96.
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and limited purpose trust banks) should bank or of a company that controls an maintain the safety and soundness of be subject to a level playing field, industrial bank, the stock of which is industrial banks that are controlled by including subjecting the parent registered under section 12 of the Covered Companies. These required company to Federal consolidated Securities Exchange Act of 1934, or (ii) commitments and other provisions are supervision. Another commenter stated when one Covered Company will intended to establish a level of that it was not necessary to include control another Covered Company that information reporting and parent credit card banks and trust companies directly controls an industrial bank. company obligations similar to that in the scope of the rule because they are Section 354.3(a) of the final rule is which would be in place if the Covered limited purpose institutions. Another unchanged from the proposal. Company were subject to Federal commenter suggested that the rule may As discussed above, proposed consolidated supervision. The be appropriate for other kinds of banks § 354.3(b) allowed the FDIC, in its sole requirements reflect commitments and whose owners are not subject to the discretion, to require, as a condition to additional provisions that, for the most BHCA, but cautioned that there may be the approval of or non-objection to a part, the FDIC has previously required unique issues related to those charters filing, that a controlling shareholder of as a condition of granting deposit that should be considered before a Covered Company join as a party to insurance to industrial banks. The FDIC extending the rule to such institutions. any written agreement required in proposed to include these required The FDIC has decided not to extend § 354.3. In such cases, the controlling commitments in the rule to provide the scope of the final rule at this time shareholder would be required to cause transparency to current and potential to other types of banking institutions the Covered Company to fulfill its industrial banks, the companies that that have parent companies not subject obligations under the written agreement, control them, and the general public. to Federal consolidated supervision. through the voting of shares, or In order to provide the FDIC with These other types of institutions (credit otherwise. more timely and more complete card banks and limited purpose trust In addition to the written agreements, information about the activities, companies) operate under a limited commitments, and restrictions of the financial performance and condition, purpose charter, which narrows the final rule, the FDIC will condition an operations, prospects, and risk profile of range of services they may offer. As a approval of an application or a non- each Covered Company and its result, the FDIC’s experience indicates objection to a notice on one or more subsidiaries, the proposed rule required these charter types have generally not actions or inactions of the applicant or that each Covered Company furnish to presented the broad issues as presented notificant, as deemed appropriate by the the FDIC an initial listing, with annual by industrial banks. FDIC.111 The FDIC may enforce updates, of all of the Covered Commenters also suggested additional conditions imposed in writing in Company’s subsidiaries (commitment terms for which definitions would be connection with any action on any (1)); consent to the FDIC’s examination useful. The FDIC believes that the final application, notice, or other request by of the Covered Company and each of its rule is sufficiently clear that such an industrial bank or a company that subsidiaries to monitor compliance with additional definitions were not controls an industrial bank,112 so it is any written agreements, commitments, determined to be necessary, although not necessary to include provisions conditions, and certain provisions of section IV.B.5. of this Supplementary regarding conditions in the proposed law (commitment (2)); submit to the Information section provides examples rule. FDIC an annual report on the Covered of what will and will not be considered 4. Section 354.4—Required Company and its subsidiaries, and such a ‘‘material change’’ to a business plan Commitments and Provisions of Written other reports as the FDIC may request requiring prior FDIC approval. Agreement (commitment (3)); maintain such 3. Section 354.3—Written Agreement records as the FDIC deems necessary to The FDIC historically has included assess the risks to the industrial bank This section of the proposed rule conditions in deposit insurance and to the DIF (commitment (4)); and prohibited any industrial bank from approval orders for industrial banks that cause an independent audit of each becoming a subsidiary of a Covered are intended to create a sufficient subsidiary industrial bank to be Company unless the Covered Company supervisory structure with respect to a performed annually (commitment (5)). enters into one or more written Covered Company. The commitments In the NPR, the FDIC sought comment agreements with the FDIC and its that the FDIC has required industrial on whether the proposed commitments subsidiary industrial bank. In such banks and their parent companies to requiring examination and reporting agreements, the Covered Company undertake in written agreements have serve the supervisory purpose of would make certain required varied on a case-by-case basis, transparency and identifying any commitments to the FDIC and the depending on the facts and potential risks to the industrial bank industrial bank, including those listed circumstances and the particular and whether there was a better approach in paragraphs (a)(1) through (8) of concerns the FDIC has identified during for supervising a Covered Company. As § 354.4, the restrictions in § 354.5, and the review of the application materials. discussed above in section IV.A.2. of such other provisions as the FDIC may Section 354.4 of the proposed rule this Supplementary Information section, deem appropriate in the particular required each party to a written a number of commenters were generally circumstances. When two or more agreement to comply with paragraphs critical of the proposed commitments as Covered Companies will control (as the (a)(1) through (8). These required being inadequate and failing to achieve term ‘‘control’’ is defined in § 354.2), commitments are intended to provide parity with the regime of consolidated directly or indirectly, the industrial the safeguards and protections that the supervision required for BHCs. The bank, each such Covered Company FDIC believes are prudent to impose to FDIC believes that the examination would be required to execute such reviews envisioned under the final rule written agreement(s). This circumstance 111 See 12 CFR 303.11(a) (‘‘The FDIC may enhance the existing supervisory could occur, for example, (i) when two approve, conditionally approve, deny, or not object practices and allow for a more robust to a filing after appropriate review and or more Covered Companies will each consideration of the record.’’). See 12 CFR 303.2(bb) evaluation of the industrial bank’s have the power to vote 10 percent or for a list of standard conditions. affiliate relationships. In addition, the more of the voting stock of an industrial 112 12 U.S.C. 1818(b); 1831aa(a). FDIC believes the enhanced reporting
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requirements in the final rule are organization that are relevant to the condition and results of operations of consistent with section 38A(d) of the industrial bank. One commenter the Covered Company, which may FDI Act, which provides explicit supported carving out functionally negatively impact its ability to serve as statutory authority for the FDIC to regulated entities from the scope of the a source of strength for the industrial require reports from a controlling required commitments in § 354.4 to be bank. company of an industrial bank to assess consistent with ‘‘jurisdictional The FDIC believes that the the ability of the company to comply boundaries’’ contemplated by the GLBA. relationship of a bank with its affiliated with the source of strength requirement, While functionally regulated financial organizations is important to the and to enforce compliance by such firms do not raise the types of concerns analysis of the condition of the bank company.113 The final rule adopts these that commercial firms do with respect to itself. Because of commonality of commitments as proposed, other than as industrial banks, different regulatory ownership or management that may described below. Implementation of the supervisors will have different exist, transactions with affiliates may rule positions the FDIC to better protect supervisory approaches and will be not be subject to the same sort of the industrial bank from activities of a focused, by design, on the aspects of a objective analysis that exists in parent organization that present business that concern that regulator.116 transactions between independent heightened risk to the organization and The FDIC serves as the regulator for the parties. Also, affiliates offer an the bank and to ensure that the parent industrial bank and exercises oversight opportunity to engage in types of company is a continuing source of of the parent company to the extent business activities that are prohibited to financial strength.114 necessary to ensure the safety and the bank itself yet those activities may In response to the concerns expressed soundness of the industrial bank affect the condition of the bank. In by commenters that a Covered Company subsidiary and to protect the DIF. recognition of the importance of these that is not engaged in financial services Through examination and reporting, the relationships, the FDIC has been granted would not be covered by the GLBA, the FDIC will be able to gauge and monitor authority, under certain conditions to FDIC is revising the commitment in the the operational risks an industrial bank examine affiliates in connection with its final rule that a Covered Company affiliate, whether functionally regulated examination of a bank to disclose the submit an annual report to the FDIC or unregulated, presents to the relationship between the bank and a (commitment (3)) to include a industrial bank. The FDIC may take given affiliate, as well as the effect of requirement for a Covered Company to action to prevent or redress an unsafe or that relationship on the bank.117 The inform the FDIC about its systems for unsound practice if action to address FDIC also has been granted authority to protecting the security, confidentiality, that risk when limited to the industrial bring enforcement actions against and integrity of consumer and bank would not effectively protect insured State nonmember banks and 118 nonpublic personal information. This against the risk. their institution-affiliated parties. As reporting will provide the FDIC The FDIC sought comment on discussed above in section IV.A.2., appropriate information across all of a whether a Covered Company should be industrial banks are subject to these Covered Company’s financial and required to disclose to the FDIC certain same examination and enforcement nonfinancial activities to monitor for additional affiliates or portfolio authorities as other banks, as well as potential consumer protection risks. companies of the Covered Company sections 23A and 23B of the Federal The FDIC also sought comment on because these affiliates could engage in Reserve Act and Regulation W, which whether the commitment and transactions with, or otherwise impact, govern transactions with affiliates. In requirements of the rule are the subsidiary industrial bank. One addition, section 38A of the FDI Act appropriately tailored in light of the trade association commenter opposed provides authority for the FDIC to GLBA’s restrictions on the extent to any further extension of the reporting require reports from a company that which a Federal banking agency may requirement as being burdensome. A controls an industrial bank to assess the regulate and supervise a functionally number of commenters acknowledged ability of the company to comply with regulated affiliate of an insured the FDIC’s authority to understand the source of strength requirement, and depository institution. affiliate relationships and their impact to enforce compliance by such 119 Most commenters supported the on the industrial bank, but suggested company. Section 38A of the FDI Act reporting 115 and examination that the reporting be tailored by therefore provides an additional requirements that enable the FDIC to including a materiality threshold. supervisory tool to the FDIC in monitor and evaluate financial and Otherwise, these commenters believed regulating Covered Companies, other conditions in the parent the reporting would be burdensome including their subsidiaries. while potentially providing information In supervising industrial banks, the 113 See 12 U.S.C. 1831o–1(d). with no real relevance to the industrial FDIC considers each industrial bank’s 114 See 12 U.S.C. 1820(b) and 1820(b)(4)(A). bank. purpose and placement within the 115 If the Covered Company is required to submit Other commenters argued that the organizational structure and tailors reports to the Securities and Exchange Commission final rule should require a Covered reporting and other requirements (SEC), the requirement to submit an annual report Company to disclose its affiliates and accordingly. Requiring the disclosure of may be satisfied through submission of SEC Form portfolio companies that could engage 10–K (or equivalent), along with the company’s the Covered Companies’ subsidiaries annual audit report and management letter (with in transactions with, or otherwise along with the other reporting tools management responses), provided that the impact, the subsidiary industrial bank available to the FDIC as discussed above combination of reports addresses each requirement in order to provide the FDIC a complete are sufficient and will appropriately as stated in the rule. In some cases, it may be and transparent picture of the business necessary or appropriate to also submit evaluations cover those affiliates of the industrial of the Covered Company’s internal operations, model. These commenters observed that bank of most concern to the FDIC. along with management responses, satisfying the related entities may impact the financial Accordingly, the FDIC is adopting Statement on Standards for Attestation § 354.4(a)(1) as proposed. Engagements (SSAE) Number 18, Report on 116 For example, in a situation where a parent Controls at a Service Organization Relevant to User company issues securities, the SEC’s role and 117 Entities’ Internal Control over Financial Reporting, expertise lies in supervising the parent company as 12 U.S.C. 1820(b)(4). as issued or amended by the Auditing Standards an issuer of securities, not in the role of a parent 118 12 U.S.C. 1813(u) and 1818. Board, or similar reports or evaluations. company of an industrial bank. 119 See 12 U.S.C. 1831o–1(d).
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In order to limit the extent of each Companies, these commenters noted written agreement to commit to Covered Company’s influence over a that the higher threshold may enhance maintain each subsidiary industrial subsidiary industrial bank, the proposed coordination between the industrial bank’s capital and liquidity at such rule required each Covered Company to bank and Covered Companies. By levels as the FDIC deems necessary for commit to limit its representation on the extension, the increased coordination the safe and sound operation of the industrial bank’s board of directors to 25 would enable the Covered Companies to industrial bank, and to take such other percent of the members of the board, or have a better understanding of the actions as the FDIC finds appropriate to if the bank is organized as a limited industrial bank’s obligations. One provide each subsidiary industrial bank liability company and is managed by a comment also noted that the FDIC with the resources for additional capital board of managers, to 25 percent of the would retain its full enforcement or liquidity (commitment (7)). As members of the board of managers, or if authority should circumstances require discussed above, the FDIC is finalizing the bank is organized as a limited action. § 354.3(b) as proposed, which provides liability company and is managed by its The FDIC understands the challenges that the FDIC may require the members, to 25 percent of managing involved in the selection of directors of controlling or dominant shareholder of member interests (commitment (6)). For insured institutions. However, the prior a Covered Company to join as a party to example, if company A, which has 15 approval requirement should not the written agreements required under percent representation on the subsidiary substantially interfere in a well- the rule, including commitment (7). The industrial bank’s board, controls qualified candidate’s ability to assume final rule includes commitment (7) as company B, then the companies’ the responsibilities of the position in a proposed. representation would be aggregated and timely manner, and thereby to achieve Lastly, the proposed rule required that limited to no more than 25 percent. the noted benefits of appropriate each Covered Company and its Thus, company B’s representation coordination between the industrial subsidiary industrial bank(s) enter into would be limited to no more than 10 bank and the Covered Company. As to a tax allocation agreement that expressly percent. the possibility that an independent recognizes an agency relationship The FDIC sought comment on director’s departure from a board may between the Covered Company and the whether this threshold is appropriate. result in temporary non-compliance subsidiary industrial bank with respect Three commenters argued against any with the established threshold, the to tax assets generated by such limitation of a Covered Company’s FDIC’s construction and use of written industrial bank, and that further states representation on the board of a agreements provides sufficient that all such tax assets are held in trust subsidiary industrial bank. These mechanisms by which compliance can by the Covered Company for the benefit commenters noted the burden in be timely achieved without the extreme of the subsidiary industrial bank and identifying independent director consequence of removing other directors promptly remitted to such industrial candidates and obtaining the prior or requiring FDIC actions to enforce the bank (commitment (8)). As proposed, a approval for candidates associated with commitment. tax allocation agreement would have a Covered Company. In addition, these As to the specific threshold, the FDIC also provided that the amount and commenters argued that the restriction is revising the commitment in the final timing of any payments or refunds to would limit the coordination necessary rule to establish a less than 50 percent the subsidiary industrial bank by the and appropriate among entities within threshold, which will maintain a Covered Company should be no less an organization. One commenter sufficient number of independent favorable than if the subsidiary expressed the concern that there could directors while addressing a number of industrial bank were a separate be a negative effect on the remaining the commenters’ concerns. In making taxpayer. directors if an independent director this change, the FDIC considered the One commenter questioned the leaves a board. That is, the potential potential numeric challenges that could FDIC’s statutory authority to impose need to eliminate a director associated confront industrial banks whose boards such a requirement. The FDIC has the with a Covered Company in order to are comprised of a comparatively small power to issue rules to carry out the comply with the rule on a continuing number of directors. In addition, the provisions of the FDI Act,120 including basis. change enables Covered Companies and rules to ensure the safety and soundness One commenter asserted that there industrial banks to select director of industrial banks and to protect the may be conflicts between the rule candidates believed to be most qualified DIF. As the FDIC discussed in the limitation and unspecified State law, to direct and oversee the institution. As proposed rule, companies and their while another noted the lack of such, the change enables Covered subsidiaries, including insured comparable limitations on other legal Companies and industrial banks to depository institutions and their parent structures, creating a distinct difference exercise some additional flexibility companies, will often file a consolidated between Covered Companies and other when selecting directors. Nevertheless, income tax return. A 1998 interagency operating entities. A number of the FDIC retains the authority, as policy statement issued by the Federal commenters also suggested that relying appropriate, to require a higher banking agencies and the U.S. on the simple majority of independent threshold of director independence. Department of the Treasury, and an directors, as has been applied in other Finally, one comment requested addendum thereto 121 (collectively, instances, has not led to issues or clarification as to whether officers of the concerns regarding the subsidiary industrial bank would be included 120 ‘‘[T]he Corporation . . . shall have power . . . industrial bank. within the limitation. In short, if an [t]o prescribe by its Board of Directors such rules To address the concerns regarding the officer in question is associated with a and regulations as it may deem necessary to carry out the provisions of this chapter or of any other limitation, commenters suggested either Covered Company, the individual law which it has the responsibility of administering raising the threshold from 25 percent to would be counted against the limitation. or enforcing (except to the extent that authority to one-third, or requiring that a simple In order to ensure that a subsidiary issue such rules and regulations has been expressly majority be independent. While industrial bank has available to it the and exclusively granted to any other regulatory agency).’’ 12 U.S.C. 1819(a)(Tenth). acknowledging the need for some degree resources necessary to maintain 121 See Interagency Policy Statement on Income of director independence to limit the sufficient capital and liquidity, the Tax Allocation in a Holding Company Structure, 63 potential influence from Covered proposed rule required each party to a Continued
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Policy Statement), acknowledges this these considerations in the final rule. shareholder of a Covered Company in practice, noting that a consolidated The other commenter stated that, while addition to those described in § 354.4(a) group may prepare and file Federal and dissolution requirements may be or (b) in order to ensure the safety and State income tax returns as a group so appropriate for large complex soundness of the industrial bank and long as the interests of any insured institutions that pose a risk to the DIF, reduce potential risk to the DIF. depository institution subsidiaries are smaller banks do not pose the same Several commenters specifically not prejudiced. Given the potential risks nor require the same level of addressed § 354.4(c).122 One commenter harm to insured subsidiary institutions, complex planning. According to this raised concerns that the rule would be the Policy Statement encourages parent commenter, the cost of contingency applied to Covered Companies or companies and their insured depository planning would outweigh its benefit for controlling shareholders of existing institution subsidiaries to enter into smaller institutions. This commenter industrial banks. As discussed above, written, comprehensive tax allocation also stated that, at a minimum, any because the rule is constructed to apply agreements, and notes that inconsistent contingency planning requirement prospectively, parties will become practices regarding tax obligations may should be no more stringent than the subject to the rule only as the result of be viewed as an unsafe and unsound requirement for other FDIC-insured (1) the formation of an industrial bank practice prompting either informal or intuitions of the same size. on or after the effective date of the final formal corrective action. The final rule, As discussed in the NPR, a rule, or (2) a merger transaction or consistent with the proposed rule, contingency plan commitment would change in control on or after the similarly seeks to avoid potential harm only be required in certain effective date of the final rule, assuming to a subsidiary industrial bank by circumstances based upon the facts and the institution retains its industrial bank requiring such a written tax allocation circumstances presented, and after charter. agreement. The final rule includes taking into consideration size, A second commenter raised concerns commitment (8) as proposed. complexity, interdependencies, and that § 354.4(c) vests open-ended In addition to the eight commitments other relevant factors. The final rule authority in the FDIC to change, at any discussed above, § 354.4(b) of the preserves the FDIC’s supervisory time and for any reason, the obligations proposed rule permitted the FDIC to discretion to tailor the contents of any of a Covered Company or controlling condition the approval of an application contingency plan to a specific Covered shareholder. The commenter further or non-objection to a notice on the Company and its insured industrial suggested that agreements should be Covered Company and industrial bank bank subsidiary. This ability to tailor negotiated at the outset. Another committing to adopt, maintain, and the requirements of a contingency plan commenter also suggested that the FDIC implement an FDIC-approved serves to minimize the burdens of should rely on its enforcement authority contingency plan that presents one or developing and implementing such a rather than including additional more actions to address potential plan. It should also be noted that commitments in the written agreements. significant financial or operational contingency plans are not the same as In response to commenters’ concerns stress that could threaten the safe and resolution plans under section 165(d) of about the application of this section, the sound operation of the insured the Dodd-Frank Act or § 360.10 of the FDIC is removing § 354.4(c) to avoid industrial bank. The plan also would FDIC’s Rules and Regulations, and the confusion that the FDIC would reflect strategies for the orderly contents of a contingency plan (if unilaterally impose additional disposition of the industrial bank required) would be far less complex. A commitments (or restrictions). without the need for the appointment of contingency plan is an explanation of Notwithstanding this deletion, the FDIC a receiver or conservator. Such the steps the industrial bank and retains its general supervision, disposition could include, for example, Covered Company could take to mitigate examination, and enforcement sale of the industrial bank to, or merger the impacts of financial and operational authorities (as reserved by § 354.6) to with, a third party. stress outside of the receivership take any actions beyond the scope of the The FDIC received two comments on process. Finally, the FDIC believes that final rule, including actions to ensure the contingency plan requirement. One a contingency plan, when required, may the safe and sound operation of any commenter stated that the FDIC should help the FDIC, the Covered Company, insured depository institution, consider size, complexity, and its industrial bank subsidiary to including an industrial bank, and interdependencies, and other relevant better understand the relevant further to ensure that a parent of an factors in requiring, reviewing, and interdependencies, operational risks, industrial bank acts as a source of approving a contingency plan—similar and other circumstances or events that financial strength to that insured to the ‘‘living will’’ requirements under could create safety and soundness institution. For example, the FDIC may section 165(d) of the Dodd-Frank Act concerns and attendant risk to the DIF. require additional, unique commitments where the FRB has tiered certain Accordingly, the FDIC is finalizing this from a Covered Company or a requirements based upon an requirement as proposed. controlling shareholder of a Covered institution’s asset size. This commenter While the contingency plan is one Company when the FDIC determines it also suggested that the FDIC formalize type of commitment that the FDIC is necessary to address specific elements would be able to require of Covered of a filing or circumstances related to FR 64757 (Nov. 23, 1998); Addendum to the Companies and their industrial bank the filer. Additional commitments may Interagency Policy Statement on Income Tax subsidiaries, there may be other be derived, for instance, from elements Allocation in a Holding Company Structure, 79 FR commitments that the FDIC may 35228 (June 19, 2014). The 2014 Addendum to the of the business model presented, determine to be appropriate given the including the nature and scope of Interagency Policy Statement on Income Tax business plan, capital levels, or Allocation in a Holding Company Structure also activities conducted, the risk profile of clarifies that all tax allocation agreements are organizational structure of a Covered the activities, and the complexity of subject to the requirements of section 23B of the Company or its subsidiary industrial operations. The proposed relationships Federal Reserve Act, and tax allocation agreements bank. Section 354.4(c) of the proposed that do not clearly acknowledge that an agency relationship exists may be subject to additional rule provided that the FDIC may require 122 These commenters raised the same or similar requirements under section 23A of the Federal such additional commitments from a concerns with respect to § 354.5(b), which the FDIC Reserve Act. Covered Company or controlling also is deleting in the final rule.
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and transactions with the parent restrictions, like the required to the de novo period except for organization that may impact the commitments discussed above, are paragraph (a)(4) covering employment industrial bank also could be taken into generally intended to provide the of a senior executive officer who is also consideration. safeguards and protections that the FDIC currently associated with an affiliate of The FDIC also sought comment on believes would be prudent to impose the industrial bank. Most of these whether the rule should include a with respect to maintaining the safety commenters were concerned that the commitment that the parent company and soundness of industrial banks that ongoing restrictions in these sections will maintain its own capital at some become controlled by companies that created greater burdens on industrial defined level on a consolidated basis. A are not subject to Federal consolidated banks than required of non-industrial number of commenters argued that supervision. Accordingly, the proposed banks. creating consolidated capital rule required prior FDIC approval for By contrast, other commenters argued requirements for the parent company the subsidiary industrial bank to take that these restrictions should be would ensure that it is able to serve as any of five actions set forth in § 354.5(a). perpetual in duration and viewed them a source of strength for its subsidiary In order to ensure that the industrial as important safeguards on the actions industrial bank. Some commenters bank does not immediately after of a Covered Company with respect to argued that such capital standards becoming a subsidiary of a Covered an industrial bank subsidiary. One should be comparable to those imposed Company engage in high-risk or other commenter argued that given the unique on BHCs of similar size and systemic inappropriate activities, the subsidiary and significant risks posed by industrial significance. These commenters also industrial bank would have been banks and their parent companies, the argued that the absence of a required to obtain the FDIC’s prior restrictions should not be limited to any consolidated capital standard for the approval to make a material change in number of years after an industrial bank parent company creates a lower its business plan after becoming a becomes a subsidiary of a Covered standard of supervision than is imposed subsidiary of a Covered Company Company. by the BHCA. One commenter (paragraph (a)(1)). In order to limit the The FDIC previously has imposed recommended that such requirements influence of the parent Covered restrictions similar to those contained in should be greater than the requirements Company, the subsidiary industrial § 354.5 in prior actions on filings applicable to other FDIC-insured bank would have been required to involving industrial banks. The agency’s depository institutions due to the obtain the FDIC’s prior approval to add experience indicates that there are enhanced risk of the Covered Company or replace a member of the board of advantages and disadvantages to on the industrial bank and the DIF. directors or board of managers or a imposing such restrictions on a By contrast, several commenters managing member, as the case may be perpetual basis, just as there are argued that applying a capital standard (paragraph (a)(2)); add or replace a advantages and disadvantages to on the parent company itself is not senior executive officer (paragraph imposing the restrictions on a time- encompassed within the FDIC’s (a)(3)); employ a senior executive officer limited basis. The relative advantages statutory mandate to preserve the safety who is associated in any manner with and disadvantages vary depending on and soundness of insured depository an affiliate of the industrial bank, such the nature of the particular restriction. institutions. Other commenters as a director, officer, employee, agent, Nevertheless, certain items are believed observed that for many industrial bank owner, partner, or consultant of the so directly related to the industrial parent companies, measures of tangible Covered Company or a subsidiary bank’s ongoing safe and sound equity are not often the most pertinent thereof (paragraph (a)(4)); or enter into operation that a perpetual restriction is indicator of the financial health of the any contract for material services with warranted. As such, the FDIC is company or its ability to serve as a the Covered Company or a subsidiary adopting the restrictions regarding source of strength. These commenters thereof (paragraph (a)(5)). Pursuant to material changes to business plans, argued that given the diversity of proposed § 354.5(b), the FDIC would entering into contracts for material industrial bank parent company have been able to, on a case-by-case services with a Covered Company or its operations, a more tailored approach basis, impose additional restrictions on subsidiaries, and employing a senior would be appropriate. the Covered Company or its controlling executive officer that is associated with The FDIC does not believe that the shareholder if circumstances warrant. an affiliate of the industrial bank as final rule should impose capital The FDIC is adopting revisions to the proposed, with one exception noted requirement commitments on Covered restrictions in § 354.5(a)(2), (3), and (4) below. Companies because a one-size-fits all and removing § 354.5(b), as discussed However, having considered regulatory approach to capital below. commenters’ suggestions regarding the requirements would not be appropriate, The FDIC sought comment on restrictions on the appointment of given the idiosyncratic business models whether these restrictions should be directors (paragraph (a)(2)) and senior and operations of such parent time-limited. A number of commenters executive officers (paragraph (a)(3)), the companies. The FDIC believes that the generally argued that the restrictions FDIC is modifying the final rule to apply final rule and its supervisory framework should only apply during the industrial a three-year period to filings approved adequately ensure that a parent bank’s de novo period (i.e., the first by the FDIC for an industrial bank that company of an industrial bank has the three-years of operation). Some is a subsidiary of a Covered Company. ability to serve as a source of strength. commenters suggested that the FDIC This modification provides flexibility should or could apply ongoing for industrial banks to timely appoint 5. Section 354.5—Restrictions on restrictions (beyond the de novo period) directors and officers. The FDIC’s Industrial Bank Subsidiaries of Covered when special circumstances exist. One supervisory efforts and enforcement Companies commenter proposed that the FDIC authorities remain fully accessible if an Section 354.5 of the proposed rule implement a process to allow an industrial bank’s director or officer required the FDIC’s prior written industrial bank to request a waiver of selection raises concerns. Further, approval before an industrial bank that the requirements at the conclusion of consistent with § 354.6 of the final rule, is a subsidiary of a Covered Company the de novo period. Two commenters the FDIC may impose additional may take certain actions. These recommended limiting the restrictions restrictions if appropriate to a particular
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filing. Thus, as circumstances warrant, Act and other laws.123 The reservation the communities in which the industrial the FDIC may extend the three-year of authority in § 354.6 clarifies that, bank operates. Two community group period or impose the restriction on a notwithstanding the final rule, the FDIC commenters went further indicating that perpetual basis. retains the authority to exercise those the FDIC should not move forward with In light of the changes to paragraphs powers, as it would for any insured this rule until CRA assessment area (a)(2) and (3) above, the FDIC is also depository institution where it is the procedures are updated. adopting a revision to the restriction on appropriate Federal banking agency, In January of 2020, the FDIC joined employment of a senior executive which includes industrial banks. While the OCC in issuing a CRA proposal to officer who is currently associated with the final rule establishes certain modernize CRA regulations.124 On May an affiliate of the industrial bank commitments and restrictions with 20, 2020, the OCC issued its CRA final (paragraph (a)(4)). The restriction is respect to industrial banks and Covered rule.125 The FDIC did not move forward modified in the final rule to cover a Companies, § 354.6 recognizes that the with a final rule following the proposal senior executive officer who is or was FDIC could require industrial banks and and continues to enforce its existing during the past three years associated their parent companies that are not CRA regulation.126 More recently, on with an affiliate of the industrial bank subject to Federal consolidated September 21, 2020, the FRB issued an to prevent evasion of the restriction. As supervision by the FRB to enter into ANPR to solicit public input regarding noted above, this restriction is not written agreements, provide additional modernizing the FRB’s CRA regulatory otherwise modified with respect to its commitments, or abide by additional and supervisory framework.127 perpetual duration. restrictions if necessary to maintain the Modernizing CRA regulations As discussed above, proposed safety and soundness of the industrial applicable to FDIC-supervised § 354.5(b) has been removed to align bank. Additionally, the FDIC’s powers institutions is an important endeavor, with the change the FDIC made to and authorities may be applied to and the FDIC is considering further § 354.4(c). require written commitments and/or to rulemaking in this area, which may Several commenters requested that impose restrictions in the context of a include seeking additional public input the FDIC clarify what is meant by a particular industrial bank and its parent and engaging with the other prudential ‘‘material change’’ to the industrial to mitigate risk and ensure the safe and regulators. For the time being, however, bank’s business plan that requires the sound operation of the insured the FDIC will continue to operate under FDIC’s written approval prior to depository institution, even if not in the existing CRA regulations, which effecting such change. Because business connection with a filing pursuant to this contain provisions including public plan changes or deviations may alter the part. participation in strategic plans and facts and circumstances that supported The FDIC received only one comment consideration for community the FDIC’s action on a filing in which that addressed the proposed reservation development activity in insured the business plan condition was of authority, noting that the FDIC’s use institutions’ broader State-wide and imposed, the following generally have of its discretion in applying the regional areas. been determined to constitute a material restrictions on industrial banks However, the statutory factor contained in § 354.5, together with a change in or deviation from an addressing convenience and needs of reservation of its examination authority, institution’s business plan: the community to be served is broader would allow for a practical • Increases in financial statement than the CRA. In assessing the statutory implementation of the FDIC’s powers. categories or subcategories (such as factor convenience and needs of the The FDIC is adopting § 354.6 as types of loans, funding, revenue, or community to be served, the essential proposed. During the period before the capital) of 25 percent or more; considerations are the deposit and effective date of the final rule, the FDIC • Introduction of distinctly new or credit needs of the community to be will consider pending deposit insurance served, the nature and extent of the different business strategies or applications, change in control notices, objectives, including products or opportunity available to the applicant in and merger applications for industrial that location, and the willingness and services, target markets, delivery banks on a case-by-case basis and channels, or business development ability of the applicant to serve those impose conditions and requirements as 128 strategies; financial needs. The markets to be • appropriate and that are consistent with served and the economic and Changes to the institution’s current practice and the FDIC’s general financial strategies, or the acquisition of competitive conditions within the examination, supervision, and markets are important to these assets, an operating entity, or the enforcement authorities. assumption of deposits or other considerations. The applicant’s CRA liabilities; or 7. Responses to Additional Questions Plan is an important part of the FDIC’s • Changes in organizational evaluation of the convenience and In addition to the questions discussed needs to be served, but it is not the only relationships such that the manner in above, the FDIC sought responses to which the institution implements or consideration. The FDIC believes the several additional questions. In benefits to finalizing this rule are carries out its business strategies or response to the FDIC’s question whether objectives is impacted. significant, and formalizing and there were additional categories of strengthening FDIC’s existing 6. Section 354.6—Reservation of information that the FDIC should supervisory processes and policies that Authority consider in evaluating an industrial bank’s ability to meet the convenience 124 The FDIC proposed to clarify that it 85 FR 1204. and needs of the community to be 125 retains the authority to take supervisory 85 FR 34734. served, some commenters opposed to 126 State savings associations will be examined by or enforcement actions, including the rule expressed concern that the CRA the FDIC under the CRA regulations of the OCC, 12 actions to address unsafe or unsound requires modernization or is otherwise CFR part 25 and 12 CFR part 195, as may be practices, or violations of law. inadequate to ensure industrial banks amended from time to time. The FDIC has broad supervision, 127 85 FR 66410. are properly serving the credit needs of 128 See Statement of Policy on Applications for examination and enforcement powers Deposit Insurance, 63 FR 44756 (Nov. 20, 1998), and authorities granted to it by the FDI 123 See supra notes 59–62 and accompanying text. amended by 67 FR 79276 (Dec. 27, 2002).
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apply to parent companies of industrial planning. These commitments allow the financial services, among others. banks that are not subject to Federal FDIC to ensure that a Covered Company However, during the period of 2017 consolidated supervision should can and will serve as a source of through 2019, the FDIC received nine proceed even in the absence of a unified strength for its industrial bank, and industrial bank deposit insurance interagency rule on CRA. along with the added flexibility to applications and one change in control The FDIC also sought comment on the require additional commitments as application.131 Consistent with the FDIC’s approach to foreign ownership of needed, they are sufficient to address Paperwork Reduction Act (PRA) 132 industrial banks. Some commenters both domestic and foreign Covered estimates presented elsewhere in this argued that foreign ownership of Companies.129 rule, for this analysis the FDIC is industrial banks should not be V. Expected Effects estimating the final rule applies to four permitted, or if permitted, should be filings per year seeking to establish or heavily regulated. A commenter argued As previously discussed, the final rule acquire an industrial bank. that the FDIC would not be well requires or imposes certain conditions, The final rule could indirectly affect positioned to foresee the risks that a commitments, and restrictions for each subsidiaries of Covered Companies. might arise for a foreign Covered deposit insurance application approval, Such Covered Companies operate Company in its home market. Another non-objection to a change in control through a variety of structures that commenter asserted that the proposed notice, and merger application approval include a range of subsidiaries and supervisory approach fell short of the that would result in an industrial bank affiliates. Further, the final rule includes FRB’s consolidated supervision becoming, pursuant to the rule, a the FDIC’s reservation of authority to framework, leaving the FDIC with subsidiary of a Covered Company. The require any industrial bank and its limited examination authority and final rule requires such Covered parent company, if not otherwise therefore unable to adequately monitor Company to enter into one or more subject to part 354, to enter into written foreign companies whose risks might be written agreements with the FDIC and agreements, provide commitments, or spread across multiple entities. Another the industrial bank subsidiary. abide by restrictions, as appropriate. commenter opposed foreign ownership A. Overview of Industrial Banks Therefore, it is difficult to estimate the of industrial banks, but suggested that if As of June 30, 2020, the FDIC number of subsidiaries and affiliates of such arrangements were permitted, prospective Covered Companies, based further commitments such as a high net supervised 3,270 insured depository institutions, with combined assets of on information currently available to the stable funding ratio and a prefunded FDIC. However, based on the FDIC’s orderly liquidation fund should be $3.84 trillion. Of these, 23 institutions were industrial banks, comprising 0.7 experience as the primary Federal required of foreign Covered Companies. regulator of industrial banks,133 the On the other hand, a number of percent of all FDIC-supervised institutions. The industrial banks hold FDIC believes that the number of commenters indicated that there was no subsidiaries of the prospective Covered need to build in additional restrictions combined assets of $169 billion, comprising 4.54 percent of the Companies affected by the final rule is specific to foreign Covered Companies. likely to be small. These commenters noted that the FDIC combined assets of FDIC-supervised already has robust supervisory authority institutions.130 The majority of B. Analysis of the Commitments industrial banks are headquartered in to address unsafe and unsound Under the final rule, prospective Utah and Nevada, and hold nearly all of conditions impacting insured Covered Companies are required to depository institutions, and that the the combined assets of industrial banks. As of June 30, 2020, 14 industrial banks agree to the eight commitments, and FDIC’s practice of securing additional may be required to agree to additional commitments from foreign parent were headquartered in Utah, four in Nevada, three in California, one in commitments under certain companies of industrial banks has been circumstances, which in summary effective. Other commenters also argued Hawaii, and one in Minnesota. The final rule applies prospectively to include commitments by the Covered for flexibility, indicating that Company to: determining what additional deposit insurance, change in control, • and merger transactions resulting in an Furnish an initial listing, with commitments would be necessary in annual updates, of the Covered such instances is a fact-specific inquiry industrial bank that is controlled by a Covered Company. It is difficult to Company’s subsidiaries. and should be based on the parent • Consent to the examination of the company’s ability to be a source of estimate the number of potential Covered Companies that will seek to Covered Company and its subsidiaries. strength for the industrial bank. • Submit an annual report on the The final rule does not contain any establish or acquire an industrial bank, Covered Company and its subsidiaries, specific requirements for foreign as such an estimate depends on considerations that affect Covered and such other reports as requested. Covered Companies beyond those to • Maintain such records as deemed which U.S.-based Covered Companies Companies’ decisions. These considerations, and how they affect necessary. are subject. The FDIC’s supervisory • Cause an independent annual audit experience with foreign parent decision making, are difficult for the FDIC to forecast, estimate, or model, as of each industrial bank. companies of industrial banks has • Limit the Covered Company’s shown that retaining the flexibility to the considerations include external parties’ evaluations of potential representation on the industrial bank’s secure additional commitments from board of directors or managers (board), such entities as needed is an effective business strategies for the industrial bank as well as future financial approach. Such commitments would be 131 conditions, rates of return on capital, During the same period, the FDIC did not in addition to the substantial receive any merger applications involving requirements a Covered Company is and innovations in the provision of industrial banks. subject to in the written agreements 132 44 U.S.C. 3501 et seq. with the FDIC required by the final rule, 129 The FDIC may require, in the case of a 133 Historically, industrial banks have elected not Covered Company located outside the United to become members of the Federal Reserve System. including examination and reporting States, United States-based capital and liquidity The FDIC is the primary Federal regulator for State requirements, capital maintenance of support of the subsidiary industrial bank. nonmember banks and the insurer for all insured the industrial bank, and contingency 130 FDIC Call Report Data, June 30, 2020. depository institutions.
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as the case may be, to less than 50 the orderly disposition of the industrial depending on the facts and percent. bank without the need for a receiver or circumstances identified during the • Maintain the industrial bank’s conservator. review of the respective filings.134 capital and liquidity at such levels as The FDIC historically has imposed The table below presents the FDIC’s deemed appropriate and take such other action to provide the industrial bank prudential conditions similar to the analysis of the estimated costs to with a resource for additional capital or commitments listed above in connection institutions that would be affected by liquidity. with approving or not objecting to the final rule of each required • Enter into a tax allocation certain industrial bank filings. These commitment. In each case, the FDIC agreement. conditions generally relate to the board used a total hourly compensation • Depending on the facts and and senior management, the business estimate of $94.15 per hour.135 The circumstances, provide, adopt, and plan, operating policies, financial FDIC received no comments regarding implement a contingency plan that sets records, affiliate relationships, and other the estimated burden of the rule as forth strategies for recovery actions and conditions on a case-by-case basis, proposed.
Estimated annual Estimated annual Proposed commitment compliance hours compliance costs
Lists of Subsidiaries ...... 4 $376.60 Consent to the FDIC Examination ...... 100 9,415.00 Annual and Such Other Reports as the FDIC may Request ...... 10 941.50 Maintain Such Records as the FDIC Deems Necessary ...... 10 941.50 Independent Audit 1 ...... 100 9,415.00 Limit Membership on Board 2 ...... 0 0.00 Maintain Capital and Liquidity ...... 12 1,129.80 Tax Allocation Agreement 3 ...... 0 0.00
Total ...... 236 22,219.40 1 The disclosure requirement and time to fulfill it are due to satisfying regulatory inquiries about the audit, and do not include the cost of the audit itself because Covered Companies already conduct audits for other purposes. 2 Determinations regarding board membership are considered in the normal course of business. 3 Tax allocation agreements are normal and customary among affiliated corporate entities.
The final rule also authorizes the The FDIC currently lacks such detailed compliance costs annually. To put the FDIC to require additional information on potential future Covered estimated cost of this commitment into commitments, including a contingency Companies. While the contingency plan context, the pre-tax net income of the plan that sets forth strategies for commitment is meaningfully different median industrial bank in 2019 was recovery actions and the orderly from resolution plan requirements for $64,515,000.136 But, because the FDIC disposition of the industrial bank large banks, and while industrial banks would have the supervisory discretion without the appointment of a receiver or that might need to develop such to tailor the contents of any contingency conservator. The additional contingency contingency plans are meaningfully plan to a given Covered Company and plan commitment would be required different from large banks subject to its industrial bank, and because of the only in certain circumstances, based on resolution planning requirements, the unique circumstances of the respective the facts and circumstances presented FDIC considered prior analyses Covered Companies and industrial and taking into consideration the size, regarding resolution planning banks, the compliance costs incurred by complexity, interdependencies, and requirements imposed on certain Covered Companies would vary on a other factors relevant to the industrial institutions to inform its analysis. case-by-case basis, and could be lower. bank and Covered Company. Based in part on the FDIC’s The final rule incorporates an It is difficult to estimate the experience implementing and managing additional element as part of the recordkeeping, reporting, and disclosure the resolution planning requirements of reporting commitment to address costs associated with the contingency § 360.10, the FDIC estimates that Covered Companies’ systems for plan aspect of the final rule because Covered Companies and their industrial protecting the security, confidentiality, such an estimate would depend on the banks subject to the contingency plan and integrity of consumer and organizational structure and activities of commitment could incur $326,000 in nonpublic personal information. potential future Covered Companies. recordkeeping, reporting, and disclosure However, the rule is constructed to
134 See FDIC Deposit Insurance Application Compliance Officers (Compliance Officers, 131041), September 2019 Employer Cost of Employee Procedures Manual Supplement, Applications from Financial Analysts (Financial Analysts, 132051), IT Compensation data, compensation rates for health Non-Bank and Non-Community Bank Applicants, Specialists (Computer and Mathematical and other benefits are 33.8 percent of total FIL–8–2020 (Feb. 10, 2020). Occupations, 150000), and Clerical (Office and compensation. To account for non-monetary 135 Subject matter experts in the FDIC’s Division Administrative Support Occupations, 430000). To compensation, the hourly wage rates reported by of Risk Management Supervision estimated that estimate the weighted average hourly compensation BLS are adjusted by that percentage. The hourly time devoted to complying with the commitments cost of these employees, the 75th percentile hourly wage is adjusted by 2.28 percent based on changes is broken down as follows: 25 percent (Executives wages reported by the Bureau of Labor Statistics in the Consumer Price Index for Urban Consumers and Managers), 15 percent (Legal), 15 percent (BLS) National Industry-Specific Occupational from May 2018 to September 2019 to account for (Compliance Officers), 15 percent (Financial Employment and Wage Estimates as used for the inflation and ensure that the wage information is Analysts), 15 percent (IT Specialists), and 15 relevant occupations in the Depository Credit contemporaneous with the non-monetary percent (Clerical). The Standard Occupational Intermediation sector, as of May 2018. The 75th- compensation statistic. Finally, the benefit-and- Classification System occupations and codes used percentile wage for lawyers is not reported, as it inflation-adjusted wages for each occupation are by the FDIC are: Executives and Managers exceeds $100 per hour, so $100 per hour is used. weighted by the percentages listed above to arrive (Management Occupations, 110000), Lawyers The hourly wage rates reported do not include non- at a weighted hourly compensation rate of $94.15. (Lawyers, Judges, and Related Workers, 231000), monetary compensation. According to the 136 FDIC Call Report Data, December 31, 2019.
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enable affected parties to comply with two deposit insurance applications from inform the FDIC about the Covered the various commitments by relying on entities seeking to organize an industrial Company’s systems for protecting the established and ongoing reports and bank; between 2017 and 2019, the FDIC security, confidentiality, and integrity of records, to the extent possible. As such, received as many as four and as few as consumer and nonpublic personal while recognizing the difficulty in two such applications. Therefore, the information. This aspect of the final rule estimating the costs associated with this FDIC believes it is reasonable to assume is expected to benefit consumers by additional element due to the unique an annual deposit insurance application helping to mitigate potential consumer circumstances of each affected party, the volume of four for the purpose of this protection risks. FDIC believes the enhanced analysis. In addition, the FDIC has commitment should have no material received three change in bank control F. Expected Effects on the Economy impact on the estimated overall burden. notices relating to industrial banks since The final rule’s effects on the As illustrated by the preceding 2010; therefore, the FDIC believes it is economy are likely to be modest, in line analysis, the final rule could pose as reasonable to assume an annual volume with its potential effects on the banking much as $348,000 in additional of one for the purpose of this analysis. industry and consumers. If the final rule recordkeeping, reporting, and disclosure results in a modest increase in the compliance costs for each Covered C. Safety and Soundness of Affected Banks number of industrial banks or Company that seeks to establish or improvement in the provision of acquire an industrial bank.137 Covered The FDIC believes the final rule is banking products and services, the Companies would also be likely to incur consistent with supervisory approaches effects on the economy are likely to be some regulatory costs associated with the FDIC has used to insulate industrial modest. making the necessary changes to banks from risks posed by their parent internal systems and processes. For companies, and that these supervisory VI. Regulatory Analysis context, the estimated $348,000 approaches have been effective. For A. Regulatory Flexibility Act recordkeeping, reporting, and disclosure example, as previously noted, only two costs only comprise 0.8 percent of the small industrial banks failed during the The Regulatory Flexibility Act (RFA) median noninterest expense for the 23 crisis. The FDIC believes the final rule generally requires an agency, in existing industrial banks.138 would provide a prudentially sound connection with a final rule, to prepare The FDIC believes that the final rule framework for reaching decisions on and make available for public comment would benefit the public by providing industrial bank filings that the FDIC a final regulatory flexibility analysis that transparency for market participants receives from time to time. describes the impact of a final rule on and other interested parties. small entities.139 However, a final D. Broad Effects on the Banking Additionally, the FDIC believes that the regulatory flexibility analysis is not Industry final rule would benefit the public by required if the agency certifies that the formalizing a framework by which the To the extent that the final rule results rule will not have a significant FDIC would supervise industrial banks in higher numbers of industrial banks, economic impact on a substantial and mitigate risk to the DIF that may the increase could lead to increased number of small entities.140 The Small otherwise be presented. competition for depositors and Business Administration (SBA) has It is difficult to estimate whether the borrowers. The increased competition defined ‘‘small entities’’ to include final rule would serve as an incentive or could result in one or more of: Higher banking organizations with total assets disincentive for affected parties. yields on deposit products, lower of less than or equal to $600 million.141 Decisions to establish or acquire an interest rates on loan products, reduced Generally, the FDIC considers a industrial bank depend on many fees, less restrictive underwriting significant effect to be a quantified effect considerations that the FDIC cannot standards, greater account opening in excess of 5 percent of total annual accurately forecast, estimate, or model, bonuses for new customers, and other salaries and benefits per institution, or such as future financial conditions, rates benefits. To the extent that the final rule 2.5 percent of total noninterest of return on capital, and innovations in does not result in a higher number of expenses. The FDIC has considered the the provision of financial services. The industrial banks, this would not be potential impact of the final rule on final rule would enhance transparency expected to lead to increased small entities in accordance with the in the FDIC’s evaluation of filings, competition for depositors and RFA. Based on its analysis and for the which could increase the number of borrowers. reasons stated below, the FDIC believes applications received. However, such that this final rule will not have a transparency could also serve to limit E. Expected Effects on Consumers significant economic impact on a the number of applications received. To the degree the final rule results in substantial number of small entities. The FDIC analyzed historical trends an increase in the number of industrial in filings that would be subject to the banks, consumers could benefit from 139 5 U.S.C. 601 et seq. final rule. Based on that analysis, and increased competition within the 140 5 U.S.C. 605(b). consistent with the FDIC’s PRA banking industry. These benefits could 141 The SBA defines a small banking organization analysis, the FDIC assumes four take the form of higher rates on deposit as having $600 million or less in assets, where an applications: Three deposit insurance organization’s ‘‘assets are determined by averaging accounts, improved access to credit the assets reported on its four quarterly financial applications, and one change in bank with better terms or lower rates, and statements for the preceding year.’’ See 13 CFR control notice per year, on average. lower fees for banking services. To the 121.201 (as amended, effective Aug. 19, 2019). In Between 2000 and 2009, the FDIC extent that the proposed rule does not its determination, the SBA ‘‘counts the receipts, received as many as 12 and as few as employees, or other measure of size of the concern result in a higher number of industrial whose size is at issue and all of its domestic and banks, this would not be expected to foreign affiliates, regardless of whether the affiliates 137 $22,219.40 for all Covered Companies that lead to potential benefits from increased are organized for profit.’’ 13 CFR 121.103. seek to establish or acquire an industrial bank, and competition within the banking Following these regulations, the FDIC uses a an additional $326,000 for those institutions covered entity’s affiliated and acquired assets, required to adopt, implement, and adhere to a industry. Finally, in response to averaged over the preceding four quarters, to contingency plan. comments the final rule includes a determine whether the covered entity is ‘‘small’’ for 138 FDIC Call Report Data, December 31, 2019. commitment for a Covered Company to the purposes of RFA.
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As of June 30, 2020, the FDIC since 2010 may be from a small entity, Company that directly or indirectly supervises 3,270 institutions, of which the FDIC believes the aspects of the final controls the industrial bank, must (i) 2,492 are defined as small institutions rule relating to change in control notices agree to furnish the FDIC an initial by the terms of the RFA.142 Of these or merger applications involving listing, with annual updates, of all of the 3,270 institutions, 23 are industrial industrial banks is not likely to affect a Covered Company’s subsidiaries; (ii) banks. substantial number of small entities submit to the FDIC an annual report on As previously discussed, a currently among existing industrial banks. the Covered Company and its chartered industrial bank would be As previously discussed, the final rule subsidiaries, and such other reports as subject to the final rule, as would its applies to industrial banks that, as of the the FDIC may request; 146 (iii) maintain parent company that is not subject to effective date, become subsidiaries of such records as the FDIC deems Federal consolidated supervision, if companies that are Covered Companies, necessary to assess the risks to the such a parent company acquired control as such term is defined in § 354.2. It is industrial bank and to the DIF; and (iv) of the grandfathered industrial bank difficult for the FDIC to estimate the in the event that the FDIC has concerns pursuant to a change in bank control volume of future applications from about a complex organizational transaction that closes after the effective entities who seek to own and operate an structure or based on other date of the final rule, or if the insured industrial bank, or whether circumstances presented by a particular grandfathered industrial bank is the those entities would be considered filing, the FDIC may condition the surviving institution in a merger ‘‘small’’ according to the terms of RFA, approval of an application or the non- transaction that closes after the effective with the information currently available objection to a notice—in each case that date of the final rule. to the FDIC. Such estimates would would result in an industrial bank being Of the 23 existing industrial banks, require detailed information on the controlled, directly or indirectly, by a eight reported total assets less than $600 particular business models of Covered Company—on the Covered million, indicating that they could be institutions, prevailing economic and Company and industrial bank small entities. However, to determine financial conditions, the decisions of committing to providing to the FDIC, whether an institution is ‘‘small’’ for the senior management, and the demand for and thereafter adopting and purposes of the RFA, the SBA requires financial services, among other things. implementing, a contingency plan that consideration of the receipts, However, the FDIC reviewed the firms sets forth, at a minimum, one or more employees, or other measure of size of with industrial bank applications strategies for recovery actions and the the concern whose size is at issue and pending before the FDIC as of December orderly disposition of such industrial all of its domestic and foreign 31, 2019. Each publically traded bank, without the need for the affiliates.143 The FDIC conducted an applicant had a market capitalization of appointment of a receiver or analysis to determine whether each at least $1 billion as of March 6, 2020. conservator. industrial bank’s parent company was Each applicant operates either The FDIC submitted its request to ‘‘small,’’ according to the SBA size nationally within the United States, or OMB for review and approval under standards applicable to each particular operates worldwide, and none appear section 3507(d) of the PRA (44 U.S.C. parent company.144 Of the eight likely to be small for purposes of the 3507(d)) and § 1320.11 of OMB’s industrial banks that reported total RFA. Therefore, the FDIC believes that implementing regulations (5 CFR part assets less than $600 million, the FDIC the aspects of the final rule relating to 1320) at the proposed rule stage. OMB was able to determine that three of these entities who seek to own and operate an filed a comment assigning the FDIC potentially small industrial banks were insured industrial bank is not likely to OMB control number 3064–0213 and owned by holding companies which affect a substantial number of small indicated that OMB would re-review the were not small for purposes of the RFA. entities among existing industrial banks. PRA submission once the proposed rule However, the FDIC currently lacks Therefore, based on the preceding was finalized. The FDIC did not receive information necessary to determine information, the FDIC certifies that the any comments on the PRA. In addition, whether the remaining five industrial final rule does not significantly affect a as stated above, because the final rule banks are small. Therefore, of the 23 substantial number of small entities. has been constructed to enable affected existing industrial banks, 18 are not parties to comply with the various B. Paperwork Reduction Act small entities for purposes of the RFA, reporting commitments by relying on but no more than five, or about 22 In accordance with the requirements established and ongoing reports and percent, may be small entities. of the PRA,145 the FDIC may not records, the FDIC believes that the Additionally, the FDIC has received conduct or sponsor, and the respondent enhanced reporting commitment should three change in control notices relating is not required to respond to, an have no effect on the PRA burden listed to industrial banks since 2010. Of those information collection unless it displays at the proposed rule stage. three, only one was from an industrial a currently valid Office of Management bank that could possibly be small for and Budget (OMB) control number. Information Collection purposes of the RFA. As discussed above, the final rule Title: Industrial Banks and Industrial Therefore, given that no more than imposes PRA reporting and Loan Companies. five of the 23 existing industrial banks recordkeeping requirements for each OMB Number: 3064–0213. are small entities for the purposes of the industrial bank subject to the rule and Affected Public: Prospective parent RFA, and that no more than one change its Covered Company. In particular, companies of industrial banks and in control notice received by the FDIC each industrial bank, and each Covered industrial loan companies.
142 FDIC Call Report Data, September 30, 2019. In an entity’s ‘‘affiliated and acquired assets,’’ are as 145 44 U.S.C. 3501 et seq. order to determine whether an entity is ‘‘small’’ for of September 30, 2019. 146 The final rule requires additional reporting by purposes of the Regulatory Flexibility Act, the FDIC 143 12 CFR 121.103. Covered Companies regarding systems for uses its ‘‘affiliated and acquired assets’’ as 144 For example, if a particular industrial bank’s protecting the security, confidentiality, and described in the immediately preceding footnote. parent company was a motorcycle manufacturer, integrity of consumer and nonpublic personal The latest available bank and thrift holding then the size standards applicable to motorcycle information as part of the annual report. company reports, which the FDIC uses to determine manufacturers were used.
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SUMMARY OF ANNUAL BURDEN AND INTERNAL COST
Total annual Obligation to Estimated Estimated Estimated Frequency of estimated Type of burden respond number of frequency of time per response burden respondents responses response (hours)
Initial listing of all of the Covered Company’s Reporting ...... Mandatory ..... 4 1.00 4 One Time...... 16 subsidiaries. Annual update of listing of all of the Covered Reporting ...... Mandatory ..... 4 1.00 4 Annual...... 16 Company’s subsidiaries. Annual report on the Covered Company and Reporting ...... Mandatory ..... 4 1.00 10 Annual...... 40 its subsidiaries, and such other reports as the FDIC may request. Maintain records to assess the risks to the Recordkeeping ...... Mandatory ..... 4 1.00 10 Annual...... 40 industrial bank and to the DIF. Contingency Plan ...... Reporting ...... Mandatory ..... 1 1.00 345 On Occasion 345
Total Hourly Burden ...... 457
C. Plain Language E. Congressional Review Act of Federal Regulations by adding part 354 to read as follows: Section 722 of the GLBA 147 requires For purposes of the Congressional each Federal banking agency to use Review Act, OMB makes a PART 354—INDUSTRIAL BANKS plain language in all of its proposed and determination as to whether a final rule 150 final rules published after January 1, constitutes a ‘‘major’’ rule. If a rule is Sec. deemed a ‘‘major rule’’ by the OMB, the 354.1 Scope. 2000. The FDIC sought to present the 354.2 Definitions. final rule in a simple and Congressional Review Act generally provides that the rule may not take 354.3 Written agreement. straightforward manner and did not effect until at least 60 days following its 354.4 Required commitments and receive any comments on the use of provisions of written agreement. publication.151 plain language in the proposed rule. 354.5 Restrictions on industrial bank The Congressional Review Act defines subsidiaries of Covered Companies. D. Riegle Community Development and a ‘‘major rule’’ as any rule that the 354.6 Reservation of authority. Regulatory Improvement Act of 1994 Administrator of the Office of Authority: 12 U.S.C. 1811, 1815, 1816, Information and Regulatory Affairs of 1817, 1818, 1819(a) (Seventh) and (Tenth), Pursuant to section 302(a) of the the OMB finds has resulted in or is 1820(g), 1831o–1, 3108, 3207. RCDRIA,148 in determining the effective likely to result in (1) an annual effect on date and administrative compliance the economy of $100,000,000 or more; § 354.1 Scope. requirements for new regulations that (2) a major increase in costs or prices for (a) In addition to the applicable filing impose additional reporting, disclosure, consumers, individual industries, procedures of part 303 of this chapter, or other requirements on insured Federal, State, or local government this part establishes certain depository institutions, each Federal agencies or geographic regions, or (3) requirements for filings involving an banking agency must consider, significant adverse effects on industrial bank or a Covered Company. consistent with principles of safety and competition, employment, investment, (b) The requirements of this part do soundness and the public interest, any productivity, innovation, or on the not apply to an industrial bank that is administrative burdens that such ability of United States-based organized as a subsidiary of a company that is not subject to Federal regulations would place on affected enterprises to compete with foreign- consolidated supervision by the Federal depository institutions, including small based enterprises in domestic and export markets.152 Reserve Board (FRB) before April 1, depository institutions, and customers 2021. In addition, this part does not of depository institutions, as well as the The FDIC will submit the final rule and other appropriate reports to apply to: benefits of such regulations. In addition, (1) Any industrial bank that is or section 302(b) of RCDRIA requires new Congress and the Government Accountability Office for review. becomes controlled by a company that regulations and amendments to is subject to Federal consolidated regulations that impose additional List of Subjects in 12 CFR Part 354 supervision by the FRB; and reporting, disclosures, or other new Bank deposit insurance, Banks, (2) Any industrial bank that is not or requirements on insured depository banking, Finance, Holding companies, will not become a subsidiary of a institutions generally to take effect on Industrial banks, Industrial loan company. the first day of a calendar quarter that company, Insurance, Parent company, § 354.2 Definitions. begins on or after the date on which the Reporting and recordkeeping regulations are published in final Unless defined in this section, terms requirements, Savings associations. shall have the meaning given to them in form.149 The FDIC considered the 12 CFR Chapter III section 3 of the FDI Act. administrative burdens and benefits of Control means the power, directly or the final rule in determining its effective Authority and Issuance indirectly, to direct the management or date and administrative compliance For the reasons stated in the policies of a company or to vote 25 requirements. As such, the final rule preamble, the Federal Deposit Insurance percent or more of any class of voting will be effective on April 1, 2021. Corporation amends title 12 of the Code securities of a company, and includes the rebuttable presumptions of control 147 12 U.S.C. 4809. 150 5 U.S.C. 801 et seq. at § 303.82(b)(1) of this chapter and of 148 12 U.S.C. 4802(a). 151 5 U.S.C. 801(a)(3). acting in concert at § 303.82(b)(2) of this 149 12 U.S.C. 4802(b). 152 5 U.S.C. 804(2). chapter. For purposes of this part, the
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presumptions set forth in § 303.82(b)(1) section. In addition, with respect to an (7) Maintain the capital and liquidity and (2) of this chapter shall apply with industrial bank subject to this part, the of the subsidiary industrial bank at such respect to any company in the same FDIC will condition each grant of levels as the FDIC deems appropriate, manner and to the same extent as if they deposit insurance, each issuance of a and take such other actions as the FDIC applied to an acquisition of securities of non-objection to a change in control, deems appropriate to provide the the company. and each approval of a merger on subsidiary industrial bank with a Covered Company means any compliance with paragraphs (a)(1) resource for additional capital and company that is not subject to Federal through (8) of this section by the parties liquidity including, for example, consolidated supervision by the FRB to the written agreement. As required, pledging assets, obtaining and and that controls an industrial bank: each Covered Company must: maintaining a letter of credit from a (1) As a result of a change in bank (1) Submit to the FDIC an initial third-party institution acceptable to the control pursuant to section 7(j) of the listing of all of the Covered Company’s FDIC, and providing indemnification of FDI Act; subsidiaries and update such list the subsidiary industrial bank; and (2) As a result of a merger transaction annually; (8) Execute a tax allocation agreement pursuant to section 18(c) of the FDI Act; (2) Consent to the examination by the with its subsidiary industrial bank that or FDIC of the Covered Company and each expressly states that an agency (3) That is granted deposit insurance of its subsidiaries to permit the FDIC to relationship exists between the Covered by the FDIC pursuant to section 6 of the assess compliance with the provisions Company and the subsidiary industrial FDI Act, in each case on or after April of any written agreement, commitment, bank with respect to tax assets generated 1, 2021. or condition imposed; the FDI Act; or by such industrial bank, and that further FDI Act means the Federal Deposit any other Federal law for which the states that all such tax assets are held in Insurance Act, 12 U.S.C. 1811, et seq. FDIC has specific enforcement trust by the Covered Company for the Filing has the meaning given to it in jurisdiction against such Covered benefit of the subsidiary industrial bank § 303.2(s) of this chapter. Company or subsidiary, and all relevant and will be promptly remitted to such FRB means the Board of Governors of laws and regulations; industrial bank. The tax allocation the Federal Reserve System and each (3) Submit to the FDIC an annual agreement also must provide that the Federal Reserve Bank. report describing the Covered amount and timing of any payments or Industrial bank means any insured Company’s operations and activities, in refunds to the subsidiary industrial State bank that is an industrial bank, the form and manner prescribed by the bank by the Covered Company should industrial loan company, or other FDIC, and such other reports as may be be no less favorable than if the similar institution that is excluded from requested by the FDIC to inform the subsidiary industrial bank were a the definition of the term ‘‘bank’’ in FDIC as to the Covered Company’s: separate taxpayer. section 2(c)(2)(H) of the Bank Holding (i) Financial condition; (b) The FDIC may require such Company Act, 12 U.S.C. 1841(c)(2)(H). (ii) Systems for identifying, Covered Company and industrial bank Senior executive officer has the measuring, monitoring, and controlling to commit to provide to the FDIC, and, meaning given it in § 303.101(b) of this financial and operational risks; thereafter, implement and adhere to, a chapter. (iii) Transactions with depository contingency plan subject to the FDIC’s institution subsidiaries of the Covered approval that sets forth, at a minimum, § 354.3 Written agreement. Company; recovery actions to address significant (a) No industrial bank may become a (iv) Systems for protecting the financial or operational stress that could subsidiary of a Covered Company unless security, confidentiality, and integrity of threaten the safe and sound operation of the Covered Company enters into one or consumer and nonpublic personal the industrial bank and one or more more written agreements with both the information; and strategies for the orderly disposition of Federal Deposit Insurance Corporation (v) Compliance with applicable such industrial bank without the need (FDIC) and the subsidiary industrial provisions of the FDI Act and any other for the appointment of a receiver or bank, which contain commitments by law or regulation; conservator. the Covered Company to comply with (4) Maintain such records as the FDIC each of paragraphs (a)(1) through (8) in may deem necessary to assess the risks § 354.5 Restrictions on industrial bank § 354.4 and such other written to the subsidiary industrial bank or to subsidiaries of Covered Companies. agreements, commitments, or the Deposit Insurance Fund; Without the FDIC’s prior written restrictions as the FDIC deems (5) Cause an independent audit of approval, an industrial bank that is appropriate, including, but not limited each subsidiary industrial bank to be controlled by a Covered Company shall to, the provisions of §§ 354.4 and 354.5. performed annually; not: (b) The FDIC may, at its sole (6) Limit the Covered Company’s (a) Make a material change in its discretion, condition a grant of deposit direct and indirect representation on the business plan after becoming a insurance, issuance of a non-objection board of directors or board of managers, subsidiary of such Covered Company; to a change in control, or approval of a as the case may be, of each subsidiary (b) Add or replace a member of the merger on an individual who is a industrial bank to less than 50 percent board of directors, board of managers, or controlling shareholder of a Covered of the members of such board of a managing member, as the case may be, Company joining as a party to any directors or board of managers, in the of the subsidiary industrial bank during written agreement required by aggregate, and, in the case of a the first three years after becoming a paragraph (a) of this section. subsidiary industrial bank that is subsidiary of such Covered Company; organized as a member-managed limited (c) Add or replace a senior executive § 354.4 Required commitments and liability company, limit the Covered officer during the first three years after provisions of written agreement. Company’s direct and indirect becoming a subsidiary of such Covered (a) The commitments required to be representation as a managing member to Company; made in the written agreements less than 50 percent of the managing (d) Employ a senior executive officer referenced in § 354.3 are set forth in member interests of the subsidiary who is, or during the past three years paragraphs (a)(1) through (8) of this industrial bank, in the aggregate; has been, associated in any manner (e.g.,
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as a director, officer, employee, agent, I. Introduction union governance and technical matters, owner, partner, or consultant) with an as discussed in the following sections. a. Legal Authority and Background affiliate of the industrial bank; or b. February 2020 Proposed Rule on Part (e) Enter into any contract for services The Board is issuing this rule pursuant to its authority under the 704 material to the operations of the 1 industrial bank (for example, loan Federal Credit Union Act (FCU Act). On February 20, 2020, the Board servicing function) with such Covered Under the FCU Act, the NCUA is the approved a notice of proposed Company or any subsidiary thereof. chartering and supervisory authority for rulemaking to update, clarify, and Federal credit unions (FCUs) and the simplify several provisions of part 704 § 354.6 Reservation of authority. federal supervisory authority for (proposed rule).9 The proposed rule federally insured credit unions (FICUs). Nothing in this part limits the provided for a 60-day comment period, The FCU Act grants the NCUA a broad authority of the FDIC under any other which the Board later extended by 60 mandate to issue regulations governing 10 provision of law or regulation to take days because of COVID–19. The both FCUs and FICUs. Section 120 of supervisory or enforcement actions, comment period ended on July 27, 2020. the FCU Act is a general grant of including actions to address unsafe or regulatory authority and authorizes the c. October 2020 Final Rule on Part 704 unsound practices or conditions, or Board to prescribe regulations for the violations of law. The NCUA received 35 comment administration of the FCU Act.2 Section letters on the proposed rule. Comments Federal Deposit Insurance Corporation. 209 of the FCU Act is a plenary grant were received from credit unions, both By order of the Board of Directors. of regulatory authority to the NCUA to corporate and natural persons, credit Dated at Washington, DC, on December 15, issue regulations necessary or union leagues and trade associations, 2020. appropriate to carry out its role as share individuals, corporate CUSOs, and an James P. Sheesley, insurer for all FICUs.3 The FCU Act also association of state credit union Assistant Executive Secretary. includes an express grant of authority supervisors. In October 2020, the Board [FR Doc. 2020–28473 Filed 2–22–21; 8:45 am] for the Board to subject federally issued a final rule that: (1) Permits a chartered central, or corporate, credit BILLING CODE 6714–01–P corporate credit union to make a unions to such rules, regulations, and minimal investment in a CUSO without orders as the Board deems appropriate.4 the CUSO being classified as a corporate Part 704 of the NCUA’s regulations CUSO and subject to heightened NCUA NATIONAL CREDIT UNION implements the requirements of the oversight; (2) expands the categories of FCU Act regarding corporate credit senior staff positions at member credit ADMINISTRATION 5 unions. In 2010, the Board unions eligible to serve on a corporate 12 CFR Part 704 comprehensively revised the regulations credit union’s board; (3) removes the governing corporate credit unions to experience and independence provide longer-term structural RIN 3133–AF13 requirement for a corporate credit enhancements to the corporate system union’s enterprise risk management Corporate Credit Unions in response to the financial crisis of 6 expert; (4) clarifies the definition of a 2007–2009. The provisions of the 2010 collateralized debt obligation; and (5) AGENCY: National Credit Union rule successfully stabilized the simplifies the requirement for net Administration (NCUA). corporate system and improved interest income modeling.11 corporate credit unions’ ability to ACTION: Final rule. The October 2020 final rule deferred function and provide services to natural final action on the provisions in the person credit unions. Since 2010, and as SUMMARY: The NCUA Board (Board) is proposed rule that addressed the part of the Board’s continuous issuing a final rule that amends the permissibility and capital treatment for reevaluation of its regulation of NCUA’s corporate credit union corporate credit union purchases of corporate credit unions, the Board has regulation. The final rule updates the subordinated debt instruments under amended part 704 on several occasions.7 definitions in this regulation and makes the Board’s January 2020 proposed rule In 2017, the Board amended corporate clear that corporate credit unions may on subordinated debt.12 In the October credit union capital standards to change purchase subordinated debt instruments 2020 final rule, the Board discussed the the calculation of capital after a issued by natural person credit unions. comments on this part of the proposed consolidation and to set a retained The final rule also specifies the capital rule and noted that the commenters that earnings ratio target in meeting prompt treatment of these instruments for addressed these provisions all corrective action (commonly referred to corporate credit unions that purchase supported them. The Board did not as PCA) standards.8 In October 2020, the them. adopt the provisions at that time Board issued a final rule to amend because it had not yet finalized the DATES: The final rule is effective January several provisions relating to corporate January 2020 proposed rule on 1, 2022. credit union investments in credit union subordinated debt. service organizations (CUSOs) and other FOR FURTHER INFORMATION CONTACT: provisions relating to corporate credit d. Final Rule on Subordinated Debt Policy and Analysis: Robert Dean, National Supervision Analyst, Office of The Board has now adopted the 1 12 U.S.C. 1751 et seq. National Examinations and Supervision, 2 January 2020 proposed rule on 12 U.S.C. 1766(a). 13 (703) 518–6652; Legal: Rachel 3 12 U.S.C. 1789. subordinated debt as final. These Ackmann, Senior Staff Attorney, Office 4 12 U.S.C. 1766(a). of General Counsel, (703) 548–2601; or 5 12 CFR part 704. 9 85 FR 17288 (Mar. 27, 2020). by mail at National Credit Union 6 75 FR 64786 (Oct. 20, 2010). 10 85 FR 20431 (Apr. 13, 2020). Administration, 1775 Duke Street, 7 See e.g., 80 FR 25932 (May 6, 2015), 80 FR 11 85 FR 71817 (Nov. 12, 2020). Alexandria, VA 22314. 57283 (Sept. 23, 2015), and 82 FR 55497 (Nov. 22, 12 85 FR 13982 (Mar. 10, 2020). 2017). 13 See, https://www.ncua.gov/files/agenda-items/ SUPPLEMENTARY INFORMATION: 8 82 FR 55497 (Nov. 22, 2017). AG20201217Item5b.pdf.
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changes include a reduction in the commenters to the February 2020 person credit union. The Board is also duration of required pro forma financial proposed rule objected to this proposed concerned about systemic risk if statements from five to two years, an definition. Now that the Board has corporate credit unions own a adjustment to the definition of finalized the subordinated debt significant amount of natural person Accredited Investor, an increase in the proposed rule without substantial credit union issued subordinated debt. expiration to issue period from one year changes from its proposed form, the Finally, a natural person credit union to two years, clarifying the territorial Board is now adopting this proposed subordinated debt instrument would be restrictions on issuances, and clarifying definition in part 704. in a first loss position, even before the when the Board will publish a fee The February 2020 proposed rule also NCUSIF and any private insurance fund schedule. The Board notes that none of clarified that corporate credit unions or entity. Therefore, an involuntary these changes impact its rationale for may purchase the natural person credit liquidation of the issuing credit union requiring corporate credit unions to union subordinated debt instruments. would potentially mean large, and likely This authority is derived from their deduct natural person subordinated total, losses for the holders of those lending authority because subordinated debt instruments. Therefore, the Board subordinated obligations. The Board debt instruments are issued under a is now adopting the amendments that it believes that fully deducting such proposed to the corporate credit union natural person credit union’s borrowing authority. Additionally, natural person instruments from Tier 1 capital ensures regulation in the February 2020 any potential losses do not affect the proposed rule. credit unions are also permitted, subject to various restrictions and limits, to capital position of the investing II. This Final Rule purchase such subordinated debt corporate credit union. This measured instruments from other natural person approach strikes the right balance Natural Person Credit Union between providing corporate credit Subordinated Debt Instruments credit unions under their lending authority. Treating the purchase of such unions the flexibility to purchase As discussed previously, in January subordinated debt instruments as natural person credit union 2020, the Board issued a proposed rule lending ensures consistent treatment subordinated debt instruments and to permit low-income designated credit between natural person credit unions avoiding undue systemic risk to the unions, complex credit unions, and new and corporate credit unions. The Board credit union system. As discussed credit unions to issue subordinated debt is not making any amendment to the previously, the Board’s final rule on instruments for purposes of regulatory regulatory text in part 704 to this effect subordinated debt made no substantial 14 capital treatment. Subsequently, in the because corporate credit unions’ current changes to that rule to change this February 2020 proposed rule on lending authority is sufficiently broad to conclusion regarding corporate credit corporate credit unions, the Board include purchasing subordinated debt unions’ purchases of the instruments. proposed to address whether corporate instruments. However, the Board Therefore, the Board is adopting the credit unions may purchase such reiterates that these purchases are Tier 1 capital deductions that it instruments and, if so, the treatment of permissible to avoid doubt. proposed in the February 2020 proposed the investments under part 704. In the In addition, the February 2020 rule. October 2020 final rule on part 704, the proposed rule included a requirement Board discussed and analyzed the for a corporate credit union to fully III. Regulatory Procedures comments it received on this part of the deduct the amount of the subordinated Final Rule Under the Administrative February 2020 proposed rule but debt instrument from its Tier 1 capital Procedure Act deferred final action in order to to ensure consistent treatment between coordinate it with the final rule on investments in the capital of other The Administrative Procedure Act subordinated debt. Because the Board corporate credit unions and natural (APA) generally requires agencies to has now issued the final rule on person credit unions. Under the current issue a notice of proposed rulemaking subordinated debt without any changes regulation, corporate credit unions are and give interested persons an that affect the proposed revisions to part currently required to deduct from Tier opportunity to participate in the rule 704 on which the Board already 1 capital any investments in perpetual making through submission of solicited and received public comment, contributed capital and nonperpetual comments.16 As detailed in the the Board is now also finalizing the capital accounts that are maintained at background section of this preamble, the proposed changes to part 704. 15 other corporate credit unions. The Board provided notice and an The February 2020 proposed rule proposed rule also asked a question on opportunity to comment on the changes created a new definition for the term whether it would be more appropriate to made in this final rule in the proposed natural person credit union prohibit corporate credit unions from rule issued in February 2020. The Board subordinated debt instrument. The purchasing subordinated debt deferred final action on certain proposed rule defined a natural person instruments. No commenter provisions of the February 2020 credit union subordinated debt recommended restricting corporate instrument as any debt instrument credit union authority to purchase proposed rule to coordinate with the issued by a natural person credit union subordinated debt instruments. separate rulemaking on subordinated that is subordinate to all other claims The Board believes that investments debt. The final rule on subordinated against the credit union, including the in natural person credit union debt is substantially similar to its claims of creditors, shareholders, and subordinated debt instruments should proposed form, which means that either the National Credit Union Share be treated similarly to investments in commenters on the February 2020 Insurance Fund (NCUSIF) or the insurer perpetual contributed capital and proposed rule received notice and an of a privately insured credit union. This nonperpetual capital accounts that are opportunity to comment on these definition is designed to include all maintained at other corporate credit provisions. Therefore, the Board is instruments issued under the authority unions as such instruments may qualify adopting the amendments in this final of the subordinated debt rule. No as regulatory capital for the natural rule without issuing a new notice of
14 Id. 15 12 CFR 704.2 (definition of ‘‘Tier 1 capital’’). 16 5 U.S.C. 553.
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proposed rulemaking, which would be state and local interests. In adherence to PART 704—CORPORATE CREDIT duplicative in this case. fundamental federalism principles, the UNIONS NCUA, an independent regulatory Regulatory Flexibility Act agency as defined in 44 U.S.C. 3502(5), ■ 1. The authority citation for part 704 The Regulatory Flexibility Act (RFA) voluntarily complies with the principles continues to read as follows: generally requires that, in connection of the Executive order. This rulemaking Authority: 12 U.S.C. 1766(a), 1781, 1789. with a final rule, an agency prepare and will not have a substantial direct effect ■ make available for public comment a on the states, on the connection between 2. In § 704.2: final regulatory flexibility analysis that the National Government and the states, ■ a. Add in alphabetical order a describes the impact of a final rule on or on the distribution of power and definition of ‘‘Natural person credit small entities (defined for purposes of responsibilities among the various union subordinated debt instrument’’; the RFA to include credit unions with levels of government. The NCUA has and assets less than $100 million).17 A determined that this final rule does not ■ b. Revise the definition of ‘‘Tier 1 regulatory flexibility analysis is not constitute a policy that has federalism capital’’. required, however, if the agency implications for purposes of the The addition and revision read as certifies that the rule will not have a Executive order. follows: significant economic impact on a § 704.2 Definitions. substantial number of small entities and Assessment of Federal Regulations and publishes its certification and a short, Policies on Families * * * * * explanatory statement in the Federal The NCUA has determined that this Natural person credit union Register together with the rule. final rule does not affect family well- subordinated debt instrument is any This final rule does not have a being within the meaning of section 654 debt instrument issued by a natural significant economic impact on a of the Treasury and General person credit union that is subordinate substantial number of small entities. Government Appropriations Act, to all other claims against the credit There are no corporate credit unions 1999.18 union, including the claims of creditors, under $100 million in assets. Therefore, shareholders, and either the National the Board certifies that the rule will not Small Business Regulatory Enforcement Credit Union Share Insurance Fund or have a significant economic impact on Fairness Act the insurer of a privately insured credit a substantial number of small entities. The Small Business Regulatory union. Paperwork Reduction Act Enforcement Fairness Act of 1996 (Pub. * * * * * L. 104–121) (SBREFA) generally Tier 1 capital means the sum of items The Paperwork Reduction Act of 1995 provides for congressional review of in paragraphs (1) and (2) of this (PRA) applies to information collection agency rules.19 A reporting requirement definition from which items in requirements in which an agency is triggered in instances where the paragraphs (3) through (7) of this creates a new paperwork burden on NCUA issues a final rule as defined by definition are deducted: regulated entities or modifies an Section 551 of the APA.20 An agency (1) Retained earnings; existing burden. For purposes of the rule, in addition to being subject to (2) Perpetual contributed capital; PRA, a paperwork burden may take the congressional oversight, may also be (3) Deduct the amount of the form of a reporting, recordkeeping, or subject to a delayed effective date if the corporate credit union’s intangible third-party disclosure requirement, each rule is a ‘‘major rule.’’ 21 The NCUA assets that exceed one half percent of its referred to as an information collection. does not believe this rule is a ‘‘major moving daily average net assets The NCUA may not conduct or sponsor, rule’’ within the meaning of the relevant (however, the NCUA may direct the and the respondent is not required to sections of SBREFA. As required by corporate credit union to add back some respond to, an information collection SBREFA, the NCUA will submit this of these assets on the NCUA’s own unless it displays a currently valid final rule to OMB for it to determine if initiative, or the NCUA’s approval of Office of Management and Budget the final rule is a ‘‘major rule’’ for petition from the applicable state (OMB) control number. purposes of SBREFA. The NCUA also regulator or application from the The final rule amends 12 CFR part will file appropriate reports with corporate credit union); 704 to address the permissibility and Congress and the Government (4) Deduct investments, both equity capital treatment of natural person Accountability Office so this rule may and debt, in unconsolidated CUSOs; subordinated debt instruments be reviewed. (5) Deduct an amount equal to any purchased by corporate credit unions. PCC or NCA that the corporate credit The amendments to part 704 revise the List of Subjects in 12 CFR Part 704 union maintains at another corporate Corporate Credit Union Call Report Credit unions, Corporate credit credit union; cleared under OMB Control number unions, Reporting and recordkeeping (6) Deduct any amount of PCC 3133–0067. Public comments were requirements. received from federally insured credit solicited in a separate Federal Register unions that causes PCC minus retained notice (85 FR 65435, October 15, 2020) By the National Credit Union Administration Board on January 14, 2021. earnings, all divided by moving daily and no comment were received. The average net assets, to exceed two information collection request has been Melane Conyers-Ausbrooks, percent when a corporate credit union’s submitted to the Office of Management Secretary of the Board. retained earnings ratio is less than two Budget for approval. For the reasons discussed in the and a half percent; and preamble, the Board amends 12 CFR Executive Order 13132 (7) Deduct any natural person credit part 704 as follows: Executive Order 13132 encourages union subordinated debt instrument held by the corporate credit union. independent regulatory agencies to 18 Public Law 105–277, 112 Stat. 2681 (1998). consider the impact of their actions on 19 5 U.S.C. 801–804. * * * * * 20 5 U.S.C. 551. [FR Doc. 2021–01399 Filed 2–22–21; 8:45 am] 17 See 80 FR 57512 (Sept. 24, 2015). 21 5 U.S.C. 804(2). BILLING CODE 7535–01–P
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SMALL BUSINESS ADMINISTRATION Loan programs—business, Small § 127.504 What requirements must an businesses. EDWOSB or WOSB meet to be eligible for 13 CFR Part 121 and 127 an EDWOSB or WOSB requirement? 13 CFR Part 127 RIN 3245–AG94 * * * * * Government contracts, Reporting and (g) * * * Consolidation of Mentor-Prote´ge´ recordkeeping requirements, Small (1) * * * When the subcontractor is Programs and Other Government businesses. other than small or alleged to be other Contracting Amendments; Correction than small for the size standard assigned Accordingly, 13 CFR parts 121 and to the procurement, this issue may be AGENCY: U.S. Small Business 127 are corrected by making the grounds for a size protest, as described Administration. following correcting amendments: at § 121.103(h)(2) of this chapter. ACTION: Correcting amendments. PART 121—SMALL BUSINESS SIZE * * * * * SUMMARY: The U.S. Small Business REGULATIONS John W. Klein, Administration (SBA) is correcting Acting Associate Administrator, Government regulations published in the Federal ■ 1. The authority citation for part 121 Contracting and Business Development. Register on October 16, 2020. The rule continues to read as follows: [FR Doc. 2021–03008 Filed 2–22–21; 8:45 am] merged the 8(a) Business Development Authority: 15 U.S.C. 632, 634(b)(6), BILLING CODE 8026–03–P (BD) Mentor-Prote´ge´ Program and the 636(a)(36), 662, and 694a(9); Pub. L. 116–136, All Small Mentor-Prote´ge´ Program to Section 1114. eliminate confusion and remove SMALL BUSINESS ADMINISTRATION ■ unnecessary duplication of functions 2. In § 121.103 amend paragraph (h) within SBA. This document is making introductory text by revising the second- 13 CFR Part 125 to-last sentence to read as follows: several technical corrections to the RIN 3245–AG85 regulations. § 121.103 How does SBA determine DATES: Effective February 23, 2021. affiliation? Ownership and Control of Service- Disabled Veteran-Owned Small FOR FURTHER INFORMATION CONTACT: * * * * * Business Concerns; Correction Mark Hagedorn, U.S. Small Business (h) * * * SBA may also determine Administration, Office of General that the relationship between a prime AGENCY: U.S. Small Business Counsel, 409 Third Street SW, contractor and its subcontractor is a Administration. Washington, DC 20416; (202) 205–7625; joint venture pursuant to paragraph ACTION: Correcting amendment. [email protected]. (h)(2). * * * SUMMARY: The U.S. Small Business SUPPLEMENTARY INFORMATION: SBA * * * * * published a final rule revising the Administration (SBA) is correcting ■ 3. Amend § 121.404 by revising regulations pertaining to the 8(a) BD and regulations that published in the paragraph (d) to read as follows: size programs in order to further reduce Federal Register on September 28, 2018. unnecessary or excessive burdens on § 121.404 When is the size status of a The rule issued one definition of small businesses and to eliminate business concern determined? ownership and control for the Department of Veterans Affairs confusion or more clearly delineate * * * * * SBA’s intent in certain regulations. (85 verification of Veteran-Owned (VO) and (d) Nonmanufacturer rule, ostensible Service-Disabled Veteran-Owned FR 66146). This is the third set of subcontractor rule, and joint venture corrections. The first set of corrections (SDVO) Small Business Concerns (SBCs) agreements. Compliance with the with the SBA. This document is making was published in the Federal Register nonmanufacturer rule set forth in on November 16, 2020. (85 FR 72916). one technical correction to the § 121.406(b)(1), the ostensible regulations. The second set of corrections was subcontractor rule set forth in DATES: published in the Federal Register on § 121.103(h)(2), and the joint venture Effective February 23, 2021. January 14, 2021. This document agreement requirements in § 124.513(c) FOR FURTHER INFORMATION CONTACT: Ed augments those corrections. and (d), § 125.8(b) and (c), § 125.18(b)(2) Bender, U.S. Small Business In the final rule, SBA amended and (3), § 126.616(c) and (d), or Administration, Office of General § 121.103(h) to revise and clarify the § 127.506(c) and (d) of this chapter, as Counsel, 409 Third Street SW, requirements for joint ventures. In doing appropriate, is determined as of the date Washington, DC 20416; (202) 205–6455; so, the sub-paragraphs in this section of the final proposal revision for [email protected]. were reorganized. The language about negotiated acquisitions and final bid for SUPPLEMENTARY INFORMATION: In ostensible subcontractors moved from sealed bidding. response to the provisions of the § 121.103(h)(4) to § 121.103(h)(2). This * * * * * National Defense Authorization Act for document removes references to Fiscal Year 2017 (NDAA 2017), SBA § 121.103(h)(4) and replaces them with PART 127—WOMEN-OWNED SMALL issued regulations relating to ownership references to § 121.103(h)(2) in the BUSINESS FEDERAL CONTRACT and control for the Department of introductory text to § 121.103(h), in PROGRAM Veterans Affairs verification of Veteran- paragraph § 121.404(d), and in Owned (VO) and Service-Disabled paragraph § 127.504(g). ■ 4. The authority citation for part 127 Veteran-Owned (SDVO) Small Business List of Subjects continues to read as follows: Concerns (SBCs) with the SBA. 83 FR 48908. Pursuant to NDAA 2017, SBA 13 CFR Part 121 Authority: 15 U.S.C. 632, 634(b)(6), 637(m), 644 and 657r. issued one definition of ownership and Administrative practice and control for these concerns, which procedure, Government procurement, ■ 5. Amend § 127.504 by revising the applies to the Department of Veterans Government property, Grant programs— second sentence of paragraph (g)(1) to Affairs in its verification and Vets First business, Individuals with disabilities, read as follows: Contracting Program procurements, and
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all other government acquisitions which DEPARTMENT OF TRANSPORTATION Moines, WA. For information on the require self-certification. The legislation availability of this material at the FAA, also provided that in certain Federal Aviation Administration call 206–231–3195. It is also available in circumstances a firm can qualify as VO the AD docket on the internet at https:// or SDVO when there is a surviving 14 CFR Part 39 www.regulations.gov by searching for spouse or an employee stock ownership [Docket No. FAA–2020–0900; Product and locating Docket No. FAA–2020– plan (ESOP). Identifier 2020–NM–080–AD; Amendment 0900. In response to the NDAA 2017 39–21400; AD 2021–02–17] Examining the AD Docket changes, SBA amended the definitions RIN 2120–AA64 You may examine the AD docket on in § 125.11 by incorporating language the internet at https:// from VA’s regulations and also from Airworthiness Directives; Airbus SAS Airplanes www.regulations.gov by searching for SBA’s 8(a) Business Development (BD) and locating Docket No. FAA–2020– program regulations. 13 CFR part 124, AGENCY: Federal Aviation 0900; or in person at Docket Operations subpart A. In making these Administration (FAA), Department of between 9 a.m. and 5 p.m., Monday amendments, SBA inadvertently Transportation (DOT). through Friday, except Federal holidays. removed the definition of ‘‘interested ACTION: Final rule. The AD docket contains this final rule, party.’’ This rule adds back the any comments received, and other definition. SUMMARY: The FAA is adopting a new information. The address for Docket airworthiness directive (AD) for all Operations is U.S. Department of List of Subjects in 13 CFR Part 125 Airbus SAS Model A318 series Transportation, Docket Operations, M– Government contracts, Government airplanes; Model A319–111, A319–112, 30, West Building Ground Floor, Room A319–113, A319–114, A319–115, A319– procurement, Reporting and W12–140, 1200 New Jersey Avenue SE, 131, A319–132, A319–133, A319–151N, Washington, DC 20590. recordkeeping requirements, Small and A319–153N airplanes; Model A320 businesses, Technical assistance. FOR FURTHER INFORMATION CONTACT: series airplanes; and Model A321 series Sanjay Ralhan, Aerospace Engineer, Accordingly, 13 CFR part 125 is airplanes. This AD was prompted by the Large Aircraft Section, International corrected by making the following results of laboratory tests on non- Validation Branch, FAA, 2200 South correcting amendment: rechargeable lithium batteries installed 216th St., Des Moines, WA 98198; in emergency locator transmitters (ELT), telephone and fax 206–231–3223; email PART 125—GOVERNMENT which highlighted a lack of protection [email protected]. CONTRACTING PROGRAMS against certain currents that could lead SUPPLEMENTARY INFORMATION: to thermal runaway and a battery fire. ■ 1. The authority citation for part 125 This AD requires modifying a certain Discussion continues to read as follows: ELT by installing a diode in the airplane The EASA, which is the Technical circuit connecting the ELT battery, as Authority: 15 U.S.C. 632(p), (q), 634(b)(6), Agent for the Member States of the specified in a European Union Aviation European Union, has issued EASA AD 637, 644, 657f, 657q, 657r, and 657s; 38 Safety Agency (EASA) AD, which is U.S.C. 501 and 8127. 2020–0103, dated May 7, 2020; incorporated by reference. The FAA is corrected May 8, 2020 (EASA AD 2020– ■ 2. Amend § 125.11 by adding in issuing this AD to address the unsafe 0103) (also referred to as the Mandatory alphabetical order the definition of condition on these products. Continuing Airworthiness Information, ‘‘Interested Party’’ to read as follows: DATES: This AD is effective March 30, or the MCAI), to correct an unsafe 2021. condition for all Airbus SAS Model § 125.11 What definitions are important in The Director of the Federal Register A318–111, A318–112, A318–121, A318– the Service-Disabled Veteran-Owned approved the incorporation by reference 122 airplanes; Model A319–111, A319– (SDVO) Small Business Concern (SBC) of certain publications listed in this AD 112, A319–113, A319–114, A319–115, Program? as of March 30, 2021. A319–131, A319–132, A319–133, A319– * * * * * ADDRESSES: For EASA material 151N, and A319–153N airplanes; Model Interested Party means the contracting incorporated by reference (IBR) in this A320–211, A320–212, A320–214, A320– activity’s contracting officer, SBA, any AD, contact the EASA, Konrad- 215, A320–216, A320–231, A320–232, concern that submits an offer for a Adenauer-Ufer 3, 50668 Cologne, A320–233, A320–251N, A320–252N, specific sole source or set-aside SDVO Germany; telephone +49 221 8999 000; A320–253N, A320–271N, A320–272N, contract or order (including Multiple email [email protected]; internet and A320–273N airplanes; and Model Award Contracts), or any concern that www.easa.europa.eu. You may find this A321–111, A321–112, A321–131, A321– submitted an offer in full and open IBR material on the EASA website at 211, A321–212, A321–213, A321–231, competition and its opportunity for https://ad.easa.europa.eu. For Airbus A321–232, A321–251N, A321–252N, award will be affected by a reserve of an SAS service information incorporated A321–253N, A321–271N, A321–272N, by reference in this AD, contact Airbus A321–251NX, A321–252NX, A321– award given to a SDVO SBC. SAS, Airworthiness Office—EIAS, 253NX, A321–271NX, and A321–272NX * * * * * Rond-Point Emile Dewoitine No: 2, airplanes. Model A320–215 airplanes John W. Klein, 31700 Blagnac Cedex, France; telephone are not certificated by the FAA and are +33 5 61 93 36 96; fax +33 5 61 93 44 not included on the U.S. type certificate Acting Associate Administrator, Government 51; email account.airworth-eas@ data sheet; this AD therefore does not Contracting and Business Development. airbus.com; internet https:// include those airplanes in the [FR Doc. 2021–03007 Filed 2–22–21; 8:45 am] www.airbus.com. You may view this applicability. BILLING CODE 8026–03–P IBR material at the FAA, Airworthiness The FAA issued a notice of proposed Products Section, Operational Safety rulemaking (NPRM) to amend 14 CFR Branch, 2200 South 216th St., Des part 39 by adding an AD that would
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apply to all Airbus SAS Model A318 maintenance manual (AMM) tasks tasks for doing the BITE [built-in test series airplanes; Model A319–111, referred to in Airbus SAS Service equipment] test of the ELT specified in A319–112, A319–113, A319–114, A319– Bulletin A320–25–1BQN, dated the related Airbus SAS service bulletins. 115, A319–131, A319–132, A319–133, December 5, 2019; and Service Bulletin These TAs are distinct since they apply A319–151N, and A319–153N airplanes; A320–25–1BQP, dated December 5, to different service bulletins specified in Model A320 series airplanes; and Model 2019; are incorrect. The commenter EASA AD 2020–0103. A321 series airplanes. The NPRM stated that it contacted Airbus SAS • Airbus SAS TA 80724343/009/ published in the Federal Register on regarding this issue and Airbus SAS’ 2020, Issue 1, dated May 20, 2020. October 1, 2020 (85 FR 61884). The response was that there is no planned • Airbus SAS TA 80832689/007/ NPRM was prompted by the results of revision to these service bulletins to 2020, Issue 2, dated October 29, 2020. laboratory tests on non-rechargeable correct the references to the incorrect lithium batteries installed in ELTs, AMM tasks. This material is reasonably available which highlighted a lack of protection The FAA agrees with the commenter’s because the interested parties have against certain currents that could lead request for the reason provided. The access to it through their normal course to thermal runaway and a battery fire. FAA has added paragraph (h)(4) to this of business or by the means identified The NPRM proposed to require AD to allow use of the correct TAs. in the ADDRESSES section. modifying a certain ELT by installing a Conclusion Clarification of Maintenance Activities diode in the airplane circuit connecting With an Affected Part the ELT battery, as specified in an EASA The FAA reviewed the relevant data, AD. considered the comment received, and EASA AD 2020–0103 defines an determined that air safety and the The FAA is issuing this AD to address affected part as an ELT having part public interest require adopting this this unsafe condition, which could number (P/N) 01N65900. When the final rule with the change described result in local (temporary) fires and modification (installation of a diode) is previously and minor editorial changes. could result in damage to the airplane completed, the part number of the ELT The FAA has determined that these and injury to occupants. See the MCAI does not change. The intent of minor changes: for additional background information. • paragraph (1) of EASA AD 2020–0103 is Are consistent with the intent that to require, for airplanes that have an Comments was proposed in the NPRM for affected ELT installed, operators to do addressing the unsafe condition; and the modification within 24 months. For The FAA gave the public the • Do not add any additional burden these airplanes, operators can remove an opportunity to participate in developing upon the public than was already ELT having P/N 01N65900 and reinstall this final rule. The following presents proposed in the NPRM. the comment received on the NPRM and The FAA also determined that these that same part during maintenance the FAA’s response. changes will not increase the economic activities within the 24 month compliance for doing the modification. Request To Allow the Use of Additional burden on any operator or increase the scope of this final rule. After the modification is done, operators Service Information can install an ELT having P/N American Airlines (AA) requested Related Service Information Under 1 01N65900 as long as the modification is that operators be allowed to use the CFR Part 51 not removed. following Airbus SAS technical EASA AD 2020–0103 describes Costs of Compliance adaptations (TAs) during procedures for modifying a certain ELT accomplishment of the related Airbus by installing a diode in the airplane The FAA estimates that this AD SAS service bulletins that are specified circuit connecting the ELT battery. affects 1,100 airplanes of U.S. registry. in EASA AD 2020–0103. The Airbus SAS has issued the following The FAA estimates the following costs commenter noted that certain airplane TAs, which specify the correct AMM to comply with this AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost per Cost on U.S. Labor cost Parts cost product operators
3 work-hours × $85 per hour = $255 ...... $450 $705 $775,500
According to the manufacturer, some Aviation Programs, describes in more unsafe condition that is likely to exist or or all of the costs of this AD may be detail the scope of the Agency’s develop on products identified in this covered under warranty, thereby authority. rulemaking action. reducing the cost impact on affected The FAA is issuing this rulemaking Regulatory Findings individuals. The FAA does not control under the authority described in warranty coverage for affected This AD will not have federalism Subtitle VII, Part A, Subpart III, Section individuals. As a result, the FAA has implications under Executive Order included all known costs in our cost 44701: General requirements. Under 13132. This AD will not have a estimate. that section, Congress charges the FAA substantial direct effect on the States, on with promoting safe flight of civil the relationship between the national Authority for This Rulemaking aircraft in air commerce by prescribing government and the States, or on the Title 49 of the United States Code regulations for practices, methods, and distribution of power and specifies the FAA’s authority to issue procedures the Administrator finds responsibilities among the various rules on aviation safety. Subtitle I, necessary for safety in air commerce. levels of government. section 106, describes the authority of This regulation is within the scope of For the reasons discussed above, I the FAA Administrator. Subtitle VII: that authority because it addresses an certify that this AD:
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(1) Is not a ‘‘significant regulatory batteries installed in emergency locator information directly to the Large Aircraft action’’ under Executive Order 12866, transmitters (ELT), which highlighted a lack Section, International Validation Branch, (2) Will not affect intrastate aviation of protection against currents of 28 volts DC send it to the attention of the person in Alaska, and or 115 volts AC that could lead to thermal identified in paragraph (k) of this AD. (3) Will not have a significant runaway and a battery fire. The FAA is Information may be emailed to: 9-AVS-AIR- issuing this AD to address this unsafe [email protected]. Before using any economic impact, positive or negative, condition, which could result in local approved AMOC, notify your appropriate on a substantial number of small entities (temporary) fires, and could result in damage principal inspector, or lacking a principal under the criteria of the Regulatory to the airplane and injury to occupants. inspector, the manager of the responsible Flexibility Act. Flight Standards Office. (f) Compliance (2) Contacting the Manufacturer: For any List of Subjects in 14 CFR Part 39 Comply with this AD within the requirement in this AD to obtain instructions Air transportation, Aircraft, Aviation compliance times specified, unless already from a manufacturer, the instructions must safety, Incorporation by reference, done. be accomplished using a method approved by the Manager, Large Aircraft Section, Safety. (g) Requirements International Validation Branch, FAA; or Adoption of the Amendment Except as specified in paragraph (h) of this EASA; or Airbus SAS’s EASA Design AD: Comply with all required actions and Organization Approval (DOA). If approved by Accordingly, under the authority compliance times specified in, and in the DOA, the approval must include the delegated to me by the Administrator, accordance with, European Union Aviation DOA-authorized signature. the FAA amends 14 CFR part 39 as Safety Agency (EASA) AD 2020–0103, dated (3) Required for Compliance (RC): Except follows: May 7, 2020; corrected May 8, 2020 (EASA as required by paragraphs (h)(4) and (j)(2) of AD 2020–0103). this AD, if any service information contains PART 39—AIRWORTHINESS (h) Exceptions to EASA AD 2020–0103 procedures or tests that are identified as RC, DIRECTIVES those procedures and tests must be done to (1) Where EASA AD 2020–0103 refers to its comply with this AD; any procedures or tests ■ 1. The authority citation for part 39 effective date, this AD requires using the that are not identified as RC are effective date of this AD. continues to read as follows: recommended. Those procedures and tests (2) The ‘‘Remarks’’ section of EASA AD that are not identified as RC may be deviated Authority: 49 U.S.C. 106(g), 40113, 44701. 2020–0103 does not apply to this AD. from using accepted methods in accordance (3) Where paragraph (3) of EASA AD 2020– with the operator’s maintenance or § 39.13 [Amended] 0103 specifies the parts installation inspection program without obtaining ■ 2. The FAA amends § 39.13 by adding limitation, for this AD, comply with approval of an AMOC, provided the the following new airworthiness paragraph (i) of this AD. procedures and tests identified as RC can be (4) This AD allows the use of the airplane directive: done and the airplane can be put back in an maintenance manual (AMM) tasks for the airworthy condition. Any substitutions or 2021–02–17 Airbus SAS: Amendment 39– BITE [built-in test equipment] test of the ELT changes to procedures or tests identified as 21400; Docket No. FAA–2020–0900; specified in the Airbus SAS technical RC require approval of an AMOC. Product Identifier 2020–NM–080–AD. adaptations (TAs) identified in paragraphs (h)(4)(i) and (ii) of this AD, in lieu of the (k) Related Information (a) Effective Date AMM tasks specified in the applicable For more information about this AD, This airworthiness directive (AD) is Airbus SAS service bulletins specified in contact Sanjay Ralhan, Aerospace Engineer, effective March 30, 2021. EASA AD 2020–0103. Large Aircraft Section, International (i) Airbus SAS TA 80724343/009/2020, (b) Affected ADs Validation Branch, FAA, 2200 South 216th Issue 1, dated May 20, 2020. St., Des Moines, WA 98198; telephone and None. (ii) Airbus SAS TA 80832689/007/2020, fax 206 231 3223; email Sanjay.Ralhan@ Issue 2, dated October 29, 2020. (c) Applicability faa.gov. This AD applies to the Airbus SAS (i) Parts Installation Limitation (l) Material Incorporated by Reference airplanes specified in paragraphs (c)(1) (1) For airplanes that do not have an ELT (1) The Director of the Federal Register through (4) of this AD, certificated in any having part number (P/N) 01N65900 installed approved the incorporation by reference category, all manufacturer serial numbers. as of the effective date of this AD: As of the (IBR) of the service information listed in this (1) Model A318–111, A318–112, A318– effective date of this AD, no person may paragraph under 5 U.S.C. 552(a) and 1 CFR 121, and A318–122 airplanes. install an ELT having P/N 01N65900 on any part 51. (2) Model A319–111, A319–112, A319– airplane unless the airplane has been (2) You must use this service information 113, A319–114, A319–115, A319–131, A319– modified as required by paragraph (1) of as applicable to do the actions required by 132, A319–133, A319–151N, and A319–153N EASA AD 2020–0103. this AD, unless this AD specifies otherwise. airplanes. (2) For airplanes that have an ELT having (i) European Union Aviation Safety Agency (3) Model A320–211, A320–212, A320– P/N 01N65900 installed as of the effective (EASA) AD 2020–0103, dated May 7, 2020; 214, A320–216, A320–231, A320–232, A320– date of this AD: After modification of the corrected May 8, 2020. 233, A320–251N, A320–252N, A320–253N, airplane as required by paragraph (1) of (ii) Airbus SAS Technical Adaptation A320–271N, A320–272N, and A320–273N EASA AD 2020–0103, no person may install 80724343/009/2020, Issue 1, dated May 20, airplanes. an ELT having P/N 01N65900 on that 2020. (4) Model A321–111, A321–112, A321– airplane if the modification is removed. Note 1 to paragraphs (l)(2)(ii) and (iii): The 131, A321–211, A321–212, A321–213, A321– (j) Other FAA AD Provisions issue date of the document is identified only 231, A321–232, A321–251N, A321–252N, on the last page of the document. A321–253N, A321–271N, A321–272N, A321– The following provisions also apply to this 251NX, A321–252NX, A321–253NX, A321– AD: (iii) Airbus SAS Technical Adaptation 271NX, and A321–272NX airplanes. (1) Alternative Methods of Compliance 80832689/007/2020, Issue 2, dated October (AMOCs): The Manager, Large Aircraft 29, 2020. (d) Subject Section, International Validation Branch, (3) For EASA AD 2020–0103, contact the Air Transport Association (ATA) of FAA, has the authority to approve AMOCs EASA, Konrad-Adenauer-Ufer 3, 50668 America Code 25, Equipment/Furnishings. for this AD, if requested using the procedures Cologne, Germany; telephone +49 221 8999 found in 14 CFR 39.19. In accordance with 000; email [email protected]; internet (e) Reason 14 CFR 39.19, send your request to your www.easa.europa.eu. You may find this This AD was prompted by the results of principal inspector or responsible Flight EASA AD on the EASA website at https:// laboratory tests on non-rechargeable lithium Standards Office, as appropriate. If sending ad.easa.europa.eu.
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(4) For Airbus SAS service information, ADDRESSES: For service information filters, possibly resulting in an increase in contact Airbus SAS, Airworthiness Office— identified in this final rule, contact smoke in the cockpit/cabin in case of EIAS, Rond-Point Emile Dewoitine No: 2, Pilatus Aircraft Ltd., CH–6371 Stans, electrical heater over-temperature. 31700 Blagnac Cedex, France; telephone +33 Switzerland; phone: +41 848 24 7 365; To address this potential unsafe condition, 5 61 93 36 96; fax +33 5 61 93 44 51; email email: techsupport.ch@pilatus- Pilatus issued the [service bulletin] SB to [email protected]; internet provide replacement instructions. https://www.airbus.com. aircraft.com; website: https:// For the reason described above, this AD (5) You may view this material at the FAA, www.pilatus-aircraft.com/. You may requires replacement of affected parts with Airworthiness Products Section, Operational view this service information at the serviceable parts, as defined in this [EASA] Safety Branch, 2200 South 216th St., Des FAA, Airworthiness Products Section, AD, and prohibits (re) installation of affected Moines, WA. For information on the Operational Safety Branch, 901 Locust, parts. availability of this material at the FAA, call Kansas City, Missouri 64106. For 206–231–3195. This material may be found Due to a quality escape, the fire information on the availability of this retardant used in the original filters in the AD docket on the internet at https:// material at the FAA, call (816) 329– www.regulations.gov by searching for and installed in production is not sufficient 4148. It is also available at https:// for the conditions in this configuration, locating Docket No. FAA–2020–0900. www.regulations.gov by searching for (6) You may view this material that is which is close to the heater and incorporated by reference at the National and locating Docket No. FAA–2020– blowers. Archives and Records Administration 0885. The MCAI can be found in the AD (NARA). For information on the availability Examining the AD Docket docket at https://www.regulations.gov of this material at NARA, email fedreg.legal@ You may examine the AD docket at by searching for and locating Docket No. nara.gov, or go to: https://www.archives.gov/ FAA–2020–0885. federal-register/cfr/ibr-locations.html. https://www.regulations.gov by Issued on January 14, 2021. searching for and locating Docket No. Discussion of Final Airworthiness FAA–2020–0885; or in person at Docket Ross Landes, Directive Operations between 9 a.m. and 5 p.m., Deputy Director for Regulatory Operations, Monday through Friday, except Federal Comments Compliance & Airworthiness Division, The FAA received no comments on Aircraft Certification Service. holidays. The AD docket contains this final rule, any comments received, and the NPRM or on the determination of [FR Doc. 2021–03569 Filed 2–22–21; 8:45 am] other information. The address for the costs. BILLING CODE 4910–13–P Docket Operations is U.S. Department of Conclusion Transportation, Docket Operations, M– The FAA reviewed the relevant data DEPARTMENT OF TRANSPORTATION 30, West Building Ground Floor, Room W12–140, 1200 New Jersey Avenue SE, and determined that air safety requires Federal Aviation Administration Washington, DC 20590. adopting this AD as proposed. FOR FURTHER INFORMATION CONTACT: Accordingly, the FAA is issuing this AD 14 CFR Part 39 Doug Rudolph, Aviation Safety to address the unsafe condition on these Engineer, General Aviation & Rotorcraft products. This AD is adopted as [Docket No. FAA–2020–0885; Project Section, International Validation proposed in the NPRM. Identifier MCAI–2020–00997–A; Amendment 39–21424; AD 2021–04–03] Branch, FAA, 901 Locust, Room 301, Related Service Information Under 1 Kansas City, Missouri 64106; phone: CFR Part 51 RIN 2120–AA64 (816) 329–4059; fax: (816) 329–4090; email: [email protected]. The FAA reviewed Pilatus PC–24 Service Bulletin No. 21–006, dated Airworthiness Directives; Pilatus SUPPLEMENTARY INFORMATION: Aircraft Ltd. Airplanes April 3, 2020. This service information Background specifies procedures replace the cockpit AGENCY: Federal Aviation and cabin evaporator filters with new Administration (FAA), DOT. The FAA issued a notice of proposed rulemaking (NPRM) to amend 14 CFR filters contained in a modification kit. ACTION: Final rule. part 39 by adding an AD that would This service information is reasonably apply to Pilatus Model PC–24 airplanes available because the interested parties SUMMARY: The FAA is adopting a new have access to it through their normal airworthiness directive (AD) for certain with certain part-numbered evaporator filter assemblies installed. The NPRM course of business or by the means Pilatus Aircraft Ltd. (Pilatus) Model PC– identified in ADDRESSES. 24 airplanes. This AD was prompted by published in the Federal Register on mandatory continuing airworthiness November 23, 2020 (85 FR 74627). The Differences Between This AD and the information (MCAI) originated by an NPRM was prompted by MCAI MCAI originated by the European Union aviation authority of another country to This AD applies to airplanes with a identify and correct an unsafe condition Aviation Safety Agency (EASA), which is the Technical Agent for the Member defective filter installed, whereas the on an aviation product. The MCAI EASA AD applies to airplanes that do identifies the unsafe condition as States of the European Union. EASA has issued EASA AD No. 2020–0160, dated not have the modification kit, which improperly manufactured cockpit and was installed in production. This AD cabin evaporator filters installed during July 16, 2020 (referred to after this as ‘‘the MCAI’’), to address the unsafe identifies the individual part numbers production on some PC–24 airplanes. (P/Ns) of the defective filters to address The FAA is issuing this AD to address condition on Pilatus Model PC–24 airplanes. The MCAI states: any airplanes that may have had a the unsafe condition on these products. modification kit filter replaced with a DATES: This AD is effective March 30, An occurrence was reported where, during defective filter in the field before this 2021. production, cockpit and cabin evaporator AD becomes effective. This AD also filters were installed on some PC–24 The Director of the Federal Register aeroplanes, which were not the proper parts applies to airplanes with a filter where approved the incorporation by reference for the affected configuration. the P/N is unknown. Pilatus advises that of a certain publication listed in this AD This condition, if not corrected, could the defective filters can only be as of March 30, 2021. degrade the fire retardant properties of the identified by their packing documents,
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as they do not have a permanent P/N develop on products identified in this (a) Effective Date marked on the actual part. The new rulemaking action. This airworthiness directive (AD) is filters in the modification kit do have a Regulatory Findings effective March 30, 2021. permanent marking on the frame of the (b) Affected ADs actual part. This AD will not have federalism implications under Executive Order None. Costs of Compliance 13132. This AD will not have a (c) Applicability substantial direct effect on the States, on The FAA estimates that this AD will This AD applies to Pilatus Aircraft Ltd. affect 36 airplanes of U.S. registry. The the relationship between the national government and the States, or on the Model PC–24 airplanes, all serial numbers, FAA also estimates that it would take certificated in any category, with any of the 2.5 work-hours per product to comply distribution of power and responsibilities among the various following evaporator filter assemblies with the requirements of this AD. The installed, or if the part number (P/N) of the levels of government. average labor rate is $85 per work-hour. evaporator filter assembly is unknown: For the reasons discussed above, I Required parts would cost about $575 (1) Cockpit filter assembly P/N per product, if all 4 filters would need certify that this AD: 959.90.20.291 (PC24EC–6068–1); (1) Is not a ‘‘significant regulatory to be replaced. (2) Cabin front filter assembly P/N action’’ under Executive Order 12866, Based on these figures, the FAA 959.90.20.290 (PC24EC–6287–1); (2) Will not affect intrastate aviation (3) Cabin bottom filter assembly P/N estimates the cost of this AD on U.S. in Alaska, and operators to be $28,350, or $787.50 per 959.90.20.288 (PC24EC–6288–1); or (3) Will not have a significant (4) Cabin top filter assembly P/N product. economic impact, positive or negative, 959.90.20.289 (PC24EC–6297–1). The FAA has included all costs in this on a substantial number of small entities Note 1 to paragraph (c): The P/N in cost estimate. According to the under the criteria of the Regulatory parenthesis is an alternative vendor P/N. manufacturer, however, some of the Flexibility Act. costs of this AD may be covered under (d) Subject List of Subjects in 14 CFR Part 39 warranty, thereby reducing the cost Joint Aircraft System Component (JASC) impact on affected operators. Air transportation, Aircraft, Aviation Code 2100, AIR CONDITIONING SYSTEM. safety, Incorporation by reference, Authority for This Rulemaking Safety. (e) Unsafe Condition Title 49 of the United States Code The Amendment This AD was prompted by a reported specifies the FAA’s authority to issue occurrence where, during production, rules on aviation safety. Subtitle I, Accordingly, under the authority cockpit and cabin evaporator filters produced section 106, describes the authority of delegated to me by the Administrator, with degraded fire retardant properties were the FAA amends 14 CFR part 39 as installed on some Model PC–24 airplanes. the FAA Administrator. Subtitle VII: follows: The FAA is issuing this AD to detect Aviation Programs, describes in more improper cockpit and cabin evaporator filters detail the scope of the Agency’s PART 39—AIRWORTHINESS installed on Model PC–24 airplanes. The authority. DIRECTIVES unsafe condition, if not addressed, could The FAA is issuing this rulemaking result in filters with degraded fire retardant under the authority described in ■ 1. The authority citation for part 39 properties, resulting in smoke in the cockpit Subtitle VII, Part A, Subpart III, Section continues to read as follows: and cabin in the event of electrical heater 44701: General requirements. Under Authority: 49 U.S.C. 106(g), 40113, 44701. over-temperature. that section, Congress charges the FAA (f) Actions and Compliance with promoting safe flight of civil § 39.13 [Amended] (1) Within 4 months after the effective date aircraft in air commerce by prescribing ■ 2. The FAA amends § 39.13 by adding of this AD, unless already done, remove each regulations for practices, methods, and the following new airworthiness filter assembly from service and replace with procedures the Administrator finds directive: a filter assembly as specified in table 1 to necessary for safety in air commerce. 2021–04–03 Pilatus Aircraft Ltd.: paragraph (f)(1) of this AD by following the This regulation is within the scope of Amendment 39–21424; Docket No. Accomplishment Instructions, sections 3A. that authority because it addresses an FAA–2020–0885; Project Identifier through 3C., of Pilatus PC–24 Service unsafe condition that is likely to exist or MCAI–2020–00997–A. Bulletin No. 21–006, dated April 3, 2020.
TABLE 1 TO PARAGRAPH (f)(1)—EVAPORATOR FILTER ASSEMBLIES
Item Remove filter P/N Replace with filter P/N
Cockpit filter assembly ...... P/N 959.90.20.291 or PC24EC–6068–1 ...... P/N 959.90.20.303 or PC24EC–6068–5. Cabin front filter assembly ...... P/N 959.90.20.290 or PC24EC–6287–1 ...... P/N 959.90.20.304 or PC24EC–6287–5. Cabin bottom filter assembly ...... P/N 959.90.20.288 or PC24EC–6288–1 ...... P/N 959.90.20.305 or PC24EC–6288–5. Cabin top filter assembly ...... P/N 959.90.20.289 or PC24EC–6297–1 ...... P/N 959.90.20.306 or PC24EC–6297–5.
(2) As of the effective date of this AD, do Branch, FAA, has the authority to approve faa.gov. Before using any approved AMOC, not install an evaporator filter assembly with AMOCs for this AD, if requested using the notify your appropriate principal inspector, a P/N listed in paragraph (c) of this AD on procedures found in 14 CFR 39.19. Send or lacking a principal inspector, the manager any airplane. information to Doug Rudolph, Aviation of the local flight standards district office/ Safety Engineer, FAA, General Aviation & certificate holding district office. (g) Alternative Methods of Compliance Rotorcraft Section, International Validation (AMOCs) Branch, 901 Locust, Room 301, Kansas City, (h) Related Information The Manager, General Aviation & Missouri 64106; phone: (816) 329–4059; fax: Refer to European Union Aviation Safety Rotorcraft Section, International Validation (816) 329–4090; email: doug.rudolph@ Agency (EASA) AD No. 2020–0160, dated
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July 16, 2020, for more information. You may continues to require the actions in AD Room W12–140, 1200 New Jersey examine the EASA AD at https:// 2020–04–22 and also requires revising Avenue SE, Washington, DC 20590. www.regulations.gov by searching for and the existing maintenance or inspection locating Docket No. FAA–2020–0885. FOR FURTHER INFORMATION CONTACT: Tom program, as applicable, to incorporate Rodriguez, Aerospace Engineer, Large (i) Material Incorporated by Reference additional new or more restrictive Aircraft Section, International (1) The Director of the Federal Register airworthiness limitations, as specified Validation Branch, FAA, 2200 South approved the incorporation by reference of in a European Union Aviation Safety 216th St., Des Moines, WA 98198; the service information listed in this Agency (EASA) AD, which is telephone and fax 206–231–3226; email paragraph under 5 U.S.C. 552(a) and 1 CFR incorporated by reference. This AD was [email protected]. part 51. prompted by a determination that new (2) You must use this service information or more restrictive airworthiness SUPPLEMENTARY INFORMATION: as applicable to do the actions required by limitations are necessary. The FAA is this AD, unless the AD specifies otherwise. Discussion (i) Pilatus PC–24 Service Bulletin No. 21– issuing this AD to address the unsafe condition on these products. The EASA, which is the Technical 006, dated April 3, 2020. Agent for the Member States of the (ii) [Reserved] DATES: This AD is effective March 30, European Union, has issued EASA AD (3) For Pilatus Aircraft Ltd. service 2021. information identified in this AD, contact 2020–0114, dated May 20, 2020 (EASA Pilatus Aircraft Ltd., CH–6371 Stans, The Director of the Federal Register AD 2020–0114) (also referred to as the Switzerland; phone: +41 848 24 7 365; email: approved the incorporation by reference Mandatory Continuing Airworthiness [email protected]; of a certain publication listed in this AD Information, or the MCAI), to correct an website: https://www.pilatus-aircraft.com/. as of March 30, 2021. unsafe condition all Dassault Aviation (4) You may view this service information The Director of the Federal Register Model FALCON 2000EX airplanes. at FAA, Airworthiness Products Section, approved the incorporation by reference The FAA issued a notice of proposed Operational Safety Branch, 901 Locust, of a certain other publication listed in Kansas City, Missouri 64106. For information rulemaking (NPRM) to amend 14 CFR on the availability of this material at the this AD as of May 4, 2020 (85 FR 17487, part 39 to supersede AD 2020–04–22, FAA, call (816) 329–4148. March 30, 2020). Amendment 39–19858 (85 FR 17487, (5) You may view this service information ADDRESSES: For EASA material March 30, 2020) (AD 2020–04–22). AD that is incorporated by reference at the incorporated by reference (IBR) in this 2020–04–22 applied to certain Dassault National Archives and Records AD, contact the EASA, Konrad- Aviation Model FALCON 2000EX Administration (NARA). For information on airplanes. The NPRM published in the the availability of this material at NARA, Adenauer-Ufer 3, 50668 Cologne, Germany; telephone +49 221 8999 000; Federal Register on November 3, 2020 email: [email protected], or go to: (85 FR 69522). The NPRM was https://www.archives.gov/federal-register/cfr/ email [email protected]; internet ibr-locations.html. www.easa.europa.eu. You may find this prompted by a determination that new or more restrictive airworthiness Issued on February 1, 2021. IBR material on the EASA website at https://ad.easa.europa.eu. For Dassault limitations are necessary. The NPRM Lance T. Gant, Aviation service information identified proposed to continue to require the Director, Compliance & Airworthiness in this final rule, contact Dassault actions in AD 2020–04–22 and also Division, Aircraft Certification Service. Falcon Jet Corporation, Teterboro require revising the existing [FR Doc. 2021–03494 Filed 2–22–21; 8:45 am] Airport, P.O. Box 2000, South maintenance or inspection program, as BILLING CODE 4910–13–P Hackensack, NJ 07606; telephone 201– applicable, to incorporate additional 440–6700; internet https:// new or more restrictive airworthiness www.dassaultfalcon.com. You may limitations, as specified in EASA AD DEPARTMENT OF TRANSPORTATION view this IBR material at the FAA, 2020–0114. The FAA is issuing this AD to address Federal Aviation Administration Airworthiness Products Section, Operational Safety Branch, 2200 South reduced structural integrity of the airplane. See the MCAI for additional 14 CFR Part 39 216th St., Des Moines, WA. For information on the availability of this background information. [Docket No. FAA–2020–0976; Product material at the FAA, call 206–231–3195. Comments Identifier 2020–NM–095–AD; Amendment It is also available in the AD docket on 39–21423; AD 2021–04–02] the internet at https:// The FAA gave the public the RIN 2120–AA64 www.regulations.gov by searching for opportunity to participate in developing and locating Docket No. FAA–2020– this final rule. The FAA received no Airworthiness Directives; Dassault 0976. comments on the NPRM or on the Aviation Airplanes determination of the cost to the public. Examining the AD Docket AGENCY: Federal Aviation Conclusion Administration (FAA), Department of You may examine the AD docket on The FAA reviewed the relevant data Transportation (DOT). the internet at https:// and determined that air safety and the ACTION: Final rule. www.regulations.gov by searching for and locating Docket No. FAA–2020– public interest require adopting this SUMMARY: The FAA is superseding 0976; or in person at Docket Operations final rule as proposed, except for minor Airworthiness Directive (AD) 2020–04– between 9 a.m. and 5 p.m., Monday editorial changes. The FAA has 22, which applied to certain Dassault through Friday, except Federal holidays. determined that these minor changes: Aviation Model FALCON 2000EX The AD docket contains this final rule, • Are consistent with the intent that airplanes. AD 2020–04–22 required any comments received, and other was proposed in the NPRM for revising the existing maintenance or information. The address for Docket addressing the unsafe condition; and inspection program, as applicable, to Operations is U.S. Department of • Do not add any additional burden incorporate new or more restrictive Transportation, Docket Operations, upon the public than was already airworthiness limitations. This AD M–30, West Building Ground Floor, proposed in the NPRM.
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Related Service Information Under 1 unsafe condition that is likely to exist or certificated in any category, with an original CFR Part 51 develop on products identified in this airworthiness certificate or original export rulemaking action. certificate of airworthiness issued on or EASA AD 2020–0114 describes new before February 15, 2020. or more restrictive airworthiness Regulatory Findings limitations for airplane structures and (d) Subject This AD will not have federalism Air Transport Association (ATA) of safe life limits. implications under Executive Order This AD also requires Chapter 5–40, America Code 05, Time Limits/Maintenance 13132. This AD will not have a Checks. Airworthiness Limitations, DGT 113877, substantial direct effect on the States, on (e) Reason Revision 12, dated November 2018, of the relationship between the national the Dassault Falcon 2000EX government and the States, or on the This AD was prompted by a determination Maintenance Manual, which the distribution of power and that new or more restrictive airworthiness limitations are necessary. The FAA is issuing Director of the Federal Register responsibilities among the various approved for incorporation by reference this AD to address reduced structural levels of government. integrity of the airplane. as of May 4, 2020 (85 FR 17487, March For the reasons discussed above, I 30, 2020). certify that this AD: (f) Compliance This material is reasonably available (1) Is not a ‘‘significant regulatory Comply with this AD within the because the interested parties have action’’ under Executive Order 12866, compliance times specified, unless already access to it through their normal course (2) Will not affect intrastate aviation done. of business or by the means identified in Alaska, and (g) Retained Maintenance or Inspection in the ADDRESSES section. (3) Will not have a significant Program Revision, With No Changes Costs of Compliance economic impact, positive or negative, This paragraph restates the requirements of on a substantial number of small entities paragraph (i) of AD 2020–04–22, with no The FAA estimates that this AD under the criteria of the Regulatory changes. For airplanes with an original affects 17 airplanes of U.S. registry. The Flexibility Act. airworthiness certificate or original export FAA estimates the following costs to certificate of airworthiness issued on or comply with this AD: List of Subjects in 14 CFR Part 39 before January 15, 2019: Within 90 days after The FAA estimates the total cost per Air transportation, Aircraft, Aviation May 4, 2020 (the effective date of AD 2020– operator for the retained actions from safety, Incorporation by reference, 04–22), revise the existing maintenance or inspection program, as applicable, to AD 2020–04–22 to be $7,650 (90 work- Safety. hours × $85 per work-hour). incorporate the information specified in Adoption of the Amendment Chapter 5–40, Airworthiness Limitations, The FAA has determined that revising DGT 113877, Revision 12, dated November the existing maintenance or inspection Accordingly, under the authority 2018, of the Dassault Falcon 2000EX program takes an average of 90 work- delegated to me by the Administrator, Maintenance Manual. The initial compliance hours per operator, although the agency the FAA amends 14 CFR part 39 as times for doing the tasks are at the time recognizes that this number may vary follows: specified in Chapter 5–40, Airworthiness from operator to operator. Since Limitations, DGT 113877, Revision 12, dated operators incorporate maintenance or PART 39—AIRWORTHINESS November 2018, of the Dassault Falcon inspection program changes for their DIRECTIVES 2000EX Maintenance Manual, or within 90 days after May 4, 2020, whichever occurs affected fleet(s), the FAA has ■ later; except for task number 52–20–00–610– determined that a per-operator estimate 1. The authority citation for part 39 continues to read as follows: 801–01, the initial compliance time is within is more accurate than a per-airplane 24 months after October 8, 2014 (the effective estimate. Authority: 49 U.S.C. 106(g), 40113, 44701. date of AD 2014–16–12, Amendment 39– The FAA estimates the total cost per 17936 (79 FR 52187, September 3, 2014)). § 39.13 [Amended] operator for the new revision to be The term ‘‘LDG’’ in the ‘‘First Inspection’’ $7,650 (90 work-hours × $85 per work- ■ 2. The FAA amends § 39.13 by: column of any table in the service hour). ■ a. Removing Airworthiness Directive information specified in this paragraph (AD) 2020–04–22, Amendment 39– means total airplane landings. The term Authority for This Rulemaking 19858 (85 FR 17487, March 30, 2020), ‘‘FH’’ in the ‘‘First Inspection’’ column of any table in the service information specified in Title 49 of the United States Code and this paragraph means total flight hours. The ■ specifies the FAA’s authority to issue b. Adding the following new AD: term ‘‘FC’’ in the ‘‘First Inspection’’ column rules on aviation safety. Subtitle I, 2021–04–02 Dassault Aviation: of any table in the service information section 106, describes the authority of Amendment 39–21423; Docket No. specified in this paragraph means total flight the FAA Administrator. Subtitle VII: FAA–2020–0976; Product Identifier cycles. Accomplishing the maintenance or Aviation Programs, describes in more 2020–NM–095–AD. inspection program revision required by detail the scope of the Agency’s paragraph (i) of this AD terminates the (a) Effective Date requirements of this paragraph. authority. This airworthiness directive (AD) is (h) Retained Provision: No Alternative The FAA is issuing this rulemaking effective March 30, 2021. under the authority described in Actions or Intervals, With a New Exception Subtitle VII, Part A, Subpart III, Section (b) Affected ADs This paragraph restates the requirements of 44701: General requirements. Under (1) This AD replaces AD 2020–04–22, paragraph (j) of AD 2020–04–22, with a new that section, Congress charges the FAA Amendment 39–19858 (85 FR 17487, March exception. Except as required by paragraph with promoting safe flight of civil 30, 2020) (AD 2020–04–22). (k) of this AD, after the existing maintenance aircraft in air commerce by prescribing (2) This AD affects AD 2010–26–05, or inspection program has been revised as required by paragraph (g) of this AD, no regulations for practices, methods, and Amendment 39–16544 (75 FR 79952, December 21, 2010) (AD 2010–26–05). alternative actions (e.g., inspections) or procedures the Administrator finds intervals may be used unless the actions or necessary for safety in air commerce. (c) Applicability intervals are approved as an AMOC in This regulation is within the scope of This AD applies to Dassault Aviation accordance with the procedures specified in that authority because it addresses an Model FALCON 2000EX airplanes, paragraph (m)(1) of this AD.
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(i) New Maintenance or Inspection Program [email protected]. Before using any Issued on February 1, 2021. Revision approved AMOC, notify your appropriate Lance T. Gant, Except as specified in paragraph (j) of this principal inspector, or lacking a principal Director, Compliance & Airworthiness AD: Comply with all required actions and inspector, the manager of the responsible Division, Aircraft Certification Service. Flight Standards Office. compliance times specified in, and in [FR Doc. 2021–03576 Filed 2–22–21; 8:45 am] accordance with, European Union Aviation (2) Contacting the Manufacturer: For any Safety Agency (EASA) AD 2020–0114, dated requirement in this AD to obtain instructions BILLING CODE 4910–13–P May 20, 2020 (EASA AD 2020–0114). from a manufacturer, the instructions must Accomplishing the maintenance or be accomplished using a method approved inspection program revision required by this by the Manager, Large Aircraft Section, DEPARTMENT OF TRANSPORTATION paragraph terminates the requirements of International Validation Branch, FAA; or paragraph (g) of this AD. EASA; or Dassault Aviation’s EASA Design Federal Aviation Administration Organization Approval (DOA). If approved by (j) Exceptions to EASA AD 2020–0114 the DOA, the approval must include the 14 CFR Part 39 (1) The requirements specified in DOA-authorized signature. paragraphs (1) and (2) of EASA AD 2020– [Docket No. FAA–2020–1020; Project 0114 do not apply to this AD. (n) Related Information Identifier MCAI–2020–00988–T; Amendment (2) Paragraph (3) of EASA AD 2020–0114 For more information about this AD, 39–21401; AD 2021–02–18] specifies revising ‘‘the approved AMP’’ contact Tom Rodriguez, Aerospace Engineer, RIN 2120–AA64 within 12 months after its effective date, but Large Aircraft Section, International this AD requires revising the existing Validation Branch, FAA, 2200 South 216th Airworthiness Directives; Airbus maintenance or inspection program, as St., Des Moines, WA 98198; telephone and Defense and Space S.A. (Formerly applicable, to incorporate the ‘‘limitations, fax 206–231–3226; email tom.rodriguez@ Known as Construcciones tasks and associated thresholds and faa.gov. intervals’’ specified in paragraph (3) of EASA Aeronauticas, S.A.) Airplanes AD 2020–0114 within 90 days after the (o) Material Incorporated by Reference AGENCY: Federal Aviation effective date of this AD. (1) The Director of the Federal Register Administration (FAA), Department of (3) The initial compliance time for doing approved the incorporation by reference Transportation (DOT). the tasks specified in paragraph (3) of EASA (IBR) of the service information listed in this AD 2020–0114 is at the applicable paragraph under 5 U.S.C. 552(a) and 1 CFR ACTION: Final rule. ‘‘associated thresholds’’ specified in part 51. paragraph (3) of EASA AD 2020–0114, or (2) You must use this service information SUMMARY: The FAA is adopting a new within 90 days after the effective date of this as applicable to do the actions required by airworthiness directive (AD) for all AD, whichever occurs later. this AD, unless this AD specifies otherwise. Airbus Defense and Space S.A. Model (4) The provisions specified in paragraphs (3) The following service information was CN–235, CN–235–100, CN–235–200, (4) and (5) of EASA AD 2020–0114 do not approved for IBR on March 30, 2021. and CN–235–300 airplanes and Model apply to this AD. (i) European Union Aviation Safety Agency C–295 airplanes. This AD was prompted (5) The ‘‘Remarks’’ section of EASA AD (EASA) AD 2020–0114, dated May 20, 2020. 2020–0114 does not apply to this AD. by cracks found on certain left- and (ii) [Reserved] right-hand stringers in a certain area of (k) New Provisions for Alternative Actions (4) The following service information was the fuselage. This AD requires repetitive and Intervals approved for IBR on May 4, 2020 (85 FR 17487, March 30, 2020). inspections for cracking or broken rivets After the maintenance or inspection (i) Chapter 5–40, Airworthiness of certain left- and right-hand stringers program has been revised as required by Limitations, DGT 113877, Revision 12, dated and surrounding structure, and repair if paragraph (i) of this AD, no alternative November 2018, of the Dassault Falcon necessary, as specified in a European actions (e.g., inspections), and intervals are 2000EX Maintenance Manual. Union Aviation Safety Agency (EASA) allowed unless they are approved as (ii) [Reserved] specified in the provisions of the ‘‘Ref. AD, which is incorporated by reference. (5) For EASA AD 2020–0114, contact the Publications’’ section of EASA AD 2020– The FAA is issuing this AD to address EASA, Konrad-Adenauer-Ufer 3, 50668 0114. the unsafe condition on these products. Cologne, Germany; telephone +49 221 8999 DATES: (l) Terminating Action for Certain Actions in 000; email [email protected]; Internet This AD is effective March 30, AD 2010–26–05 www.easa.europa.eu. You may find this 2021. The Director of the Federal Register Accomplishing the actions required by EASA AD on the EASA website at https:// paragraph (g) or (i) of this AD terminates the ad.easa.europa.eu. For Dassault Aviation approved the incorporation by reference requirements of paragraph (g)(1) of AD 2010– material, contact Dassault Falcon Jet of a certain publication listed in this AD 26–05, for Dassault Aviation Model FALCON Corporation, Teterboro Airport, P.O. Box as of March 30, 2021. 2000, South Hackensack, NJ 07606; 2000EX airplanes only. ADDRESSES: For material incorporated telephone 201–440–6700; internet https:// (m) Other FAA AD Provisions www.dassaultfalcon.com. by reference (IBR) in this AD, contact the EASA, Konrad-Adenauer-Ufer 3, The following provisions also apply to this (6) You may view this material at the FAA, AD: Airworthiness Products Section, Operational 50668 Cologne, Germany; telephone +49 (1) Alternative Methods of Compliance Safety Branch, 2200 South 216th St., Des 221 8999 000; email ADs@ (AMOCs): The Manager, Large Aircraft Moines, WA. For information on the easa.europa.eu; internet Section, International Validation Branch, availability of this material at the FAA, call www.easa.europa.eu. You may find this FAA, has the authority to approve AMOCs 206–231–3195. This material may be found IBR material on the EASA website at for this AD, if requested using the procedures in the AD docket on the internet at https:// https://ad.easa.europa.eu You may view found in 14 CFR 39.19. In accordance with www.regulations.gov by searching for and this IBR material at the FAA, 14 CFR 39.19, send your request to your locating Docket No. FAA–2020–0976. Airworthiness Products Section, (7) You may view this material that is principal inspector or responsible Flight Operational Safety Branch, 2200 South Standards Office, as appropriate. If sending incorporated by reference at the National information directly to the Large Aircraft Archives and Records Administration 216th St., Des Moines, WA. For Section, International Validation Branch, (NARA). For information on the availability information on the availability of this send it to the attention of the person of this material at NARA, email fedreg.legal@ material at the FAA, call 206–231–3195. identified in paragraph (n) of this AD. nara.gov, or go to: https://www.archives.gov/ It is also available in the AD docket on Information may be emailed to: 9-AVS-AIR- federal-register/cfr/ibr-locations.html. the internet at https://
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www.regulations.gov by searching for part 39 by adding an AD that would (DET) or high frequency eddy current and locating Docket No. FAA–2020– apply to all Airbus Defense and Space inspections of the stringer P0a and P0a’ 1020. S.A. Model CN–235, CN–235–100, CN– at the riveted line of the attachment to 235–200, and CN–235–300 airplanes the gusset and along the stringer head, Examining the AD Docket and Model C–295 airplanes. The NPRM in particular at the area of the last You may examine the AD docket on published in the Federal Register on attachment of the gusset to the stringer the internet at https:// November 10, 2020 (85 FR 71583). The in the midpoint between frame (FR) 43 www.regulations.gov by searching for NPRM was prompted by cracks found and FR44, repetitive DET inspections and locating Docket No. FAA–2020– on certain left- and right-hand stringers for fatigue cracks of the fuselage skin, 1020; or in person at Docket Operations in a certain area of the fuselage. The along the stringers’ footprint and between 9 a.m. and 5 p.m., Monday NPRM proposed to require repetitive surrounding structure and the through Friday, except Federal holidays. inspections for cracking or broken rivets attachment of the gusset to the FR43; The AD docket contains this final rule, of certain left- and right-hand stringers repetitive DET inspections for fatigue any comments received, and other and surrounding structure, and repair if cracks of the actuator bracket on FR43, information. The address for Docket necessary, as specified in an EASA AD. along the radius of the vertical nerves, Operations is U.S. Department of The FAA is issuing this AD to address inner lug holes, and attachment holes of Transportation, Docket Operations, such cracking in the stringers, which the bracket to FR43; repetitive DET M–30, West Building Ground Floor, could result in reduced structural inspections for fatigue cracks or broken Room W12–140, 1200 New Jersey integrity of the airplane. See the MCAI rivets in the web and joint clips to skin Avenue SE, Washington, DC 20590. for additional background information. and stringer of both sides of the frame FOR FURTHER INFORMATION CONTACT: Comments between stringer P1d and P1d’ (two Shahram Daneshmandi, Aerospace stringers for each side from the central The FAA gave the public the Engineer, Large Aircraft Section, stringer P0a); repetitive DET inspections opportunity to participate in developing International Validation Branch, FAA, for fatigue cracks or broken rivets of the this final rule. The FAA received no 2200 South 216th St., Des Moines, WA gussets, along the flange which joins comments on the NPRM or on the 98198; telephone and fax 206–231– FR43; and repair of any cracking or determination of the cost to the public. 3220; email shahram.daneshmandi@ broken rivets. faa.gov. Conclusion This material is reasonably available SUPPLEMENTARY INFORMATION: The FAA reviewed the relevant data because the interested parties have Discussion and determined that air safety and the access to it through their normal course public interest require adopting this of business or by the means identified The EASA, which is the Technical final rule as proposed, except for minor in the ADDRESSES section. Agent for the Member States of the editorial changes. The FAA has European Union, has issued EASA AD determined that these minor changes: Interim Action 2020–0159, dated July 16, 2020 (EASA • Are consistent with the intent that The FAA considers this AD interim AD 2020–0159) (also referred to as the was proposed in the NPRM for Mandatory Continuing Airworthiness action. If final action is later identified, addressing the unsafe condition; and the FAA might consider further Information, or the MCAI), to correct an • Do not add any additional burden rulemaking then. unsafe condition for all Airbus Defense upon the public than was already and Space S.A. Model CN–235, CN– proposed in the NPRM. Costs of Compliance 235–100, CN–235–200, and CN–235– 300 airplanes and Model C–295 Related Service Information Under 1 The FAA estimates that this AD airplanes. CFR Part 51 affects 8 airplanes of U.S. registry. The The FAA issued a notice of proposed EASA AD 2020–0159 describes FAA estimates the following costs to rulemaking (NPRM) to amend 14 CFR procedures for repetitive detailed visual comply with this AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost per Cost on U.S. Labor cost Parts cost product operators
2 work-hours × $85 per hour = $170 ...... $0 $170 $1,360
The FAA has received no definitive The FAA is issuing this rulemaking develop on products identified in this data that enables providing cost under the authority described in rulemaking action. estimates for the on-condition action Subtitle VII, Part A, Subpart III, Section Regulatory Findings specified in this AD. 44701: General requirements. Under that section, Congress charges the FAA This AD will not have federalism Authority for This Rulemaking with promoting safe flight of civil implications under Executive Order 13132. This AD will not have a aircraft in air commerce by prescribing Title 49 of the United States Code substantial direct effect on the States, on regulations for practices, methods, and specifies the FAA’s authority to issue the relationship between the national rules on aviation safety. Subtitle I, procedures the Administrator finds government and the States, or on the section 106, describes the authority of necessary for safety in air commerce. distribution of power and the FAA Administrator. Subtitle VII: This regulation is within the scope of responsibilities among the various Aviation Programs, describes in more that authority because it addresses an levels of government. detail the scope of the Agency’s unsafe condition that is likely to exist or For the reasons discussed above, I authority. certify that this AD:
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(1) Is not a ‘‘significant regulatory compliance times specified in, and in (i) European Union Aviation Safety Agency action’’ under Executive Order 12866, accordance with, European Union Aviation (EASA) AD 2020–0159, dated July 16, 2020. (2) Will not affect intrastate aviation Safety Agency (EASA) AD 2020–0159, dated (ii) [Reserved] in Alaska, and July 16, 2020 (EASA AD 2020–0159). (3) For EASA AD 2020–0159, contact the EASA, Konrad-Adenauer-Ufer 3, 50668 (3) Will not have a significant (h) Exceptions to EASA AD 2020–0159 Cologne, Germany; telephone +49 221 8999 economic impact, positive or negative, (1) Where EASA AD 2020–0159 refers to its 000; email [email protected]; internet on a substantial number of small entities effective date, this AD requires using the www.easa.europa.eu. You may find this under the criteria of the Regulatory effective date of this AD. EASA AD on the EASA website at https:// Flexibility Act. (2) The ‘‘Remarks’’ section of EASA AD ad.easa.europa.eu. 2020–0159 does not apply to this AD. (4) You may view this material at the FAA, List of Subjects in 14 CFR Part 39 (3) Where EASA AD 2020–0159 lists a Airworthiness Products Section, Operational Air transportation, Aircraft, Aviation compliance time of ‘‘during the next A- Safety Branch, 2200 South 216th St., Des safety, Incorporation by reference, check, or within 300 FH [flight hours] after Moines, WA. For information on the the effective date of this AD, whichever Safety. availability of this material at the FAA, call occurs later,’’ this AD requires using a 206–231–3195. This material may be found Adoption of the Amendment compliance time of within 300 FH after the in the AD docket on the internet at https:// effective date of this AD. www.regulations.gov by searching for and Accordingly, under the authority (i) No Reporting Requirement locating Docket No. FAA–2020–1020. delegated to me by the Administrator, (5) You may view this material that is the FAA amends 14 CFR part 39 as Although the service information incorporated by reference at the National follows: referenced in EASA AD 2020–0159 specifies Archives and Records Administration to submit certain information to the (NARA). For information on the availability PART 39—AIRWORTHINESS manufacturer, this AD does not include that of this material at NARA, email fedreg.legal@ DIRECTIVES requirement. nara.gov, or go to: https://www.archives.gov/ (j) Other FAA AD Provisions federal-register/cfr/ibr-locations.html. ■ 1. The authority citation for part 39 The following provisions also apply to this Issued on January 14, 2021. continues to read as follows: AD: Ross Landes, Authority: 49 U.S.C. 106(g), 40113, 44701. (1) Alternative Methods of Compliance Deputy Director for Regulatory Operations, (AMOCs): The Manager, Large Aircraft Compliance & Airworthiness Division, § 39.13 [Amended] Section, International Validation Branch, Aircraft Certification Service. ■ FAA, has the authority to approve AMOCs 2. The FAA amends § 39.13 by adding for this AD, if requested using the procedures [FR Doc. 2021–03570 Filed 2–22–21; 8:45 am] the following new airworthiness found in 14 CFR 39.19. In accordance with BILLING CODE 4910–13–P directive: 14 CFR 39.19, send your request to your 2021–02–18 Airbus Defense and Space S.A. principal inspector or local Flight Standards (Formerly Known as Construcciones District Office, as appropriate. If sending DEPARTMENT OF TRANSPORTATION Aeronauticas, S.A.): Amendment 39– information directly to the Large Aircraft 21401; Docket No. FAA–2020–1020; Section, International Validation Branch, Federal Aviation Administration Project Identifier MCAI–2020–00988–T. send it to the attention of the person identified in paragraph (k) of this AD. 14 CFR Part 39 (a) Effective Date Information may be emailed to: 9-AVS-AIR- This airworthiness directive (AD) is [email protected]. Before using any [Docket No. FAA–2020–1035; Project effective March 30, 2021. approved AMOC, notify your appropriate Identifier MCAI–2020–01017–T; Amendment principal inspector, or lacking a principal 39–21430; AD 2021–04–09] (b) Affected ADs inspector, the manager of the responsible RIN 2120–AA64 None. Flight Standards Office. (2) Contacting the Manufacturer: For any (c) Applicability requirement in this AD to obtain instructions Airworthiness Directives; Yabora˜ This AD applies to all Airbus Defense and from a manufacturer, the instructions must Indu´ stria Aerona´utica S.A. (Type Space S.A. Model CN–235, CN–235–100, be accomplished using a method approved Certificate Previously Held by Embraer CN–235–200, and CN–235–300 airplanes and by the Manager, Large Aircraft Section, S.A.) Airplanes Model C–295 airplanes, certificated in any International Validation Branch, FAA; or category. EASA; or Airbus Defense and Space S.A.’s AGENCY: Federal Aviation EASA Design Organization Approval (DOA). Administration (FAA), Department of (d) Subject If approved by the DOA, the approval must Transportation (DOT). Air Transport Association (ATA) of include the DOA-authorized signature. ACTION: Final rule. America Code 53, Fuselage. (k) Related Information SUMMARY: The FAA is adopting a new (e) Reason For more information about this AD, airworthiness directive (AD) for certain This AD was prompted by cracks found on contact Shahram Daneshmandi, Aerospace Yabora˜ Indu´ stria Aerona´utica S.A. Engineer, Large Aircraft Section, certain left- and right-hand stringers in the Model EMB–135, EMB–145, –145EP, area of frame (FR) 43 of the fuselage. The International Validation Branch, FAA, 2200 FAA is issuing this AD to address such South 216th St., Des Moines, WA 98198; –145ER, –145LR, –145MP, –145MR, and cracking in the stringers, which could result telephone and fax 206–231–3220; email –145XR airplanes. This AD was in reduced structural integrity of the [email protected]. prompted by reports that calculations provided by the automatic takeoff thrust airplane. (l) Material Incorporated by Reference control system (ATTCS) are incorrect (f) Compliance (1) The Director of the Federal Register under certain conditions. This AD Comply with this AD within the approved the incorporation by reference requires updating the software of the (IBR) of the service information listed in this compliance times specified, unless already installed full authority digital engine done. paragraph under 5 U.S.C. 552(a) and 1 CFR part 51. control (FADEC) systems, as specified in (g) Requirements (2) You must use this service information an Ageˆncia Nacional de Aviac¸a˜o Civil Except as specified in paragraph (h) of this as applicable to do the actions required by (ANAC) AD, which is incorporated by AD: Comply with all required actions and this AD, unless this AD specifies otherwise. reference. The FAA is issuing this AD
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to address the unsafe condition on these Room W12–140, 1200 New Jersey this final rule. The FAA received no products. Avenue SE, Washington, DC 20590. comments on the NPRM or on the DATES: This AD is effective March 30, FOR FURTHER INFORMATION CONTACT: determination of the cost to the public. 2021. Kathleen Arrigotti, Aerospace Engineer, Changes Made to This AD The Director of the Federal Register Large Aircraft Section, International approved the incorporation by reference Validation Branch, FAA, 2200 South Paragraph (c) of this AD has been of a certain publication listed in this AD 216th St., Des Moines, WA 98198; revised to correct the reference to Model as of March 30, 2021. telephone and fax 206–231–3218; email EMB–145ER airplanes. [email protected]. ADDRESSES: For ANAC material Certain paragraph designations have incorporated by reference (IBR) in this SUPPLEMENTARY INFORMATION: been corrected in the regulatory text of AD, contact National Civil Aviation Discussion this AD. Agency (ANAC), Aeronautical Products The ANAC, which is the aviation Conclusion Certification Branch (GGCP), Rua Dr. authority for Brazil, has issued ANAC Orlando Feirabend Filho, 230—Centro The FAA reviewed the relevant data AD 2020–07–02, effective July 21, 2020 and determined that air safety and the Empresarial Aquarius—Torre B— (ANAC AD 2020–07–02) (also referred Andares 14 a 18, Parque Residencial to as the Mandatory Continuing public interest require adopting this ˜ ´ Aquarius, CEP 12.246–190—Sao Jose Airworthiness Information, or the final rule with the changes described dos Campos—SP, BRAZIL, Tel: 55 (12) MCAI), to correct an unsafe condition previously and minor editorial changes. 3203–6600; Email: [email protected]; for certain Yabora˜ Indu´ stria Aerona´utica The FAA has determined that these internet www.anac.gov.br/en/. You may S.A. Model EMB–135, EMB–145, minor changes: find this IBR material on the ANAC –145EP, –145ER, –145LR, –145MP, • Are consistent with the intent that website at https://sistemas.anac.gov.br/ –145MR, and –145XR airplanes. Model was proposed in the NPRM for certificacao/DA/DAE.asp. You may EMB–145EU, EMB–145LU, and EMB– addressing the unsafe condition; and view this IBR material at the FAA, 145MK airplanes are not certificated by • Do not add any additional burden Airworthiness Products Section, the FAA and are not included on the upon the public than was already Operational Safety Branch, 2200 South U.S. type certificate data sheet; this AD proposed in the NPRM. 216th St., Des Moines, WA. For therefore does not include those The FAA also determined that these information on the availability of this airplanes in the applicability. material at the FAA, call 206–231–3195. changes will not increase the economic The FAA issued a notice of proposed burden on any operator or increase the It is also available in the AD docket on rulemaking (NPRM) to amend 14 CFR scope of this final rule. the internet at https:// part 39 by adding an AD that would www.regulations.gov by searching for apply to certain Yabora˜ Indu´ stria Related Service Information Under 1 and locating Docket No. FAA–2020– Aerona´utica S.A. Model EMB–135, CFR Part 51 1035. EMB–145, –145EP, –145ER, –145LR, ANAC AD 2020–07–02 describes Examining the AD Docket –145MP, –145MR, and –145XR airplanes. The NPRM published in the procedures for updating the software of You may examine the AD docket on Federal Register on November 27, 2020 the installed FADEC systems to version the internet at https:// (85 FR 75964). The NPRM was B9.4 or B9.4.1. This material is www.regulations.gov by searching for prompted by reports that calculations reasonably available because the and locating Docket No. FAA–2020– provided by the ATTCS are incorrect interested parties have access to it 1035; or in person at Docket Operations under certain conditions. The NPRM through their normal course of business between 9 a.m. and 5 p.m., Monday proposed to require updating the or by the means identified in the through Friday, except Federal holidays. software of the installed FADEC ADDRESSES section. The AD docket contains this final rule, systems, as specified in ANAC AD Costs of Compliance any comments received, and other 2020–07–02. information. The address for Docket The FAA estimates that this AD Operations is U.S. Department of Comments affects 494 airplanes of U.S. registry. Transportation, Docket Operations, The FAA gave the public the The FAA estimates the following costs M–30, West Building Ground Floor, opportunity to participate in developing to comply with this AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost per Cost on U.S. Labor cost Parts cost product operators
5 work-hours × $85 per hour = $425 ...... $0 $425 $209,950
Authority for This Rulemaking The FAA is issuing this rulemaking This regulation is within the scope of under the authority described in that authority because it addresses an Title 49 of the United States Code Subtitle VII, Part A, Subpart III, Section unsafe condition that is likely to exist or specifies the FAA’s authority to issue 44701: General requirements. Under develop on products identified in this rules on aviation safety. Subtitle I, that section, Congress charges the FAA rulemaking action. section 106, describes the authority of with promoting safe flight of civil Regulatory Findings the FAA Administrator. Subtitle VII: aircraft in air commerce by prescribing Aviation Programs, describes in more regulations for practices, methods, and This AD will not have federalism detail the scope of the Agency’s procedures the Administrator finds implications under Executive Order authority. necessary for safety in air commerce. 13132. This AD will not have a
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substantial direct effect on the States, on takeoff thrust control system (ATTCS) are (2) You must use this service information the relationship between the national incorrect under certain conditions. The FAA as applicable to do the actions required by government and the States, or on the is issuing this AD to address the risk of over- this AD, unless this AD specifies otherwise. ˆ distribution of power and prediction of the operational margins, (i) Agencia Nacional de Aviac¸a˜o Civil without the necessary alert being provided to (ANAC) AD 2020–07–02, effective July 21, responsibilities among the various the flightcrew in some situations. This 2020. levels of government. condition, if not corrected, could lead to a (ii) [Reserved] For the reasons discussed above, I performance reduction during takeoff, in (3) For ANAC AD 2020–07–02, contact certify that this AD: which case the airplane may not be able to National Civil Aviation Agency (ANAC), (1) Is not a ‘‘significant regulatory take off safely. Aeronautical Products Certification Branch (GGCP), Rua Dr. Orlando Feirabend Filho, action’’ under Executive Order 12866, (f) Compliance (2) Will not affect intrastate aviation 230—Centro Empresarial Aquarius—Torre Comply with this AD within the B—Andares 14 a 18, Parque Residencial in Alaska, and compliance times specified, unless already (3) Will not have a significant Aquarius, CEP 12.246–190—Sa˜o Jose´ dos done. Campos—SP, BRAZIL, Tel: 55 (12) 3203– economic impact, positive or negative, (g) Requirements 6600; Email: [email protected]; internet on a substantial number of small entities www.anac.gov.br/en/. You may find this IBR under the criteria of the Regulatory Except as specified in paragraph (h) of this material on the ANAC website at https:// AD: Comply with all required actions and Flexibility Act. sistemas.anac.gov.br/certificacao/DA/ compliance times specified in, and in DAE.asp. accordance with, ANAC AD 2020–07–02. List of Subjects in 14 CFR Part 39 (4) You may view this material at the FAA, Air transportation, Aircraft, Aviation (h) Exceptions to ANAC AD 2020–07–02 Airworthiness Products Section, Operational safety, Incorporation by reference, (1) Where ANAC AD 2020–07–02 refers to Safety Branch, 2200 South 216th St., Des Safety. its effective date, this AD requires using the Moines, WA. For information on the effective date of this AD. availability of this material at the FAA, call Adoption of the Amendment (2) The ‘‘Alternative method of compliance 206–231–3195. This material may be found Accordingly, under the authority (AMOC)’’ section of ANAC AD 2020–07–02 in the AD docket on the internet at https:// does not apply to this AD. www.regulations.gov by searching for and delegated to me by the Administrator, locating Docket No. FAA–2020–1035. the FAA amends 14 CFR part 39 as (i) Other FAA AD Provisions (5) You may view this material that is follows: The following provisions also apply to this incorporated by reference at the National AD: Archives and Records Administration PART 39—AIRWORTHINESS (1) Alternative Methods of Compliance (NARA). For information on the availability DIRECTIVES (AMOCs): The Manager, Large Aircraft of this material at NARA, email fedreg.legal@ Section, International Validation Branch, nara.gov, or go to: https://www.archives.gov/ ■ 1. The authority citation for part 39 FAA, has the authority to approve AMOCs federal-register/cfr/ibr-locations.html. for this AD, if requested using the procedures continues to read as follows: Issued on February 5, 2021. found in 14 CFR 39.19. In accordance with Authority: 49 U.S.C. 106(g), 40113, 44701. 14 CFR 39.19, send your request to your Gaetano A. Sciortino, § 39.13 [Amended] principal inspector or responsible Flight Deputy Director for Strategic Initiatives, Standards Office, as appropriate. If sending Compliance & Airworthiness Division, ■ 2. The FAA amends § 39.13 by adding information directly to the Large Aircraft Aircraft Certification Service. the following new airworthiness Section, International Validation Branch, [FR Doc. 2021–03586 Filed 2–22–21; 8:45 am] directive: send it to the attention of the person identified in paragraph (j) of this AD. BILLING CODE 4910–13–P 2021–04–09 Yabora˜ Indu´ stria Aerona´utica Information may be emailed to: 9-AVS-AIR- S.A. (Type Certificate Previously Held [email protected]. Before using any by Embraer S.A.): Amendment 39– approved AMOC, notify your appropriate DEPARTMENT OF TRANSPORTATION 21430; Docket No. FAA–2020–1035; principal inspector, or lacking a principal Project Identifier MCAI–2020–01017–T. inspector, the manager of the responsible Federal Aviation Administration (a) Effective Date Flight Standards Office. (2) Contacting the Manufacturer: For any 14 CFR Part 39 This airworthiness directive (AD) is requirement in this AD to obtain instructions effective March 30, 2021. from a manufacturer, the instructions must [Docket No. FAA–2020–0813; Product Identifier 2019–CE–040–AD; Amendment (b) Affected ADs be accomplished using a method approved by the Manager, Large Aircraft Section, 39–21387; AD 2021–02–04] None. International Validation Branch, FAA; or RIN 2120–AA64 (c) Applicability ANAC; or ANAC’s authorized Designee. If approved by the ANAC Designee, the Airworthiness Directives; Pilatus This AD applies to Yabora˜ Indu´ stria approval must include the Designee’s Aerona´utica S.A. Model EMB–135BJ, authorized signature. Aircraft Ltd. Airplanes –135ER, –135KE, –135KL, and –135LR airplanes; and Model EMB–145, –145EP, (j) Related Information AGENCY: Federal Aviation –145ER, –145LR, –145MP, –145MR, and For more information about this AD, Administration (FAA), DOT. –145XR airplanes; certificated in any contact Kathleen Arrigotti, Aerospace ACTION: Final rule. category; as identified in Ageˆncia Nacional Engineer, Large Aircraft Section, de Aviac¸a˜o Civil (ANAC) AD 2020–07–02, International Validation Branch, FAA, 2200 SUMMARY: The FAA is adopting a new effective July 21, 2020 (ANAC AD 2020–07– South 216th St., Des Moines, WA 98198; airworthiness directive (AD) for Pilatus 02). telephone and fax 206–231–3218; email Aircraft Ltd. (Pilatus) Model PC–12/47E [email protected]. (d) Subject airplanes. This AD was prompted by (k) Material Incorporated by Reference mandatory continuing airworthiness Air Transport Association (ATA) of information (MCAI) originated by an America Code 73, Engine fuel and control. (1) The Director of the Federal Register approved the incorporation by reference aviation authority of another country to (e) Reason (IBR) of the service information listed in this identify and correct an unsafe condition This AD was prompted by reports that paragraph under 5 U.S.C. 552(a) and 1 CFR on an aviation product. The MCAI calculations provided by the automatic part 51. describes the unsafe condition as
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inboard flap fairings aft (IFFAs) having Background a maximum hole position difference of an incorrect shape, which may result in The FAA issued a notice of proposed more than 12mm. As a result, it is not chafing between the IFFA and the rulemaking (NPRM) to amend 14 CFR physically possible to install P/Ns associated front inboard tension rod. part 39 by adding an AD that would 557.52.12.223 and 557.52.12.224 on This AD requires an inspection of the apply to all Pilatus Model PC–12/47E airplanes with an S/N lower than 1576. IFFAs for the correct shape and chafing airplanes. The NPRM published in the The FAA partially agrees. The between the IFFA and the associated Federal Register on September 16, 2020 commenter is correct that the affected front inboard tension rod, with (85 FR 57804). In the NPRM, the FAA IFFAs cannot be installed on Model PC– corrective action as necessary. This proposed to require an inspection of the 12/47E airplanes with an S/N lower condition could lead to failure of the IFFAs for the correct shape and chafing than 1576. The FAA has revised inboard flap drive arm with consequent between the IFFA and the associated paragraph (f) of this AD to limit the asymmetric flap extension, resulting in front inboard tension rod, with inspection of the IFFAs to airplanes reduced control of the airplane. The corrective action as necessary. with an S/N 1576 and higher. FAA is issuing this AD to address the The NPRM was based on MCAI from Pilatus acknowledged that tension rod unsafe condition on these products. the European Union Aviation Safety P/N 527.52.12.135 can be installed on all Model PC–12/47E airplanes but DATES: This AD is effective March 30, Agency (EASA), which is the Technical requested the FAA limit the tension rod 2021. Agent for the Member States of the European Union. EASA issued AD No.: inspection for airplanes with an S/N The Director of the Federal Register 2019–0231, dated September 13, 2019 lower than 1576 to only those with approved the incorporation by reference (referred to after this as ‘‘the MCAI’’), to maintenance records showing that the of a certain publication listed in this AD correct an unsafe condition for Pilatus tension rod had been installed. as of March 30, 2021. Model PC–12/47E airplanes. The MCAI The FAA partially agrees. The FAA ADDRESSES: For service information states: has revised the tension rod inspection to identified in this final rule, contact On the final assembly line of PC–12/47E limit its scope for airplanes with an S/ Pilatus Aircraft, Ltd., Customer Support aeroplanes, IFFAs were detected having an N lower than 1576. Because the tension PC–12, CH–6371 Stans, Switzerland; incorrect shape. As a consequence, chafing rods are not life-limited parts, there is phone: +41 41 619 33 33; fax: +41 41 between the IFFA and the associated front no regulatory requirement for them to be 619 73 11; email: supportPC12@pilatus- inboard tension rod could occur, may cause serialized or for operators to record or aircraft.com; website: https:// corrosion of the bare rod aluminium tube and retain information about the part’s reduce aluminium thickness. traceability. Therefore, operators would www.pilatus-aircraft.com. You may This condition, if not detected and review this referenced service be unable to comply with, and the FAA corrected, could lead to failure of the inboard would be unable to enforce, the change information at the FAA, Airworthiness flap drive arm with consequent asymmetric requested by the commenter, as Products Section, Operational Safety flap extension, possibly resulting in reduced Branch, 901 Locust, Kansas City, control of the aeroplane. maintenance records may not identify if Missouri 64106. For information on the To address this potential unsafe condition, a tension rod was removed from an availability of this material at the FAA, Pilatus issued the [service bulletin] SB to airplane with an S/N 1576 or higher. call (816) 329–4148. It is also available provide inspection and modification Instead, the FAA has changed the AD so instructions. that the inspection of the tension rod is at https://www.regulations.gov by For the reason described above, this required for all airplanes with a S/N searching for and locating Docket No. [EASA] AD requires a one-time inspection of 1576 or higher and for airplanes with a FAA–2020–0813. both IFFA and, depending on findings, a S/N 1001 through 1575 if tension rod P/ follow-on inspection of the associated front N 527.52.12.135 is installed. Examining the AD Docket inboard tension rod for chafing, and You may examine the AD docket at modification or replacement of affected parts. Conclusion https://www.regulations.gov by You may examine the MCAI at The FAA reviewed the relevant data, searching for and locating Docket No. https://www.regulations.gov by considered any comments received, and FAA–2020–0813; or in person at Docket searching for and locating Docket No. determined that air safety requires Operations between 9 a.m. and 5 p.m., FAA–2020–0813. adopting this AD as proposed. Monday through Friday, except Federal Discussion of Final Airworthiness Accordingly, the FAA is issuing this AD holidays. The AD docket contains this Directive to address the unsafe condition on these final rule, the MCAI, any comments products. Except for the changes received, and other information. The Comments described previously, this AD is address for Docket Operations is U.S. The FAA received two comments adopted as proposed in the NPRM. Department of Transportation, Docket from Pilatus. The following presents the None of the changes will increase the Operations, M–30, West Building comments received on the NPRM and economic burden on any operator. Ground Floor, Room W12–140, 1200 the FAA’s response to each comment. Related Service Information Under 1 New Jersey Avenue SE, Washington, DC Pilatus requested the FAA reduce the CFR Part 51 20590. applicability of the proposed AD from all Model PC–12/47E airplanes to Model The FAA reviewed Pilatus PC–12 FOR FURTHER INFORMATION CONTACT: PC–12/47E airplanes with serial number Service Bulletin No: 27–026, dated July Doug Rudolph, Aviation Safety (S/N) 1576 and higher. Pilatus stated 10, 2019 (Pilatus SB No. 27–026). The Engineer, General Aviation & Rotorcraft that due to an engineering change in service information specifies procedures Section, International Validation 2014, the left-hand (LH) IFFA, part for inspecting and correcting chafing Branch, FAA, 901 Locust, Room 301, number (P/N) 557.52.12.223, and the between the left and right IFFAs and the Kansas City, Missouri 64106; phone: right-hand (RH) IFFA, P/N associated front inboard tension rods. (816) 329–4059; fax: (816) 329–4090; 557.52.12.224, introduced on airplanes This service information is reasonably email: [email protected]. with S/N 1576 and higher, have available because the interested parties SUPPLEMENTARY INFORMATION: different attachment hole positions and have access to it through their normal
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course of business or by the means 13132. This AD will not have a flap fairings aft (IFFAs) having an incorrect identified in ADDRESSES. substantial direct effect on the States, on shape. The FAA is issuing this AD to prevent the relationship between the national chafing between the IFFA and the front Differences Between This AD and the government and the States, or on the inboard tension rod, and consequent MCAI distribution of power and corrosion of the bare rod aluminum tube and The MCAI only requires inspection of responsibilities among the various reduced aluminum thickness. This condition, the tension rods if the IFFAs are levels of government. if not corrected, could lead to failure of the inboard flap drive arm, asymmetric flap modified because they have been found For the reasons discussed above, I to have the incorrect shape. Due to the extension, and reduced control of the certify that this AD: airplane. length of time between manufacture and (1) Is not a ‘‘significant regulatory the issuance of this AD, operators could action’’ under Executive Order 12866, (f) Actions and Compliance have installed an affected tension rod (2) Will not affect intrastate aviation (1) For airplanes with a S/N 1576 and onto an airplane that was not in Alaska, and higher, unless already done, within 100 manufactured with the defective part. (3) Will not have a significant hours time-in-service (TIS) after the effective Therefore, this AD requires inspection economic impact, positive or negative, date of this AD or within 6 months after the for chafing damage on the tension rods on a substantial number of small entities effective date of this AD, whichever occurs on all Model PC–12/47E airplanes that under the criteria of the Regulatory first, inspect the left-hand (LH) and right- have an affected tension rod installed. Flexibility Act. hand (RH) IFFAs for correct shape and clearance with the LH and RH tension rods Costs of Compliance List of Subjects in 14 CFR Part 39 by following step 3.B.(1) and Figures 2 and The FAA estimates that this AD will Air transportation, Aircraft, Aviation 3 of the Accomplishment Instructions— affect 18 products of U.S. registry. The safety, Incorporation by reference, Aircraft in Pilatus PC–12 Service Bulletin No: FAA also estimates that it will take Safety. 27–026, dated July 10, 2019 (Pilatus SB 27– about 2.5 work-hours per product to 026). comply with the requirements of this The Amendment (i) If the shape of the LH or RH IFFA is incorrect or if the clearance between the AD. The average labor rate is $85 per Accordingly, under the authority work-hour. Required parts will cost IFFA and the tension rod is less than 5 mm delegated to me by the Administrator, (0.2 inch), before further flight, modify the about $1,600 per product. the FAA amends 14 CFR part 39 as IFFA and inspect the tension rods for chafing Based on these figures, the FAA follows: by following section 3.C. of the estimates the cost of this AD on U.S. Accomplishment Instructions—Aircraft in operators will be $32,634 or $1,813 per PART 39—AIRWORTHINESS Pilatus SB 27–026. product. DIRECTIVES (ii) If the shape of the LH and RH IFFAs The FAA has included all costs in this is correct and the clearance between the IFFA ■ cost estimate. According to the 1. The authority citation for part 39 and the tension rod is at least 5 mm (0.2 manufacturer, however, all or some of continues to read as follows: inch), before further flight, inspect the front the costs of this AD may be covered Authority: 49 U.S.C. 106(g), 40113, 44701. inboard LH and RH tension rods for chafing under warranty, thereby reducing the by following step 3.C.(12)(a) of the cost impact on affected operators. § 39.13 [Amended] Accomplishment Instructions—Aircraft in Pilatus SB 27–026. If the LH or RH tension Authority for This Rulemaking ■ 2. The FAA amends § 39.13 by adding the following new airworthiness rod has any chafing, before further flight, Title 49 of the United States Code directive: replace the tension rod by following step specifies the FAA’s authority to issue 3.C.(12)(b) of the Accomplishment rules on aviation safety. Subtitle I, 2021–02–04 Pilatus Aircraft Ltd.: Instructions—Aircraft in Pilatus SB 27–026. section 106, describes the authority of Amendment 39–21387; Docket No. (2) For airplanes with a S/N 1001 through the FAA Administrator. Subtitle VII: FAA–2020–0813; Product Identifier S/N 1575, inclusive, that have a tension rod 2019–CE–040–AD. Aviation Programs, describes in more part number (P/N) 527.52.12.135 installed, detail the scope of the Agency’s (a) Effective Date unless already done, within 100 hours TIS authority. after the effective date of this AD or within This airworthiness directive (AD) is 6 months after the effective date of this AD, The FAA is issuing this rulemaking effective March 30, 2021. whichever occurs first, inspect the front under the authority described in (b) Affected ADs inboard LH and RH tension rods for chafing Subtitle VII, Part A, Subpart III, Section None. by following step 3.C.(12)(a) of the 44701: General requirements. Under Accomplishment Instructions—Aircraft in that section, Congress charges the FAA (c) Applicability Pilatus SB 27–026. If the LH or RH tension with promoting safe flight of civil This AD applies to Pilatus Aircraft Ltd. rod has any chafing, before further flight, aircraft in air commerce by prescribing Model PC–12/47E airplanes, all serial replace the tension rod by following step regulations for practices, methods, and numbers (S/Ns), certificated in any category. 3.C.(12)(b) of the Accomplishment procedures the Administrator finds Instructions—Aircraft in Pilatus SB 27–026. necessary for safety in air commerce. (d) Subject (3) For all Model PC–12/47E airplanes, as This regulation is within the scope of Joint Aircraft System Component (JASC) of the effective date of this AD, do not install that authority because it addresses an Code 2700: Flight Controls. on any airplane an LH IFFA P/N unsafe condition that is likely to exist or (e) Reason 557.52.12.223, RH IFFA P/N 557.52.12.224, or tension rod P/N 527.52.12.135 unless the develop on products identified in this This AD was prompted by mandatory rulemaking action. part has been inspected and all corrective continuing airworthiness information (MCAI) actions have been taken as required by this Regulatory Findings originated by an aviation authority of another AD. country to identify and correct an unsafe This AD will not have federalism condition on an aviation product. The MCAI (g) Alternative Methods of Compliance implications under Executive Order describes the unsafe condition as inboard (AMOCs)
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The Manager, International Validation DEPARTMENT OF TRANSPORTATION 0843; or in person at Docket Operations Branch, FAA, has the authority to approve between 9 a.m. and 5 p.m., Monday AMOCs for this AD if requested using the Federal Aviation Administration through Friday, except Federal holidays. procedures found in 14 CFR 39.19. Send The AD docket contains this final rule, information to Doug Rudolph, Aviation 14 CFR Part 39 Safety Engineer, General Aviation & any comments received, and other Rotorcraft Section, International Validation [Docket No. FAA–2020–0843; Product information. The address for Docket Branch, FAA, 901 Locust, Room 301, Kansas Identifier 2020–NM–073–AD; Amendment Operations is U.S. Department of City, Missouri 64106; phone: (816) 329–4059; 39–21420; AD 2021–03–17] Transportation, Docket Operations, fax: (816) 329–4090; email: M–30, West Building Ground Floor, [email protected]. Before using any RIN 2120–AA64 Room W12–140, 1200 New Jersey approved AMOC on any airplane to which Avenue SE, Washington, DC 20590. the AMOC applies, notify your appropriate Airworthiness Directives; Bombardier, principal inspector (PI) in the FAA Flight Inc., Airplanes FOR FURTHER INFORMATION CONTACT: Standards District Office (FSDO), or lacking Thomas Niczky, Aerospace Engineer, a PI, your local FSDO. AGENCY: Federal Aviation Avionics and Electrical Systems Administration (FAA), Department of Section, FAA, New York ACO Branch, (h) Related Information Transportation (DOT). 1600 Stewart Avenue, Suite 410, (1) Refer to MCAI European Union ACTION: Final rule. Westbury, NY 11590; telephone 516– Aviation Safety Agency AD No. 2019–0231, 228–7347; fax 516–794–5531; email 9- dated September 13, 2019, for related SUMMARY: information. You may examine the MCAI at The FAA is adopting a new [email protected]. https://www.regulations.gov by searching for airworthiness directive (AD) for certain SUPPLEMENTARY INFORMATION: and locating Docket No. FAA–2020–0813. Bombardier, Inc., Model BD–700–1A10 (2) For service information related to this airplanes. This AD was prompted by a Discussion AD, contact Pilatus Aircraft, Ltd., Customer report of smoke and signs of an Transport Canada Civil Aviation Support PC–12, CH–6371 Stans, Switzerland; overheating condition from the (TCCA), which is the aviation authority phone: +41 41 619 33 33; fax: +41 41 619 73 emergency light battery (ELB) due to for Canada, has issued Canadian AD 11; email: [email protected]; excessive corrosion surrounding the CF–2020–07, dated March 17, 2020 (also website: https://www.pilatus-aircraft.com. You may review this referenced service internal lead acid batteries, which referred to as the Mandatory Continuing information at the FAA, Airworthiness caused an electrical short circuit that Airworthiness Information, or the Products Section, Operational Safety Branch, led to the smoke and overheating MCAI), to correct an unsafe condition 901 Locust, Kansas City, Missouri 64106. For condition. This AD requires an for certain Bombardier, Inc., Model BD– information on the availability of this inspection to determine the last 700–1A10 airplanes. You may examine material at the FAA, call (816) 329–4148. replacement date of the ELB, and the MCAI in the AD docket on the (i) Material Incorporated by Reference replacement if necessary. This AD also internet at https://www.regulations.gov (1) The Director of the Federal Register requires the incorporation of a new by searching for and locating Docket No. approved the incorporation by reference of maintenance task into the existing FAA–2020–0843. the service information listed in this maintenance or inspection program. The The FAA issued a notice of proposed paragraph under 5 U.S.C. 552(a) and 1 CFR FAA is issuing this AD to address the rulemaking (NPRM) to amend 14 CFR part 51. unsafe condition on these products. part 39 by adding an AD that would (2) You must use this service information apply to certain Bombardier, Inc., Model DATES: This AD is effective March 30, as applicable to do the actions required by BD–700–1A10 airplanes. The NPRM 2021. this AD, unless the AD specifies otherwise. published in the Federal Register on The Director of the Federal Register (i) Pilatus Service Bulletin No: 27–026, September 17, 2020 (85 FR 58010). The dated July 10, 2019. approved the incorporation by reference NPRM was prompted by a report of (ii) [Reserved] of certain publications listed in this AD smoke and signs of an overheating (3) For Pilatus Aircraft Ltd. service as of March 30, 2021. information identified in this AD, contact condition from the ELB due to excessive Pilatus Aircraft, Ltd., Customer Support PC– ADDRESSES: For service information corrosion surrounding the internal lead 12, CH–6371 Stans, Switzerland; phone: +41 identified in this final rule, contact acid batteries, which caused an 41 619 33 33; fax: +41 41 619 73 11; email: Bombardier, Inc., 400 Coˆte-Vertu Road electrical short circuit that led to the [email protected]; website: West, Dorval, Que´bec H4S 1Y9, Canada; smoke and overheating condition. The https://www.pilatus-aircraft.com. telephone 514–855–5000; fax 514–855– NPRM proposed to require an (4) You may view this service information 7401; email ac.yul@ inspection to determine the last at FAA, Airworthiness Products Section, aero.bombardier.com; internet https:// replacement date of the ELB, and Operational Safety Branch, 901 Locust, www.bombardier.com. You may view Kansas City, Missouri 64106. For information replacement if necessary. The NPRM on the availability of this material at the this service information at the FAA, also proposed to require the FAA, call (816) 329–4148. Airworthiness Products Section, incorporation of a new maintenance (5) You may view this service information Operational Safety Branch, 2200 South task into the existing maintenance or that is incorporated by reference at the 216th St., Des Moines, WA. For inspection program. The FAA is issuing National Archives and Records information on the availability of this this AD to address smoke and an Administration (NARA). For information on material at the FAA, call 206–231–3195. overheating condition of the ELB due to the availability of this material at NARA, It is also available on the internet at corrosion, which could cause fire email: [email protected], or go to: https://www.regulations.gov by https://www.archives.gov/federal-register/cfr/ onboard the airplane. See the MCAI for ibr-locations.html. searching for and locating Docket No. additional background information. FAA–2020–0843. Issued on January 6, 2021. Comments Lance T. Gant, Examining the AD Docket The FAA gave the public the Director, Compliance & Airworthiness You may examine the AD docket on opportunity to participate in developing Division, Aircraft Certification Service. the internet at https:// this final rule. The following presents [FR Doc. 2021–03476 Filed 2–22–21; 8:45 am] www.regulations.gov by searching for the comment received on the NPRM and BILLING CODE 4910–13–P and locating Docket No. FAA–2020– the FAA’s response to that comment.
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Request To Update Bombardier Email Conclusion • Global Express BD–700 Address Supplemental Time Limits/Maintenance The FAA reviewed the relevant data, Checks (STLMC) Temporary Revision Bombardier requested that the FAA considered the comment received, and (TR) 05–19091701, dated September 17, revise the NPRM to update the email determined that air safety and the 2019. address for obtaining the specified public interest require adopting this • service information from ‘‘thd.crj@ final rule with the changes described Global Express BD–700 STLMC TR aero.bombardier.com’’ to ‘‘ac.yul@ previously and minor editorial changes. 05–19091704, dated September 17, aero.bombardier.com.’’ The FAA has determined that these 2019. The FAA agrees with the request and minor changes: • Global Express XRS BD–700 has revised this final rule accordingly. • Are consistent with the intent that STLMC TR 05–19091705, dated Clarifications of Compliance Times was proposed in the NPRM for September 17, 2019. The FAA has revised paragraph (g) of addressing the unsafe condition; and These documents describe an • this AD to clarify when replacement is Do not add any additional burden amendment to the aircraft maintenance required. This clarification explains that upon the public than was already schedule to include STLMC Chapter 5 replacement is required if, during the proposed in the NPRM. task number 33–51–54–603, inspection required by paragraph (g) of The FAA also determined that this ‘‘Restoration of the Emergency Lighting this AD, any last replacement date or change will not increase the economic Batteries (XL245–B Emergency Battery manufacturing date is found to be 4 burden on any operator or increase the System),’’ and are distinct since they years or older. scope of this final rule. apply to different airplane serial numbers. The FAA has also revised paragraph Related Service Information Under 1 This service information is reasonably (h)(2) of this AD to clarify that the CFR Part 51 compliance time of within 48 months is available because the interested parties related to the applicable date specified Bombardier has issued Service have access to it through their normal in paragraph (h)(2)(i) or (ii) of this AD. Bulletin 700–33–024, dated May 13, course of business or by the means The proposed AD inadvertently stated 2019. This service information describes identified in the ADDRESSES section. procedures for an inspection to that the compliance time was ‘‘[w]ithin Costs of Compliance 48 months after the applicable determine the last battery replacement compliance time specified in paragraph date of the ELB, and replacement if The FAA estimates that this AD (h)(2)(i) or (ii) of this AD,’’ but necessary. affects 69 airplanes of U.S. registry. The paragraphs (h)(2)(i) and (ii) of this AD Bombardier also issued the following FAA estimates the following costs to specify dates, not compliance times. service information. comply with this AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost per Cost on U.S. Labor cost Parts cost product operators
3 work-hours × $85 per hour = $255 ...... $11,308 $11,563 $797,847
The FAA has determined that revising that section, Congress charges the FAA (3) Will not have a significant the existing maintenance or inspection with promoting safe flight of civil economic impact, positive or negative, program takes an average of 90 work- aircraft in air commerce by prescribing on a substantial number of small entities hours per operator, although the FAA regulations for practices, methods, and under the criteria of the Regulatory recognizes that this number may vary procedures the Administrator finds Flexibility Act. from operator to operator. Since necessary for safety in air commerce. List of Subjects in 14 CFR Part 39 operators incorporate maintenance or This regulation is within the scope of inspection program changes for their that authority because it addresses an Air transportation, Aircraft, Aviation affected fleet(s), the FAA has unsafe condition that is likely to exist or safety, Incorporation by reference, determined that a per-operator estimate develop on products identified in this Safety. is more accurate than a per-airplane rulemaking action. Adoption of the Amendment estimate. Therefore, the FAA estimates Regulatory Findings the total cost per operator to be $7,650 Accordingly, under the authority (90 work-hours × $85 per work-hour). This AD will not have federalism delegated to me by the Administrator, implications under Executive Order the FAA amends 14 CFR part 39 as Authority for This Rulemaking 13132. This AD will not have a follows: Title 49 of the United States Code substantial direct effect on the States, on specifies the FAA’s authority to issue the relationship between the national PART 39—AIRWORTHINESS rules on aviation safety. Subtitle I, government and the States, or on the DIRECTIVES section 106, describes the authority of distribution of power and ■ the FAA Administrator. Subtitle VII: responsibilities among the various 1. The authority citation for part 39 Aviation Programs, describes in more levels of government. continues to read as follows: detail the scope of the Agency’s For the reasons discussed above, I Authority: 49 U.S.C. 106(g), 40113, 44701. authority. certify that this AD: The FAA is issuing this rulemaking (1) Is not a ‘‘significant regulatory § 39.13 [Amended] under the authority described in action’’ under Executive Order 12866, ■ 2. The FAA amends § 39.13 by adding Subtitle VII, Part A, Subpart III, Section (2) Will not affect intrastate aviation the following new airworthiness 44701: General requirements. Under in Alaska, and directive:
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2021–03–17 Bombardier, Inc.: Amendment from the emergency light battery (ELB) due inspection program, as applicable, to include 39–21420; Docket No. FAA–2020–0843; to excessive corrosion surrounding the the information specified in Bombardier BD– Product Identifier 2020–NM–073–AD. internal lead acid batteries, which caused an 700 Supplemental Time Limits/Maintenance electrical short circuit that led to the smoke (a) Effective Date Checks (STLMC) Chapter 5 task number 33– and overheating condition. The FAA is 51–54–603, ‘‘Restoration of the Emergency This airworthiness directive (AD) is issuing this AD to address such conditions, effective March 30, 2021. which could cause fire onboard the airplane. Lighting Batteries (XL245–B Emergency Battery System),’’ in the Bombardier BD–700 (b) Affected ADs (f) Compliance STLMC, as specified in the applicable None. Comply with this AD within the temporary revision identified in figure 1 to compliance times specified, unless already (c) Applicability paragraph (h) of this AD. The initial done. compliance time for doing task 33–51–54– This AD applies to Bombardier, Inc., 603 is at the applicable time specified in Model BD–700–1A10 airplanes, certificated (g) Inspection and Corrective Action paragraph (h)(1) or (2) of this AD. Repeat task in any category, serial numbers 9002, 9003, Within 15 months after the effective date 9011, 9016, 9020, 9022 through 9025 of this AD, inspect the ELB to determine the 33–51–54–603 thereafter at the interval inclusive, 9029, 9031, 9032, 9036, 9039 last replacement date or the manufacturing specified within that task. through 9044 inclusive, 9046 through 9058 date, as applicable; if during this inspection, (1) If both ELBs were replaced at the time inclusive, 9060 through 9065 inclusive, 9067 any date is found to be 4 years or older, of compliance with paragraph (g) of this AD: through 9081 inclusive, 9083 through 9106 replace the ELB before further flight. Do the Within 48 months after the ELB replacement. inclusive, 9108 through 9122 inclusive, 9124 actions in accordance with the (2) If neither ELB, or only one ELB, was through 9126 inclusive, 9128, 9129, 9133, Accomplishment Instructions of Bombardier replaced at the time of compliance with 9134, 9136 through 9139 inclusive, 9141 Service Bulletin 700–33–024, dated May 13, paragraph (g) of this AD: Within 48 months through 9148 inclusive, 9150, 9151, 9153, 2019. For airplanes on which the restoration after the applicable date specified in 9159, 9162, 9163, 9165, and 9169. task specified in paragraph (h) of this AD was done before the effective date of this AD, the paragraph (h)(2)(i) or (ii) of this AD. (d) Subject requirements of paragraph (g) of this AD are (i) For each ELB, use the battery Air Transport Association (ATA) of not required. replacement date, if it is indicated. America Code 33, Lights. (ii) For each ELB, use the date of (h) Maintenance or Inspection Program manufacture, if it does not have a battery (e) Reason Revision replacement date indicated. This AD was prompted by a report of Within 60 days after the effective date of smoke and signs of an overheating condition this AD, revise the existing maintenance or
(i) Misidentified Restoration Task (2) Bombardier Global Express BD–700 (j) Compliance With Restoration Task for The following temporary revisions STLMC Temporary Revision 05–19040301, Airplanes On Which the Misidentified Task misidentified the required restoration task as dated April 3, 2019. Was Accomplished task ‘‘33–51–54–602.’’ (3) Bombardier Global Express BD–700 For airplanes on which the restoration task (1) Bombardier Global Express XRS BD– STLMC Temporary Revision 05–19040401, specified as task ‘‘33–51–54–602’’ in the 700 STLMC Temporary Revision 05– dated April 4, 2019. applicable temporary revision identified in 19032701, dated March 27, 2019.
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paragraph (i) of this AD was done before the paragraph under 5 U.S.C. 552(a) and 1 CFR from the airplane. This AD requires effective date of this AD: part 51. repetitive replacement of certain parts; a (1) The actions specified in paragraph (g) (2) You must use this service information general visual inspection to determine of this AD are not required. as applicable to do the actions required by production configuration for certain (2) The initial accomplishment of the task this AD, unless this AD specifies otherwise. specified in paragraphs (h)(1) and (2) of this (i) Bombardier Service Bulletin 700–33– parts; a repetitive lubrication of certain AD is not required. 024, dated May 13, 2019. parts and a repetitive general visual (3) Task 33–51–54–603 must be done (ii) Bombardier Global Express BD–700 inspection of certain parts for any within 48 months after task ‘‘33–51–54–602’’ Supplemental Time Limits/Maintenance exuding grease; repetitive detailed was accomplished, and thereafter at the Checks (STLMC) Temporary Revision (TR) inspections of certain parts for loose or intervals specified in task 33–51–54–603. 05–19091701, dated September 17, 2019. missing attachment bolts, cracks or (iii) Bombardier Global Express BD–700 (k) No Alternative Actions and Intervals bushing migration, cracks or gouges, or STLMC TR 05–19091704, dated September After the existing maintenance or broken, binding, or missing rollers; 17, 2019. repetitive detailed inspections of certain inspection program has been revised as (iv) Bombardier Global Express XRS BD– required by paragraph (h) of this AD, no 700 STLMC TR 05–19091705, dated parts for cracks or corrosion; repetitive alternative actions (e.g., inspections) and September 17, 2019. lubrication; and on-condition actions if intervals may be used unless the actions and (3) For service information identified in necessary. The FAA is issuing this AD intervals are approved as an alternative this AD, contact Bombardier, Inc., 400 Coˆte- to address the unsafe condition on these method of compliance (AMOC) in Vertu Road West, Dorval, Que´bec H4S 1Y9, products. accordance with the procedures specified in Canada; telephone 514–855–5000; fax 514– paragraph (l)(1) of this AD. 855–7401; email ac.yul@ DATES: This AD is effective March 30, 2021. (l) Other FAA AD Provisions aero.bombardier.com; internet https:// www.bombardier.com. The following provisions also apply to this The Director of the Federal Register (4) You may view this service information AD: approved the incorporation by reference at the FAA, Airworthiness Products Section, (1) Alternative Methods of Compliance of a certain publication listed in this AD Operational Safety Branch, 2200 South 216th (AMOCs): The Manager, New York ACO as of March 30, 2021. St., Des Moines, WA. For information on the Branch, FAA, has the authority to approve availability of this material at the FAA, call AMOCs for this AD, if requested using the ADDRESSES: For service information 206–231–3195. procedures found in 14 CFR 39.19. In identified in this final rule, contact (5) You may view this service information accordance with 14 CFR 39.19, send your Boeing Commercial Airplanes, that is incorporated by reference at the request to your principal inspector or local Attention: Contractual & Data Services National Archives and Records Flight Standards District Office, as Administration (NARA). For information on (C&DS), 2600 Westminster Blvd., MC appropriate. If sending information directly 110–SK57, Seal Beach, CA 90740–5600; to the manager of the certification office, the availability of this material at NARA, email [email protected], or go to: https:// phone: 562–797–1717; internet: https:// send it to ATTN: Program Manager, www.myboeingfleet.com. You may view Continuing Operational Safety, FAA, New www.archives.gov/federal-register/cfr/ibr- York ACO Branch, 1600 Stewart Avenue, locations.html. this service information at the FAA, Suite 410, Westbury, NY 11590; telephone Issued on January 29, 2021. Airworthiness Products Section, 516–228–7300; fax 516–794–5531. Before Gaetano A. Sciortino, Operational Safety Branch, 2200 South using any approved AMOC, notify your 216th St., Des Moines, WA. For Deputy Director for Strategic Initiatives, appropriate principal inspector, or lacking a Compliance & Airworthiness Division, information on the availability of this principal inspector, the manager of the local Aircraft Certification Service. material at the FAA, call 206–231–3195. flight standards district office/certificate It is also available on the internet at [FR Doc. 2021–03574 Filed 2–22–21; 8:45 am] holding district office. https://www.regulations.gov by (2) Contacting the Manufacturer: For any BILLING CODE 4910–13–P requirement in this AD to obtain instructions searching for and locating Docket No. from a manufacturer, the instructions must FAA–2020–0211. be accomplished using a method approved DEPARTMENT OF TRANSPORTATION Examining the AD Docket by the Manager, New York ACO Branch, FAA; or Transport Canada Civil Aviation Federal Aviation Administration You may examine the AD docket on (TCCA); or Bombardier’s TCCA Design the internet at https:// Approval Organization (DAO). If approved by 14 CFR Part 39 www.regulations.gov by searching for the DAO, the approval must include the and locating Docket No. FAA–2020– DAO-authorized signature. [Docket No. FAA–2020–0211; Product Identifier 2020–NM–006–AD; Amendment 0211; or in person at Docket Operations (m) Related Information 39–21398; AD 2021–02–15] between 9 a.m. and 5 p.m., Monday (1) Refer to Mandatory Continuing through Friday, except Federal holidays. Airworthiness Information (MCAI) Canadian RIN 2120–AA64 The AD docket contains this final rule, AD CF–2020–07, dated March 17, 2020, for any comments received, and other Airworthiness Directives; The Boeing related information. This MCAI may be information. The address for Docket found in the AD docket on the internet at Company Airplanes https://www.regulations.gov by searching for Operations is U.S. Department of and locating Docket No. FAA–2020–0843. AGENCY: Federal Aviation Transportation, Docket Operations, M– (2) For more information about this AD, Administration (FAA), DOT. 30, West Building Ground Floor, Room contact Thomas Niczky, Aerospace Engineer, ACTION: Final rule. W12–140, 1200 New Jersey Avenue SE, Avionics and Electrical Systems Section, Washington, DC 20590. FAA, New York ACO Branch, 1600 Stewart SUMMARY: The FAA is adopting a new FOR FURTHER INFORMATION CONTACT: Avenue, Suite 410, Westbury, NY 11590; airworthiness directive (AD) for certain Eric telephone 516–228–7347; fax 516–794–5531; The Boeing Company Model 747–100, Lin, Aerospace Engineer, Airframe email [email protected]. 747–100B, 747–100B SUD, 747–200B, Section, FAA, Seattle ACO Branch, 2200 South 216th St., Des Moines, WA 98198; (n) Material Incorporated by Reference 747–200C, 747–200F, 747–300, 747– 400, 747–400D, 747–400F, and 747SR phone and fax: 206–231–3523; email: (1) The Director of the Federal Register [email protected]. approved the incorporation by reference series airplanes. This AD was prompted (IBR) of the service information listed in this by reports of inboard foreflap departures SUPPLEMENTARY INFORMATION:
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Discussion that these proposed changes provide an acceptable level of safety for a The FAA issued a notice of proposed equivalent level of safety. Atlas may replacement part not specified in the rulemaking (NPRM) to amend 14 CFR apply for an AMOC with substantiating service information. The FAA has not part 39 by adding an AD that would data. The FAA has not changed this AD changed this AD regarding this request. with regard to this request. apply to certain The Boeing Company Request To Specify Document as Aid Model 747–100, 747–100B, 747–100B Request for Change in Inspection Royal Dutch Airlines (KLM) and CLX SUD, 747–200B, 747–200C, 747–200F, Requirement requested that Boeing document 747– 747–300, 747–400, 747–400D, 747– Cargolux (CLX) requested that the FTD–57–10002 be specified in the 400F, and 747SR series airplanes. The proposed inspection, as specified in proposed AD as an aid for the general NPRM published in the Federal Boeing Alert Requirements Bulletin visual inspection described in Boeing Register on May 18, 2020 (85 FR 29673). 747–57A2367 RB, dated November 15, Alert Requirements Bulletin 747– The NPRM was prompted by reports of 2019, Table 1, Action 2, no longer 57A2367 RB, dated November 15, 2019, inboard foreflap departures from the include identifying nuts with part airplane. The NPRM proposed to require to identify part numbers currently number BACN10HR7CD. CLX explained repetitive replacement of certain parts; a installed on the airplane. KLM and CLX that determining the part number by general visual inspection to determine claimed that dirt, grease, or sealant may inspection is difficult due to access production configuration for certain prevent part numbers from being restrictions, and operators may have to parts; a repetitive lubrication of certain identified by way of a general visual replace the subject nuts to be compliant parts and a repetitive general visual inspection and that the document with the proposed AD. inspection of certain parts for any provided by Boeing should be used as The FAA disagrees with the requested a visual aid. exuding grease; repetitive detailed exemption because it is unnecessary. inspections of certain parts for loose or The FAA agrees with using visual Boeing Alert Requirements Bulletin aids or other documentation to help missing attachment bolts, cracks or 747–57A2367 RB, dated November 15, bushing migration, cracks or gouges, or identify part numbers during the 2019, Table 1, Action 2, specifies a inspection. However, the FAA disagrees broken, binding, or missing rollers; ‘‘general visual inspection of the repetitive detailed inspections of certain with revising the AD to require the inboard foreflap assembly stop, stop specified document. Boeing Alert parts for cracks or corrosion; repetitive attachment bolts, stop lug attachment lubrication; and on-condition actions if Requirements Bulletin 747–57A2367 bolts, and rollers.’’ The subject nuts are RB, dated November 15, 2019, refers to necessary. not specifically identified. Additionally, The FAA is issuing this AD to address a procedure in Boeing Alert Service the service bulletin does not mandate a departures of the inboard foreflap Bulletin 747–57A2367, dated November specific method of compliance for this assembly from the airplane, which 15, 2019, as an accepted procedure for inspection. It refers to Part 2 of Boeing could result in damage to the airplane the general visual inspection to identify Alert Service Bulletin 747–57A2367, and adversely affect the airplane’s the parts production configuration. Note continued safe flight and landing. dated November 15, 2019, where the 6 of the Accomplishment Instructions subject nut is listed, as an accepted states that ‘‘when the words ‘refer to’ are Comments procedure. In accordance with Note 6 of used and the operator has an accepted The FAA gave the public the the Accomplishment Instructions, alternative procedure, the accepted opportunity to participate in developing ‘‘when the words ‘refer to’ are used and alternative procedure can be used.’’ The this final rule. The following presents the operator has an accepted alternative FAA has not changed this AD regarding the comments received on the NPRM procedure, the accepted alternative this request. and the FAA’s response to each procedure can be used.’’ The FAA has Request To Allow Optional Records comment. not changed this AD regarding this request. Check Support for the NPRM Both KLM and CLX requested that a Request To Allow Alternative Part The Air Line Pilots Association, maintenance records check be allowed Numbers International (ALPA) and Boeing as an option to the general visual expressed support for the NPRM. CLX requested that approved inspection specified in Boeing Alert alternative, substitute, or Requirements Bulletin 747–57A2367 Request To Incorporate Inspection and interchangeable part numbers for RB, dated November 15, 2019, for the Overhaul Program specified parts be allowed when purpose of identifying parts currently Atlas Air (Atlas) requested that the demonstrating compliance. CLX is installed on the airplane. Both KLM and FAA revise the proposed AD to concerned that operators may have CLX stated that operators should be able incorporate and provide credit for trouble obtaining parts if the parts have to determine whether their maintenance Atlas’s flap inspection and overhaul been replaced and there are records are accurate. program. Atlas explained that after four interchangeable parts available in lieu of The FAA disagrees with the request. flap failure events, their flap mitigation the required part number. The service information was team formulated a program of actions The FAA disagrees with the request. coordinated with the DAH and it was that successfully address the unsafe The design approval holder (DAH) determined that a physical check, as conditions cited in the NPRM. identified the parts necessary to address specified in Boeing Alert Requirements The FAA acknowledges that the unsafe condition. Kits with those Bulletin 747–57A2367 RB, dated alternative methods may exist to replacement part numbers may be November 15, 2019, is required. This address the potential unsafe condition, acquired from the DAH. Additionally, AD has not been changed regarding this but disagrees with the request to revise CLX did not provide the FAA any request. this AD to incorporate specific actions substantiating data to demonstrate that from the Atlas flap mitigation program. any alternative/substitute part provides Request To Accept Work Package From That program is unique to an individual an acceptable level of safety. CLX may Previous Service Bulletin operator, and Atlas has not provided the submit an AMOC request with United Parcel Service (UPS) requested FAA substantiating data demonstrating supporting data that demonstrates an that the FAA also accept
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accomplishment of Work Package 3 of The FAA has not changed this AD as a to determine production configuration Boeing Alert Service Bulletin 747–27– result of this comment. for certain parts; a repetitive lubrication 2366, Revision 3, dated March 22, 2016, of certain parts and a repetitive general Conclusion in lieu of the initial inspection specified visual inspection of certain parts for any by Table 4 of Boeing Alert Requirements The FAA reviewed the relevant data, exuding grease; repetitive detailed Bulletin 747–57A2367 RB, dated considered the comments received, and inspections of certain parts for loose or November 15, 2019. UPS asserted that determined that air safety and the missing attachment bolts, cracks or there is significant overlap between the public interest require adopting this bushing migration, cracks or gouges, or two flap inspections. final rule as proposed, except for minor broken, binding, or missing rollers; The FAA does not agree with the editorial changes. The FAA has repetitive detailed inspections of certain request. The inspections specified in determined that these minor changes: • parts for cracks or corrosion; repetitive Boeing Alert Requirements Bulletin Are consistent with the intent that lubrication; and on-condition actions if 747–57A2367 RB, dated November 15, was proposed in the NPRM for necessary. On-condition actions include 2019, include additional structure to addressing the unsafe condition; and replacements and repair. This service inspect, compared to Boeing Alert • Do not add any additional burden information is reasonably available Service Bulletin 747–27–2366, Revision upon the public than was already because the interested parties have 3, dated March 22, 2016, and also proposed in the NPRM. specify corrective action if damage is access to it through their normal course detected. The requirements of this AD Related Service Information Under 1 of business or by the means identified have been coordinated with the DAH. CFR Part 51 in the ADDRESSES section. UPS did not provide the FAA any The FAA reviewed Boeing Alert Costs of Compliance substantiating data to demonstrate that Requirements Bulletin 747–57A2367 the less stringent inspections from RB, dated November 15, 2019. This The FAA estimates that this AD Boeing Alert Service Bulletin 747–27– service information describes affects 125 airplanes of U.S. registry. 2366, Revision 3, dated March 22, 2016, procedures for repetitive replacement of The FAA estimate the following costs to provide an acceptable level of safety. certain parts; a general visual inspection comply with this AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Action Labor cost Parts cost Cost per product Cost on U.S. operators
Repetitive replacement ...... Up to 10 work-hours × $85 per $35,719 Up to $36,569 per re- Up to $4,571,125 per re- hour = Up to $850 per replace- placement cycle. placement cycle. ment cycle. General visual inspection for parts 1 work-hour × $85 per hour = $85 0 $85 ...... $10,625. production configuration. Repetitive detailed inspections ...... 4 work-hours × $85 per hour = 0 $340 per inspection cycle $42,500 per inspection $340 per inspection cycle. cycle. Repetitive inspection for lubrication 1 work-hour × $85 per hour = $85 0 $85 per lubrication ...... $10,625 per lubrication. and repetitive lubrication. per lubrication.
The FAA estimates the following actions that would be required. The number of aircraft that might need these costs to do any necessary on-condition FAA has no way of determining the on-condition actions:
ESTIMATED COSTS OF ON-CONDITION REPLACEMENTS
Labor cost Parts cost Cost per product
Up to 8 work-hour × $85 per hour = $680 ...... Up to $17,720 .. Up to $18,400.
The FAA has received no definitive that section, Congress charges the FAA government and the States, or on the data that would enable the FAA to with promoting safe flight of civil distribution of power and provide cost estimates for the on- aircraft in air commerce by prescribing responsibilities among the various condition repairs specified in this AD. regulations for practices, methods, and levels of government. procedures the Administrator finds Authority for This Rulemaking For the reasons discussed above, I necessary for safety in air commerce. certify that this AD: Title 49 of the United States Code This regulation is within the scope of specifies the FAA’s authority to issue that authority because it addresses an (1) Is not a ‘‘significant regulatory rules on aviation safety. Subtitle I, unsafe condition that is likely to exist or action’’ under Executive Order 12866, section 106, describes the authority of develop on products identified in this (2) Will not affect intrastate aviation the FAA Administrator. Subtitle VII: rulemaking action. in Alaska, and Aviation Programs, describes in more detail the scope of the Agency’s Regulatory Findings (3) Will not have a significant authority. This AD will not have federalism economic impact, positive or negative, The FAA is issuing this rulemaking implications under Executive Order on a substantial number of small entities under the authority described in 13132. This AD will not have a under the criteria of the Regulatory Subtitle VII, Part A, Subpart III, Section substantial direct effect on the States, on Flexibility Act. 44701: General requirements. Under the relationship between the national
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List of Subjects in 14 CFR Part 39 Note 1 to paragraph (g): Guidance for (4) You may view this service information accomplishing the actions required by this at the FAA, Airworthiness Products Section, Air transportation, Aircraft, Aviation AD can be found in Boeing Alert Service Operational Safety Branch, 2200 South 216th safety, Incorporation by reference, Bulletin 747–57A2367, dated November 15, St., Des Moines, WA. For information on the Safety. 2019, which is referred to in Boeing Alert availability of this material at the FAA, call Requirements Bulletin 747–57A2367 RB, 206–231–3195. Adoption of the Amendment dated November 15, 2019. (5) You may view this service information that is incorporated by reference at the Accordingly, under the authority (h) Exceptions to Service Information delegated to me by the Administrator, National Archives and Records Specifications Administration (NARA). For information on the FAA amends 14 CFR part 39 as Where Boeing Alert Requirements Bulletin the availability of this material at NARA, follows: 747–57A2367 RB, dated November 15, 2019, email [email protected], or go to: https:// www.archives.gov/federal-register/cfr/ibr- PART 39—AIRWORTHINESS uses the phrase ‘‘the original issue date of Requirements Bulletin 747–57A2367 RB,’’ locations.html. DIRECTIVES this AD requires using ‘‘the effective date of Issued on January 14, 2021. this AD.’’ ■ 1. The authority citation for part 39 Lance T. Gant, continues to read as follows: (i) Alternative Methods of Compliance Director, Compliance & Airworthiness (AMOCs) Division, Aircraft Certification Service. Authority: 49 U.S.C. 106(g), 40113, 44701. (1) The Manager, Seattle ACO Branch, [FR Doc. 2021–03593 Filed 2–22–21; 8:45 am] § 39.13 [Amended] FAA, has the authority to approve AMOCs BILLING CODE 4910–13–P for this AD, if requested using the procedures ■ 2. The FAA amends § 39.13 by adding found in 14 CFR 39.19. In accordance with the following new airworthiness 14 CFR 39.19, send your request to your DEPARTMENT OF TRANSPORTATION directive: principal inspector or local Flight Standards District Office, as appropriate. If sending 2021–02–15 The Boeing Company: Federal Aviation Administration information directly to the manager of the Amendment 39–21398; Docket No. certification office, send it to the attention of FAA–2020–0211; Product Identifier the person identified in paragraph (j) of this 14 CFR Part 39 2020–NM–006–AD. AD. Information may be emailed to: 9-ANM- [Docket No. FAA–2020–0691; Product (a) Effective Date [email protected]. Identifier 2020–NM–064–AD; Amendment This airworthiness directive (AD) is (2) Before using any approved AMOC, 39–21377; AD 2021–01–01] effective March 30, 2021. notify your appropriate principal inspector, or lacking a principal inspector, the manager RIN 2120–AA64 (b) Affected ADs of the local flight standards district office/ Airworthiness Directives; MHI RJ None. certificate holding district office. (3) An AMOC that provides an acceptable Aviation ULC (Type Certificate (c) Applicability level of safety may be used for any repair, Previously Held by Bombardier, Inc.) This AD applies to The Boeing Company modification, or alteration required by this Airplanes Model 747–100, 747–100B, 747–100B SUD, AD if it is approved by The Boeing Company 747–200B, 747–200C, 747–200F, 747–300, Organization Designation Authorization AGENCY: Federal Aviation 747–400, 747–400D, 747–400F, and 747SR (ODA) that has been authorized by the Administration (FAA), Department of series airplanes, certificated in any category, Manager, Seattle ACO Branch, FAA, to make Transportation (DOT). those findings. To be approved, the repair as identified in Boeing Alert Requirements ACTION: Final rule. Bulletin 747–57A2367 RB, dated November method, modification deviation, or alteration deviation must meet the certification basis of 15, 2019. SUMMARY: The FAA is adopting a new the airplane, and the approval must (d) Subject specifically refer to this AD. airworthiness directive (AD) for certain Air Transport Association (ATA) of MHI RJ Aviation ULC Model CL–600– (j) Related Information America Code 57, Wings. 2B19 (Regional Jet Series 100 & 440) For more information about this AD, airplanes. This AD was prompted by (e) Unsafe Condition contact Eric Lin, Aerospace Engineer, evidence that a revised structural life This AD was prompted by reports of Airframe Section, FAA, Seattle ACO Branch, limit of some components of the nose inboard foreflap departures from the 2200 South 216th St., Des Moines, WA landing gear (NLG) and/or main landing airplane. The FAA is issuing this AD to 98198; phone and fax: 206–231–3523; email: gear (MLG) was not implemented during [email protected]. address departures of the inboard foreflap repair. This AD requires verifying that assembly from the airplane, which could (k) Material Incorporated by Reference result in damage to the airplane and the affected components are installed on adversely affect the airplane’s continued safe (1) The Director of the Federal Register the airplane, revising the structural life flight and landing. approved the incorporation by reference limits in the existing structural (IBR) of the service information listed in this deviation inspection requirements (f) Compliance paragraph under 5 U.S.C. 552(a) and 1 CFR (SDIR) airplane document, and Comply with this AD within the part 51. replacing affected components if compliance times specified, unless already (2) You must use this service information necessary. The FAA is issuing this AD done. as applicable to do the actions required by this AD, unless the AD specifies otherwise. to address the unsafe condition on these (g) Required Actions (i) Boeing Alert Requirements Bulletin products. Except as specified by paragraph (h) of this 747–57A2367 RB, dated November 15, 2019. DATES: This AD is effective March 30, AD: At the applicable times specified in the (ii) [Reserved] 2021. ‘‘Compliance’’ paragraph of Boeing Alert (3) For service information identified in The Director of the Federal Register Requirements Bulletin 747–57A2367 RB, this AD, contact Boeing Commercial approved the incorporation by reference dated November 15, 2019, do all applicable Airplanes, Attention: Contractual & Data of a certain publication listed in this AD actions identified in, and in accordance with, Services (C&DS), 2600 Westminster Blvd., the Accomplishment Instructions of Boeing MC 110–SK57, Seal Beach, CA 90740–5600; as of March 30, 2021. Alert Requirements Bulletin 747–57A2367 phone: 562–797–1717; internet: https:// ADDRESSES: For service information RB, dated November 15, 2019. www.myboeingfleet.com. identified in this final rule, contact MHI
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RJ Aviation ULC, 12655 Henri-Fabre referred to as the Mandatory Continuing 1 to paragraph (h) of this AD instead of Blvd., Mirabel, Que´bec J7N 1E1, Airworthiness Information, or the referencing the individual repair Canada; Widebody Customer Response MCAI), to correct an unsafe condition engineering orders (REOs) in paragraph Center North America toll-free for certain MHI RJ Aviation ULC Model (h) of this AD. The REOs did not meet telephone +1–844–272–2720 or direct- CL–600–2B19 (Regional Jet Series 100 & the Office of the Federal Register’s dial telephone +1–514–855–8500; fax 440) airplanes. You may examine the criteria for incorporation by reference. +1–514–855–8501; email thd.crj@ MCAI in the AD docket on the internet Conclusion mhirj.com; internet https://mhirj.com. at https://www.regulations.gov by You may view this service information searching for and locating Docket No. The FAA reviewed the relevant data, at the FAA, Airworthiness Products FAA–2020–0691. considered the comment received, and Section, Operational Safety Branch, The FAA issued a notice of proposed determined that air safety and the 2200 South 216th St., Des Moines, WA. rulemaking (NPRM) to amend 14 CFR public interest require adopting this For information on the availability of part 39 by adding an AD that would final rule with the changes described this material at the FAA, call 206–231– apply to certain MHI RJ Aviation ULC previously and minor editorial changes. 3195. It is also available on the internet Model CL–600–2B19 (Regional Jet The FAA has determined that these at https://www.regulations.gov by Series 100 & 440) airplanes. The NPRM minor changes: searching for and locating Docket No. published in the Federal Register on • Are consistent with the intent that FAA–2020–0691. October 5, 2020 (85 FR 62626). The was proposed in the NPRM for Examining the AD Docket NPRM was prompted by evidence that addressing the unsafe condition; and a revised structural life limit of some • Do not add any additional burden You may examine the AD docket on components of the NLG and/or MLG the internet at https:// upon the public than was already was not implemented during repair. The proposed in the NPRM. www.regulations.gov by searching for NPRM proposed to require verifying and locating Docket No. FAA–2020– that the affected components are The FAA also determined that these 0691; or in person at Docket Operations installed on the airplane, revising the changes will not increase the economic between 9 a.m. and 5 p.m., Monday structural life limits in the existing SDIR burden on any operator or increase the through Friday, except Federal holidays. airplane document, and replacing scope of this final rule. The AD docket contains this final rule, affected components if necessary. The Related Service Information Under 1 any comments received, and other FAA is issuing this AD to address CFR Part 51 information. The address for Docket structural life limits that are lower than Operations is U.S. Department of the life limit published in the Bombardier has issued Service Transportation, Docket Operations, M– Maintenance Requirements Manual Bulletin 601R–32–112, dated November 30, West Building Ground Floor, Room (MRM), Part 2. This condition, if not 11, 2019. This service information W12–140, 1200 New Jersey Avenue SE, corrected, could lead to the collapse of describes procedures for verifying that Washington, DC 20590. the affected NLG and/or MLG, possibly affected components are installed on the FOR FURTHER INFORMATION CONTACT: resulting in airplane damage and injury airplane, revising the structural life Andrea Jimenez, Aerospace Engineer, to the occupants. See the MCAI for limits in the existing SDIR airplane Airframe and Propulsion Section, FAA, additional background information. document, and replacing affected parts New York ACO Branch, 1600 Stewart if necessary. This service information is Avenue, Suite 410, Westbury, NY Comments reasonably available because the 11590; telephone 516–228–7330; fax The FAA gave the public the interested parties have access to it 516–794–5531; email 9-avs-nyaco-cos@ opportunity to participate in developing through their normal course of business faa.gov. this final rule. The FAA has considered or by the means identified in the SUPPLEMENTARY INFORMATION: the comment received. Air Line Pilots ADDRESSES section. Association, International (ALPA) stated Costs of Compliance Discussion that it supports the NPRM. Transport Canada Civil Aviation The FAA estimates that this AD (TCCA), which is the aviation authority Additional Change Made to This AD affects 456 airplanes of U.S. registry. for Canada, has issued Canadian AD This AD has been revised to provide The FAA estimates the following costs CF–2020–09, dated April 7, 2020 (also the revised structural life limits in figure to comply with this AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost on U.S. Labor cost Parts cost Cost per product operators
Up to 143 work-hours × $85 per hour = Up to $12,155 ...... Up to $103,114 ...... Up to $115,269 ...... Up to $52,562,664.
Authority for This Rulemaking The FAA is issuing this rulemaking This regulation is within the scope of under the authority described in that authority because it addresses an Title 49 of the United States Code Subtitle VII, Part A, Subpart III, Section unsafe condition that is likely to exist or specifies the FAA’s authority to issue 44701: General requirements. Under develop on products identified in this rules on aviation safety. Subtitle I, that section, Congress charges the FAA rulemaking action. section 106, describes the authority of with promoting safe flight of civil Regulatory Findings the FAA Administrator. Subtitle VII: aircraft in air commerce by prescribing Aviation Programs, describes in more regulations for practices, methods, and This AD will not have federalism detail the scope of the Agency’s procedures the Administrator finds implications under Executive Order authority. necessary for safety in air commerce. 13132. This AD will not have a
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substantial direct effect on the States, on § 39.13 [Amended] corrected, could lead to the collapse of the affected NLG and/or MLG, possibly resulting the relationship between the national ■ 2. The FAA amends § 39.13 by adding government and the States, or on the in airplane damage and injury to the the following new airworthiness occupants. distribution of power and directive: responsibilities among the various (f) Compliance levels of government. 2021–01–01 MHI RJ Aviation ULC (Type Certificate Previously Held by Comply with this AD within the For the reasons discussed above, I Bombardier, Inc.): Amendment 39– compliance times specified, unless already certify that this AD: 21377; Docket No. FAA–2020–0691; done. (1) Is not a ‘‘significant regulatory Product Identifier 2020–NM–064–AD. (g) Verification of Airplane or Technical action’’ under Executive Order 12866, (a) Effective Date Records (2) Will not affect intrastate aviation This airworthiness directive (AD) is Within 6 months from the effective date of in Alaska, and effective March 30, 2021. this AD: Verify the airplane or technical (3) Will not have a significant records to determine if an NLG or MLG economic impact, positive or negative, (b) Affected ADs component listed in Table 1 or Table 2 of None. Bombardier Service Bulletin 601R–32–112, on a substantial number of small entities dated November 11, 2019, is installed on the under the criteria of the Regulatory (c) Applicability airplane. If this verification determines that Flexibility Act. This AD applies to MHI RJ Aviation ULC an affected component listed in Table 1 or List of Subjects in 14 CFR Part 39 (type certificate previously held by Table 2 of Bombardier Service Bulletin Bombardier, Inc.) Model CL–600–2B19 601R–32–112, dated November 11, 2019, is Air transportation, Aircraft, Aviation (Regional Jet Series 100 & 440) airplanes, installed on the airplane, perform the actions safety, Incorporation by reference, certificated in any category, serial numbers specified in paragraph (h) or (i) of this AD, Safety. 7003 through 8999 inclusive. as applicable. (d) Subject (h) Incorporation of the Structural Deviation Adoption of the Amendment Inspection Requirements (SDIR) Life Limit Air Transport Association (ATA) of Into the Existing SDIR Airplane Document Accordingly, under the authority America Code 32, Landing gear. delegated to me by the Administrator, If the total flight cycles of the component the FAA amends 14 CFR part 39 as (e) Reason is less than the revised SDIR life limit follows: This AD was prompted by evidence that a identified in figure 1 to paragraph (h) of this revised structural life limit of some AD minus 2,000 flight cycles: Within 12 PART 39—AIRWORTHINESS components of the nose landing gear (NLG) months after completing the actions specified DIRECTIVES and/or main landing gear (MLG) was not in paragraph (g) of this AD, incorporate the implemented during repair. The FAA is applicable revised life limit of the affected component into the existing SDIR airplane ■ 1. The authority citation for part 39 issuing this AD to address structural life limits that are lower than the life limits document as specified in figure 1 to continues to read as follows: published in the Maintenance Requirements paragraph (h) of this AD. Authority: 49 U.S.C. 106(g), 40113, 44701. Manual (MRM), Part 2. This condition, if not BILLING CODE 4910–13–P
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BILLING CODE 4910–13–C 2019, on any airplane without first Safety, FAA, New York ACO Branch, 1600 (i) Replacement of Repaired NLG and/or incorporating the actions specified in Stewart Avenue, Suite 410, Westbury, NY MLG Component paragraph (h) or (i) of this AD, as applicable. 11590; telephone 516–228–7300; fax 516– If the total flight cycles of the component (k) Other FAA AD Provisions 794–5531. Before using any approved AMOC, notify your appropriate principal inspector, is equal to or more than the applicable The following provisions also apply to this revised SDIR life limit specified in figure 1 or lacking a principal inspector, the manager AD: to paragraph (h) of this AD minus 2,000 flight of the local Flight Standards Office. (1) Alternative Methods of Compliance cycles: Within 12 months or 2,000 flight (2) Contacting the Manufacturer: For any (AMOCs): The Manager, New York ACO cycles, whichever occurs first, after requirement in this AD to obtain instructions completing the actions specified in paragraph Branch, FAA, has the authority to approve AMOCs for this AD, if requested using the from a manufacturer, the instructions must (g) of this AD, replace the affected be accomplished using a method approved component with a serviceable component. procedures found in 14 CFR 39.19. In accordance with 14 CFR 39.19, send your by the Manager, New York ACO Branch, (j) Parts Installation Prohibition request to your principal inspector or local FAA; or Transport Canada Civil Aviation As of the effective date of this AD, no Flight Standards Office, as appropriate. If (TCCA); or MHI RJ Aviation ULC’s TCCA person may install any component listed in sending information directly to the manager Design Approval Organization (DAO). If Table 1 or Table 2 of Bombardier Service of the certification office, send it to ATTN: approved by the DAO, the approval must Bulletin 601R–32–112, dated November 11, Program Manager, Continuing Operational include the DAO-authorized signature.
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(l) Related Information DEPARTMENT OF TRANSPORTATION It is also available in the AD docket on (1) Refer to Mandatory Continuing the internet at https:// Airworthiness Information (MCAI) Canadian Federal Aviation Administration www.regulations.gov by searching for AD CF–2020–09, dated April 7, 2020, for and locating Docket No. FAA–2020– related information. This MCAI may be 14 CFR Part 39 0674. found in the AD docket on the internet at [Docket No. FAA–2020–0674; Product Examining the AD Docket https://www.regulations.gov by searching for Identifier 2020–NM–070–AD; Amendment and locating Docket No. FAA–2020–0691. 39–21382; AD 2021–01–06] You may examine the AD docket on (2) For more information about this AD, the internet at https:// RIN 2120–AA64 contact Andrea Jimenez, Aerospace Engineer, www.regulations.gov by searching for Airframe and Propulsion Section, FAA, New and locating Docket No. FAA–2020– Airworthiness Directives; Airbus SAS 0674; or in person at Docket Operations York ACO Branch, 1600 Stewart Avenue, Airplanes Suite 410, Westbury, NY 11590; telephone between 9 a.m. and 5 p.m., Monday 516–228–7330; fax 516–794–5531; email 9- AGENCY: Federal Aviation through Friday, except Federal holidays. [email protected]. Administration (FAA), Department of The AD docket contains this final rule, Transportation (DOT). any comments received, and other (m) Material Incorporated by Reference information. The address for Docket ACTION: Final rule. (1) The Director of the Federal Register Operations is U.S. Department of approved the incorporation by reference SUMMARY: The FAA is adopting a new Transportation, Docket Operations, (IBR) of the service information listed in this airworthiness directive (AD) for certain M–30, West Building Ground Floor, paragraph under 5 U.S.C. 552(a) and 1 CFR Airbus SAS Model A330–200 and Room W12–140, 1200 New Jersey part 51. A330–300 series airplanes, and all Avenue SE, Washington, DC 20590. (2) You must use this service information Model A340–200 and A340–300 series FOR FURTHER INFORMATION CONTACT: as applicable to do the actions required by airplanes. This AD was prompted by Vladimir Ulyanov, Aerospace Engineer, this AD, unless this AD specifies otherwise. reports of hydraulic system failure due Large Aircraft Section, International (i) Bombardier Service Bulletin 601R–32– to fatigue failure of the screws attaching Validation Branch, FAA, 2200 South 112, dated November 11, 2019. the manual valve to the ground service 216th St., Des Moines, WA 98198; (ii) [Reserved] manifold (GSM). This AD requires, for telephone and fax 206–231–3229; email (3) For service information identified in certain GSMs, repetitive replacement of [email protected]. this AD, contact MHI RJ Aviation ULC, 12655 the hydraulic system GSM manual valve SUPPLEMENTARY INFORMATION: Henri-Fabre Blvd., Mirabel, Que´bec, J7N 1E1 attachment screws having certain part Discussion Canada; Widebody Customer Response numbers; and, for certain other GSMs Center North America toll-free telephone +1– with certain screws installed, The EASA, which is the Technical 844–272–2720 or direct-dial telephone +1– replacement of those screws, as Agent for the Member States of the 514–855–8500; fax +1–514–855–8501; email specified in a European Union Aviation European Union, has issued EASA AD [email protected]; internet https:// Safety Agency (EASA) AD, which is 2020–0093, dated April 24, 2020 (EASA mhirj.com. incorporated by reference. The FAA is AD 2020–0093) (also referred to as the (4) You may view this service information Mandatory Continuing Airworthiness at the FAA, Airworthiness Products Section, issuing this AD to address the unsafe condition on these products. Information, or ‘‘the MCAI’’), to correct Operational Safety Branch, 2200 South 216th an unsafe condition for certain Airbus DATES: This AD is effective March 30, St., Des Moines, WA. For information on the SAS Model A330–200 and A330–300 2021. availability of this material at the FAA, call series airplanes, and all Model A340– The Director of the Federal Register 206–231–3195. 200 and A340–300 series airplanes. (5) You may view this service information approved the incorporation by reference The FAA issued a notice of proposed that is incorporated by reference at the of certain publications listed in this AD rulemaking (NPRM) to amend 14 CFR National Archives and Records as of March 30, 2021. part 39 by adding an AD that would Administration (NARA). For information on ADDRESSES: For EASA material apply to certain Airbus SAS Model the availability of this material at NARA, incorporated by reference (IBR) in this A330–200 and A330–300 series email [email protected], or go to: https:// AD, contact the EASA, Konrad- airplanes, and all Model A340–200 and www.archives.gov/federal-register/cfr/ibr- Adenauer-Ufer 3, 50668 Cologne, A340–300 series airplanes. The NPRM locations.html. Germany; telephone +49 221 8999 000; published in the Federal Register on Issued on December 28, 2020. email [email protected]; internet July 31, 2020 (85 FR 46012). The NPRM Lance T. Gant, www.easa.europa.eu. You may find this was prompted by reports of hydraulic IBR material on the EASA website at system failure due to fatigue failure of Director, Compliance & Airworthiness https://ad.easa.europa.eu. For Airbus Division, Aircraft Certification Service. the screws attaching the manual valve to material incorporated by reference in the GSM. The NPRM proposed to [FR Doc. 2021–03565 Filed 2–22–21; 8:45 am] this AD, contact Airbus SAS, require, for certain GSMs, repetitive BILLING CODE 4910–13–P Airworthiness Office—EAL, Rond-Point replacement of the hydraulic system Emile Dewoitine No: 2, 31700 Blagnac GSM manual valve attachment screws Cedex, France; telephone +33 5 61 93 36 having certain part numbers; and, for 96; fax +33 5 61 93 45 80; email certain other GSMs with certain screws [email protected]; installed, replacement of those screws, internet http://www.airbus.com. You as specified in an EASA AD. may view this IBR material at the FAA, Airworthiness Products Section, Comments Operational Safety Branch, 2200 South The FAA gave the public the 216th St., Des Moines, WA. For opportunity to participate in developing information on the availability of this this final rule. The following presents material at the FAA, call 206–231–3195. the comments received on the NPRM
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and the FAA’s response to each given procedure must be followed.’’ • Are consistent with the intent that comment. Delta added that paragraphs 4.4.2.1.(8) was proposed in the NPRM for and 4.4.2.2.(9) of the AOT use both addressing the unsafe condition; and Support for the NPRM ‘‘refer to’’ and ‘‘in accordance with,’’ • Do not add any additional burden The Air Line Pilots Association, and paragraphs 4.4.2.1.(10) and upon the public than was already International (ALPA) stated its support 4.4.2.2.(11) of the AOT use ‘‘in proposed in the NPRM. for the NPRM. accordance with’’ when referencing the The FAA also determined that this Request To Include Applicability Airplane Maintenance Manual (AMM) change will not increase the economic Exception wirelocking procedures. Delta further burden on any operator or increase the noted that in all cases, the AOT refers scope of this AD. Delta Air Lines (Delta) asked that the to standard AMM procedures, testing FAA include an exception statement in Related Service Information Under 1 paragraph (c) of the proposed AD and wirelocking. As standard CFR Part 51 procedures, Delta recommended that the related to Airbus modification 58345. EASA AD 2020–0093 describes Delta stated that EASA AD 2020–0093 ‘‘in accordance with’’ statement be replaced by ‘‘refer to’’ for paragraphs procedures for replacement of the includes the statement ‘‘except those on hydraulic system GSM manual valve which Airbus modification (mod) 58345 4.4.2.1.(8), 4.4.2.1.(10), 4.4.2.2.(9) and attachment screws. For GSMs with part has been embodied in production.’’ 4.4.2.2.(11) of the AOT. number (P/N) 70902–3 or P/N 70902–4 Delta added that this would remove the The FAA agrees with the commenter’s installed with screws having P/N need for operators of post mod 58345 request for further clarification. It NAS1101–3H8, EASA AD 2020–0093 airplanes to demonstrate compliance should be clear to operators whether describes procedures for repetitive with an AD for which compliance is specific procedures are mandatory. replacement of those screws with new impossible. Paragraph (h)(3) of the proposed AD screws having P/N NAS1101–3H8. For The FAA does not agree with the specified compliance with ‘‘paragraph commenter’s request. Paragraph (c) of GSMs with P/N 70902–5 installed with 4.4.2., Accomplishment Instructions, of screws having P/N NAS1101–3H8, this AD identifies the affected airplane the AOT’’ only. This means that these models and specifies that this AD is EASA AD 2020–0093 describes actions must be completed in procedures for replacement of those applicable to the airplanes identified in accordance with certain procedures EASA AD 2020–0093. Because the screws with new bolts having P/N specified in the Airbus AMM tasks EWB0420D–3H–3 or four new screws applicability identified in EASA AD defined in Airbus AOT A29L010–19, 2020–0093 excludes airplanes on which having P/N NAS1101–3H8; if new Revision 01, dated February 18, 2020. screws are installed, EASA AD 2020– Airbus modification 58345 is embodied The FAA has clarified paragraph (h)(3) in production, it is not necessary to 0093 describes procedures for replacing of this AD as follows: ‘‘Where EASA AD them with new bolts having P/N restate that exclusion in this AD. EASA 2020–0093 specifies to comply with AD 2020–0093 is incorporated by EWB0420D–3H–3 before the screws ‘‘the instructions of the AOT,’’ and ‘‘the exceed 10,000 flight cycles since reference in its entirety, which includes AOT’’ specifies that ‘‘the the applicability therein. Therefore, the installation on an airplane. EASA AD accomplishment instructions marked as 2020–0093 also describes an optional FAA has not changed this AD in this Required for Compliance (RC) must be regard. terminating modification (replacement done’’ this AD requires compliance with of all affected GSMs), which would Request To Change AOT Reference ‘‘paragraph 4.4.2., Accomplishment terminate the repetitive replacements of Delta asked that the ‘‘in accordance Instructions, of the AOT [Airbus Alert the attachment screws. with’’ statement in paragraph (g) of the Operators Transmission A29L010–19, Airbus AOT A29L010–19, Revision proposed AD be replaced by ‘‘refer to’’ Revision 01, dated February 18, 2020] 01, dated February 18, 2020, describes Airbus Alert Operators Transmission only; except paragraphs 4.4.2.1(1) and procedures for initial and repetitive (AOT) A29L010–19, Revision 01, dated 4.4.2.2(1) which specify gaining access replacement of certain GSM manual- February 18, 2020, paragraphs to the ground service manifold and valve screws and a one-time visual 4.4.2.1.(8), 4.4.2.1.(10), 4.4.2.2.(9) and preparation for update and may be inspection to determine if certain GSM 4.4.2.2.(11). Delta stated that the EASA accomplished in accordance with the manual-valve screws are installed AD mandates accomplishment of the operator’s maintenance or inspection instead of the correct bolts. referenced AOT, and the AOT includes program.’’ This material is reasonably available the following note: ‘‘NOTE 2: The Conclusion because the interested parties have accomplishment instructions of this access to it through their normal course AOT include procedures given in other The FAA reviewed the relevant data, of business or by the means identified documents or in other sections of the considered the comments received, and in the ADDRESSES section. AOT. When the words ’refer to’ are used determined that air safety and the and the operator has a procedure public interest require adopting this AD Costs of Compliance accepted by the local authority he with the change described previously, The FAA estimates that this AD belongs to, the accepted alternative and minor editorial changes. The FAA affects 107 airplanes of U.S. registry. procedure can be used. When the words has determined that these minor The FAA estimates the following costs ‘in accordance with’ are used then the changes: to comply with this AD:
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ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost on U.S. Labor cost Parts cost Cost per product operators
7 work-hours × $85 per hour = $595 per cycle ...... * $0 $595 per cycle ...... $63,665 per cycle. * The FAA has received no definitive data that would enable the agency to provide parts cost estimates for the required actions specified in this AD.
ESTIMATED COSTS FOR OPTIONAL ACTIONS
Cost per Labor cost Parts cost product
10 work-hours × $85 per hour = $850 ...... * $0 $850 * The FAA has received no definitive data that would enable the agency to provide parts cost estimates for the optional actions specified in this AD.
According to the manufacturer, some (3) Will not have a significant (4) Model A340–311, –312, and –313 or all of the costs of this AD may be economic impact, positive or negative, airplanes. covered under warranty, thereby on a substantial number of small entities (d) Subject reducing the cost impact on affected under the criteria of the Regulatory Air Transport Association (ATA) of individuals. The FAA does not control Flexibility Act. America Code 29, Hydraulic power. warranty coverage for affected individuals. As a result, the FAA has List of Subjects in 14 CFR Part 39 (e) Reason included all known costs in the cost Air transportation, Aircraft, Aviation This AD was prompted by reports of estimate. safety, Incorporation by reference, hydraulic system failure due to fatigue failure Safety. of the screws attaching the manual valve to Authority for This Rulemaking the ground service manifold (GSM). The FAA Title 49 of the United States Code Adoption of the Amendment is issuing this AD to address the failure of specifies the FAA’s authority to issue hydraulic system manual valve attachment Accordingly, under the authority screws. This condition, if not addressed, rules on aviation safety. Subtitle I, delegated to me by the Administrator, section 106, describes the authority of could lead to the loss of one or more the FAA amends 14 CFR part 39 as hydraulic systems and damage to the FAA Administrator. Subtitle VII: follows: surrounding structure and components, Aviation Programs, describes in more possibly resulting in reduced control of the detail the scope of the Agency’s PART 39—AIRWORTHINESS airplane, or injury to maintenance staff authority. DIRECTIVES working in the main landing gear bay. The FAA is issuing this rulemaking (f) Compliance under the authority described in ■ 1. The authority citation for part 39 Subtitle VII, Part A, Subpart III, Section continues to read as follows: Comply with this AD within the 44701: General requirements. Under compliance times specified, unless already that section, Congress charges the FAA Authority: 49 U.S.C. 106(g), 40113, 44701. done. with promoting safe flight of civil § 39.13 [Amended] (g) Requirements aircraft in air commerce by prescribing ■ Except as specified in paragraph (h) of this regulations for practices, methods, and 2. The FAA amends § 39.13 by adding AD: Comply with all required actions and procedures the Administrator finds the following new airworthiness compliance times specified in, and in necessary for safety in air commerce. directive: accordance with, EASA AD 2020–0093. This regulation is within the scope of 2021–01–06 Airbus SAS: Amendment 39– (h) Exceptions to EASA AD 2020–0093 that authority because it addresses an 21382; Docket No. FAA–2020–0674; unsafe condition that is likely to exist or Product Identifier 2020–NM–070–AD. (1) Where EASA AD 2020–0093 refers to its effective date or to ‘‘the effective date of develop on products identified in this (a) Effective Date EASA AD 2019–0314,’’ this AD requires rulemaking action. This airworthiness directive (AD) is using the effective date of this AD. Regulatory Findings effective March 30, 2021. (2) The ‘‘Remarks’’ section of EASA AD 2020–0093 does not apply to this AD. This AD will not have federalism (b) Affected ADs (3) Where EASA AD 2020–0093 specifies implications under Executive Order None. to comply with ‘‘the instructions of the AOT 13132. This AD will not have a [Alert Operators Transmission],’’ and ‘‘the substantial direct effect on the States, on (c) Applicability AOT’’ specifies that ‘‘the accomplishment the relationship between the national This AD applies to Airbus SAS airplanes instructions marked as Required for government and the States, or on the specified in paragraphs (c)(1) through (4) of Compliance (RC) must be done,’’ this AD distribution of power and this AD, certificated in any category, as requires compliance with ‘‘paragraph 4.4.2., responsibilities among the various identified in European Union Aviation Safety Accomplishment Instructions, of the AOT Agency (EASA) AD 2020–0093, dated April [Airbus Alert Operators Transmission levels of government. 24, 2020 (EASA AD 2020–0093). A29L010–19, Revision 01, dated February 18, For the reasons discussed above, I (1) Model A330–201, –202, –203, –223, and 2020]’’ only; except paragraphs 4.4.2.1(1) and certify that this AD: –243 airplanes. 4.4.2.2(1), which specify gaining access to the (1) Is not a ‘‘significant regulatory (2) Model A330–301, –302, –303, –321, ground service manifold and preparation for action’’ under Executive Order 12866, –322, –323, –341, –342, and –343 airplanes. update, may be accomplished in accordance (2) Will not affect intrastate aviation (3) Model A340–211, –212, and –213 with the operator’s maintenance or in Alaska, and airplanes. inspection program.
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(i) No Reporting Requirement (i) European Union Aviation Safety Agency control modification kit installed, Although the service information (EASA) AD 2020–0093, dated April 24, 2020. during flights into icing conditions with referenced in EASA AD 2020–0093 specifies (ii) Airbus Alert Operators Transmission the landing gear down, ice can form on to submit certain information to the A29L010–19, Revision 01, dated February 18, the stall vane, which may result in 2020. manufacturer, this AD does not include that failure of the stall warning system. This requirement. (3) For EASA AD 2020–0093, contact the EASA, Konrad-Adenauer-Ufer 3, 50668 AD requires identifying and correcting (j) Other FAA AD Provisions Cologne, Germany; telephone +49 221 8999 nonconforming stall warning heat The following provisions also apply to this 000; email [email protected]; internet control systems. The FAA is issuing this AD: www.easa.europa.eu. You may find this AD to address the unsafe condition on (1) Alternative Methods of Compliance EASA AD on the EASA website at https:// these products. ad.easa.europa.eu. (AMOCs): The Manager, Large Aircraft DATES: This AD is effective March 30, (4) For Airbus service information Section, International Validation Branch, 2021. FAA, has the authority to approve AMOCs identified in this AD, contact Airbus SAS, for this AD, if requested using the procedures Airworthiness Office—EAL, Rond-Point The Director of the Federal Register found in 14 CFR 39.19. In accordance with Emile Dewoitine No: 2, 31700 Blagnac Cedex, approved the incorporation by reference 14 CFR 39.19, send your request to your France; telephone +33 5 61 93 36 96; fax +33 of a certain publication listed in this AD principal inspector or local Flight Standards 5 61 93 45 80; email airworthiness.A330- as of March 30, 2021. District Office, as appropriate. If sending [email protected]; internet http:// ADDRESSES: For service information information directly to the Large Aircraft www.airbus.com. identified in this final rule, contact (5) You may view this material at the FAA, Section, International Validation Branch, Piper Aircraft Inc., 2926 Piper Drive, send it to the attention of the person Airworthiness Products Section, Operational identified in paragraph (k) of this AD. Safety Branch, 2200 South 216th St., Des Vero Beach, FL 32960; phone: 772–299– Information may be emailed to: 9-ANM-116- Moines, WA. For information on the 2686; email: customerservice@ [email protected]. Before using availability of this material at the FAA, call piper.com; website: https:// any approved AMOC, notify your appropriate 206–231–3195. This material may be found www.piper.com/. You may view this principal inspector, or lacking a principal in the AD docket on the internet at https:// service information at the FAA, inspector, the manager of the local flight www.regulations.gov by searching for and Airworthiness Products Section, standards district office/certificate holding locating Docket No. FAA–2020–0674. Operational Safety Branch, 901 Locust, district office. (6) You may view this material that is Kansas City, Missouri 64106. For (2) Contacting the Manufacturer: For any incorporated by reference at the National requirement in this AD to obtain instructions Archives and Records Administration information on the availability of this from a manufacturer, the instructions must (NARA). For information on the availability material at the FAA, call 816–329–4148. be accomplished using a method approved of this material at NARA, email fedreg.legal@ It is also available at https:// by the Manager, Large Aircraft Section, nara.gov, or go to: https://www.archives.gov/ www.regulations.gov by searching for International Validation Branch, FAA; or federal-register/cfr/ibr-locations.html. and locating Docket No. FAA–2020– EASA; or Airbus SAS’s EASA Design 0830. Organization Approval (DOA). If approved by Issued on December 30, 2020. the DOA, the approval must include the Lance T. Gant, Examining the AD Docket DOA-authorized signature. Director, Compliance & Airworthiness You may examine the AD docket at (3) Required for Compliance (RC): For any Division, Aircraft Certification Service. service information referenced in EASA AD https://www.regulations.gov by 2020–0093 that contains RC procedures and [FR Doc. 2021–03566 Filed 2–22–21; 8:45 am] searching for and locating Docket No. tests: Except as required by paragraphs (h)(3) BILLING CODE 4910–13–P FAA–2020–0830; or in person at Docket and (j)(2) of this AD, RC procedures and tests Operations between 9 a.m. and 5 p.m., must be done to comply with this AD; any Monday through Friday, except Federal procedures or tests that are not identified as DEPARTMENT OF TRANSPORTATION holidays. The AD docket contains this RC are recommended. Those procedures and final rule, any comments received, and tests that are not identified as RC may be Federal Aviation Administration deviated from using accepted methods in other information. The address for accordance with the operator’s maintenance 14 CFR Part 39 Docket Operations is U.S. Department of or inspection program without obtaining Transportation, Docket Operations, M– approval of an AMOC, provided the [Docket No. FAA–2020–0830; Project 30, West Building Ground Floor, Room procedures and tests identified as RC can be Identifier 2020–CE–002–AD; Amendment W12–140, 1200 New Jersey Avenue SE, done and the airplane can be put back in an 39–21428; AD 2021–04–07] Washington, DC 20590. airworthy condition. Any substitutions or RIN 2120–AA64 FOR FURTHER INFORMATION CONTACT: John changes to procedures or tests identified as RC require approval of an AMOC. Lee, Aviation Safety Engineer, Atlanta Airworthiness Directives; Piper ACO Branch, FAA, 1701 Columbia (k) Related Information Aircraft, Inc. Airplanes Avenue, College Park, GA 30337; phone: For more information about this AD, AGENCY: Federal Aviation (404) 474–5568; email: john.lee@ contact Vladimir Ulyanov, Aerospace faa.gov. Engineer, Large Aircraft Section, Administration (FAA), DOT. International Validation Branch, FAA, 2200 ACTION: Final rule. SUPPLEMENTARY INFORMATION: South 216th St., Des Moines, WA 98198; Background telephone and fax 206–231–3229; email SUMMARY: The FAA is adopting a new [email protected]. airworthiness directive (AD) for all The FAA issued a notice of proposed Piper Aircraft, Inc., (Piper) Models PA– rulemaking (NPRM) to amend 14 CFR (l) Material Incorporated by Reference 46–350P (Malibu Mirage), PA–46R– part 39 by adding an AD that would (1) The Director of the Federal Register 350T (Malibu Matrix), and PA–46– apply to all Piper Models PA–46–350P approved the incorporation by reference 500TP (Malibu Meridian) airplanes. (Malibu Mirage), PA–46R–350T (Malibu (IBR) of the service information listed in this This AD was prompted by a finding of Matrix), and PA–46–500TP (Malibu paragraph under 5 U.S.C. 552(a) and 1 CFR part 51. several airplanes with wing assemblies Meridian) airplanes. The NPRM (2) You must use this service information that did not have the proper stall published in the Federal Register on as applicable to do the actions required by warning heater modification design. October 28, 2020 (85 FR 68255). The this AD, unless this AD specifies otherwise. Without the proper stall warning heat NPRM was prompted by the finding of
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airplanes without the proper stall This action will not affect AD 2008– because the interested parties have warning heater modification design 26–11 and all actions of that AD will access to it through their normal course change. In the NPRM, the FAA remain in place. of business or by the means identified in ADDRESSES. proposed to require identifying and Discussion of Final Airworthiness correcting nonconforming stall warning Directive Other Related Service Information heat control systems. Comments The FAA issued AD 2008–26–11, The FAA reviewed Piper Mandatory Amendment 39–15777 (73 FR 78934, The FAA received a comment from 1 Service Bulletin No. 1192, dated September 15, 2008. This service December 24, 2008) (‘‘AD 2008–26–11’’) commenter. The commenter supported the NPRM without change. bulletin is incorporated by reference in for certain serial-numbered Piper Model AD 2008–26–11. PA–46–350P, PA–46R–350T, and PA– Conclusion 46–500TP airplanes. AD 2008–26–11 The FAA reviewed the relevant data, Differences Between This AD and the requires installing stall warning heat considered the comments received, and Service Information control modification kit part number determined that air safety requires This AD does not require the first 88452–002. For those serial-numbered adopting the AD as proposed. step, which is identified as a ‘‘required airplanes to which AD 2008–26–11 does Accordingly, the FAA is issuing this AD for compliance’’ (RC) step, of Piper not apply, Piper incorporated the to address the unsafe condition on these Service Letter No. 1261, dated July 19, modification kit in production. products. Except for minor editorial 2019. The first step specifies reviewing Since the FAA issued AD 2008–26– changes, this AD is adopted as proposed the aircraft records to determine 11, Piper found 11 airplanes (9 in the NPRM. whether the inspection of the stall domestic) with the left wing replaced Related Service Information Under 1 warning heat control configuration must with a wing assembly from salvage that CFR Part 51 be done. This AD does not require a did not have the proper stall warning The FAA reviewed Piper Service records review. Instead, all airplanes heater modification design change. Letter No. 1261, dated July 19, 2019. identified in the applicability of this AD Without the proper stall warning heat This service information specifies have to inspect the stall warning heat control modification kit during flights procedures to identify and correct control configuration. into icing conditions with the landing nonconforming stall warning heat Costs of Compliance gear down, ice can form on the stall control systems. The intent of these vane, which may result in failure of the service letters is to ensure that wiring The FAA estimates that this AD will stall warning system. The FAA is for the stall warning heat control system affect 1,261 airplanes of U.S. registry. issuing this AD to address the unsafe meets current type design. This service The FAA estimates the following condition on these products. information is reasonably available costs to comply with this AD:
ESTIMATED COSTS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Inspect stall warning heat control system ...... 1 work-hour × $85 per hour = $85 ...... $0 $85 $107,185
The FAA estimates the following will be required based on the results of determining the number of airplanes costs to do any necessary repairs that the inspection. The FAA has no way of that might need these repairs:
ON-CONDITION COSTS
Cost per Action Labor cost Parts cost product
Install modification kit ...... 1.5 work-hours × $85 per hour = $127.50 ...... $230.00 $357.50
The FAA has included all known detail the scope of the Agency’s develop on products identified in this costs in its cost estimate. According to authority. rulemaking action. the manufacturer, however, some or all The FAA is issuing this rulemaking Regulatory Findings of the costs of this AD may be covered under the authority described in under warranty, thereby reducing the Subtitle VII, Part A, Subpart III, Section This AD will not have federalism cost impact on affected individuals. 44701: General requirements. Under implications under Executive Order 13132. This AD will not have a Authority for This Rulemaking that section, Congress charges the FAA with promoting safe flight of civil substantial direct effect on the States, on Title 49 of the United States Code aircraft in air commerce by prescribing the relationship between the national specifies the FAA’s authority to issue regulations for practices, methods, and government and the States, or on the rules on aviation safety. Subtitle I, procedures the Administrator finds distribution of power and section 106, describes the authority of necessary for safety in air commerce. responsibilities among the various the FAA Administrator. Subtitle VII: This regulation is within the scope of levels of government. Aviation Programs, describes in more that authority because it addresses an For the reasons discussed above, I unsafe condition that is likely to exist or certify that this AD:
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(1) Is not a ‘‘significant regulatory conditions with the landing gear down, ice for any deviations to RC steps, including action’’ under Executive Order 12866, can form on the stall vane, which may result substeps and identified figures. (2) Will not affect intrastate aviation in failure of the stall warning system. The (ii) Steps not labeled as RC may be in Alaska, and FAA is issuing this AD to identify and deviated from using accepted methods in correct nonconforming stall warning heat accordance with the operator’s maintenance (3) Will not have a significant or inspection program without obtaining economic impact, positive or negative, control systems. The unsafe condition, if not addressed, could result in the pilot being approval of an AMOC, provided the RC steps, on a substantial number of small entities unaware of an approaching stall situation. including substeps and identified figures, can under the criteria of the Regulatory still be done as specified, and the airplane Flexibility Act. (f) Compliance can be put back in an airworthy condition. Comply with this AD within the (j) Related Information List of Subjects in 14 CFR Part 39 compliance times specified, unless already Air transportation, Aircraft, Aviation done. For more information about this AD, contact John Lee, Aviation Safety Engineer, safety, Incorporation by reference, (g) Actions Atlanta ACO Branch, FAA, 1701 Columbia Safety. (1) Within 100 hours time-in-service (TIS) Avenue, College Park, GA 30337; phone: The Amendment after the effective date of this AD or within (404) 474–5568; email: [email protected]. Accordingly, under the authority 12 months after the effective date of this AD, (k) Material Incorporated by Reference whichever occurs first, inspect the delegated to me by the Administrator, (1) The Director of the Federal Register configuration of stall warning heat control approved the incorporation by reference the FAA amends 14 CFR part 39 as system and, if required, install stall warning follows: (IBR) of the service information listed in this heat control modification kit part number paragraph under 5 U.S.C. 552(a) and 1 CFR (P/N) 8452–002 before further flight in PART 39—AIRWORTHINESS part 51. accordance with steps 2 and 3 of the (2) You must use this service information DIRECTIVES Instructions in Piper Aircraft, Inc., Service as applicable to do the actions required by Letter No. 1261, dated July 19, 2019. ■ this AD, unless the AD specifies otherwise. 1. The authority citation for part 39 (2) As of the effective date of this AD, do (i) Piper Service Letter No. 1261, dated July continues to read as follows: not install a wing on any Model PA–46–350P 19, 2019. Authority: 49 U.S.C. 106(g), 40113, 44701. (Malibu Mirage), PA–46R–350T (Malibu (ii) [Reserved] Matrix), or PA–46–500TP (Malibu Meridian) (3) For Piper Aircraft, Inc. service § 39.13 [Amended] airplane unless you have determined that the information identified in this AD, contact wing has the correct stall warning heat ■ Piper Aircraft Inc., 2926 Piper Drive, Vero 2. The FAA amends § 39.13 by adding control system as required by paragraph Beach, FL 32960; phone: 772–299–2686; the following new airworthiness (g)(1) of this AD. email: [email protected]; website: directive: (h) Special Flight Permit https://www.piper.com/. 2021–04–07 Piper Aircraft, Inc.: (4) You may view this service information A special flight permit may be issued to Amendment 39–21428; Docket No. at FAA, Airworthiness Products Section, operate the airplane to a location where the FAA–2020–0830; Project Identifier Operational Safety Branch, 901 Locust, requirements of this AD can be accomplished 2020–CE–002–AD. Kansas City, Missouri 64106. For information provided flight into known icing conditions on the availability of this material at the (a) Effective Date is prohibited. FAA, call 816–329–4148. This airworthiness directive (AD) is (i) Alternative Methods of Compliance (5) You may view this service information effective March 30, 2021. (AMOCs) that is incorporated by reference at the National Archives and Records (b) Affected ADs (1) The Manager, Atlanta ACO Branch, Administration (NARA). For information on None. FAA, has the authority to approve AMOCs the availability of this material at NARA, for this AD, if requested using the procedures email: [email protected], or go to: (c) Applicability found in 14 CFR 39.19. In accordance with https://www.archives.gov/federal-register/cfr/ (c) This AD applies to the following Piper 14 CFR 39.19, send your request to your ibr-locations.html. principal inspector or local Flight Standards Aircraft, Inc., airplanes, certificated in any Issued on February 4, 2021. category: District Office, as appropriate. If sending (1) Model PA–46–350P (Malibu Mirage) information directly to the manager of the Lance T. Gant, airplanes, serial numbers (S/Ns) 4622041, certification office, send it to the attention of Director, Compliance & Airworthiness 4636041, 4636142, 4636143, 4636313, the person identified in paragraph (j)(1) of Division, Aircraft Certification Service. 4636341, and 4636379; this AD. [FR Doc. 2021–03499 Filed 2–22–21; 8:45 am] (2) Before using any approved AMOC, (2) Model PA–46–500TP (Malibu Meridian) BILLING CODE 4910–13–P airplanes, S/Ns 4697141, 4697161, 4697086, notify your appropriate principal inspector, and 4697020; and or lacking a principal inspector, the manager of the local flight standards district office/ (3) Models PA–46–350P (Malibu Mirage), DEPARTMENT OF TRANSPORTATION PA–46R–350T (Malibu Matrix), and PA–46– certificate holding district office. (3) An AMOC that provides an acceptable 500TP (Malibu Meridian) airplanes, all serial Federal Aviation Administration numbers, if the left wing has been replaced level of safety may be used for any repair, with a serviceable (more than zero hours modification, or alteration required by this time-in-service) wing. AD if it is approved by a Piper Aircraft, Inc. 14 CFR Part 39 Organization Designation Authorization (d) Subject [Docket No. FAA–2020–0969; Project (ODA) that has been authorized by the Identifier MCAI–2020–00853–T; Amendment Joint Aircraft System Component (JASC) Manager, Atlanta ACO Branch to make those 39–21393; AD 2021–02–10] 3700, VACUUM SYSTEM. findings. To be approved, the repair method, modification deviation, or alteration RIN 2120–AA64 (e) Unsafe Condition deviation must meet the certification basis of This AD was prompted by nonconforming the airplane, and the approval must Airworthiness Directives; Airbus SAS stall warning heat control systems, utilizing specifically refer to this AD. Airplanes a left wing assembly without the proper stall (i) The steps labeled as RC, including warning modification design. Without the substeps under an RC step and any figures AGENCY: Federal Aviation proper stall warning heat control identified in an RC step, must be done to Administration (FAA), Department of modification kit during flights into icing comply with the AD. An AMOC is required Transportation (DOT).
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ACTION: Final rule. and locating Docket No. FAA–2020– The FAA is issuing this AD to address 0969; or in person at Docket Operations inadequate frame fork spotfacing depth SUMMARY: The FAA is adopting a new between 9 a.m. and 5 p.m., Monday for the retaining rings, which could airworthiness directive (AD) for all through Friday, except Federal holidays. reduce the structural integrity of the Airbus SAS Model A350–941 and –1041 The AD docket contains this final rule, airplane. See the MCAI for additional airplanes. This AD was prompted by a any comments received, and other background information. report that certain retaining rings could information. The address for Docket Comments cause damage to frame forks, brackets Operations is U.S. Department of and edge frames, and their surface Transportation, Docket Operations, The FAA gave the public the protection; subsequent investigation M–30, West Building Ground Floor, opportunity to participate in developing showed that the depth of the frame fork Room W12–140, 1200 New Jersey this final rule. The FAA received no spotfacing on structural parts is Avenue SE, Washington, DC 20590. comments on the NPRM or on the inadequate to accommodate the determination of the cost to the public. retaining ring. This AD requires FOR FURTHER INFORMATION CONTACT: repetitive inspections of certain areas of Kathleen Arrigotti, Aerospace Engineer, Conclusion each cargo door for damage and Large Aircraft Section, International The FAA reviewed the relevant data corrective action. This AD also provides Validation Branch, FAA, 2200 South and determined that air safety and the an optional terminating modification, as 216th St., Des Moines, WA 98198; public interest require adopting this specified in a European Union Aviation telephone and fax 206–231–3218; email final rule as proposed, except for minor Safety Agency (EASA) AD, which is [email protected]. editorial changes. The FAA has incorporated by reference. The FAA is SUPPLEMENTARY INFORMATION: determined that these minor changes: issuing this AD to address the unsafe Discussion • condition on these products. Are consistent with the intent that was proposed in the NPRM for DATES: This AD is effective March 30, The EASA, which is the Technical Agent for the Member States of the addressing the unsafe condition; and 2021. • The Director of the Federal Register European Union, has issued EASA AD Do not add any additional burden approved the incorporation by reference 2020–0144, dated June 29, 2020 (EASA upon the public than was already of a certain publication listed in this AD AD 2020–0144) (also referred to as the proposed in the NPRM. Mandatory Continuing Airworthiness as of March 30, 2021. Related Service Information Under 1 Information, or the MCAI), to correct an ADDRESSES: For material incorporated CFR Part 51 by reference (IBR) in this AD, contact unsafe condition for all Airbus SAS the EASA, Konrad-Adenauer-Ufer 3, Model A350–941 and –1041 airplanes. EASA AD 2020–0144 describes 50668 Cologne, Germany; telephone +49 The FAA issued a notice of proposed procedures for repetitive inspections of 221 8999 000; email ADs@ rulemaking (NPRM) to amend 14 CFR the edge frames, brackets, frame forks, easa.europa.eu; internet part 39 by adding an AD that would and the access cover on the internal side www.easa.europa.eu. You may find this apply to all Airbus SAS Model A350– of each cargo door for damage IBR material on the EASA website at 941 and –1041 airplanes. The NPRM (including cracks and corrosion) and https://ad.easa.europa.eu. You may published in the Federal Register on corrective actions. Corrective actions view this IBR material at the FAA, October 26, 2020 (85 FR 67696). The include repair or rework. EASA AD Airworthiness Products Section, NPRM was prompted by a report that 2020–0144 also describes procedures for Operational Safety Branch, 2200 South certain retaining rings could cause an optional modification of each 216th St., Des Moines, WA. For damage to frame forks, brackets and affected cargo door, which terminates information on the availability of this edge frames, and their surface the repetitive inspections. This material material at the FAA, call 206–231–3195. protection; subsequent investigation is reasonably available because the It is also available in the AD docket on showed that the depth of the frame fork interested parties have access to it the internet at https:// spotfacing on structural parts is through their normal course of business www.regulations.gov by searching for inadequate to accommodate the or by the means identified in the and locating Docket No. FAA–2020– retaining ring. The NPRM proposed to ADDRESSES section. require repetitive inspections of certain 0969. Costs of Compliance areas of each cargo door for damage and Examining the AD Docket corrective action. The NPRM also The FAA estimates that this AD You may examine the AD docket on proposed to provide an optional affects 13 airplanes of U.S. registry. The the internet at https:// terminating modification, as specified in FAA estimates the following costs to www.regulations.gov by searching for an EASA AD. comply with this AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost per Cost on U.S. Labor cost Parts cost product operators
24 work-hours × $85 per hour = $2,040 ...... $0 $2,040 $26,520
ESTIMATED COSTS FOR OPTIONAL ACTIONS
Labor cost Parts cost Cost per product
9 work-hours × $85 per hour = $765 ...... Up to $8,570 ..... Up to $9,335.
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The FAA has received no definitive the FAA amends 14 CFR part 39 as found in 14 CFR 39.19. In accordance with data on which to base the cost estimates follows: 14 CFR 39.19, send your request to your for the on-condition actions specified in principal inspector or responsible Flight this AD. PART 39—AIRWORTHINESS Standards Office, as appropriate. If sending DIRECTIVES information directly to the Large Aircraft According to the manufacturer, some Section, International Validation Branch, or all of the costs of this AD may be ■ 1. The authority citation for part 39 send it to the attention of the person covered under warranty, thereby continues to read as follows: identified in paragraph (j) of this AD. reducing the cost impact on affected Information may be emailed to: 9-AVS-AIR- operators. The FAA does not control Authority: 49 U.S.C. 106(g), 40113, 44701. [email protected]. Before using any approved AMOC, notify your appropriate warranty coverage for affected operators. § 39.13 [Amended] As a result, the FAA has included all principal inspector, or lacking a principal known costs in the cost estimate. ■ 2. The FAA amends § 39.13 by adding inspector, the manager of the responsible the following new airworthiness Flight Standards Office. Authority for This Rulemaking directive: (2) Contacting the Manufacturer: For any requirement in this AD to obtain instructions Title 49 of the United States Code 2021–02–10 Airbus SAS: Amendment 39– from a manufacturer, the instructions must specifies the FAA’s authority to issue 21393; Docket No. FAA–2020–0969; be accomplished using a method approved rules on aviation safety. Subtitle I, Project Identifier MCAI–2020–00853–T. by the Manager, Large Aircraft Section, section 106, describes the authority of (a) Effective Date International Validation Branch, FAA; or the FAA Administrator. Subtitle VII: EASA; or Airbus SAS’s EASA Design This airworthiness directive (AD) is Organization Approval (DOA). If approved by Aviation Programs, describes in more effective March 30, 2021. detail the scope of the Agency’s the DOA, the approval must include the authority. (b) Affected ADs DOA-authorized signature. (3) Required for Compliance (RC): Except The FAA is issuing this rulemaking None. as required by paragraph (i)(2) of this AD, if under the authority described in (c) Applicability any service information contains procedures Subtitle VII, Part A, Subpart III, Section This AD applies to all Airbus SAS Model or tests that are identified as RC, those 44701: General requirements. Under A350–941 and –1041 airplanes, certificated procedures and tests must be done to comply that section, Congress charges the FAA in any category. with this AD; any procedures or tests that are with promoting safe flight of civil not identified as RC are recommended. Those aircraft in air commerce by prescribing (d) Subject procedures and tests that are not identified regulations for practices, methods, and Air Transport Association (ATA) of as RC may be deviated from using accepted America Code 52, Doors. methods in accordance with the operator’s procedures the Administrator finds maintenance or inspection program without necessary for safety in air commerce. (e) Reason obtaining approval of an AMOC, provided This regulation is within the scope of This AD was prompted by a report that the procedures and tests identified as RC can that authority because it addresses an certain retaining rings could cause damage to be done and the airplane can be put back in unsafe condition that is likely to exist or frame forks, brackets and edge frames, and an airworthy condition. Any substitutions or develop on products identified in this their surface protection; subsequent changes to procedures or tests identified as rulemaking action. investigation showed that the depth of the RC require approval of an AMOC. frame fork spotfacing on structural parts is (j) Related Information Regulatory Findings inadequate to accommodate the retaining For more information about this AD, This AD will not have federalism ring. The FAA is issuing this AD to address inadequate frame fork spotfacing depth for contact Kathleen Arrigotti, Aerospace implications under Executive Order Engineer, Large Aircraft Section, 13132. This AD will not have a the retaining rings, which could reduce the structural integrity of the airplane. International Validation Branch, FAA, 2200 substantial direct effect on the States, on South 216th St., Des Moines, WA 98198; the relationship between the national (f) Compliance telephone and fax 206–231–3218; email government and the States, or on the Comply with this AD within the [email protected]. distribution of power and compliance times specified, unless already (k) Material Incorporated by Reference responsibilities among the various done. (1) The Director of the Federal Register levels of government. (g) Requirements approved the incorporation by reference For the reasons discussed above, I Except as specified in paragraph (h) of this (IBR) of the service information listed in this certify that this AD: AD: Comply with all required actions and paragraph under 5 U.S.C. 552(a) and 1 CFR (1) Is not a ‘‘significant regulatory compliance times specified in, and in part 51. action’’ under Executive Order 12866, accordance with, European Union Aviation (2) You must use this service information (2) Will not affect intrastate aviation Safety Agency (EASA) AD 2020–0144, dated as applicable to do the actions required by in Alaska, and June 29, 2020 (EASA AD 2020–0144). this AD, unless this AD specifies otherwise. (i) European Union Aviation Safety Agency (3) Will not have a significant (h) Exceptions to EASA AD 2020–0144 (EASA) AD 2020–0144, dated June 29, 2020. economic impact, positive or negative, (1) Where EASA AD 2020–0144 refers to its (ii) [Reserved] on a substantial number of small entities effective date, this AD requires using the (3) For EASA AD 2020–0144, contact the under the criteria of the Regulatory effective date of this AD. EASA, Konrad-Adenauer-Ufer 3, 50668 Flexibility Act. (2) The ‘‘Remarks’’ section of EASA AD Cologne, Germany; telephone +49 221 8999 2020–0144 does not apply to this AD. 000; email [email protected]; Internet List of Subjects in 14 CFR Part 39 www.easa.europa.eu. You may find this (i) Other FAA AD Provisions Air transportation, Aircraft, Aviation EASA AD on the EASA website at https:// safety, Incorporation by reference, The following provisions also apply to this ad.easa.europa.eu. AD: (4) You may view this material at the FAA, Safety. (1) Alternative Methods of Compliance Airworthiness Products Section, Operational Adoption of the Amendment (AMOCs): The Manager, Large Aircraft Safety Branch, 2200 South 216th St., Des Section, International Validation Branch, Moines, WA. For information on the Accordingly, under the authority FAA, has the authority to approve AMOCs availability of this material at the FAA, call delegated to me by the Administrator, for this AD, if requested using the procedures 206–231–3195. This material may be found
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in the AD docket on the internet at https:// aircraft.com; website: http:// providing instructions to improve the www.regulations.gov by searching for and www.pilatus-aircraft.com/. You may electrical harness installations in the nose locating Docket No. FAA–2020–0969. view this service information at the bay, cockpit, fuselage, wing fairing and rear (5) You may view this material that is FAA, Airworthiness Products Section, fuselage areas. For the reason described above, this incorporated by reference at the National Operational Safety Branch, 901 Locust, Archives and Records Administration [EASA] AD requires modification of the (NARA). For information on the availability Kansas City, Missouri 64106. For electrical harness installations. information on the availability of this of this material at NARA, email fedreg.legal@ The incorrect length wires are too nara.gov, or go to: https://www.archives.gov/ material at the FAA, call 816–329–4148. federal-register/cfr/ibr-locations.html. It is also available at https:// short in length and do not have appropriate slack, which could lead to Issued on January 12, 2021. www.regulations.gov by searching for and locating Docket No. FAA–2020– wires being pulled loose from the Lance T. Gant, 0818. terminals during flight or ground Director, Compliance & Airworthiness operation. Generation of smell refers to Division, Aircraft Certification Service. Examining the AD Docket the smell from electrical arcing. You [FR Doc. 2021–03568 Filed 2–22–21; 8:45 am] You may examine the AD docket at may examine the MCAI in the AD BILLING CODE 4910–13–P https://www.regulations.gov by docket at https://www.regulations.gov searching for and locating Docket No. by searching for and locating Docket No. FAA–2020–0818; or in person at Docket FAA–2020–0818. DEPARTMENT OF TRANSPORTATION Operations between 9 a.m. and 5 p.m., In the NPRM, the FAA proposed to Monday through Friday, except Federal require modifying the electrical harness Federal Aviation Administration holidays. The AD docket contains this installation. The FAA is issuing this AD final rule, the MCAI, any comments to address the unsafe condition on these 14 CFR Part 39 received, and other information. The products. [Docket No. FAA–2020–0818; Project address for Docket Operations is U.S. Discussion of Final Airworthiness Identifier MCAI–2020–00987–A; Amendment Department of Transportation, Docket Directive 39–21381; AD 2021–01–05] Operations, M–30, West Building Comments RIN 2120–AA64 Ground Floor, Room W12–140, 1200 New Jersey Avenue SE, Washington, DC The FAA received no comments on Airworthiness Directives; Pilatus 20590. the NPRM or on the determination of Aircraft Ltd. Airplanes FOR FURTHER INFORMATION CONTACT: the costs. Doug Rudolph, Aviation Safety AGENCY: Federal Aviation Engineer, FAA, General Aviation & Conclusion Administration (FAA), DOT. Rotorcraft Section, International This product has been approved by ACTION: Final rule. Validation Branch, 901 Locust, Room the aviation authority of another country and is approved for operation in SUMMARY: The FAA is adopting a new 301, Kansas City, Missouri 64106; the United States. Pursuant to our airworthiness directive (AD) for certain phone: (816) 329–4059; fax: (816) 329– bilateral agreement with this State of Pilatus Aircraft Ltd. (Pilatus) Model PC– 4090; email: [email protected]. Design Authority, it has notified the 24 airplanes. This AD results from SUPPLEMENTARY INFORMATION: FAA of the unsafe condition described mandatory continuing airworthiness Background in the MCAI and service information information (MCAI) originated by an The FAA issued a notice of proposed referenced above. The FAA reviewed aviation authority of another country to rulemaking (NPRM) to amend 14 CFR the relevant data and determined that identify and correct an unsafe condition part 39 by adding an AD that would air safety and the public interest require on an aviation product. The MCAI apply to certain serial-numbered Pilatus adopting this AD as proposed. identifies the unsafe condition as Model PC–24 airplanes. The NPRM Accordingly, the FAA is issuing this AD electrical harness installations on PC–24 published in the Federal Register on to address the unsafe condition on these airplanes that are not in compliance September 17, 2020 (85 FR 58002). The products. This AD is adopted as with the approved design. This unsafe NPRM was prompted by MCAI proposed in the NPRM. condition could lead to wire chafing originated by the European Union and potential arcing or failure of wires Aviation Safety Agency (EASA), which Related Service Information Under 1 having the incorrect length, possibly is the Technical Agent for the Member CFR Part 51 resulting in loss of system redundancy, States of the European Union. EASA has The FAA reviewed Pilatus PC–24 or generation of smoke and smell, or issued EASA AD No. 2020–0158, dated Service Bulletin No. 91–001, dated loss of power plant fire protection July 16, 2020 (referred to after this as April 7, 2020. The service information function. This AD requires modifying ‘‘the MCAI’’), to address the unsafe specifies procedures necessary to the electrical harness installation. The condition on these products. The MCAI improve the electrical harness FAA is issuing this AD to address the states: installation in the nose bay, cockpit, unsafe condition on these products. During production, electrical harness avionics rack, fuselage, wing fairing, DATES: This AD is effective March 30, installations on some PC–24 aeroplanes were and rear fuselage. This service 2021. found not to comply with the approved information is reasonably available The Director of the Federal Register design. because the interested parties have approved the incorporation by reference This condition, if not corrected, could lead access to it through their normal course of a certain publication listed in this AD to wire chafing and potential arcing, or to of business or by the means identified failure of wires having the incorrect length, as of March 30, 2021. ADDRESSES possibly resulting in loss of system in the section. ADDRESSES: For service information redundancy, or generation of smoke and Costs of Compliance identified in this final rule, contact smell, or loss of power plant fire protection Pilatus Aircraft Ltd., CH–6371, Stans, function. The FAA estimates that this AD will Switzerland; phone: +41 848 24 7 365; To address this potential unsafe condition, affect 36 products of U.S. registry. The email: techsupport.ch@pilatus- Pilatus issued the [service bulletin] SB, FAA also estimates that it will take 20
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work-hours per product to comply with Adoption of the Amendment 64106; phone: (816) 329–4059; fax: (816) the requirements of this AD. The 329–4090; email: [email protected]. Accordingly, under the authority (2) Before using any approved AMOC on average labor rate is $85 per work-hour. delegated to me by the Administrator, Required parts will cost about $75 per any airplane to which the AMOC applies, the FAA amends 14 CFR part 39 as notify your appropriate principal inspector product. follows: (PI) in the FAA Flight Standards District Based on these figures, the FAA Office (FSDO), or lacking a PI, your local estimates the cost of this AD on U.S. PART 39—AIRWORTHINESS FSDO. operators at $63,900, or $1,775 per DIRECTIVES (h) Related Information product. ■ (1) Refer to European Union Aviation The FAA has included all costs in this 1. The authority citation for part 39 continues to read as follows: Safety Agency (EASA) AD No. 2020–0158, cost estimate. According to the dated July 16, 2020, for more information. manufacturer, however, some of the Authority: 49 U.S.C. 106(g), 40113, 44701. You may examine the EASA AD at https:// costs of this AD may be covered under www.regulations.gov by searching for and § 39.13 [Amended] warranty, thereby reducing the cost locating Docket No. FAA–2020–0818. ■ impact on affected operators. 2. The FAA amends § 39.13 by adding (i) Material Incorporated by Reference the following new airworthiness Authority for This Rulemaking (1) The Director of the Federal Register directive: approved the incorporation by reference of Title 49 of the United States Code 2021–01–05 Pilatus Aircraft Ltd.: the service information listed in this specifies the FAA’s authority to issue Amendment 39–21381; Docket No. paragraph under 5 U.S.C. 552(a) and 1 CFR rules on aviation safety. Subtitle I, FAA–2020–0818; Project Identifier part 51. section 106, describes the authority of MCAI–2020–00987–A. (2) You must use this service information as applicable to do the actions required by the FAA Administrator. Subtitle VII: (a) Effective Date Aviation Programs, describes in more this AD, unless the AD specifies otherwise. This airworthiness directive (AD) is (i) Pilatus PC–24 Service Bulletin No. 91– detail the scope of the Agency’s effective March 30, 2021. 001, dated April 7, 2020. authority. (ii) [Reserved] (b) Affected ADs The FAA is issuing this rulemaking (3) For Pilatus Aircraft Ltd service under the authority described in None. information identified in this AD, contact Pilatus Aircraft Ltd., CH–6371, Stans, Subtitle VII, Part A, Subpart III, Section (c) Applicability Switzerland; phone: +41 848 24 7 365; email: 44701: General requirements. Under This AD applies to Pilatus Aircraft Ltd. that section, Congress charges the FAA [email protected]; Model PC–24 airplanes, serial numbers 101 website: http://www.pilatus-aircraft.com/. with promoting safe flight of civil through 160 inclusive, certificated in any (4) You may view this service information aircraft in air commerce by prescribing category. at FAA, Airworthiness Products Section, regulations for practices, methods, and (d) Subject Operational Safety Branch, 901 Locust, procedures the Administrator finds Kansas City, Missouri 64106. For information necessary for safety in air commerce. Joint Aircraft System Component (JASC) on the availability of this material at the This regulation is within the scope of Code 2497, ELECTRICAL POWER SYSTEM FAA, call (816) 329–4148. WIRING; 3197, INSTRUMENT SYSTEM (5) You may view this service information that authority because it addresses an WIRING. unsafe condition that is likely to exist or that is incorporated by reference at the (e) Unsafe Condition National Archives and Records develop on products identified in this Administration (NARA). For information on rulemaking action. This AD was prompted by electrical the availability of this material at NARA, harness installations on some PC–24 Regulatory Findings email: [email protected], or go to: airplanes in production that did not comply https://www.archives.gov/federal-register/cfr/ This AD will not have federalism with the approved design. The FAA is ibr-locations.html. implications under Executive Order issuing this AD to prevent wire chafing and potential arcing or failure of wires having the Issued on December 30, 2020. 13132. This AD will not have a incorrect length. The unsafe condition, if not Lance T. Gant, substantial direct effect on the States, on addressed, could result in loss of system Director, Compliance & Airworthiness the relationship between the national redundancy, electrical arcing, or loss of Division, Aircraft Certification Service. government and the States, or on the power plant fire protection. [FR Doc. 2021–03511 Filed 2–22–21; 8:45 am] distribution of power and (f) Actions and Compliance BILLING CODE 4910–13–P responsibilities among the various levels of government. Unless already accomplished, during the next annual inspection after the effective date For the reasons discussed above, I of this AD or within 12 months after the DEPARTMENT OF TRANSPORTATION certify that this AD: effective date of this AD, whichever occurs (1) Is not a ‘‘significant regulatory later, modify the electrical harness Federal Aviation Administration action’’ under Executive Order 12866, installation in accordance with sections 3.A. (2) Will not affect intrastate aviation through 3.H. of the Accomplishment 14 CFR Part 39 Instructions in Pilatus PC–24 Service [Docket No. FAA–2019–0705; Product in Alaska, and Bulletin No. 91–001, dated April 7, 2020. (3) Will not have a significant Identifier 2019–NM–098–AD; Amendment economic impact, positive or negative, (g) Alternative Methods of Compliance 39–21396; AD 2021–02–13] (AMOCs) on a substantial number of small entities RIN 2120–AA64 under the criteria of the Regulatory (1) The Manager, International Validation Flexibility Act. Branch, FAA, has the authority to approve Airworthiness Directives; The Boeing AMOCs for this AD, if requested using the Company Airplanes List of Subjects in 14 CFR Part 39 procedures found in 14 CFR 39.19. Send information to Doug Rudolph, Aerospace AGENCY: Federal Aviation Air transportation, Aircraft, Aviation Engineer, FAA, General Aviation & Rotorcraft Administration (FAA), DOT. safety, Incorporation by reference, Section, International Validation Branch, 901 ACTION: Final rule. Safety. Locust, Room 301, Kansas City, Missouri
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SUMMARY: The FAA is adopting a new Discussion because the entire inspection area airworthiness directive (AD) for certain The FAA issued a notice of proposed covered is common to the repair given The Boeing Company Model 737–600, rulemaking (NPRM) to amend 14 CFR in Boeing 737–700/-800 SRM 53–10–01, –700, –700C, –800, and –900 series part 39 by adding an AD that would Repair 6. SWA asserted that operators airplanes. This AD was prompted by apply to certain The Boeing Company should be able to accomplish this SRM reports of cracks in the bear strap from Model 737–600, –700, –700C, –800, and repair without contacting Boeing, station (STA) 290 to STA 296, and –900 series airplanes. The NPRM provided there are no deviations and between stringers S–8R and S–9R, published in the Federal Register on that the findings meet the criteria listed sometimes common to fasteners in the October 1, 2019 (84 FR 52047). The in the Boeing 737–700/-800 SRM 53– gap cover and emanating from rough NPRM was prompted by reports of 10–01, Repair 6. SWA also noted that sanding marks found on the surface of cracks in the bear strap between certain the SRM was published after Boeing the bear strap. This AD requires stations, sometimes common to Alert Requirements Bulletin 737– inspections of the fuselage skin and bear fasteners in the gap cover and 53A1383 RB, Revision 1, dated February strap at the forward galley door between emanating from rough sanding marks 19, 2020, so there was no way to certain stations for cracks, and found on the surface of the bear strap. reference the SRM repair within it. applicable on-condition actions. The The NPRM proposed to require The FAA disagrees with the request FAA is issuing this AD to address the inspections of the fuselage skin and bear because the referenced SRM repair has unsafe condition on these products. strap at the forward galley door between not yet been approved for the specified conditions. However, under the DATES: certain stations for cracks, and This AD is effective March 30, provisions of paragraph (j) of this AD, 2021. applicable on-condition actions. The FAA issued a supplemental the FAA will consider requests for The Director of the Federal Register approval of an AMOC if a proposal is approved the incorporation by reference NPRM (SNPRM) to amend 14 CFR part 39 by adding an AD that would apply submitted that is supported by technical of a certain publication listed in this AD data indicating that the proposed repair as of March 30, 2021. to certain The Boeing Company Model 737–600, –700, –700C, –800, and –900 will provide an acceptable level of ADDRESSES: For service information series airplanes. The SNPRM published safety. If the referenced SRM repair is identified in this final rule, contact in the Federal Register on May 1, 2020 determined to be acceptable to address Boeing Commercial Airplanes, (85 FR 25348). The FAA issued the the specified conditions, the FAA may Attention: Contractual & Data Services SNPRM to revise certain inspections to approve, and Boeing may issue, a global (C&DS), 2600 Westminster Blvd., MC provide the correct thickness callouts AMOC for the SRM repair. The FAA has 110–SK57, Seal Beach, CA 90740–5600; for the fuselage skin and bear strap. not changed this AD as a result of this phone: 562–797–1717; internet: https:// The FAA is issuing this AD to address comment. www.myboeingfleet.com. You may view cracking of the bear strap, which could Request for an Altered Compliance this service information at the FAA, result in severing of the bear strap, Time for Condition 1, Action 1, of the Airworthiness Products Section, possibly leading to uncontrolled Service Information Operational Safety Branch, 2200 South decompression and loss of structural 216th St., Des Moines, WA. For integrity of the airplane. Southwest Airlines requested that information on the availability of this where table 1 of paragraph 1.E., material at the FAA, call 206–231–3195. Comments ‘‘Compliance,’’ of Boeing Alert It is also available on the internet at The FAA gave the public the Requirements Bulletin 737–53A1383 https://www.regulations.gov by opportunity to participate in developing RB, Revision 1, dated February 19, 2020, searching for and locating Docket No. this final rule. The following presents states a compliance time of ‘‘Before FAA–2019–0705. the comments received on the SNPRM further flight’’ for certain on-condition and the FAA’s response to each actions, the proposed AD should specify Examining the AD Docket comment. this compliance time as ‘‘Before 15,000 total flight cycles or within 6,000 flight You may examine the AD docket on Support for the SNPRM the internet at https:// cycles after the original issue of the AD, www.regulations.gov by searching for United Airlines stated that it has no whichever occurs later.’’ Southwest and locating Docket No. FAA–2019– technical objection to the SNPRM and Airlines also requested that the FAA 0705; or in person at Docket Operations that it concurs with the proposed clarify the requirement of Condition 1, between 9 a.m. and 5 p.m., Monday rulemaking. Action 1, and Condition 3 and through Friday, except Federal holidays. Condition 4.1.1, within Boeing Alert Request for an Alternative Method of Requirements Bulletin 737–53A1383 The AD docket contains this final rule, Compliance for a Certain Repair any comments received, and other RB, Revision 1, dated February 19, 2020, information. The address for Docket Southwest Airlines (SWA) requested paragraph 1.E., ‘‘Compliance,’’ in Tables Operations is U.S. Department of that the Boeing 737–700/-800 Structural 1 and 2, to do the alternative Transportation, Docket Operations, Repair Manual (SRM) 53–10–01, Repair inspections and applicable on-condition M–30, West Building Ground Floor, 6, be approved as an alternative method action(s) before further flight. SWA Room W12–140, 1200 New Jersey of compliance (AMOC) to certain asserted that there is an equivalent level Avenue SE, Washington, DC 20590. corrective actions specified in Boeing of safety between an airplane without a Alert Requirements Bulletin 737– repair reaching the compliance time FOR FURTHER INFORMATION CONTACT: 53A1383 RB, Revision 1, dated February threshold to perform the Boeing service Michael Bumbaugh, Aerospace 19, 2020. SWA contended that this bulletin inspection and an airplane with Engineer, Airframe Section, FAA, repair covers the affected inspection a repair reaching the compliance time Seattle ACO Branch, 2200 South 216th zone, and that this SRM repair should threshold before an action is required. St., Des Moines, WA 98198; phone and be a terminating action to the Therefore, the compliance times for fax: 206–231–3522; email: inspections specified in Boeing Alert obtaining the alternative inspection(s) [email protected]. Requirements Bulletin 737–53A1383 for the existing repairs should align SUPPLEMENTARY INFORMATION: RB, Revision 1, dated February 19, 2020, with the compliance times allowed for
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the initial service bulletin general visual note (b), omits the inspection in areas because an AMOC issued for a repair inspection in lieu of ‘‘before further where a repair covers the affected zone, will include the inspection program. flight.’’ SWA proposed that this provided conditions 1 and 2 are met. A The request to add certain inspection allowance be listed within paragraph (h) similar note is included in paragraph programs to The Boeing Company ODA- of the proposed AD, similar to the 1.E., ‘‘Compliance,’’ Table 2, note (c). authorized list of AMOC approvals is allowance provided by paragraph (i) of SWA would like clarification of the outside the scope of this rulemaking. the proposed AD. word ‘‘covers’’ as it relates to repairs in Therefore, the FAA has not changed this The FAA agrees that allowing the AD the area. Since the configuration has AD in this regard. compliance time for an airplane with an changed because of the repair, SWA Conclusion existing repair to be the same as an stated that the repair’s damage tolerance aircraft without an existing repair will program provides an equivalent level of The FAA reviewed the relevant data, provide an acceptable level of safety. safety for this area. considered the comments received, and Any alternative inspection program The FAA has coordinated with Boeing determined that air safety and the including compliance times must be to clarify the intent of the wording in public interest require adopting this done in accordance with an approved this section. Note (b) in Table 1 and note final rule with the change described AMOC. The FAA has added paragraph (c) in Table 2 of Boeing Alert previously and minor editorial changes. (h)(3) of this AD to address this change. Requirements Bulletin 737–53A1383 The FAA has determined that these Request To Clarify Authority for RB, Revision 1, dated February 19, 2020, minor changes: • Approval of Alternative Inspection paragraph 1.E., ‘‘Compliance,’’ apply to Are consistent with the intent that Programs the area ‘‘covered by’’ a repair, but not was proposed in the SNPRM for for the area ‘‘common to’’ a repair. A addressing the unsafe condition; and Southwest Airlines requested that the repair that is ‘‘common to’’ the area, • Do not add any additional burden FAA clarify who has the authority to meaning physically in the same area as upon the public than was already approve an alternative inspection the NPRM-proposed repair, but that was proposed in the SNPRM. program for any repair found during not meant to address the issue specified Boeing Alert Requirements Bulletin The FAA also determined that these in the NPRM (i.e., ‘‘covered’’ areas), 737–53A1383 RB, Revision 1, dated changes will not increase the economic could potentially be obscuring the February 19, 2020, paragraph 1.E, burden on any operator or increase the inspections that would detect crack ‘‘Compliance,’’ Table 1, Condition 1, scope of this final rule. growth which this AD is meant to Action 1. Paragraph (j)(1) of the mitigate. Therefore, if a repair was not Related Service Information Under 1 proposed AD clearly indicated that the CFR Part 51 manager of the Seattle ACO Branch has done as a corrective action for a crack that authority; paragraph (j)(3) of the in the bear strap, and the operator does The FAA reviewed Boeing Alert proposed AD provided the path to not perform the inspections specified in Requirements Bulletin 737–53A1383 obtain an AMOC by The Boeing the Boeing Alert Requirements Bulletin RB, Revision 1, dated February 19, 2020. Company Organization Designation 737–53A1383 RB, Revision 1, dated This service information describes Authorization (ODA) as delegated only February 19, 2020, it may result in the procedures for inspecting for cracks of for a repair, modification, and unsafe condition. The FAA has not the fuselage skin and bear strap at the alteration. SWA requested clarification changed this AD as a result of this forward galley door between certain whether paragraph (j)(3) of the proposed comment. stations, through the use of two alternative inspection methods for the AD encompasses both existing repairs Request To Include Inspection initial inspections: (1) Internal and and repairs installed as a result of Programs inspection findings. SWA asserted that external general visual inspections and it is unclear whether the reference to the SWA commented that paragraph (j)(3) internal surface high frequency eddy repair is for an existing repair that is of the proposed AD (in the SNPRM) current (HFEC) inspections, and (2) located in the inspection area or for a stated that an AMOC may be used for external general visual and external repair that is installed as a result of any any required repair, modification, or eddy current inspections. This service crack finding. alteration if approved by The Boeing information also describes procedures The FAA agrees to clarify. The Boeing Company ODA. SWA stated that for applicable on-condition actions Company ODA has authority to approve inspection programs should be included including inspections for cracks, HFEC AMOCs as authorized and delegated for in this list of conditions for which The inspections for cracks, low frequency repairs installed prior to the AD and Boeing Company ODA can provide an eddy current (LFEC) inspections for repairs due to a crack finding, as well AMOC, as paragraph (h)(2) explicitly cracks, and repair, depending on the as repairs not due to a crack finding. An states it is acceptable to accomplish inspection method selected. This operator would need to provide The alternative inspections approved in service information is reasonably Boeing Company ODA with all details accordance with the procedures available because the interested parties and geometry needed to design and specified in paragraph (j) of the have access to it through their normal analyze the repair data. proposed AD. course of business or by the means The FAA agrees with the assertion identified in the ADDRESSES section. Request To Clarify the Use of ‘‘Covers’’ that the inspection program may be part in the Service Information of the AMOC because the inspection Costs of Compliance SWA commented that Boeing Alert program for the repaired area may be The FAA estimates that this AD Requirements Bulletin 737–53A1383 part of the repair, which in turn is part affects 752 airplanes of U.S. registry. RB, Revision 1, dated February 19, 2020, of the AMOC. However, the FAA The FAA estimates the following costs paragraph 1.E., ‘‘Compliance,’’ Table 1, disagrees with changing this AD to comply with this AD:
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ESTIMATED COSTS FOR REQUIRED ACTIONS: OPTION 1
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Internal general visual inspection ...... 11 work-hours × $85 per hour = $935 ... $0 $935 ...... $703,120. External general visual inspection ...... 1 work-hour × $85 per hour = $85 ...... 0 85 ...... 63,920. Internal Surface HFEC inspections ...... 3 work-hours × $85 per hour = $255 0 255 per inspection 191,760 per inspec- per inspection cycle. cycle. tion cycle.
ESTIMATED COSTS FOR REQUIRED ACTIONS: OPTION 2
Cost per Cost on U.S. Action Labor cost Parts cost product operators
External general visual inspection ...... 1 work-hour × $85 per hour = $85 ...... $0 $85 ...... $63,920. External LFEC and HFEC inspections ... 18 work-hours × $85 per hour = $1,530 0 1,530 per inspec- 1,150,560 per in- per inspection cycle. tion cycle. spection cycle.
The FAA has received no definitive under the criteria of the Regulatory comply with the requirements of 14 CFR data that would enable the agency to Flexibility Act. 39.17. provide cost estimates for the on- List of Subjects in 14 CFR Part 39 (d) Subject condition actions specified in this AD. Air Transport Association (ATA) of Authority for This Rulemaking Air transportation, Aircraft, Aviation America Code 53, Fuselage. safety, Incorporation by reference, Title 49 of the United States Code Safety. (e) Unsafe Condition specifies the FAA’s authority to issue This AD was prompted by reports of cracks rules on aviation safety. Subtitle I, Adoption of the Amendment in the bear strap from station (STA) 290 to STA 296, and between stringers S–8R and S– section 106, describes the authority of Accordingly, under the authority the FAA Administrator. Subtitle VII: 9R, sometimes common to fasteners in the delegated to me by the Administrator, gap cover and emanating from rough sanding Aviation Programs, describes in more the FAA amends 14 CFR part 39 as marks found on the surface of the bear strap. detail the scope of the Agency’s follows: The FAA is issuing this AD to address authority. cracking of the bear strap, which could result The FAA is issuing this rulemaking PART 39—AIRWORTHINESS in severing of the bear strap, possibly leading under the authority described in DIRECTIVES to uncontrolled decompression and loss of Subtitle VII, Part A, Subpart III, Section structural integrity of the airplane. 44701: General requirements. Under ■ 1. The authority citation for part 39 (f) Compliance that section, Congress charges the FAA continues to read as follows: Comply with this AD within the with promoting safe flight of civil Authority: 49 U.S.C. 106(g), 40113, 44701. compliance times specified, unless already aircraft in air commerce by prescribing done. regulations for practices, methods, and § 39.13 [Amended] (g) Required Actions procedures the Administrator finds ■ 2. The FAA amends § 39.13 by adding Except as specified by paragraph (h) of this necessary for safety in air commerce. the following new airworthiness This regulation is within the scope of AD: At the applicable times specified in the directive: ‘‘Compliance’’ paragraph of Boeing Alert that authority because it addresses an 2021–02–13 The Boeing Company: Requirements Bulletin 737–53A1383 RB, unsafe condition that is likely to exist or Revision 1, dated February 19, 2020, do all develop on products identified in this Amendment 39–21396; Docket No. FAA–2019–0705; Product Identifier applicable actions identified in, and in rulemaking action. accordance with, the Accomplishment 2019–NM–098–AD. Instructions of Boeing Alert Requirements Regulatory Findings (a) Effective Date Bulletin 737–53A1383 RB, Revision 1, dated This AD will not have federalism This airworthiness directive (AD) is February 19, 2020. implications under Executive Order effective March 30, 2021. Note 1 to paragraph (g): Guidance for 13132. This AD will not have a accomplishing the actions required by this (b) Affected ADs substantial direct effect on the States, on AD can be found in Boeing Alert Service the relationship between the national None. Bulletin 737–53A1383, Revision 1, dated February 19, 2020, which is referred to in government and the States, or on the (c) Applicability Boeing Alert Requirements Bulletin 737– distribution of power and (1) This AD applies to The Boeing 53A1383 RB, Revision 1, dated February 19, responsibilities among the various Company Model 737–600, –700, –700C, 2020. levels of government. –800, and –900 series airplanes, certificated For the reasons discussed above, I in any category, as identified in Boeing Alert (h) Exceptions to Service Information certify that this AD: Requirements Bulletin 737–53A1383 RB, Specifications (1) Is not a ‘‘significant regulatory Revision 1, dated February 19, 2020. (1) Where Boeing Alert Requirements action’’ under Executive Order 12866, (2) Installation of Supplemental Type Bulletin 737–53A1383 RB, Revision 1, dated Certificate (STC) ST00830SE does not affect (2) Will not affect intrastate aviation February 19, 2020, uses the phrase ‘‘the the ability to accomplish the actions required original issue date of Requirements Bulletin in Alaska, and by this AD. Therefore, for airplanes on which 737–53A1383 RB,’’ this AD requires using (3) Will not have a significant STC ST00830SE is installed, a ‘‘change in ‘‘the effective date of this AD,’’ except where economic impact, positive or negative, product’’ alternative method of compliance Boeing Alert Requirements Bulletin 737– on a substantial number of small entities (AMOC) approval request is not necessary to 53A1383 RB, Revision 1, dated February 19,
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2020, uses the phrase ‘‘the original issue date (2) Before using any approved AMOC, DEPARTMENT OF TRANSPORTATION of Requirements Bulletin 737–53A1383 RB’’ notify your appropriate principal inspector, in a note or flag note. or lacking a principal inspector, the manager Federal Aviation Administration (2) Where Boeing Alert Requirements of the local flight standards district office/ Bulletin 737–53A1383 RB, Revision 1, dated certificate holding district office. 14 CFR Part 39 February 19, 2020, specifies contacting (3) An AMOC that provides an acceptable Boeing for repair instructions or for level of safety may be used for any repair, [Docket No. FAA–2020–0331; Product alternative inspections: This AD requires modification, or alteration required by this Identifier 2020–NM–019–AD; Amendment doing the repair, or doing the alternative 39–21397; AD 2021–02–14] AD if it is approved by The Boeing Company inspections and applicable on-condition Organization Designation Authorization actions, using a method and compliance time RIN 2120–AA64 approved in accordance with the procedures (ODA) that has been authorized by the specified in paragraph (j) of this AD. Manager, Seattle ACO Branch, to make those Airworthiness Directives; The Boeing (3) Where Boeing Alert Requirements findings. To be approved, the repair method, Company Airplanes Bulletin 737–53A13833 RB, Revision 1, dated modification deviation, or alteration AGENCY: Federal Aviation February 19, 2020, in Tables 1 and 2, deviation must meet the certification basis of Condition 1 (Action 1), Condition 3, and the airplane, and the approval must Administration (FAA), DOT. Condition 4.1.1 (Action 1), specifies a specifically refer to this AD. ACTION: Final rule. compliance time of ‘‘before further flight’’: (k) Related Information This AD requires compliance before 15,000 SUMMARY: The FAA is adopting a new total flight cycles or within 6,000 flight (1) For more information about this AD, airworthiness directive (AD) for certain cycles after the effective date of this AD, contact Michael Bumbaugh, Aerospace The Boeing Company Model 737–600, whichever occurs later. Engineer, Airframe Section, FAA, Seattle –700, –700C, –800, –900, and –900ER ACO Branch, 2200 South 216th St., Des (i) Credit for Previous Actions series airplanes. This AD was prompted Moines, WA 98198; phone and fax: 206–231– by a report that the necessary sealant This paragraph provides credit for the 3522; email: [email protected]. actions specified in paragraph (g) of this AD, was not applied to the side of body (2) Service information identified in this (SOB) slot as a result of a production if those actions were performed before the AD that is not incorporated by reference is effective date of this AD, using Boeing Alert drawing that provided unclear SOB slot available at the addresses specified in Requirements Bulletin 737–53A1383 RB, sealant application instructions. This paragraphs (l)(3) and (4) of this AD. dated May 9, 2019, except for airplanes on AD requires a general visual inspection which Option 2, Condition 4, has been done. (l) Material Incorporated by Reference for insufficient sealant in the SOB slot, For airplanes on which Option 2, Condition (1) The Director of the Federal Register and related investigative and corrective 4, has been done, credit is given for Boeing approved the incorporation by reference actions. The FAA is issuing this AD to Alert Requirements Bulletin 737–53A1383 address the unsafe condition on these RB, dated May 9, 2019, provided operators (IBR) of the service information listed in this do the external low frequency eddy current paragraph under 5 U.S.C. 552(a) and 1 CFR products. (LFEC) inspection of the forward galley door part 51. DATES: This AD is effective March 30, bear strap and external high frequency eddy (2) You must use this service information 2021. current (HFEC) inspection of the fuselage as applicable to do the actions required by The Director of the Federal Register skin for any crack in accordance with Figure this AD, unless the AD specifies otherwise. approved the incorporation by reference 4 of the Accomplishment Instructions of (i) Boeing Alert Requirements Bulletin of a certain publication listed in this AD Boeing Alert Requirements Bulletin 737– 737–53A1383 RB, Revision 1, dated February as of March 30, 2021. 53A1383 RB, Revision 1, dated February 19, 19, 2020. 2020. The compliance time for (ii) [Reserved] ADDRESSES: For service information accomplishing these actions is at the later of (3) For service information identified in identified in this final rule, contact the times specified in paragraphs (i)(1) and this AD, contact Boeing Commercial Boeing Commercial Airplanes, (2) of this AD. Except as specified in Airplanes, Attention: Contractual & Data Attention: Contractual & Data Services paragraph (h)(3), do all applicable on- Services (C&DS), 2600 Westminster Blvd., (C&DS), 2600 Westminster Blvd., MC condition actions identified in, and in MC 110–SK57, Seal Beach, CA 90740–5600; 110–SK57, Seal Beach, CA 90740–5600; accordance with, the Accomplishment phone: 562–797–1717; internet: https:// Instructions of Boeing Alert Requirements telephone 562–797–1717; internet www.myboeingfleet.com. Bulletin 737–53A1383 RB, Revision 1, dated https://www.myboeingfleet.com. You February 19, 2020, at the applicable times (4) You may view this service information may view this service information at the specified in the ‘‘Compliance’’ paragraph of at the FAA, Airworthiness Products Section, FAA, Airworthiness Products Section, Boeing Alert Requirements Bulletin 737– Operational Safety Branch, 2200 South 216th Operational Safety Branch, 2200 South 53A1383 RB, Revision 1, dated February 19, St., Des Moines, WA. For information on the 216th St., Des Moines, WA. For 2020. availability of this material at the FAA, call information on the availability of this (1) Before 15,000 total flight cycles. 206–231–3195. material at the FAA, call 206–231–3195. (5) You may view this service information (2) Within 6,000 flight cycles after the It is also available on the internet at effective date of this AD. that is incorporated by reference at the National Archives and Records https://www.regulations.gov by (j) Alternative Methods of Compliance Administration (NARA). For information on searching for and locating Docket No. (AMOCs) the availability of this material at NARA, FAA–2020–0331. (1) The Manager, Seattle ACO Branch, email [email protected], or go to: https:// Examining the AD Docket FAA, has the authority to approve AMOCs www.archives.gov/federal-register/cfr/ibr- for this AD, if requested using the procedures locations.html. You may examine the AD docket on found in 14 CFR 39.19. In accordance with the internet at https:// 14 CFR 39.19, send your request to your Issued on January 14, 2021. www.regulations.gov by searching for principal inspector or local Flight Standards Gaetano A. Sciortino, and locating Docket No. FAA–2020– District Office, as appropriate. If sending Deputy Director for Strategic Initiatives, information directly to the manager of the 0331; or in person at Docket Operations Compliance & Airworthiness Division, certification office, send it to the attention of between 9 a.m. and 5 p.m., Monday Aircraft Certification Service. the person identified in paragraph (k)(1) of through Friday, except Federal holidays. this AD. Information may be emailed to: 9- [FR Doc. 2021–03572 Filed 2–22–21; 8:45 am] The AD docket contains this final rule, [email protected]. BILLING CODE 4910–13–P any comments received, and other
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information. The address for Docket service instructions. Therefore, the inconsistency could lead to an inability Operations is U.S. Department of installation of STC ST00830SE does not to comply with the instructions in the Transportation, Docket Operations, M– affect the ability to accomplish the MOM. 30, West Building Ground Floor, Room actions required by this AD. The FAA The FAA agrees to clarify. As stated W12–140, 1200 New Jersey Avenue SE, has not changed this AD in this regard. previously, the FAA has revised this AD Washington, DC 20590. Request To Reference Later Revision of to reference Boeing Multi Operator FOR FURTHER INFORMATION CONTACT: Multi Operator Message (MOM) Message MOM–MOM–20–0049– James Laubaugh, Aerospace Engineer, 01B(R4), dated September 28, 2020, and Boeing requested that the FAA revise Propulsion Section, FAA, Seattle ACO in this later revision, both the steps and the proposed AD to reference a later Branch, 2200 South 216th St., Des General Notes refer to ‘‘detailed revision of the MOM, specifically, Moines, WA 98198; phone and fax: 206– Boeing Multi Operator Message MOM– inspection’’ as well as ‘‘general visual 231–3622; email: james.laubaugh@ MOM–20–0049–01B(R2), with an inspection.’’ The FAA has removed faa.gov. anticipated publication date of July 31, paragraph (g) of the proposed AD as this SUPPLEMENTARY INFORMATION: 2020. Boeing stated that the revision has definition is no longer needed. The FAA has redesignated subsequent paragraphs Discussion improved illustration and work instructions, clarifies how to distinguish accordingly. The FAA issued a notice of proposed between certain application flaws and Request To Clarify Figures rulemaking (NPRM) to amend 14 CFR more severe flaws and deterioration, part 39 by adding an AD that would and provides relief from certain Alaska Airlines (Alaska) and Delta apply to certain The Boeing Company corrective actions for certain secondary requested that the figures within Boeing Model 737–600, –700, –700C, –800, fuel barrier coating conditions. Multi Operator Message MOM–MOM– –900, and –900ER series airplanes. The The FAA agrees to reference a later 20–0049–01B(R1), dated January 29, NPRM published in the Federal revision of the service information. 2020, be revised to add clarity. Alaska Register on May 6, 2020 (85 FR 26893). However, Boeing has released and Delta stated that the figures lack The NPRM was prompted by a report additional later revisions that provide clear reference links from the text to the indicating that the necessary sealant additional clarity. Boeing Multi figures. Delta also stated that not was not applied to the SOB slot as a Operator Message MOM–MOM–20– addressing the unclear figures could result of a production drawing 0049–01B(R4), dated September 28, lead to incorrect accomplishment of the providing unclear SOB slot sealant 2020, provides clarification on the SOB slot inspection. application instructions on certain The definitions of sufficient sealant in the The FAA agrees that the figures are Boeing Company Model 737–600, –700, SOB slot, fillet seal in the SOB slot, and unclear and the internal reference links –700C, –800, –900, and –900ER series secondary fuel barrier. It also provides need to be revised. As stated previously, airplanes. The NPRM proposed to clarifications to the inspection area, and this AD has been revised to reference require a general visual inspection for revisions were made to improve the Boeing Multi Operator Message MOM– insufficient sealant in the SOB slot, and identification of applicable figures. The MOM–20–0049–01B(R4), dated related investigative and corrective changes in the revision provide relief on September 28, 2020, which contains actions. repairs of serviceable secondary fuel improved figure references. No further The FAA is issuing this AD to address barrier coating. This later revision 4 changes to this AD have been made. fuel leaking into the air distribution mix contains no substantive change from bay (ADMB), which if not addressed, MOM–MOM–20–0049–01B(R1), dated Request To Clarify Inspection Area and could possibly lead to an ignition of January 29, 2020. The FAA has revised Acceptance Criteria for Sealant paragraphs (g) and (i) of this AD to flammable fluid vapors, fire, or Alaska, Delta, and Southwest Airlines reference Boeing Multi Operator explosion, or fuel vapor inhalation by requested clarification on what is Message MOM–MOM–20–0049– passengers and crew. considered to be acceptable or 01B(R4), dated September 28, 2020. The insufficient sealant in the SOB slot. Comments FAA has also added paragraph (j) to this Alaska and Delta requested that the The FAA gave the public the AD to provide credit for accomplishing inspection area and acceptance criteria opportunity to participate in developing certain earlier revisions of this service for sealant in the SOB slot and this final rule. The following presents information before the effective date of secondary fuel barrier be clarified. the comments received on the NPRM this AD. Southwest Airlines proposed a and the FAA’s response to each Request To Define Type of Inspection compliance table be added to the comment. Required proposed AD to define acceptable Supportive Comment Delta Air Lines (Delta) requested sealant conditions, and Alaska United Airlines stated it had no clarification on what type of inspection supported Southwest Airlines’ idea. technical objection to the NPRM. is needed to accomplish the inspection Delta also suggested that the unclear requirements. Delta noted that in the criteria for sealant could lead to Effects of Winglets on Accomplishment General Notes section of the attachment incorrect accomplishment of the SOB of the Proposed Actions to Boeing Multi Operator Message slot inspection. Aviation Partners Boeing stated that MOM–MOM–20–0049–01B(R2), dated The FAA agrees that the criteria for the installation of blended or split August 4, 2020, the MOM provides a acceptable sealant are unclear. As scimitar winglets per Supplemental definition of a detailed inspection. described above, the FAA has revised Type Certificate (STC) ST00830SE does However, Delta noted that because this AD to refer to Boeing Multi not affect compliance with the proposed ‘‘detailed inspection’’ is not used in Operator Message MOM–MOM–20– actions. other parts of the service information, it 0049–01B(R4), dated September 28, The FAA agrees with the commenter seems the definition of a detailed visual 2020, which clarifies the area of that STC ST00830SE does not affect the inspection should have been provided inspection and the acceptable accomplishment of the manufacturer’s instead. Delta stated that this conditions of the sealant.
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Request To Clarify an Inspection Area acceptable level of safety. The FAA has accomplish an inspection of the SOB Delta requested clarification on the not changed this AD in this regard. slot, and that accomplishing any required corrective action would then inspection area addressed in certain Request To Extend Compliance Time portions (Part 2, Step 3 and View 2D21’s require the removal of seats and cabin Alaska requested that an additional floor panels to gain access to the SOB flagnote 63) of Boeing Multi Operator compliance time deferral of 24 months Message MOM–MOM–20–0049– slot area. be allowed under the following The FAA agrees that the inspection 01B(R1), dated January 29, 2020. Delta conditions: No fuel contamination in could be accomplished by removing the stated that those parts could be the ADMB; no external leak or signs of air return grilles or sidewall panels. As interpreted to specify that the entire a previous external leak around the SOB discussed previously, the FAA has front spar of the center tank must be slot; insufficient sealing conditions revised this AD to reference Boeing inspected for the fillet seal and SOB temporarily corrected with PR–1826 B– Multi Operator Message MOM–MOM– slot, or only the SOB slot area. 1/4 sealant or SF5387 secondary fuel 20–0049–01B(R4), dated September 28, The FAA agrees that the barrier materials, in accordance with 2020, which does contain this specifications of the area to be inspected certain service information instructions; additional method of compliance for should be clearer. As discussed above, and repetitive inspections for fuel accessing the inspection area. The FAA the FAA has revised this AD to contamination of the ADMB done at has not made any additional revisions to reference Boeing Multi Operator intervals not to exceed 12 months until this AD in this regard. Message MOM–MOM–20–0049– the repair specified in paragraph (g) of 01B(R4), dated September 28, 2020, this AD is completed. Alaska stated that Request To Allow Use of Alternative which clarifies that only the SOB slot the extended compliance time would Sealant area must be inspected as shown in relieve some of the operational impact Alaska stated that the sealant AC–360 Figure 1 of Boeing Multi Operator and would aid in planning for the time- B1/2, which is specified as the sealant Message MOM–MOM–20–0049– intensive repair during a heavy to use to fill a void, is discontinued. The 01B(R4), dated September 28, 2020. No maintenance visit. FAA infers that Alaska wants the AD to additional changes to this AD have been The FAA does not agree to provide a be revised to remove reference to the made. 24-month compliance time for the discontinued sealant. Request To Add Service-Based repair. The technical specifications The FAA agrees that the sealant AC– Compliance Time provided for the proposed alternative 360 B1/2 has been discontinued. As sealant for temporary repair do not discussed above, this AD has been Southwest Airlines requested that a provide the FAA with enough revised to reference Boeing Multi service-based compliance time be added information to determine that the Operator Message MOM–MOM–20– to the calendar-based compliance time temporary repair would comply with 0049–01B(R4), dated September 28, proposed in the NPRM. Southwest the certification basis of the airplane 2020, which removes the reference to Airlines proposed that the compliance and provide an acceptable level of safety the sealant AC–360 B1/2, but retains the time be re-written to require compliance when incorporated into the existing fuel reference to sealant BMS 5–142, which within ‘‘9 months or 2,000 flight cycles system design. There is also insufficient is the appropriate sealant to use. The from AD effective date, whichever information on how the procedures for FAA has not made any further changes occurs later.’’ Southwest Airlines use in the temporary repair would differ to this AD in this regard. pointed out that due to the reduced from the permanent repair. However, flight schedules in response to the under the provisions of paragraph (k) of Request To Use Faster-Curing Sealants COVID–19 pandemic, many airplanes this AD, the FAA will consider requests Alaska requested that the FAA allow are in long-term storage. Southwest for approval of an extension of the alternative sealants that cure faster than Airlines added that some of these long- repair compliance time if sufficient data the ones specified in the service term storage facilities might not be are submitted to substantiate that the information. Alaska suggested allowing capable of providing heavy conditions and temporary repair would the use of sealant PR–1826 B1/4 in place maintenance, and airplanes would need provide an acceptable level of safety. of BMS 5–142, and SF5387 in place of to be ferried to a facility where these The FAA has not changed this AD in BMS 5–81. Alaska also provided actions may be accomplished. this regard. technical data sheets for the proposed The FAA disagrees with adding the sealants. Alaska noted that use of the 2,000 flight cycles to the compliance Request To Allow Removing Certain slower-curing sealants could result in an time. In developing an appropriate Other Parts To Gain Inspection Access airplane being out of service for up to compliance time, the FAA considered American Airlines and Delta 34 hours, and that time could be the safety implications, parts requested a revision to the proposed AD reduced by use of faster-curing sealants availability, and normal maintenance to allow removing the air return grilles that provide an equivalent level of schedules. In consideration of all of or sidewall panels to expose a hole in safety. these factors, the FAA determined that a beam above the SOB slot area so the The FAA agrees that the alternative the compliance time, as proposed, inspection of the sealant can be done sealants would provide a faster cure represents an appropriate interval for through the opening. Both commenters time. However, the FAA does not have the general visual inspection for stated that the access procedure enough data to determine if the insufficient sealant in the SOB slot specified in Boeing Multi Operator alternative sealants comply with the within the fleet, while still maintaining Message MOM–MOM–20–0049– certification basis of the airplane and if an adequate level of safety. However, 01B(R1), dated January 29, 2020, they will provide an acceptable level of under the provisions of paragraph (k) of removes seats and cabin floor panels to safety when incorporated into the this AD, the FAA will consider requests gain access to the inspection area. existing fuel system design. The FAA for approval of an extension of the American Airlines also stated that will consider requests for alternative compliance time if sufficient data are allowing the alternative access sealants as an alternative method of submitted to substantiate that the new procedure for the inspection would compliance if requested using the compliance time would provide an reduce the amount of time necessary to procedure specified in paragraph (k) of
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this AD. The FAA has not changed the burden on any operator or increase the The service information also describes AD in this regard. scope of this final rule. procedures for corrective actions including removal of all insulation Conclusion Related Service Information Under 1 blankets below the crease beam (left CFR Part 51 The FAA reviewed the relevant data, side to right side), clean-up of all fuel considered the comments received, and The FAA reviewed Boeing Multi contamination, repair of any leak, determined that air safety and the Operator Message MOM–MOM–20– preparation of the SOB slot for sealing, public interest require adopting this 0049–01B(R4), dated September 28, application of sealant, and repair of the final rule with the changes described 2020. This service information describes secondary fuel barrier. This service previously and minor editorial changes. procedures for a general visual information is reasonably available The FAA has determined that these inspection for insufficient sealant in the because the interested parties have minor changes: SOB slot. The service information also access to it through their normal course • Are consistent with the intent that describes procedures for related of business or by the means identified was proposed in the NPRM for investigative actions including a general in the ADDRESSES section. addressing the unsafe condition; and visual inspection of the ADMB for fuel • Do not add any additional burden contamination, a check for external Costs of Compliance upon the public than was already leaks of the center fuel tank external The FAA estimates that this AD proposed in the NPRM. surfaces inside the pressure boundary, affects 731 airplanes of U.S. registry. The FAA also determined that these and an internal leak check of the center The FAA estimates the following costs changes will not increase the economic fuel tank to identify the leakage path(s). to comply with this AD:
ESTIMATED COSTS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Inspection for sealant ...... 30 work-hours × $85 per hour = $2,550 ...... $0 $2,550 $1,864,050
The FAA estimates the following would be required based on the results of determining the number of aircraft costs to do any necessary repairs that of the inspection. The FAA has no way that might need these repairs:
ON-CONDITION COSTS
Cost per Action Labor cost Parts cost product
Repair of sealant ...... 2 work-hours × $85 per hour = $170 ...... $129 $299 Insulation blanket replacement ...... 24 work-hours × $85 per hour = $2,040 ...... 6,312 8,352 Leak checks ...... 6 work-hours × $85 per hour = $510 ...... 0 510
Authority for This Rulemaking Regulatory Findings Adoption of the Amendment Title 49 of the United States Code This AD will not have federalism Accordingly, under the authority specifies the FAA’s authority to issue implications under Executive Order delegated to me by the Administrator, rules on aviation safety. Subtitle I, 13132. This AD will not have a the FAA amends 14 CFR part 39 as section 106, describes the authority of substantial direct effect on the States, on follows: the FAA Administrator. Subtitle VII: the relationship between the national government and the States, or on the PART 39—AIRWORTHINESS Aviation Programs, describes in more DIRECTIVES detail the scope of the Agency’s distribution of power and authority. responsibilities among the various ■ 1. The authority citation for part 39 levels of government. The FAA is issuing this rulemaking continues to read as follows: For the reasons discussed above, I under the authority described in certify that this AD: Authority: 49 U.S.C. 106(g), 40113, 44701. Subtitle VII, Part A, Subpart III, Section § 39.13 [Amended] 44701: General requirements. Under (1) Is not a ‘‘significant regulatory action’’ under Executive Order 12866, that section, Congress charges the FAA ■ 2. The FAA amends § 39.13 by adding with promoting safe flight of civil (2) Will not affect intrastate aviation the following new airworthiness aircraft in air commerce by prescribing in Alaska, and directive: regulations for practices, methods, and (3) Will not have a significant 2021–02–14 The Boeing Company: procedures the Administrator finds economic impact, positive or negative, Amendment 39–21397 ; Docket No. necessary for safety in air commerce. on a substantial number of small entities FAA–2020–0331; Product Identifier This regulation is within the scope of under the criteria of the Regulatory 2020–NM–019–AD. that authority because it addresses an Flexibility Act. (a) Effective Date unsafe condition that is likely to exist or List of Subjects in 14 CFR Part 39 This airworthiness directive (AD) is develop on products identified in this effective March 30, 2021. rulemaking action. Air transportation, Aircraft, Aviation safety, Incorporation by reference, (b) Affected ADs Safety. None.
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(c) Applicability (k) Alternative Methods of Compliance www.archives.gov/federal-register/cfr/ibr- This AD applies to The Boeing Company (AMOCs) locations.html. Model 737–600, –700, –700C, –800, –900, (1) The Manager, Seattle ACO Branch, Issued on January 14, 2021. and –900ER series airplanes, certificated in FAA, has the authority to approve AMOCs Lance T. Gant, for this AD, if requested using the procedures any category, line numbers 1 through 1934 Director, Compliance & Airworthiness inclusive. found in 14 CFR 39.19. In accordance with 14 CFR 39.19, send your request to your Division, Aircraft Certification Service. (d) Subject principal inspector or local Flight Standards [FR Doc. 2021–03592 Filed 2–22–21; 8:45 am] Air Transport Association (ATA) of District Office, as appropriate. If sending BILLING CODE 4910–13–P America Code 28, Fuel. information directly to the manager of the certification office, send it to the attention of (e) Unsafe Condition the person identified in paragraph (l)(1) of DEPARTMENT OF TRANSPORTATION This AD was prompted by a report that this AD. Information may be emailed to: 9- sealant was not applied to the side of body [email protected]. Federal Aviation Administration (SOB) slot inside of a pressurized boundary, (2) Before using any approved AMOC, which could lead to inconsistent application notify your appropriate principal inspector, 14 CFR Part 39 or lacking a principal inspector, the manager of the required secondary fuel barrier sealant of the local flight standards district office/ (vapor barrier). The FAA is issuing this AD [Docket No. FAA–2020–0467; Product certificate holding district office. Identifier 2020–NM–056–AD; Amendment to address possible ignition of flammable (3) An AMOC that provides an acceptable 39–21399; AD 2021–02–16] fluid vapors, fire, or explosion, or fuel vapor level of safety may be used for any repair, inhalation by passengers and crew. modification, or alteration required by this RIN 2120–AA64 (f) Compliance AD if it is approved by The Boeing Company Organization Designation Authorization Airworthiness Directives; The Boeing Comply with this AD within the (ODA) that has been authorized by the Company Airplanes compliance times specified, unless already Manager, Seattle ACO Branch, FAA, to make done. those findings. To be approved, the repair AGENCY: Federal Aviation Administration (FAA), DOT. (g) SOB Slot Inspection and Related method, modification deviation, or alteration Investigative and Corrective Actions deviation must meet the certification basis of ACTION: Final rule. the airplane, and the approval must Within 9 months after the effective date of specifically refer to this AD. SUMMARY: The FAA is adopting a new this AD: Do a general visual inspection for (l) Related Information airworthiness directive (AD) for all The insufficient sealant in the SOB slot, and do Boeing Company Model 717–200 all applicable related investigative and (1) For more information about this AD, airplanes. This AD was prompted by a corrective actions, in accordance with Boeing contact James Laubaugh, Aerospace Engineer, Multi Operator Message MOM–MOM–20– Propulsion Section, FAA, Seattle ACO report that during takeoff, both the 0049–01B(R4), dated September 28, 2020. Do Branch, 2200 South 216th St., Des Moines, captain’s and first officer’s airspeed all related investigative and corrective WA 98198; phone and fax: 206–231–3622; indications froze at 80 knots. This AD actions before further flight, except as email: [email protected]. requires modifying the air data heat provided in paragraph (h) of this AD. (2) Service information identified in this (ADH) system to display the proper AD that is not incorporated by reference is airspeed indications, testing, and any (h) Deferred Repair available at the addresses specified in applicable corrective actions. The FAA Repair of insufficient sealant as required by paragraphs (m)(3) and (4) of this AD. is issuing this AD to address the unsafe paragraph (g) of this AD may be deferred for (m) Material Incorporated by Reference condition on these products. 10 days provided there is no fuel present in the center tank as specified in the procedures (1) The Director of the Federal Register DATES: This AD is effective March 30, in item 28–02A of the operator’s existing approved the incorporation by reference 2021. FAA-approved minimum equipment list, and (IBR) of the service information listed in this The Director of the Federal Register there is no fuel contamination in the air paragraph under 5 U.S.C. 552(a) and 1 CFR approved the incorporation by reference part 51. distribution mix bay (ADMB). of a certain publication listed in this AD (2) You must use this service information as of March 30, 2021. (i) Reporting Provisions as applicable to do the actions required by ADDRESSES: For service information Although the service information this AD, unless the AD specifies otherwise. (i) Boeing Multi Operator Message MOM– identified in this final rule, contact referenced in Boeing Multi Operator Message MOM–20–0049–01B(R4), dated September Boeing Commercial Airplanes, MOM–MOM–20–0049–01B(R4), dated 28, 2020. September 28, 2020, specifies to report Attention: Contractual & Data Services (ii) [Reserved] inspection findings, this AD does not require (C&DS), 2600 Westminster Blvd., MC (3) For service information identified in any report. 110–SK57, Seal Beach, CA 90740–5600; this AD, contact Boeing Commercial telephone 562–797–1717; internet (j) Credit for Previous Actions Airplanes, Attention: Contractual & Data Services (C&DS), 2600 Westminster Blvd., https://www.myboeingfleet.com. You This paragraph provides credit for the MC 110–SK57, Seal Beach, CA 90740–5600; may view this service information at the actions specified in paragraphs (g), (h), and telephone 562–797–1717; internet https:// FAA, Airworthiness Products Section, (i) of this AD, if those actions were performed www.myboeingfleet.com. Operational Safety Branch, 2200 South before the effective date of this AD using the (4) You may view this service information 216th St., Des Moines, WA. For service information identified in paragraph at the FAA, Airworthiness Products Section, information on the availability of this (j)(1), (2), or (3) of this AD. Operational Safety Branch, 2200 South 216th material at the FAA, call 206–231–3195. (1) Boeing Multi Operator Message MOM– St., Des Moines, WA. For information on the MOM–20–0049–01B(R1), dated January 29, It is also available on the internet at availability of this material at the FAA, call https://www.regulations.gov by 2020. 206–231–3195. (2) Boeing Multi Operator Message MOM– (5) You may view this service information searching for and locating Docket No. MOM–20–0049–01B(R2), dated August 4, that is incorporated by reference at the FAA–2020–0467. 2020. National Archives and Records Examining the AD Docket (3) Boeing Multi Operator Message MOM– Administration (NARA). For information on MOM–20–0049–01B(R3), dated September the availability of this material at NARA, You may examine the AD docket on 23, 2020. email [email protected], or go to: https:// the internet at https://
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www.regulations.gov by searching for same result as the actions specified in • Are consistent with the intent that and locating Docket No. FAA–2020– the proposed AD and asserted that the was proposed in the NPRM for 0467; or in person at Docket Operations proposed actions should remain addressing the unsafe condition; and between 9 a.m. and 5 p.m., Monday optional. The commenter explained that • Do not add any additional burden through Friday, except Federal holidays. with these existing crew procedures, upon the public than was already The AD docket contains this final rule, operators should not be subjected to the proposed in the NPRM. any comments received, and other requirements specified in the proposed information. The address for Docket AD. The commenter asserted that Related Service Information Under 1 Operations is U.S. Department of operators with strong crew cultures, CFR Part 51 Transportation, Docket Operations, processes, and procedures would The FAA reviewed Boeing Alert M–30, West Building Ground Floor, mitigate the unsafe condition addressed Service Bulletin 717–30A0009, dated Room W12–140, 1200 New Jersey by the NPRM without unnecessary and March 31, 2020. This service Avenue SE, Washington, DC 20590. costly modification to the airplane. The information describes procedures for FOR FURTHER INFORMATION CONTACT: Eric commenter provided text from its modifying the ADH system by installing existing crew procedures with Igama, Aerospace Engineer, Systems new wires between the station (STA) recommended changes and asked that and Equipment Section, FAA, Los 110 relay panel and the left radio rack, these procedures be considered as Angeles ACO Branch, 3960 Paramount and doing tests and applicable alternatives to the actions described in Boulevard, Lakewood, CA 90712–4137; corrective actions until the tests are Boeing Alert Service Bulletin 717– phone: 562–627–5388; fax: 562–627– passed. This service information is 30A0009, dated March 31, 2020 (which 5210; email: [email protected]. reasonably available because the was identified as the appropriate source SUPPLEMENTARY INFORMATION: interested parties have access to it of service information for completing through their normal course of business Discussion the actions specified in the NPRM). The or by the means identified in the FAA infers that the commenter is The FAA issued a notice of proposed ADDRESSES section. rulemaking (NPRM) to amend 14 CFR requesting that the NPRM be part 39 by adding an AD that would withdrawn. Other Relevant Rulemaking apply to all The Boeing Company Model The FAA disagrees with the commenter’s request. The FAA has Group 1 airplanes identified in Boeing 717–200 airplanes. The NPRM Alert Service Bulletin 717–30A0009, published in the Federal Register on determined that the crew procedures identified by the commenter do not dated March 31, 2020, are identified as June 19, 2020 (85 FR 37031). The NPRM airplanes with a concurrent was prompted by a report that during adequately address the unsafe condition associated with the ADH system. The requirement: Boeing Alert Service takeoff, both the captain’s and first Bulletin 717–30A0003. AD 2007–13–01, officer’s airspeed indications froze at 80 FAA’s determination was based on a report from Boeing that three operators Amendment 39–15105 (72 FR 33852, knots. The NPRM proposed to require June 20, 2007) (AD 2007–13–01) modifying the ADH system to display reported that the ADH is not operating correctly. The FAA notes that this AD requires accomplishing the actions the proper airspeed indications, testing, specified in Boeing Alert Service and any applicable corrective actions. requires modifying the ADH system to display the proper airspeed indications Bulletin 717–30A0003, Revision 2, The FAA is issuing this AD to address dated November 28, 2006. AD 2007–13– pitot tubes blocked by ice, which could and testing to address the unsafe condition, while the commenter’s 01 requires operators to accomplish the affect the airspeed indication provided actions (changing the wiring for the air to the flightcrew through the ADH proposal involves only procedural changes in lieu of a modification. data sensor heating system) within 24 system and result in loss of aircraft months after July 25, 2007 (the effective controllability. However, operators may apply for an alternative method of compliance date of AD 2007–13–01). The FAA Comments (AMOC) under the provisions of issued that AD to address the display of The FAA gave the public the paragraph (i) of this AD, provided they suspect or erratic airspeed indications opportunity to participate in developing can show that their proposed crew/ during heavy rain conditions, which this final rule. The following presents operational procedures would could reduce the ability of the the comments received on the NPRM adequately address the unsafe flightcrew to maintain the safe flight and the FAA’s response to each condition. The FAA has determined that and landing of the airplane. Since AD comment. it is necessary to proceed with issuing 2007–13–01 already requires the the final rule as proposed and has not concurrent service information, the FAA Support for the NPRM changed this AD regarding this issue. has not included Boeing Alert Service Three commenters, The Air Line Bulletin 717–30A0003, Revision 2, Conclusion Pilots Association, International dated November 28, 2006, as a (ALPA), Boeing, and Patrick The FAA reviewed the relevant data, concurrent requirement in this AD. Imperatrice, indicated support for the considered the comments received, and Costs of Compliance NPRM. determined that air safety and the public interest require adopting this The FAA estimates that this AD Request To Withdraw the NPRM final rule as proposed, except for minor affects 113 airplanes of U.S. registry. Hawaiian Airlines stated that existing editorial changes. The FAA has The FAA estimates the following costs crew procedures would produce the determined that these minor changes: to comply with this AD:
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ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Modification * ...... 12 work-hours × $85 per hour = $1,020 ...... $4,863 $5,883 $664,779 * The modification costs include the costs for testing. The FAA has received no definitive data on the costs of the corrective actions necessary to pass the testing.
Authority for This Rulemaking PART 39—AIRWORTHINESS bulletin,’’ this AD requires using ‘‘the DIRECTIVES effective date of this AD.’’ Title 49 of the United States Code (i) Alternative Methods of Compliance specifies the FAA’s authority to issue ■ 1. The authority citation for part 39 (AMOCs) rules on aviation safety. Subtitle I, continues to read as follows: section 106, describes the authority of (1) The Manager, Los Angeles ACO Branch, Authority: 49 U.S.C. 106(g), 40113, 44701. the FAA Administrator. Subtitle VII: FAA, has the authority to approve AMOCs for this AD, if requested using the procedures Aviation Programs, describes in more § 39.13 [Amended] detail the scope of the Agency’s found in 14 CFR 39.19. In accordance with ■ 2. The FAA amends § 39.13 by adding 14 CFR 39.19, send your request to your authority. the following new airworthiness principal inspector or local Flight Standards The FAA is issuing this rulemaking directive: District Office, as appropriate. If sending under the authority described in information directly to the manager of the 2021–02–16 The Boeing Company: Subtitle VII, Part A, Subpart III, Section Amendment 39–21399; Docket No. certification office, send it to the attention of 44701: General requirements. Under FAA–2020–0467; Product Identifier the person identified in paragraph (j) of this that section, Congress charges the FAA 2020–NM–056–AD. AD. Information may be emailed to: 9-ANM- with promoting safe flight of civil [email protected]. aircraft in air commerce by prescribing (a) Effective Date (2) Before using any approved AMOC, regulations for practices, methods, and This airworthiness directive (AD) is notify your appropriate principal inspector, procedures the Administrator finds effective March 30, 2021. or lacking a principal inspector, the manager of the local flight standards district office/ necessary for safety in air commerce. (b) Affected ADs certificate holding district office. This regulation is within the scope of None. (3) An AMOC that provides an acceptable that authority because it addresses an (c) Applicability level of safety may be used for any repair, unsafe condition that is likely to exist or modification, or alteration required by this develop on products identified in this This AD applies to all The Boeing AD if it is approved by The Boeing Company rulemaking action. Company Model 717–200 airplanes, Organization Designation Authorization certificated in any category. (ODA) that has been authorized by the Regulatory Findings (d) Subject Manager, Los Angeles ACO Branch, FAA, to This AD will not have federalism Air Transport Association (ATA) of make those findings. To be approved, the implications under Executive Order America Code 30, Ice and rain protection. repair method, modification deviation, or alteration deviation must meet the 13132. This AD will not have a (e) Unsafe Condition certification basis of the airplane, and the substantial direct effect on the States, on This AD was prompted by a report that approval must specifically refer to this AD. the relationship between the national during takeoff, both the captain’s and first (4) For service information that contains government and the States, or on the officer’s airspeed indicators froze at 80 knots. steps that are labeled as Required for distribution of power and The FAA is issuing this AD to address pitot Compliance (RC), the provisions of responsibilities among the various tubes blocked by ice, which could affect the paragraphs (i)(4)(i) and (ii) of this AD apply. levels of government. airspeed indication provided to the (i) The steps labeled as RC, including For the reasons discussed above, I flightcrew through the air data heat (ADH) substeps under an RC step and any figures certify that this AD: system and result in loss of aircraft identified in an RC step, must be done to controllability. comply with the AD. If a step or substep is (1) Is not a ‘‘significant regulatory (f) Compliance labeled ‘‘RC Exempt,’’ then the RC action’’ under Executive Order 12866, requirement is removed from that step or (2) Will not affect intrastate aviation Comply with this AD within the substep. An AMOC is required for any in Alaska, and compliance times specified, unless already deviations to RC steps, including substeps done. (3) Will not have a significant and identified figures. economic impact, positive or negative, (g) Required Actions (ii) Steps not labeled as RC may be deviated from using accepted methods in on a substantial number of small entities Except as specified in paragraph (h) of this AD: At the applicable times specified in accordance with the operator’s maintenance under the criteria of the Regulatory or inspection program without obtaining Flexibility Act. paragraph 1.E., ‘‘Compliance,’’ of Boeing Alert Service Bulletin 717–30A0009, dated approval of an AMOC, provided the RC steps, List of Subjects in 14 CFR Part 39 March 31, 2020, do all applicable actions including substeps and identified figures, can identified as ‘‘RC’’ (required for compliance) still be done as specified, and the airplane Air transportation, Aircraft, Aviation in, and in accordance with, the can be put back in an airworthy condition. safety, Incorporation by reference, Accomplishment Instructions of Boeing Alert (j) Related Information Safety. Service Bulletin 717–30A0009, dated March 31, 2020. For more information about this AD, Adoption of the Amendment contact Eric Igama, Aerospace Engineer, (h) Exception to Service Information Systems and Equipment Section, FAA, Los Accordingly, under the authority Specifications Angeles ACO Branch, 3960 Paramount delegated to me by the Administrator, Where Boeing Alert Service Bulletin 717– Boulevard, Lakewood, CA 90712–4137; the FAA amends 14 CFR part 39 as 30A0009, dated March 31, 2020, uses the phone: 562–627–5388; fax: 562–627–5210; follows: phrase ‘‘the original issue date of this service email: [email protected].
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(k) Material Incorporated by Reference airplanes; and Model A350–941 and European Union, has issued EASA AD (1) The Director of the Federal Register –1041 airplanes. This AD was prompted 2020–100R1, dated November 4, 2020 approved the incorporation by reference by a report of a quality issue with a (EASA AD 2020–100R1) (also referred to (IBR) of the service information listed in this certain repair method of damage- as the Mandatory Continuing paragraph under 5 U.S.C. 552(a) and 1 CFR through honeycomb core cargo linings Airworthiness Information, or the part 51. by speed patches applied to both sides. MCAI), to correct an unsafe condition (2) You must use this service information This AD requires repair of each affected for all Airbus SAS Model A330–200 as applicable to do the actions required by series airplanes, Model A330–200 this AD, unless the AD specifies otherwise. part, or replacement with a serviceable (i) Boeing Alert Service Bulletin 717– part, as specified in a European Union Freighter series airplanes, Model A330– 30A0009, dated March 31, 2020. Aviation Safety Agency (EASA) AD, 300 series airplanes, Model A330–900 (ii) [Reserved] which is incorporated by reference. The series airplanes, Model A340–200 series (3) For service information identified in FAA is issuing this AD to address the airplanes, Model A340–300 series this AD, contact Boeing Commercial unsafe condition on these products. airplanes, Model A340–500 series Airplanes, Attention: Contractual & Data DATES: This AD is effective March 30, airplanes, Model A340–600 series Services (C&DS), 2600 Westminster Blvd., 2021. airplanes, Model A380–800 series MC 110–SK57, Seal Beach, CA 90740–5600; The Director of the Federal Register airplanes; and Model A350–941 and telephone 562–797–1717; internet https:// –1041 airplanes. www.myboeingfleet.com. approved the incorporation by reference of a certain publication listed in this AD The FAA issued a notice of proposed (4) You may view this service information rulemaking (NPRM) to amend 14 CFR at the FAA, Airworthiness Products Section, as of March 30, 2021. part 39 by adding an AD that would Operational Safety Branch, 2200 South 216th ADDRESSES: For material incorporated apply to all Airbus SAS Model A330– St., Des Moines, WA. For information on the by reference (IBR) in this AD, contact 200 series airplanes, Model A330–200 availability of this material at the FAA, call the EASA, Konrad-Adenauer-Ufer 3, Freighter series airplanes, Model A330– 206–231–3195. 50668 Cologne, Germany; telephone +49 (5) You may view this service information 300 series airplanes, Model A330–900 221 8999 000; email ADs@ that is incorporated by reference at the series airplanes, Model A340–200 series easa.europa.eu; internet National Archives and Records airplanes, Model A340–300 series www.easa.europa.eu. You may find this Administration (NARA). For information on airplanes, Model A340–500 series IBR material on the EASA website at the availability of this material at NARA, airplanes, Model A340–600 series email [email protected], or go to: https:// https://ad.easa.europa.eu. You may airplanes, Model A380–800 series www.archives.gov/federal-register/cfr/ibr- view this IBR material at the FAA, airplanes; and Model A350–941 and locations.html. Airworthiness Products Section, –1041 airplanes. The NPRM published Operational Safety Branch, 2200 South Issued on January 14, 2021. in the Federal Register on July 28, 2020 216th St., Des Moines, WA. For Ross Landes, (85 FR 45350). The NPRM was information on the availability of this Deputy Director for Regulatory Operations, prompted by a report of a quality issue material at the FAA, call 206–231–3195. Compliance & Airworthiness Division, with a certain repair method of damage- It is also available in the AD docket on Aircraft Certification Service. through honeycomb core cargo linings the internet at https:// [FR Doc. 2021–03591 Filed 2–22–21; 8:45 am] by speed patches applied to both sides. www.regulations.gov by searching for BILLING CODE 4910–13–P The NPRM proposed to require a and locating Docket No. FAA–2020– detailed inspection of each affected part 0673. and, depending on findings, repair of DEPARTMENT OF TRANSPORTATION Examining the AD Docket each affected part, or replacement with Federal Aviation Administration You may examine the AD docket on a serviceable part, as specified in an the internet at https:// EASA AD. The FAA is issuing this AD to address 14 CFR Part 39 www.regulations.gov by searching for reduced ability of repaired linings to and locating Docket No. FAA–2020– [Docket No. FAA–2020–0673; Product contain smoke or fire, resulting in an 0673; or in person at Docket Operations Identifier 2020–NM–076–AD; Amendment increased risk of an uncontained fire in between 9 a.m. and 5 p.m., Monday 39–21395; AD 2021–02–12] the cargo compartment and consequent through Friday, except Federal holidays. structural damage to the airplane. See RIN 2120–AA64 The AD docket contains this final rule, the MCAI for additional background any comments received, and other information. Airworthiness Directives; Airbus SAS information. The address for Docket Airplanes Operations is U.S. Department of Comments AGENCY: Federal Aviation Transportation, Docket Operations, The FAA gave the public the Administration (FAA), Department of M–30, West Building Ground Floor, opportunity to participate in developing Transportation (DOT). Room W12–140, 1200 New Jersey this final rule. The following presents Avenue SE, Washington, DC 20590. ACTION: Final rule. the comments received on the NPRM FOR FURTHER INFORMATION CONTACT: Dan and the FAA’s response to each SUMMARY: The FAA is adopting a new Rodina, Aerospace Engineer, Large comment. airworthiness directive (AD) for all Aircraft Section, International Airbus SAS Model A330–200 series Validation Branch, FAA, 2200 South Requests To Reference Revised EASA airplanes, Model A330–200 Freighter 216th St., Des Moines, WA 98198; AD series airplanes, Model A330–300 series phone and fax: 206–231–3225; email: American Airlines and Delta Airlines airplanes, Model A330–900 series [email protected]. (DAL) requested that the FAA revise the airplanes, Model A340–200 series SUPPLEMENTARY INFORMATION: proposed AD to reference EASA AD airplanes, Model A340–300 series 2020–100R1. DAL pointed out that there airplanes, Model A340–500 series Discussion are several instances where the airplanes, Model A340–600 series The EASA, which is the Technical requirements in EASA AD 2020–0100 airplanes, Model A380–800 series Agent for the Member States of the are unclear, contradictory to the source
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documents, or unnecessarily restrictive circumstances with the pandemic, some AMM Task A330–A–25–XX–3743– to operators. DAL further asserted that, operators have grounded airplanes and 01001–520A–A specified in Airbus if the final rule is published using EASA reduced workforces to help account for Service Bulletin A330–25–3743, dated AD 2020–0100, it will have to request decreased flying demand, so September 23, 2019, also specifies an several alternative methods of accommodating a special visit will be incorrect AMM task reference for compliance (AMOCs) in order to more difficult than during normal removing cargo liners in the forward comply with the proposed operations. DAL noted that, for cargo compartment. DAL suggested requirements. In addition, DAL operators that are affected by global wording for the requested exceptions. provided a detailed discussion of the circumstances, the flammability risk of The FAA has confirmed the changes identified in EASA AD 2020– the discrepant repair should not be typographical errors and agrees with the 100R1 and how those changes would present when the airplane is parked request for the reasons provided. The favorably impact operators, pointing out with no power and cargo, and that FAA has revised paragraph (h) of this that certain inspection and repair additional time for compliance should AD accordingly. requirements necessary to complete the be granted with an equivalent level of actions specified in the proposed AD are safety present. Conclusion clarified. The FAA disagrees with the request. The FAA agrees with the requests for Using flight days versus calendar days The FAA reviewed the relevant data, the reasons provided. The FAA has would be difficult for operators to track considered the comments received, and determined that the changes in EASA AD compliance. AD compliance determined that air safety and the AD 2020–100R1 are relieving in nature requirements are calculated public interest require adopting this (removing the requirement for a one- independently of scheduled final rule with the changes described time detailed inspection (DET) of each maintenance periods. Also, showing previously and minor editorial changes. affected part) and that this final rule compliance with the AD does not The FAA has determined that these should reference the revised EASA AD. require the airplane to be on a C-check minor changes: Therefore, the FAA has revised this AD schedule. The FAA has determined that • Are consistent with the intent that to refer to EASA AD 2020–100R1, dated a compliance time of 23 months from was proposed in the NPRM for November 4, 2020. The FAA has also the effective date of the AD represents addressing the unsafe condition; and revised the SUMMARY and Related an adequate amount of time to • Do not add any additional burden Service Information under 1 CFR part 51 accomplish the actions required. If an upon the public than was already and Costs of Compliance sections of this operator is unable to accomplish the proposed in the NPRM. AD to remove reference to the one-time actions for whatever reason or has the The FAA also determined that these detailed inspection that is no longer airplane in storage, it may request changes will not increase the economic required by this AD. approval of an AMOC under the burden on any operator or increase the provisions of paragraph (i)(1) of this AD. Request To Use Flight Days Instead of scope of this final rule. We have not changed this AD in this Calendar Days regard. Related Service Information Under 1 DAL requested that the proposed AD CFR Part 51 be revised to use flight days instead of Request To Add Exceptions To Address calendar days to ensure that the Errors in Required for Compliance (RC) EASA AD 2020–100R1, dated requirements can be easily Procedures November 4, 2020, describes procedures accomplished within a C-Check DAL requested that the FAA add two for repair of each affected part, or schedule. DAL noted that the inspection exceptions to paragraph (h) of the replacement with a serviceable part. and rework of the ceiling, partition, and proposed AD to address errors in RC This material is reasonably available sidewall linings in the forward, aft and procedures specified in the service because the interested parties have bulk cargo compartments is a labor- information referenced in EASA AD access to it through their normal course intensive activity that will be difficult to 2020–100R1. DAL pointed out that of business or by the means identified accomplish in any check shorter than a Aircraft Maintenance Manual (AMM) in the ADDRESSES section. C-check without jeopardizing the ‘return Task A330–A–25–XX–3743–02001– Costs of Compliance to service’ dates for affected aircraft. 690A–C specified in Airbus Service Further, DAL noted that the required Bulletin A330–25–3743, dated The FAA estimates that this AD rework might then require special visits September 23, 2019, includes a affects 127 airplanes of U.S. registry. in order to be fully accomplished. DAL typographical error in a measurement. The FAA estimates the following costs stated that due to the current global Additionally, DAL pointed out that to comply with this AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Repair ...... 2 work-hours × $85 per hour = $170 ...... * $ $170 $21,590 * The FAA has received no definitive data that would enable the FAA to provide cost estimates for the parts required for the repairs specified in this AD.
The FAA has received no definitive Authority for This Rulemaking the FAA Administrator. Subtitle VII: data that would enable the FAA to Aviation Programs, describes in more provide cost estimates for the Title 49 of the United States Code detail the scope of the Agency’s replacements specified in this AD. specifies the FAA’s authority to issue authority. rules on aviation safety. Subtitle I, section 106, describes the authority of
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The FAA is issuing this rulemaking (c) Applicability (i) Other FAA AD Provisions under the authority described in This AD applies to all Airbus SAS The following provisions also apply to this Subtitle VII, Part A, Subpart III, Section airplanes identified in paragraphs (c)(1) AD: 44701: General requirements. Under through (10) of this AD, certificated in any (1) Alternative Methods of Compliance that section, Congress charges the FAA category. (AMOCs): The Manager, Large Aircraft with promoting safe flight of civil (1) Model A330–201, –202, –203, –223, and Section, International Validation Branch, –243 airplanes. FAA, has the authority to approve AMOCs aircraft in air commerce by prescribing (2) Model A330–223F and –243F airplanes. for this AD, if requested using the procedures regulations for practices, methods, and (3) Model A330–301, –302, –303, –321, found in 14 CFR 39.19. In accordance with procedures the Administrator finds –322, –323, –341, –342, and –343 airplanes. 14 CFR 39.19, send your request to your necessary for safety in air commerce. (4) Model A330–941 airplanes. principal inspector or responsible Flight This regulation is within the scope of (5) Model A340–211, –212, and –213 Standards Office, as appropriate. If sending that authority because it addresses an airplanes. information directly to the Large Aircraft unsafe condition that is likely to exist or (6) Model A340–311, –312, and –313 Section, International Validation Branch, airplanes. develop on products identified in this send it to the attention of the person (7) Model A340–541 airplanes. identified in paragraph (j) of this AD. rulemaking action. (8) Model A340–642 airplanes. Information may be emailed to: 9-AVS-AIR- Regulatory Findings (9) Model A350–941 and –1041 airplanes. [email protected]. Before using any (10) Model A380–841, –842, and –861 approved AMOC, notify your appropriate This AD will not have federalism airplanes. principal inspector, or lacking a principal implications under Executive Order (d) Subject inspector, the manager of the responsible 13132. This AD will not have a Flight Standards Office. substantial direct effect on the States, on Air Transport Association (ATA) of (2) Contacting the Manufacturer: For any the relationship between the national America Code 25, Equipment/furnishings. requirement in this AD to obtain instructions government and the States, or on the (e) Reason from a manufacturer, the instructions must distribution of power and be accomplished using a method approved This AD was prompted by a report of a by the Manager, Large Aircraft Section, responsibilities among the various quality issue with a certain repair method of International Validation Branch, FAA; or levels of government. damage-through honeycomb core cargo EASA; or Airbus SAS’s EASA Design For the reasons discussed above, I linings by speed patches applied to both Organization Approval (DOA). If approved by certify that this AD: sides. The FAA is issuing this AD to address the DOA, the approval must include the (1) Is not a ‘‘significant regulatory reduced ability of repaired linings to contain DOA-authorized signature. action’’ under Executive Order 12866, smoke or fire, resulting in an increased risk (3) Required for Compliance (RC): Except (2) Will not affect intrastate aviation of an uncontained fire in the cargo as required by paragraph (i)(2) of this AD, if compartment and consequent structural any service information contains procedures in Alaska, and damage to the airplane. (3) Will not have a significant or tests that are identified as RC, those economic impact, positive or negative, (f) Compliance procedures and tests must be done to comply on a substantial number of small entities Comply with this AD within the with this AD; any procedures or tests that are not identified as RC are recommended. Those under the criteria of the Regulatory compliance times specified, unless already done. procedures and tests that are not identified Flexibility Act. as RC may be deviated from using accepted List of Subjects in 14 CFR Part 39 (g) Requirements methods in accordance with the operator’s Except as specified in paragraph (h) of this maintenance or inspection program without Air transportation, Aircraft, Aviation AD: Comply with all required actions and obtaining approval of an AMOC, provided safety, Incorporation by reference, compliance times specified in, and in the procedures and tests identified as RC can Safety. accordance with, European Union Aviation be done and the airplane can be put back in an airworthy condition. Any substitutions or Adoption of the Amendment Safety Agency (EASA) AD 2020–100R1, dated November 4, 2020 (EASA AD 2020– changes to procedures or tests identified as Accordingly, under the authority 100R1). RC require approval of an AMOC. delegated to me by the Administrator, (h) Exceptions to EASA AD 2020–100R1 (j) Related Information the FAA amends 14 CFR part 39 as For more information about this AD, follows: (1) Where EASA AD 2020–100R1 refers to its effective date, this AD requires using the contact Dan Rodina, Aerospace Engineer, Large Aircraft Section, International PART 39—AIRWORTHINESS effective date of this AD. (2) Where EASA AD 2020–100R1 refers to Validation Branch, FAA, 2200 South 216th DIRECTIVES ‘‘19 May 2020 [the effective date of EASA AD St., Des Moines, WA 98198; phone and fax: 206–231–3225; email: [email protected]. ■ 2020–0100 at original issue],’’ this AD 1. The authority citation for part 39 requires using the effective date of this AD. (k) Material Incorporated by Reference continues to read as follows: (3) Where task Aircraft Maintenance Authority: 49 U.S.C. 106(g), 40113, 44701. Manual (AMM) A330–A–25–XX–3743– (1) The Director of the Federal Register 02001–690A–C specified in Airbus Service approved the incorporation by reference § 39.13 [Amended] Bulletin A330–25–3743, dated September 23, (IBR) of the service information listed in this paragraph under 5 U.S.C. 552(a) and 1 CFR ■ 2. The FAA amends § 39.13 by adding 2019, states the measured dimension shall be equal to or more than ‘‘30 mm (1.81 in),’’ this part 51. the following new airworthiness AD requires using the measured dimension (2) You must use this service information directive: of ‘‘30 mm (1.18 in).’’ as applicable to do the actions required by 2021–02–12 Airbus SAS: Amendment 39– (4) Where AMM task A330–A–25–XX– this AD, unless this AD specifies otherwise. 21395; Docket No. FAA–2020–0673; 3743–01001–520A–A of Airbus Service (i) European Union Aviation Safety Agency Product Identifier 2020–NM–076–AD. Bulletin A330–25–3743, dated September 23, (EASA) AD 2020–100R1, dated November 4, 2019, states, ‘‘For the FWD cargo- 2020. (a) Effective Date compartment, refer to Ref. AMM Task 25–54– (ii) [Reserved] This airworthiness directive (AD) is 00–000–801,’’ this AD requires using, ‘‘For (3) For EASA AD 2020–100R1, contact the effective March 30, 2021. the FWD cargo-compartment, refer to Ref. EASA, Konrad-Adenauer-Ufer 3, 50668 AMM Task 25–52–00–000–801.’’ Cologne, Germany; telephone +49 221 8999 (b) Affected ADs (5) The ‘‘Remarks’’ section of EASA AD 000; email [email protected]; internet None. 2020–100R1 does not apply to this AD. www.easa.europa.eu. You may find this
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EASA AD on the EASA website at https:// The Director of the Federal Register AD 2019–02–03 and to require ad.easa.europa.eu. approved the incorporation by reference incorporation of an airworthiness (4) You may view this material at the FAA, of a certain publication listed in this AD limitation that applies only to certain Airworthiness Products Section, Operational as of March 30, 2021. airplanes. The NPRM also proposed to Safety Branch, 2200 South 216th St., Des Moines, WA. For information on the ADDRESSES: For service information require replacing or modifying certain availability of this material at the FAA, call identified in this final rule, contact engine fire control panels, which would 206–231–3195. This material may be found Boeing Commercial Airplanes, terminate the revised airworthiness in the AD docket on the internet at https:// Attention: Contractual & Data Services limitation added in this final rule when www.regulations.gov by searching for and (C&DS), 2600 Westminster Blvd., MC a certain condition is met. The FAA is locating Docket No. FAA–2020–0673. 110–SK57, Seal Beach, CA 90740–5600; issuing this AD to address a latent (5) You may view this material that is telephone 562–797–1717; internet failure of the engine fire handle, which incorporated by reference at the National https://www.myboeingfleet.com. You could result in the inability to Archives and Records Administration extinguish an engine fire that, if (NARA). For information on the availability may view this service information at the of this material at NARA, email fedreg.legal@ FAA, Airworthiness Products Section, uncontrollable, could lead to wing nara.gov, or go to: https://www.archives.gov/ Operational Safety Branch, 2200 South failure. federal-register/cfr/ibr-locations.html. 216th St., Des Moines, WA. For Comments information on the availability of this Issued on January 14, 2021. The FAA gave the public the material at the FAA, call 206–231–3195. Lance T. Gant, opportunity to participate in developing It is also available on the internet at Director, Compliance & Airworthiness this AD. The following presents the https://www.regulations.gov by Division, Aircraft Certification Service. comments received on the NPRM and searching for and locating Docket No. [FR Doc. 2021–03594 Filed 2–22–21; 8:45 am] the FAA’s response to each comment. FAA–2020–0580. BILLING CODE 4910–13–P Request To Expand Approved Examining the AD Docket Alternative Methods of Compliance You may examine the AD docket on DEPARTMENT OF TRANSPORTATION (AMOCs) the internet at https:// Boeing asked that paragraph (o)(4) of Federal Aviation Administration www.regulations.gov by searching for the proposed AD (paragraph (p)(4) of and locating Docket No. FAA–2020– this AD), which specifies ‘‘AMOCs 14 CFR Part 39 0580; or in person at Docket Operations approved previously for AD 2019–02–03 between 9 a.m. and 5 p.m., Monday [Docket No. FAA–2020–0580; Product are approved as AMOCs for the through Friday, except Federal holidays. corresponding provisions of paragraph Identifier 2020–NM–052–AD; Amendment The AD docket contains this final rule, 39–21389; AD 2021–02–06] (g) of this AD,’’ also include approval of any comments received, and other AMOCs for the corresponding RIN 2120–AA64 information. The address for Docket provisions of paragraph (k) of the Operations is U.S. Department of Airworthiness Directives; The Boeing proposed AD. Boeing stated that Transportation, Docket Operations, M– approved AMOC RA–19–00263 (Boeing Company Airplanes 30, West Building Ground Floor, Room letter requesting an AMOC for AD 2019– AGENCY: Federal Aviation W12–140, 1200 New Jersey Avenue SE, 02–03) provides inspection instructions Administration (FAA), DOT. Washington, DC 20590. equivalent to Airworthiness Limitation FOR FURTHER INFORMATION CONTACT: ACTION: Final rule. Tak 28–AWL–FIRE in figure 1 to paragraph Kobayashi, Aerospace Engineer, (g) of the proposed AD. Boeing added SUMMARY: The FAA is superseding Propulsion Section, FAA, Seattle ACO that the inspection instructions of 28– Airworthiness Directive (AD) 2019–02– Branch, 2200 South 216th St., Des AWL–FIRE in figure 1 to paragraph (g) 03, which applied to all The Boeing Moines, WA 98198; phone and fax: 206– of the proposed AD and in figure 2 to Company Model 787–8, 787–9, and 231–3553; email: takahisa.kobayashi@ paragraph (k) of the proposed AD are 787–10 airplanes. AD 2019–02–03 faa.gov. identical. required revising the existing SUPPLEMENTARY INFORMATION: The FAA partially agrees with the maintenance or inspection program, as commenter’s request. The FAA applicable, to incorporate new or more Discussion previously approved Boeing Alert restrictive airworthiness limitations. The FAA issued a notice of proposed Requirements Bulletin B787–81205– This AD retains the requirements of AD rulemaking (NPRM) to amend 14 CFR SB260007–00 RB, Issue 001, dated 2019–02–03 and requires incorporation part 39 to supersede AD 2019–02–03, February 22, 2019, as an AMOC to the of an airworthiness limitation that Amendment 39–19550 (84 FR 2437, requirements of paragraph (g) of AD applies only to certain airplanes. This February 7, 2019) (AD 2019–02–03). AD 2019–02–03. The inspection AD also requires replacing or modifying 2019–02–03 applied to all The Boeing instructions provided in Boeing Alert certain engine fire control panels, which Company Model 787–8, 787–9, and Requirements Bulletin B787–81205– terminates the revised airworthiness 787–10 airplanes. The NPRM published SB260007–00 RB, Issue 001, dated limitation added in this final rule when in the Federal Register on July 15, 2020 February 22, 2019, are equivalent to 28– a certain condition is met. Since the (85 FR 42749). The NPRM was AWL–FIRE in figure 1 to paragraph (g) FAA issued AD 2019–02–03, the prompted by reports of warpage of of this AD and in figure 2 to paragraph manufacturer has developed a new fire internal engine fire handle components (k) of this AD. Because paragraph (k) is handle design that will eliminate the that can cause binding and prevent a new requirement of this AD, the FAA need for the airworthiness limitations proper operation, and by the has instead added the action as an required by AD 2019–02–03. The FAA development of a new fire handle alternative terminating action, is issuing this AD to address the unsafe design that will eliminate the need for paragraph (l) of this AD, for the condition on these products. the airworthiness limitations required repetitive inspections for airplanes DATES: This AD is effective March 30, by AD 2019–02–03. The NPRM equipped with an engine fire control 2021. proposed to retain the requirements of panel having part number (P/N)
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412600–001 or an engine fire shutoff handle, but they will limit the number proposed AD also retains the allowance switch having P/N 417000–101 or P/N of flights the airplanes can operate with for the flightcrew to perform the engine 417000–102. a failed engine fire handle. Since fire handle operational check in a paragraph (n) of the proposed AD would manner approved by the principal Request To Revise Parts Installation have applied to all airplanes including operations inspector in lieu of being Prohibition Paragraph or Extend those airplanes delivered with the performed by specifically trained Compliance Time engine fire control panel having the new maintenance personnel per the American Airlines, All Nippon part number required by paragraph (i) of procedures in 28–AWL–FIRE. ALPA Airways (ANA), and United Airlines this AD, and since it is necessary to previously highlighted concern with the asked that the FAA revise paragraph (n) prohibit the replacement of the new part flightcrew conducting the check of the proposed AD to continue to number with the old part number for required by AD 2019–02–03, and allow, for a limited time, the installation those airplanes that are not covered by reiterated that concern in comments on of the engine fire handle with the part paragraph (i) of this AD, the FAA has the NPRM. ALPA noted that without numbers on which an unsafe condition revised paragraph (o) of this AD specific training to flightcrews, the has been identified after the effective (paragraph (n) of the proposed AD) to opportunity exists for the operational date of the AD. American Airlines and include an exception for airplanes check to be performed inaccurately. United Airlines asked that installing the identified in Boeing Requirements ALPA concluded that to ensure that the parts be allowed for 15 months after the Bulletin B787–81205–SB260008–00 RB, check is effective until the terminating effective date of the AD, which is Issue 001, dated March 10, 2020. For action is accomplished, consistent consistent with the referenced service airplanes affected by paragraph (i) of procedures should be followed and information. ANA asked that it be this AD, once operators comply with the documented by appropriately trained allowed to install the parts until the actions required by paragraph (i) of this maintenance personnel, as specified in engine fire handle with new part AD by installing parts with new part the proposed AD. numbers is installed in accordance with numbers, operators must continue to The FAA does not agree with the paragraph (i) of the proposed AD. ANA maintain the airplane configuration commenter’s request. Airworthiness also asked that the compliance time compliant with the AD requirements. Limitation 28–AWL–FIRE includes an specified in paragraph (i) of the For airplanes delivered with the fire allowance for the flightcrew to perform proposed AD be extended to 24 months control panel having the new part an operational check of the engine fire after the effective date of the AD. number, paragraph (o) of this AD handle since the inspection interval is American Airlines stated that this prohibits the replacement of the new relatively short and the inspection change is necessary because the part numbers with the old part numbers procedure is relatively straightforward. repetitive inspections of the engine fire on which the unsafe condition was Based on this allowance, operators can handle with the part numbers on which identified. develop the procedures for the an unsafe condition has been identified The FAA does not agree with ANA’s flightcrew to perform an operational remain in place until those part request to revise the compliance time in check in a timely manner. Operators numbers are replaced by the new part paragraph (i) of this AD to 24 months. must ensure that the operational check numbers. American Airlines added that Since the level of impact of parts supply required by 28–AWL–FIRE is accurately they would need a full panel or two new may vary for each operator, we are performed by the flightcrew in order for switches if there were findings of failed unable to determine an appropriate the procedures to be approved by the fire handles because they can’t mix old change to the compliance time in principal operations inspector. The FAA and new parts. American Airlines, paragraph (i) of this AD that will result has not changed this AD in this regard. ANA, and United Airlines expressed in a minimal impact on safety and on their concern regarding parts operators’ ability to comply with the AD Conclusion availability due to limited supply. ANA requirements. Therefore, operators that The FAA reviewed the relevant data, stated that the supply of the engine fire encounter limited parts supply that considered the comments received, and handles with new part numbers is could hinder the ability to meet the determined that air safety and the insufficient worldwide due to the requirements of paragraph (i) of this AD public interest require adopting this AD Coronavirus Disease 2019 (COVID–19). within the compliance time indicated with the changes described previously, The FAA partially agrees with the should request an AMOC to extend this and minor editorial changes. The FAA commenters’ requests, based on the compliance time. If data are provided to has determined that these minor limited supply of new part numbers show that the extended compliance time changes: available due to extenuating addresses the unsafe condition, • Are consistent with the intent that circumstances. The FAA has received a operators may request approval of an was proposed in the NPRM for number of reports of failed engine fire AMOC under the provisions of addressing the unsafe condition; and handles found during the repetitive paragraph (p) of this AD. The FAA has • Do not add any additional burden inspections. The frequency of failures not changed this AD regarding this upon the public than was already found in service, and the provisions of issue. proposed in the NPRM. the ‘‘Parts Installation Prohibition’’ of The FAA also determined that these Request To Revise Airworthiness paragraph (n) of the proposed AD, could changes will not increase the economic Limitation 28–AWL–FIRE have forced operators to install the new burden on any operator or increase the part numbers from a limited supply The Air Line Pilots Association, scope of this AD. before reaching the compliance time in International (ALPA) asked that the paragraph (i) of this AD. Furthermore, as FAA revise Airworthiness Limitation Related Service Information Under 1 American Airlines stated, the repetitive 28–AWL–FIRE to remove the language CFR Part 51 inspections required by 28–AWL–FIRE that allows the flightcrew to perform an The FAA reviewed Boeing remain in place until a fire handle with operational check of the engine fire Requirements Bulletin B787–81205– new part numbers is installed. The handle. ALPA stated that because the SB260008–00 RB, Issue 001, dated repetitive inspections do not eliminate proposed AD retains the actions March 10, 2020. The service information the latent failure of the engine fire required by AD 2019–02–03, the describes procedures for replacing the
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engine fire control panel with a new or Costs of Compliance recognizes that this number may vary modified panel. from operator to operator. Since The FAA estimates that this AD The FAA also reviewed Boeing operators incorporate maintenance or affects 122 airplanes of U.S. registry. Requirements Bulletin B787–81205– inspection program changes for their SB260007–00 RB, Issue 001, dated The FAA estimates the following costs to comply with this AD: affected fleet(s), the FAA has February 22, 2019. The service determined that a per-operator estimate information describes procedures for The FAA estimates the total cost per operator for the retained actions from is more accurate than a per-airplane performing repetitive operational checks estimate. of the engine fire handle. AD 2019–02–03 to be $7,650 (90 work- This service information is reasonably hours × $85 per work-hour). The FAA estimates the total cost per available because the interested parties The FAA has determined that revising operator for the new maintenance or have access to it through their normal the existing maintenance or inspection inspection program revision to be course of business or by the means program takes an average of 90 work- $7,650 (90 work-hours × $85 per work- identified in the ADDRESSES section. hours per operator, although the agency hour).
ESTIMATED COSTS FOR REQUIRED REPLACEMENT OR MODIFICATION
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Replacement or modification ...... 2 work-hours × $85 per hour = $170 ...... $5,000 $5,170 $630,740
According to the manufacturer, some For the reasons discussed above, I (b) Affected ADs or all of the costs of this AD may be certify that this AD: This AD replaces AD 2019–02–03, covered under warranty, thereby (1) Is not a ‘‘significant regulatory Amendment 39–19550 (84 FR 2437, February reducing the cost impact on affected action’’ under Executive Order 12866, 7, 2019) (AD 2019–02–03). individuals. The FAA does not control (2) Will not affect intrastate aviation (c) Applicability warranty coverage for affected in Alaska, and This AD applies to all The Boeing individuals. As a result, the FAA has (3) Will not have a significant Company Model 787–8, 787–9, and 787–10 included all known costs in our cost economic impact, positive or negative, airplanes, certificated in any category. estimate. on a substantial number of small entities (d) Subject Authority for This Rulemaking under the criteria of the Regulatory Air Transport Association (ATA) of Title 49 of the United States Code Flexibility Act. America Code 26, Fire protection. specifies the FAA’s authority to issue List of Subjects in 14 CFR Part 39 (e) Unsafe Condition rules on aviation safety. Subtitle I, Air transportation, Aircraft, Aviation This AD was prompted by reports of Section 106, describes the authority of warpage of internal engine fire handle the FAA Administrator. Subtitle VII, safety, Incorporation by reference, Safety. components that can cause binding and Aviation Programs, describes in more prevent proper operation, and by the detail the scope of the Agency’s Adoption of the Amendment development of a new fire handle design that authority. will prevent the unsafe condition. The FAA The FAA is issuing this rulemaking Accordingly, under the authority is issuing this AD to address a latent failure under the authority described in delegated to me by the Administrator, of the engine fire handle, which could result Subtitle VII, Part A, Subpart III, Section the FAA amends 14 CFR part 39 as in the inability to extinguish an engine fire 44701, General requirements. Under follows: that, if uncontrollable, could lead to wing failure. that section, Congress charges the FAA PART 39—AIRWORTHINESS with promoting safe flight of civil (f) Compliance DIRECTIVES aircraft in air commerce by prescribing Comply with this AD within the regulations for practices, methods, and compliance times specified, unless already ■ 1. The authority citation for part 39 procedures the Administrator finds done. continues to read as follows: necessary for safety in air commerce. (g) Retained Maintenance/Inspection This regulation is within the scope of Authority: 49 U.S.C. 106(g), 40113, 44701. Program Revision, With no Changes that authority because it addresses an § 39.13 [Amended] This paragraph restates the requirements of unsafe condition that is likely to exist or paragraph (g) of AD 2019–02–03, with no develop on products identified in this ■ 2. The FAA amends § 39.13 by: changes. Within 14 days after February 22, rulemaking action. ■ a. Removing Airworthiness Directive 2019 (the effective date of AD 2019–02–03), revise the existing maintenance or inspection Regulatory Findings (AD) 2019–02–03, Amendment 39– 19550 (84 FR 2437, February 7, 2019), program, as applicable, to add airworthiness The FAA has determined that this AD and limitation 28–AWL–FIRE, by incorporating the information specified in figure 1 to will not have federalism implications ■ b. Adding the following new AD: under Executive Order 13132. This AD paragraph (g) of this AD into the 2021–02–06 The Boeing Company: Airworthiness Limitations Section of the will not have a substantial direct effect Instructions for Continued Airworthiness. on the States, on the relationship Amendment 39–21389; Docket No. FAA–2020–0580; Product Identifier The initial compliance time for between the national government and 2020–NM–052–AD. accomplishing the actions specified in figure the States, or on the distribution of 1 to paragraph (g) of this AD is within 45 power and responsibilities among the (a) Effective Date days after February 22, 2019. various levels of government. This AD is effective March 30, 2021. BILLING CODE 4910–13–P
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(h) Retained Restrictions on Alternative intervals may be used unless the actions or SB260008–00 RB, Issue 001, dated March 10, Actions and Intervals, With New Exception intervals are approved as an alternative 2020: At the applicable times specified in the This paragraph restates the requirements of method of compliance (AMOC) in ‘‘Compliance’’ paragraph of Boeing paragraph (h) of AD 2019–02–03, with a new accordance with the procedures specified in Requirements Bulletin B787–81205– exception. Except as required by paragraph paragraph (p) of this AD. SB260008–00 RB, Issue 001, dated March 10, (k) of this AD: After accomplishment of the 2020, except as specified by paragraph (j) of (i) New Required Actions existing maintenance or inspection program this AD, do all applicable actions identified revision required by paragraph (g) of this AD, For the airplanes identified in Boeing in, and in accordance with, the no alternative actions (e.g., inspections) or Requirements Bulletin B787–81205– Accomplishment Instructions of Boeing
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Requirements Bulletin B787–81205– dated March 10, 2020, uses the phrase ‘‘the Continued Airworthiness. It is acceptable to SB260008–00 RB, Issue 001, dated March 10, issue 001 date of Requirements Bulletin change the limitation number from 28–AWL– 2020. B787–81205–SB260008–00 RB,’’ this AD FIRE to 26–AWL–FIRE, provided the rest of Note 1 to paragraph (i): Guidance for requires using ‘‘the effective date of this AD.’’ the information in figure 2 to paragraph (k) accomplishing the actions required by of this AD remains unchanged. The initial paragraph (i) of this AD can be found in (k) New Maintenance/Inspection Program Boeing Service Bulletin B787–81205– Revision compliance time for accomplishing the SB260008–00, Issue 001, dated March 10, Except as provided by paragraph (l) of this actions specified in figure 2 to paragraph (k) 2020, which is referred to in Boeing AD: Prior to or concurrently with the actions of this AD is within 30 days after Requirements Bulletin B787–81205– specified in paragraph (i) of this AD, or accomplishing the last 28–AWL–FIRE or 26– SB260008–00 RB, Issue 001, dated March 10, within 30 days after the effective date of the AWL–FIRE task, as applicable. 2020. AD, whichever occurs later; revise the Accomplishing the revision required by this existing maintenance or inspection program, (j) Exception to Service Information paragraph terminates the actions required by as applicable, by incorporating the paragraph (g) of this AD. Specifications information specified in figure 2 to paragraph Where Boeing Requirements Bulletin (k) of this AD into the Airworthiness B787–81205–SB260008–00 RB, Issue 001, Limitations Section of the Instructions for
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BILLING CODE 4910–13–C accomplishing the last 28–AWL–FIRE or 26– 001, dated February 22, 2019. Repeat the (l) Alternative Operational Check AWL–FIRE task or accomplishing the last operational check thereafter at intervals not operational check of the engine fire handle in to exceed 30 days. Accomplishing the initial For Model 787–8, –9, and –10 airplanes equipped with an engine fire control panel accordance with Boeing Requirements check specified in this paragraph terminates having part number 412600–001 or an engine Bulletin B787–81205–SB260007–00 RB, Issue the actions required by paragraph (g) of this fire shutoff switch having part number 001, dated February 22, 2019; perform an AD. 417000–101 or 417000–102: As an alternative operational check of the engine fire handle in Note 2 to paragraph (l): Guidance for to performing the actions required by accordance with Boeing Requirements accomplishing the actions specified in paragraph (k) of this AD, within 30 days after Bulletin B787–81205–SB260007–00 RB, Issue paragraph (l) of this AD can be found in
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Boeing Service Bulletin B787–81205– Branch, 2200 South 216th St., Des Moines, –1B74/75/P2, –1B76/P2, and –1B76A/ SB260007–00, Issue 001, dated February 22, WA 98198; phone and fax: 206–231–3553; P2 model turbofan engines. This AD 2019, which is referred to in Boeing email: [email protected]. was prompted by a report of a crack in Requirements Bulletin B787–81205– the outer fuel manifold causing fuel SB260007–00 RB, Issue 001, dated February (r) Material Incorporated by Reference 22, 2019. (1) The Director of the Federal Register leakage. This AD requires initial and approved the incorporation by reference repetitive visual inspections of the (m) New Restrictions on Alternative Actions (IBR) of the service information listed in this cushioned loop clamp (p-clamp) and, and Intervals paragraph under 5 U.S.C. 552(a) and 1 CFR depending on the results of the After accomplishment of the existing part 51. inspection, a spot fluorescent penetrant maintenance or inspection program revision (2) You must use this service information inspection (FPI) of the outer fuel required by paragraph (k) of this AD, no as applicable to do the actions required by manifold. Depending on the results of alternative actions (e.g., inspections) or this AD, unless the AD specifies otherwise. the FPI, this AD may require intervals may be used unless the actions or (i) Boeing Requirements Bulletin B787– intervals are approved as an AMOC in 81205–SB260007–00 RB, Issue 001, dated replacement of the outer fuel manifold. accordance with the procedures specified in February 22, 2019. This AD also requires initial and paragraph (p) of this AD. (ii) Boeing Requirements Bulletin B787– repetitive replacements of the p-clamp. The FAA is issuing this AD to address (n) Terminating Action for Repetitive 81205–SB260008–00 RB, Issue 001, dated Inspections March 10, 2020. the unsafe condition on these products. (3) For service information identified in DATES: This AD is effective March 30, Accomplishment of the actions required by this AD, contact Boeing Commercial paragraph (i) of this AD on all affected 2021. Airplanes, Attention: Contractual & Data The Director of the Federal Register airplanes in an operator’s fleet terminates the Services (C&DS), 2600 Westminster Blvd., requirements of paragraph (k) of this AD. MC 110–SK57, Seal Beach, CA 90740–5600; approved the incorporation by reference of a certain publication listed in this AD (o) Parts Installation Prohibition telephone 562–797–1717; internet https:// www.myboeingfleet.com. as of March 30, 2021. For Model 787–8, –9, and –10 airplanes, (4) You may view this service information ADDRESSES: For service information except those identified in Boeing at the FAA, Airworthiness Products Section, Requirements Bulletin B787–81205– identified in this final rule, contact Operational Safety Branch, 2200 South 216th SB260008–00 RB, Issue 001, dated March 10, General Electric Company, 1 Neumann St., Des Moines, WA. For information on the 2020: As of the effective date of this AD, no Way, Cincinnati, OH 45215; phone: availability of this material at the FAA, call person may install on any airplane any (513) 552–3272; email: 206–231–3195. engine fire control panel having part number (5) You may view this service information [email protected]; (P/N) 412600–001, or any engine fire shutoff that is incorporated by reference at the website: www.ge.com. You may view switch having P/N 417000–101 or P/N National Archives and Records this service information at the FAA, 417000–102. Administration (NARA). For information on Airworthiness Products Section, (p) Alternative Methods of Compliance the availability of this material at NARA, Operational Safety Branch, 1200 District (AMOCs) email [email protected], or go to: https:// Avenue, Burlington, MA 01803. For (1) The Manager, Seattle ACO Branch, www.archives.gov/federal-register/cfr/ibr- information on the availability of this FAA, has the authority to approve AMOCs locations.html. material at the FAA, call (781) 238– for this AD, if requested using the procedures Issued on January 7, 2021. 7759. It is also available at https:// found in 14 CFR 39.19. In accordance with Lance T. Gant, www.regulations.gov by searching for 14 CFR 39.19, send your request to your and locating Docket No. FAA–2020– principal inspector or local Flight Standards Director, Compliance & Airworthiness District Office, as appropriate. If sending Division, Aircraft Certification Service. 0653. information directly to the manager of the [FR Doc. 2021–03567 Filed 2–22–21; 8:45 am] Examining the AD Docket certification office, send it to the attention of BILLING CODE 4910–13–P the person identified in paragraph (q) of this You may examine the AD docket at AD. Information may be emailed to: 9-ANM- https://www.regulations.gov by [email protected]. DEPARTMENT OF TRANSPORTATION searching for and locating Docket No. (2) Before using any approved AMOC, FAA–2020–0653; or in person at Docket notify your appropriate principal inspector, Federal Aviation Administration Operations between 9 a.m. and 5 p.m., or lacking a principal inspector, the manager Monday through Friday, except Federal of the local flight standards district office/ holidays. The AD docket contains this certificate holding district office. 14 CFR Part 39 final rule, any comments received, and (3) An AMOC that provides an acceptable [Docket No. FAA–2020–0653; Project level of safety may be used for any repair, Identifier AD–2020–00631–E; Amendment other information. The address for modification, or alteration required by this 39–21390; AD 2021–02–07] Docket Operations is U.S. Department of AD if it is approved by The Boeing Company Transportation, Docket Operations, Organization Designation Authorization RIN 2120–AA64 M–30, West Building Ground Floor, (ODA) that has been authorized by the Room W12–140, 1200 New Jersey Manager, Seattle ACO Branch, FAA, to make Airworthiness Directives; General Avenue SE, Washington, DC 20590. those findings. To be approved, the repair Electric Company Turbofan Engines method, modification deviation, or alteration FOR FURTHER INFORMATION CONTACT: deviation must meet the certification basis of AGENCY: Federal Aviation Mehdi Lamnyi, Aviation Safety the airplane, and the approval must Administration (FAA), DOT. Engineer, ECO Branch, FAA, 1200 specifically refer to this AD. ACTION: Final rule. District Avenue, Burlington, MA 01803; (4) AMOCs approved previously for AD phone: (781) 238–7743; fax: (781) 238– 2019–02–03 are approved as AMOCs for the SUMMARY: The FAA is adopting a new 7199; email: [email protected]. corresponding provisions of paragraph (g) of airworthiness directive (AD) for all SUPPLEMENTARY INFORMATION: this AD. General Electric Company (GE) GEnx– (q) Related Information 1B64, –1B64/P1, –1B64/P2, –1B67, Background For more information about this AD, –1B67/P1, –1B67/P2, –1B70, –1B70/75/ The FAA issued a notice of proposed contact Tak Kobayashi, Aerospace Engineer, P1, –1B70/75/P2, –1B70/P1, –1B70/P2, rulemaking (NPRM) to amend 14 CFR Propulsion Section, FAA, Seattle ACO –1B70C/P1, –1B70C/P2, –1B74/75/P1, part 39 by adding an AD that would
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apply to all GE GEnx–1B64, –1B64/P1, GE GEnx–1B Service Bulletin (SB) 73– of leakage is found and replacing it with –1B64/P2, –1B67, –1B67/P1, –1B67/P2, 0080 R01, dated August 29, 2019, a part eligible for installation. This AD –1B70, –1B70/75/P1, –1B70/75/P2, references GE GEnx–1B SB 73–0053 for does not require sending an outer fuel –1B70/P1, –1B70/P2, –1B70C/P1, instructions to replace the outer fuel manifold removed in accordance with –1B70C/P2, –1B74/75/P1, –1B74/75/P2, manifold. GE noted that GE GEnx–1B paragraph (g)(2)(i) of this AD for repair. –1B76/P2, and –1B76A/P2 model SB 73–0053 estimates that two hours are The FAA clarified this by adding turbofan engines. The NPRM published needed to replace the outer fuel paragraph (i), No Repair Requirement, to in the Federal Register on July 20, 2020 manifold. GE stated that the discrepancy this AD. (85 FR 43752). The NPRM was between the NPRM and service prompted by a report of a crack in the information could cause confusion or Request To Clarify if Need To Comply outer fuel manifold causing fuel leakage. lead operators to opt to remove the Again In the NPRM, the FAA proposed to engine to perform the outer fuel Ethiopian Airlines asked if operators require initial and repetitive visual manifold replacement. who inspected and replaced the affected inspections of the p-clamp and, The FAA agrees. The FAA changed p-clamp using GE GEnx–1B SB 73–0080 depending on the results of the the estimated labor hours for replacing R01, dated August 29, 2019, before the inspection, a spot FPI of the outer fuel the outer fuel manifold in the On- effective date of this AD, need to manifold. Depending on the results of Condition Costs section of this AD from comply again. the FPI, the NPRM proposed to require 250 work hours to 2 work hours. The If operators performed the initial replacement of the outer fuel manifold. FAA also changed the estimated cost visual inspection and replacement of The NPRM also proposed to require per product for replacing the outer fuel the p-clamp as required by paragraphs initial and repetitive replacements of manifold in the On-Condition Costs (g)(1) and (3) of this AD before the the p-clamp. The FAA is issuing this AD section of this AD from $39,650 to effective date of this AD, then these to address the unsafe condition on these $18,570, which reflects the reduction in actions meet the initial visual products. labor hours. inspection and replacement requirements of this AD. Paragraph (f), Discussion of Final Airworthiness Request To Allow Use of Later Compliance, of this AD requires Directive Revisions of Service Information compliance with this AD within the Comments AAL and UAL requested that the FAA times specified, unless already done. If The FAA received comments from six add the phrase ‘‘or later’’ when the initial visual inspection and commenters. The commenters were Air referencing the service information in replacement of the p-clamp was already Lines Pilots Association, International this AD. AAL stated that the performed prior to the effective date of (ALPA); American Airlines (AAL); manufacturer indicated that the service this AD, operators must perform the Boeing Commercial Airplanes (Boeing); information is intended only to be a repetitive inspections, follow-on- GE Aviation (GE); Ethiopian Airlines; containment measure. Specifying ‘‘or actions, and replacements of the p- and United Airlines (UAL). One later’’ could prevent numerous requests clamp required by paragraphs (g)(1)(i), commenter requested changes to for Alternative Methods of Compliance (2), and (3) of this AD using the stated paragraph (g), Required Actions, of this if the manufacturer revises the service compliance intervals. information. UAL stated that the AD and to On-Condition Costs. Two Support for the AD commenters requested a change to manufacturer is developing a compliance that was not implemented. terminating action and, as a result, a AAL, ALPA, Boeing, and UAL Two commenters requested clarification revision to the service information is expressed support for the AD. expected. of the AD requirements. Four of the six Conclusion commenters expressed support for the The FAA disagrees with adding AD. The following presents the language that allows the use of later The FAA reviewed the relevant data, comments received on the NPRM and revisions of the service information considered any comments received, and the FAA’s response to each comment. when performing the required actions of determined that air safety requires this AD. Later revisions of the service adopting this AD as proposed. Request To Add Affected P-Clamp information have not been published by Accordingly, the FAA is issuing this AD Significant Item Number (SIN) the manufacturer or reviewed by the to address the unsafe condition on these GE requested that the FAA update FAA. products. Except for minor editorial paragraph (g), Required Actions, of this changes and any other changes Request To Clarify Sending the Outer described previously, this AD is AD to include the affected p-clamp SIN Fuel Manifold for Repair when the p-clamp is referenced. GE adopted as proposed in the NPRM. recognized that the p-clamp SIN is AAL requested that the FAA clarify if None of the changes will increase the defined in paragraph (h), Definition, of the removed outer fuel manifold needs economic burden on any operator. this AD. However, GE reasoned that as to be sent for repair. AAL cited references within paragraph 3.B.(4)(b) of Related Service Information Under 1 there are multiple p-clamps to be CFR Part 51 inspected per GEnx–1B Engine Manual, GE GEnx–1B SB 73–0080 R01, dated 05–21–00, MANDATORY INSPECTION, August 29, 2019, that instructs operators The FAA reviewed GE GEnx–1B SB listing the p-clamp SIN in paragraph (g) to send removed outer fuel manifolds 73–0080 R01, dated August 29, 2019. of this AD avoids confusion. for repair. This SB describes procedures for The FAA agrees to include the p- The FAA agrees that sending a replacing the p-clamp located at the clamp SIN in paragraph (g) of this AD. removed outer fuel manifold for repair, signal fuel tube hose, SIN 34200, and as stated in paragraph 3.B.(4)(b) of GE instructions for removing the signal fuel Request To Update On-Condition Cost GEnx–1B SB 73–0080 R01, dated tube hose when a p-clamp is found GE requested that the FAA revise the August 29, 2019, is not mandated by damaged or missing. This service replacement of the outer fuel manifold this AD. This AD addresses the unsafe information is reasonably available in On-Condition Costs from 250 work condition by requiring the removal of an because the interested parties have hours to 2 work hours. GE reasoned that outer fuel manifold if a crack or a sign access to it through their normal course
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of business or by the means identified reviewing this unsafe condition and Costs of Compliance in ADDRESSES. may develop a terminating action. The FAA estimates that this AD Interim Action affects 190 engines installed on airplanes of U.S. registry. The FAA considers this AD interim The FAA estimates the following action. The manufacturer is still costs to comply with this AD:
ESTIMATED COSTS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Visually inspect the p-clamp ...... 0.25 work-hours × $85 per hour = $21.25 ..... $0 $21.25 $4,037.50 Replace the p-clamp ...... 0.25 work-hours × $85 = $21.25 ...... 102 123.25 23,417.50
The FAA estimates the following the results of the visual inspection. The number of aircraft that require FPI or costs to do any necessary FPIs and agency has no way of determining the replacement: replacements that are required based on
ON-CONDITION COSTS
Cost per Action Labor cost Parts cost product
FPI the outer fuel manifold ...... 2.5 work-hours × $85 per hour = $212.50 ...... $0 $212.50 Replace the outer fuel manifold ...... 2 work-hours × $85 per hour = $170 ...... 18,400 18,570
Authority for This Rulemaking (2) Will not affect intrastate aviation (c) Applicability in Alaska, and Title 49 of the United States Code This AD applies to all General Electric (3) Will not have a significant Company (GE) GEnx–1B64, –1B64/P1, specifies the FAA’s authority to issue economic impact, positive or negative, –1B64/P2, –1B67, –1B67/P1, –1B67/P2, rules on aviation safety. Subtitle I, on a substantial number of small entities –1B70, –1B70/75/P1, –1B70/75/P2, –1B70/ section 106, describes the authority of under the criteria of the Regulatory P1, –1B70/P2, –1B70C/P1, –1B70C/P2, the FAA Administrator. Subtitle VII: –1B74/75/P1, –1B74/75/P2, –1B76/P2, and Flexibility Act. Aviation Programs, describes in more –1B76A/P2 model turbofan engines. detail the scope of the Agency’s List of Subjects in 14 CFR Part 39 (d) Subject authority. Air transportation, Aircraft, Aviation Joint Aircraft System Component (JASC) The FAA is issuing this rulemaking safety, Incorporation by reference, Code 7310, Engine Fuel Distribution. under the authority described in Safety. Subtitle VII, Part A, Subpart III, Section (e) Unsafe Condition 44701: General requirements. Under The Amendment This AD was prompted by a report of a crack in the outer fuel manifold causing fuel that section, Congress charges the FAA Accordingly, under the authority with promoting safe flight of civil leakage. The FAA is issuing this AD to delegated to me by the Administrator, prevent failure of the outer fuel manifold. aircraft in air commerce by prescribing the FAA amends 14 CFR part 39 as The unsafe condition, if not addressed, could regulations for practices, methods, and follows: result in engine fire and damage to the procedures the Administrator finds airplane. necessary for safety in air commerce. PART 39—AIRWORTHINESS (f) Compliance This regulation is within the scope of DIRECTIVES that authority because it addresses an Comply with this AD within the unsafe condition that is likely to exist or ■ 1. The authority citation for part 39 compliance times specified, unless already done. develop on products identified in this continues to read as follows: rulemaking action. Authority: 49 U.S.C. 106(g), 40113, 44701. (g) Required Actions Regulatory Findings (1) Within 500 flight cycles (FCs) after the § 39.13 [Amended] effective date of this AD, perform a visual This AD will not have federalism ■ 2. The FAA amends § 39.13 by adding inspection of the cushioned loop clamp (p-clamp), significant item number (SIN) implications under Executive Order the following new airworthiness 13132. This AD will not have a 34282, to verify the p-clamp is undamaged directive: and installed. substantial direct effect on the States, on 2021–02–07 General Electric Company: (i) Thereafter, perform the visual the relationship between the national Amendment 39–21390; Docket No. inspection required by (g)(1) of this AD at government and the States, or on the FAA–2020–0653; Project Identifier AD– intervals not to exceed 500 FCs since the last distribution of power and 2020–00631–E. inspection. responsibilities among the various (ii) [Reserved] levels of government. (a) Effective Date (2) If, during any visual inspection For the reasons discussed above, I This airworthiness directive (AD) is required by paragraphs (g)(1) or (g)(1)(i) of effective March 30, 2021. this AD, the p-clamp (SIN 34282) is outside certify that this AD: of the limits in paragraph 3.B.(4) of GE (1) Is not a ‘‘significant regulatory (b) Affected ADs GEnx–1B Service Bulletin (SB) 73–0080 R01, action’’ under Executive Order 12866, None. dated August 29, 2019, or if the p-clamp (SIN
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34282) is missing, perform a spot fluorescent (i) General Electric Company (GE) GEnx– to address the unsafe condition on these penetrant inspection of the outer fuel 1B Service Bulletin 73–0080 R01, dated products. manifold, part number (P/N) 2403M46G01, August 29, 2019. SIN 34302, using Accomplishment (ii) [Reserved] DATES: This AD is effective March 30, Instructions, paragraph 3.B.(4)(b), of GE (3) For GE service information identified in 2021. GEnx–1B SB 73–0080 R01, dated August 29, this AD, contact General Electric Company, The Director of the Federal Register 2019. 1 Neumann Way, Cincinnati, OH 45215; approved the incorporation by reference (i) If a crack or a sign of fuel leakage is phone: (513) 552–3272; email: of a certain publication listed in this AD found, before further flight, remove the outer [email protected]; website: as of March 30, 2021. fuel manifold, P/N 2403M46G01, SIN 34302, www.ge.com. from service and replace with a part eligible (4) You may view this service information ADDRESSES: For service information for installation. at FAA, Airworthiness Products Section, identified in this final rule, contact (ii) [Reserved] Operational Safety Branch, 1200 District Airbus Canada Limited Partnership, (3) Within 500 FCs after the effective date Avenue, Burlington, MA 01803. For 13100 Henri-Fabre Boulevard, Mirabel, of this AD, and thereafter at intervals not to information on the availability of this Que´bec, J7N 3C6, Canada; telephone exceed 500 FCs from the last p-clamp material at the FAA, call (781) 238–7759. 450–476–7676; email a220_crc@ replacement, replace the p-clamp (SIN (5) You may view this service information abc.airbus; internet http:// 34282) with a new p-clamp (SIN 34282). that is incorporated by reference at the National Archives and Records a220world.airbus.com. You may view Complete this required action after this referenced service information at performing the visual inspections required by Administration (NARA). For information on paragraphs (g)(1) and (g)(1)(i) of this AD. the availability of this material at NARA, the FAA, Airworthiness Products email: [email protected], or go to: Section, Operational Safety Branch, (h) Definition https://www.archives.gov/federal-register/cfr/ 2200 South 216th St., Des Moines, WA. For the purpose of this AD, a p-clamp is ibr-locations.html. For information on the availability of a clamp, P/N J1432P12, with SIN 34282, Issued on January 8, 2021. this material at the FAA, call 206–231– located at the signal fuel tube hose, SIN Lance T. Gant, 3195. It is also available on the internet 34200, as shown in Accomplishment at https://www.regulations.gov by Instructions, paragraph 3, Figure 1, ‘‘Outer Director, Compliance & Airworthiness Division, Aircraft Certification Service. searching for and locating Docket No. Fuel Manifold and Clamp Location,’’ of GE FAA–2020–1110. GEnx–1B SB 73–0080 R01, dated August 29, [FR Doc. 2021–03571 Filed 2–22–21; 8:45 am] 2019. BILLING CODE 4910–13–P Examining the AD Docket (i) No Repair Requirement You may examine the AD docket on Sending a removed outer fuel manifold for DEPARTMENT OF TRANSPORTATION the internet at https:// repair, as set forth in the Accomplishment www.regulations.gov by searching for Instructions, paragraph 3.B.(4)(b), of GE Federal Aviation Administration and locating Docket No. FAA–2020– GEnx–1B SB 73–0080 R01, dated August 29, 1110; or in person at Docket Operations 2019, is not required by this AD. 14 CFR Part 39 between 9 a.m. and 5 p.m., Monday (j) Alternative Methods of Compliance through Friday, except Federal holidays. (AMOCs) [Docket No. FAA–2020–1110; Project The AD docket contains this final rule, Identifier MCAI–2020–01003–T; Amendment (1) The Manager, ECO Branch, FAA, has any comments received, and other 39–21426; AD 2021–04–05] the authority to approve AMOCs for this AD, information. The address for Docket if requested using the procedures found in 14 RIN 2120–AA64 Operations is U.S. Department of CFR 39.19. In accordance with 14 CFR 39.19, Transportation, Docket Operations, send your request to your principal inspector Airworthiness Directives; Airbus M–30, West Building Ground Floor, or local Flight Standards District Office, as Canada Limited Partnership (Type Room W12–140, 1200 New Jersey appropriate. If sending information directly Certificate Previously Held by C Series Avenue SE, Washington, DC 20590. to the manager of the certification office, send it to the attention of the person Aircraft Limited Partnership (CSALP); FOR FURTHER INFORMATION CONTACT: identified in Related Information. You may Bombardier, Inc.) Airplanes Andrea Jimenez, Aerospace Engineer, email your request to: ANE-AD-AMOC@ AGENCY: Federal Aviation Airframe and Propulsion Section, FAA, faa.gov. New York ACO Branch, 1600 Stewart (2) Before using any approved AMOC, Administration (FAA), Department of Transportation (DOT). Avenue, Suite 410, Westbury, NY notify your appropriate principal inspector, 11590; telephone: 516–228–7330; fax: or lacking a principal inspector, the manager ACTION: Final rule. of the local flight standards district office/ 516–794–5531; email: 9-avs-nyaco-cos@ certificate holding district office. SUMMARY: The FAA is superseding faa.gov. (k) Related Information Airworthiness Directive (AD) 2019–23– SUPPLEMENTARY INFORMATION: 15, which applied to certain Airbus Discussion For more information about this AD, Canada Limited Partnership Model BD– contact Mehdi Lamnyi, Aviation Safety Engineer, ECO Branch, FAA, 1200 District 500–1A10 and BD–500–1A11 airplanes. Transport Canada Civil Aviation Avenue, Burlington, MA 01803; phone: (781) AD 2019–23–15 required revising the (TCCA), which is the aviation authority 238–7743; fax: (781) 238–7199; email: existing maintenance or inspection for Canada, has issued TCCA AD CF– [email protected]. program, as applicable, to incorporate 2020–25, dated July 16, 2020 (also new or more restrictive airworthiness referred to as the Mandatory Continuing (l) Material Incorporated by Reference limitations. This AD requires revising Airworthiness Information, or the (1) The Director of the Federal Register the existing maintenance or inspection MCAI), to correct an unsafe condition approved the incorporation by reference program, as applicable, to incorporate for certain Airbus Canada Limited (IBR) of the service information listed in this paragraph under 5 U.S.C. 552(a) and 1 CFR new or more restrictive airworthiness Partnership Model BD–500–1A10 and part 51. limitations. This AD was prompted by BD–500–1A11 airplanes. You may (2) You must use this service information a determination that new or more examine the MCAI in the AD docket on as applicable to do the actions required by restrictive airworthiness limitations are the internet at https:// this AD, unless the AD specifies otherwise. necessary. The FAA is issuing this AD www.regulations.gov by searching for
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and locating Docket No. FAA–2020– FAA estimates the following costs to Adoption of the Amendment 1110. comply with this AD: Accordingly, under the authority The FAA issued a notice of proposed The FAA has determined that revising delegated to me by the Administrator, rulemaking (NPRM) to amend 14 CFR the maintenance or inspection program the FAA amends 14 CFR part 39 as part 39 to supersede AD 2019–23–15, takes an average of 90 work-hours per follows: Amendment 39–19809 (84 FR 67830, operator, although the agency December 12, 2019) (AD 2019–23–15). recognizes that this number may vary PART 39—AIRWORTHINESS AD 2019–23–15 applied to certain from operator to operator. Since DIRECTIVES Airbus Canada Limited Partnership operators incorporate maintenance or Model BD–500–1A10 and BD–500– inspection program changes for their ■ 1. The authority citation for part 39 1A11 airplanes. The NPRM published in affected fleet(s), the FAA has continues to read as follows: the Federal Register on December 7, determined that a per-operator estimate Authority: 49 U.S.C. 106(g), 40113, 44701. 2020 (85 FR 78805). The NPRM was is more accurate than a per-airplane prompted by a determination that new estimate. Therefore, the agency § 39.13 [Amended] or more restrictive airworthiness estimates the average total cost per ■ 2. The FAA amends § 39.13 by: limitations are necessary. The NPRM operator to be $7,650 (90 work-hours × ■ a. Removing Airworthiness Directive proposed to require revising the existing $85 per work-hour). (AD) 2019–23–15, Amendment 39– 19809 (84 FR 67830, December 12, maintenance or inspection program, as Authority for This Rulemaking applicable, to incorporate new or more 2019), and restrictive airworthiness limitations. Title 49 of the United States Code ■ b. Adding the following new AD: The FAA is issuing this AD to address specifies the FAA’s authority to issue 2021–04–05 Airbus Canada Limited reduced structural integrity of the rules on aviation safety. Subtitle I, Partnership (Type Certificate Previously airplane or reduced controllability of section 106, describes the authority of Held by C Series Aircraft Limited the airplane. See the MCAI for the FAA Administrator. Subtitle VII: Partnership (CSALP); Bombardier, Inc.): additional background information. Aviation Programs, describes in more Amendment 39–21426; Docket No. detail the scope of the Agency’s FAA–2020–1110; Project Identifier Comments authority. MCAI–2020–01003–T. The FAA gave the public the The FAA is issuing this rulemaking (a) Effective Date opportunity to participate in developing under the authority described in This airworthiness directive (AD) is this final rule. The FAA has considered Subtitle VII, Part A, Subpart III, Section effective March 30, 2021. 44701: General requirements. Under the comment received. The Air Line (b) Affected ADs Pilots Association, International (ALPA) that section, Congress charges the FAA This AD replaces AD 2019–23–15, stated that it supports the NPRM. with promoting safe flight of civil aircraft in air commerce by prescribing Amendment 39–19809 (84 FR 67830, Conclusion regulations for practices, methods, and December 12, 2019). The FAA reviewed the relevant data, procedures the Administrator finds (c) Applicability considered the comment received, and necessary for safety in air commerce. This AD applies to the Airbus Canada determined that air safety and the This regulation is within the scope of Limited Partnership (type certificate public interest require adopting this that authority because it addresses an previously held by C Series Aircraft Limited final rule as proposed, except for minor unsafe condition that is likely to exist or Partnership (CSALP); Bombardier, Inc.) editorial changes. The FAA has develop on products identified in this Model BD–500–1A10 and BD–500–1A11 rulemaking action. airplanes, certificated in any category, determined that these minor changes: identified in paragraphs (c)(1) and (2) of this • Are consistent with the intent that Regulatory Findings AD. was proposed in the NPRM for The FAA determined that this AD (1) Model BD–500–1A10 airplanes, serial addressing the unsafe condition; and will not have federalism implications numbers 50001 and subsequent with an • Do not add any additional burden original airworthiness certificate or original under Executive Order 13132. This AD export certificate of airworthiness issued on upon the public than was already will not have a substantial direct effect proposed in the NPRM. or before June 18, 2020. on the States, on the relationship (2) Model BD–500–1A11 airplanes, serial Related Service Information Under 1 between the national government and numbers 55001 and subsequent with an CFR Part 51 the States, or on the distribution of original airworthiness certificate or original power and responsibilities among the export certificate of airworthiness issued on Airbus Canada Limited Partnership various levels of government. or before June 18, 2020. has issued A220 Airworthiness For the reasons discussed above, I (d) Subject Limitations BD500–3AB48–11400–02, certify that this AD: Air Transport Association (ATA) of Issue 011.00, dated June 18, 2020. This (1) Is not a ‘‘significant regulatory service information describes America Code 05, Time Limits/Maintenance action’’ under Executive Order 12866, Checks. airworthiness limitations for fuel tank (2) Will not affect intrastate aviation systems, safe life limits, and in Alaska, and (e) Reason certification maintenance requirements. (3) Will not have a significant This AD was prompted by a determination This service information is reasonably economic impact, positive or negative, that new or more restrictive airworthiness available because the interested parties on a substantial number of small entities limitations are necessary. The FAA is issuing have access to it through their normal under the criteria of the Regulatory this AD to address reduced structural course of business or by the means Flexibility Act. integrity of the airplane or reduced controllability of the airplane. identified in the ADDRESSES section. List of Subjects in 14 CFR Part 39 (f) Compliance Costs of Compliance Air transportation, Aircraft, Aviation Comply with this AD within the The FAA estimates that this AD safety, Incorporation by reference, compliance times specified, unless already affects 11 airplanes of U.S. registry. The Safety. done.
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(g) New Maintenance or Inspection Program Suite 410, Westbury, NY 11590; telephone: extending upward from 700 feet is Revision 516–228–7330; fax: 516–794–5531; email: 9- amended to ensure it does not extend Within 90 days after the effective date of [email protected]. beyond 12 nautical miles from the outer this AD, revise the existing maintenance or (k) Material Incorporated by Reference shoreline of the Atoll into international inspection program, as applicable, to airspace. incorporate the information specified in (1) The Director of the Federal Register DATES: Effective 0901 UTC, April 22, Airbus Canada Limited Partnership A220 approved the incorporation by reference Airworthiness Limitations, BD500–3AB48– (IBR) of the service information listed in this 2021. The Director of the Federal 11400–02, Issue 011.00, dated June 18, 2020. paragraph under 5 U.S.C. 552(a) and 1 CFR Register approves this incorporation by The initial compliance time for doing the part 51. reference action under Title 1 Code of tasks is at the time specified in Airbus (2) You must use this service information Federal Regulations part 51, subject to Canada Limited Partnership A220 as applicable to do the actions required by the annual revision of FAA Order Airworthiness Limitations, BD500–3AB48– this AD, unless this AD specifies otherwise. (i) Airbus Canada Limited Partnership 7400.11and publication of conforming 11400–02, Issue 011.00, dated June 18, 2020, amendments. or within 90 days after the effective date of A220 Airworthiness Limitations, BD500– this AD, whichever occurs later. 3AB48–11400–02, Issue 011.00, dated June ADDRESSES: FAA Order 7400.11E, 18, 2020. Airspace Designations and Reporting (h) New No Alternative Actions, Intervals, or (ii) [Reserved] Critical Design Configuration Control Points, and subsequent amendments can (3) For service information identified in be viewed online at https:// Limitations (CDCCLs) this AD, contact Airbus Canada Limited www.faa.gov/air_traffic/publications/. After the existing maintenance or Partnership, 13100 Henri-Fabre Boulevard, inspection program has been revised as Mirabel, Que´bec, J7N 3C6, Canada; telephone For further information, contact the required by paragraph (g) of this AD, no 450–476–7676; email [email protected]; Airspace Policy Group, Federal Aviation alternative actions (e.g., inspections), internet http://a220world.airbus.com. Administration, 800 Independence intervals, or CDCCLs may be used unless the (4) You may view this service information Avenue SW, Washington, DC 20591; actions, intervals, and CDCCLs are approved at the FAA, Airworthiness Products Section, telephone: (202) 267–8783. The Order is as an alternative method of compliance Operational Safety Branch, 2200 South 216th also available for inspection at the (AMOC) in accordance with the procedures St., Des Moines, WA. For information on the National Archives and Records specified in paragraph (i)(1) of this AD. availability of this material at the FAA, call Administration (NARA). 206–231–3195. For information on the availability of (i) Other FAA AD Provisions (5) You may view this service information The following provisions also apply to this that is incorporated by reference at the FAA Order 7400.11E at NARA, email: AD: National Archives and Records [email protected], or go to https:// (1) Alternative Methods of Compliance Administration (NARA). For information on www.archives.gov/federal-register/cfr/ (AMOCs): The Manager, New York ACO the availability of this material at NARA, ibr-locations.html. Branch, FAA, has the authority to approve email [email protected], or go to: https:// FOR FURTHER INFORMATION CONTACT: AMOCs for this AD, if requested using the www.archives.gov/federal-register/cfr/ibr- Christopher McMullin, Rules and procedures found in 14 CFR 39.19. In locations.html. Regulations Group, Office of Policy, accordance with 14 CFR 39.19, send your Issued on February 4, 2021. request to your principal inspector or Federal Aviation Administration, 800 responsible Flight Standards Office, as Gaetano A. Sciortino, Independence Avenue SW, Washington, appropriate. If sending information directly Deputy Director for Strategic Initiatives, DC 20591; telephone: (202) 267–8783. to the manager of the certification office, Compliance & Airworthiness Division, SUPPLEMENTARY INFORMATION: send it to ATTN: Program Manager, Aircraft Certification Service. Authority for This Rulemaking Continuing Operational Safety, FAA, New [FR Doc. 2021–03578 Filed 2–22–21; 8:45 am] York ACO Branch, 1600 Stewart Avenue, BILLING CODE 4910–13–P The FAA’s authority to issue rules Suite 410, Westbury, NY 11590; telephone regarding aviation safety is found in 516–228–7300; fax 516–794–5531. Before Title 49 of the United States Code. using any approved AMOC, notify your DEPARTMENT OF TRANSPORTATION Subtitle I, Section 106 describes the appropriate principal inspector, or lacking a authority of the FAA Administrator. principal inspector, the manager of the Federal Aviation Administration responsible Flight Standards Office. Subtitle VII, Aviation Programs, (2) Contacting the Manufacturer: For any describes in more detail the scope of the requirement in this AD to obtain instructions 14 CFR Part 71 agency’s authority. This rulemaking is from a manufacturer, the instructions must [Docket No. FAA–2020–0892; Airspace promulgated under the authority be accomplished using a method approved Docket No. 20–AWP–40] described in Subtitle VII, Part A, by the Manager, New York ACO Branch, Subpart I, Section 40103. Under that FAA; or Transport Canada Civil Aviation RIN 2120–AA66 section, the FAA is charged with (TCCA); or Airbus Canada Limited prescribing regulations to assign the use Partnership’s TCCA Design Approval Revocation and Amendment of Class E Organization (DAO). If approved by the DAO, airspace; Bucholz Army Airfield of the airspace necessary to ensure the the approval must include the DAO- Kwajalein Atoll, Republic of the safety of aircraft and the efficient use of authorized signature. Marshall Islands airspace. This regulation is within the scope of that authority as it would (j) Related Information AGENCY: Federal Aviation modify the route structure as necessary (1) Refer to Mandatory Continuing Administration (FAA), DOT. to preserve the safe and efficient flow of Airworthiness Information (MCAI) TCCA AD ACTION: Final rule. air traffic within the National Airspace CF–2020–25, dated July 16, 2020, for related System. information. This MCAI may be found in the SUMMARY: This action removes the Class AD docket on the internet at https:// E airspace designated as an extension to History www.regulations.gov by searching for and locating Docket No. FAA–2020–1110. the Class D airspace and amends the The FAA published a notice of (2) For more information about this AD, Class E airspace extending upward from proposed rulemaking for Docket No. contact Andrea Jimenez, Aerospace Engineer, 700 and 1200 feet AGL at Bucholz AAF, FAA–2020–0892 in the Federal Register Airframe and Propulsion Section, FAA, New Kwajalein Atoll, Republic of the (85 FR 67317; October 22, 2020) York ACO Branch, 1600 Stewart Avenue, Marshall Islands. The Class E airspace removing the Class E airspace
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designated as an extension to the Class Reporting Points, is published yearly warrant preparation of a regulatory D and modifying the Class E airspace and effective on September 15. evaluation as the anticipated impact is extending upward from 700 feet AGL at so minimal. Since this is a routine ICAO Considerations Bucholz AAF, Kwajalein Island. matter that will only affect air traffic Interested parties were invited to As part of this action relates to procedures and air navigation, it is participate in this rulemaking effort by navigable airspace outside the United certified that this proposed rule, when submitting written comments on the States, this notice is submitted in promulgated, will not have a significant proposal. No comments were received. accordance with the International Civil economic impact on a substantial Class E airspace designations are Aviation Organization (ICAO) number of small entities under the published in paragraph 6004 and 6005 International Standards and criteria of the Regulatory Flexibility Act. of FAA Order 7400.11E, dated July 21, Recommended Practices. The 2020 and effective September 15, 2020, application of International Standards Environmental Review which is incorporated by reference in 14 and Recommended Practices by the FAA, Office of System Operations The FAA has determined that this CFR 71.1. The Class D and Class E airspace action of removing the Class E airspace designations listed in this Airspace and AIM, Airspace & Rules, in areas outside the United States domestic airspace designated as an extension to document will be published the Class D and modifying the Class E subsequently in the order. airspace, is governed by the Convention on International Civil Aviation. airspace extending upward from 700 Availability and Summary of Specifically, the FAA is governed by feet AGL at Bucholz AAF, Kwajalein Documents for Incorporation by Article 12 and Annex 11, which pertain Island qualifies for categorical exclusion Reference to the establishment of necessary air under the National Environmental Policy Act (42 U.S.C. 4321 et seq.) and This document amends FAA Order navigational facilities and services to promote the safe, orderly, and its implementing regulations at 40 CFR 7400.11E, Airspace Designations and part 1500, and in accordance with FAA Reporting Points, dated July 21, 2020, expeditious flow of civil air traffic. The purpose of Article 12 and Annex 11 is Order 1050.1F, Environmental Impacts: and effective September 15, 2020. FAA to ensure that civil aircraft operations Policies and Procedures, paragraph 5– Order 7400.11E is publicly available as on international air routes are 6.5a, which categorically excludes from listed in the ADDRESSES section of this performed under uniform conditions. further environmental impact review document. FAA Order 7400.11E lists The International Standards and rulemaking actions that designate or Class A, B, C, D, and E airspace areas, Recommended Practices in Annex 11 modify classes of airspace areas, air traffic service routes, and reporting apply to airspace under the jurisdiction airways, routes, and reporting points points. of a contracting state, derived from (see 14 CFR part 71, Designation of The Rule ICAO. Annex 11 provisions apply when Class A, B, C, D, and E Airspace Areas; air traffic services are provided and a The FAA is amending 14 CFR part 71 Air Traffic Service Routes; and contracting state accepts the by removing the Class E airspace Reporting Points). As such, this action responsibility of providing air traffic designated as an extension to the Class is not expected to result in any services over high seas or in airspace of D and modifying the Class E airspace potentially significant environmental undetermined sovereignty. A extending upward from 700 feet AGL at impacts. In accordance with FAA Order contracting state accepting this Bucholz AAF, Kwajalein Island. 1050.1F, paragraph 5–2 regarding responsibility may apply the Extraordinary Circumstances, the FAA The FAA removes the Class E4 International Standards and has reviewed this action for factors and airspace as aircraft using the published Recommended Practices that are circumstances in which a normally approaches do not descend below 1,000 consistent with standards and practices categorically excluded action may have feet more than 2 miles outside the utilized in its domestic jurisdiction. a significant environmental impact Bucholtz AAF Class D surface area. In accordance with Article 3 of the requiring further analysis. The FAA has Thus, the airspace does not meet the convention, state-owned aircraft are determined that no extraordinary requirements for a Class E airspace area exempt from the Standards and circumstances exist that warrant designated as an extension to a Class D. Recommended Practices of Annex 11. preparation of an environmental In addition, the FAA amends the The United States is a contracting state assessment or environmental impact Class E airspace extending upward from to the Convention. Article 3(d) of the study. 700 feet above the surface of the earth Convention provides that participating by removing that airspace extending state aircraft will be operated in List of Subjects in 14 CFR Part 71 upward from 1,200 feet AGL within a international airspace with due regard Airspace, Incorporation by reference, 100-mile radius of the airport and for the safety of civil aircraft. adding language to exclude anything Navigation (air). Regulatory Notices and Analyses beyond the U.S. Territorial Zone. The Proposed Amendment Class E Airspace Areas Designated as The FAA has determined that this an extension to a Class D or Class E proposed regulation only involves an In consideration of the foregoing, the Surface Area, and Class E Airspace established body of technical Federal Aviation Administration Areas Extending Upward from 700 feet regulations for which frequent and proposes to amend 14 CFR part 71 as or More Above the Surface of the Earth routine amendments are necessary to follows: are published in section 6004, and 6005 keep them operationally current. It, of FAA Order 7400.11E dated July 21, therefore: (1) Is not a ‘‘significant PART 71—DESIGNATION OF CLASS A, 2020, and effective September 15, 2020, regulatory action’’ under Executive B, C, D, AND E AIRSPACE AREAS; AIR which is incorporated by reference in 14 Order 12866; (2) is not a ‘‘significant TRAFFIC SERVICE ROUTES; AND CFR 71.1. The Airspace listed in this rule’’ under Department of REPORTING POINTS document will be subsequently Transportation (DOT) Regulatory published in the Order. FAA Order Policies and Procedures (44 FR 11034; ■ 1. The authority citation for part 71 7400.11, Airspace Designations and February 26, 1979); and (3) does not continues to read as follows:
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Authority: 49 U.S.C. 106(f), 106(g); 40103, caused by the decommissioning of the 2020) for Docket No. FAA–2020–1016 to 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, Monticello very high frequency amend Class E airspace extending 1959–1963 Comp., p. 389. omnidirectional range (VOR) upward from 700 feet above the surface § 71.1 [Amended] navigational aid as part of the VOR at Billy Free Municipal Airport, Dumas, Minimum Operational Network (MON) AR, by removing the Monticello VOR ■ 2. The incorporation by reference in Program. and associated extension from the 14 CFR 71.1 of FAA Order 7400.11E, airspace legal description; and removing Airspace Designations and Reporting DATES: Effective 0901 UTC, April 22, the city associated with the airport to Points, dated July 21, 2020 and effective 2021. The Director of the Federal comply with changes to FAA Order September 15, 2020, is amended as Register approves this incorporation by 7400.2M, Procedures for Handling follows: reference action under Title 1 Code of Federal Regulations part 51, subject to Airspace Matters. Paragraph 6004 Class E Airspace Areas the annual revision of FAA Order Interested parties were invited to Designated as an Extension to a Class D or 7400.11 and publication of conforming participate in this rulemaking effort by Class E Surface Area. amendments. submitting written comments on the * * * * * proposal to the FAA. No comments ADDRESSES: FAA Order 7400.11E, were received. AWP RM E4 Kwajalein Island, Marshall Airspace Designations and Reporting Class E airspace designations are Islands, RMI [Removed] Points, and subsequent amendments can published in Paragraph 6005, of FAA be viewed online at http://www.faa.gov/ Bucholz AAF (Kwajalein KMR) (ATOLL), Order 7400.11E, dated July 21, 2020, Kwajalein Island air_traffic/publications/. For further and effective September 15, 2020, which (Lat. 08°43′12″ N, long. 167°43′54″ E) information, you can contact the is incorporated by reference in 14 CFR Airspace Policy Group, Federal Aviation * * * * * 71.1. The Class E airspace designations Administration, 800 Independence Paragraph 6005 Class E Airspace Areas listed in this document will be Avenue SW, Washington, DC 20591; Extending Upward From 700 Feet or More published subsequently in the Order. Above the Surface of the Earth. Telephone: (202) 267–8783. The Order Availability and Summary of * * * * * is also available for inspection at the National Archives and Records Documents for Incorporation by AWP RM E5 Kwajalein Island, Marshall Administration (NARA). For Reference Islands, RMI [Amended] information on the availability of FAA This document amends FAA Order Bucholz AAF (Kwajalein KMR) (ATOLL), Order 7400.11E at NARA, email 7400.11E, Airspace Designations and Kwajalein Island [email protected] or go to https:// Reporting Points, dated July 21, 2020, (Lat. 08°43′12″ N, long. 167°43′54″ E) www.archives.gov/federal-register/cfr/ and effective September 15, 2020. FAA That airspace extending upward from 700 ibr-locations.html. Order 7400.11E is publicly available as feet above the surface of the earth within a FOR FURTHER INFORMATION CONTACT: John 12-mile radius of Bucholz AAF (Kwajalein listed in the ADDRESSES section of this KMR) (ATOLL), excluding that airspace that Fornito, Operations Support Group, document. FAA Order 7400.11E lists extends beyond 12 miles from and parallel to Eastern Service Center, Federal Aviation Class A, B, C, D, and E airspace areas, the Kwajalein outer shoreline. Administration, 1701 Columbia Ave., air traffic routes, and reporting points. * * * * * College Park, GA 30337; Telephone (404) 305–6364. The Rule Issued in Washington, DC, on January 27, SUPPLEMENTARY INFORMATION: The FAA is amending 14 CFR part 71 2021. by modifying the Class E airspace George Gonzalez, Authority for This Rulemaking extending upward from 700 feet above Acting Manager, Rules and Regulations The FAA’s authority to issue rules the surface at Billy Free Municipal Group. regarding aviation safety is found in Airport, Dumas, AR, by removing the [FR Doc. 2021–02065 Filed 2–22–21; 8:45 am] Title 49 of the United States Code. Monticello VOR and associated BILLING CODE 4910–13–P Subtitle I, Section 106 describes the extension from the airspace legal authority of the FAA Administrator. description; and removing the city Subtitle VII, Aviation Programs, associated with the airport to comply DEPARTMENT OF TRANSPORTATION describes in more detail the scope of the with changes to FAA Order 7400.2M, agency’s authority. This rulemaking is Procedures for Handling Airspace Federal Aviation Administration promulgated under the authority Matters. These changes are necessary for described in Subtitle VII, Part A, continued safety and management of 14 CFR Part 71 Subpart I, Section 40103. Under that IFR operations in the area. [Docket No. FAA–2020–1016; Airspace section, the FAA is charged with FAA Order 7400.11, Airspace Docket No. 20–ASW–9] prescribing regulations to assign the use Designations and Reporting Points, is of airspace necessary to ensure the published yearly and effective on RIN 2120–AA66 safety of aircraft and the efficient use of September 15. airspace. This regulation is within the Amendment of Class E Airspace; Regulatory Notices and Analyses Dumas, AR scope of that authority as it amends Class E airspace extending upward from The FAA has determined that this AGENCY: Federal Aviation 700 feet above the surface at Billy Free regulation only involves an established Administration (FAA), DOT. Municipal Airport, Dumas, AR, to body of technical regulations for which ACTION: Final rule. support instrument flight rule frequent and routine amendments are operations at this airport. necessary to keep them operationally SUMMARY: This action amends Class E current. It therefore: (1) Is not a airspace extending upward from 700 History ‘‘significant regulatory action’’ under feet above the surface at Billy Free The FAA published a notice of Executive Order 12866; (2) is not a Municipal Airport, Dumas, AR. This proposed rulemaking in the Federal ‘‘significant rule’’ under DOT action is the result of airspace reviews Register (85 FR 73655, November 19, Regulatory Policies and Procedures (44
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FR 11034; February 26, 1979); and (3) Issued in College Park, Georgia, on January FOR FURTHER INFORMATION CONTACT: does not warrant preparation of a 28, 2021. Colby Abbott, Rules and Regulations regulatory evaluation as the anticipated Andreese C. Davis, Group, Office of Policy, Federal impact is minimal. Since this is a Manager, Airspace & Procedures Team South, Aviation Administration, 800 routine matter that only affects air traffic Eastern Service Center, Air Traffic Independence Avenue SW, Washington, procedures an air navigation, it is Organization. DC 20591; telephone: (202) 267–8783. certified that this rule, when [FR Doc. 2021–02318 Filed 2–22–21; 8:45 am] SUPPLEMENTARY INFORMATION: BILLING CODE 4910–13–P promulgated, does not have a significant Authority for This Rulemaking economic impact on a substantial The FAA’s authority to issue rules number of small entities under the DEPARTMENT OF TRANSPORTATION regarding aviation safety is found in criteria of the Regulatory Flexibility Act. Title 49 of the United States Code. Environmental Review Federal Aviation Administration Subtitle I, Section 106 describes the authority of the FAA Administrator. The FAA has determined that this 14 CFR Part 71 Subtitle VII, Aviation Programs, action qualifies for categorical exclusion [Docket No. FAA–2020–0003; Airspace describes in more detail the scope of the under the National Environmental Docket No. 19–ACE–11] agency’s authority. This rulemaking is Policy Act in accordance with FAA promulgated under the authority Order 1050.1F, ‘‘Environmental RIN 2120–AA66 described in Subtitle VII, Part A, Impacts: Policies and Procedures,’’ Amendment of VOR Federal Airways Subpart I, Section 40103. Under that paragraph 5–6.5a. This airspace action V–12, V–74, and V–516 in the Vicinity section, the FAA is charged with is not expected to cause any potentially of Anthony, KS prescribing regulations to assign the use significant environmental impacts, and of the airspace necessary to ensure the no extraordinary circumstances exist AGENCY: Federal Aviation safety of aircraft and the efficient use of that warrant preparation of an Administration (FAA), DOT. airspace. This regulation is within the environmental assessment. ACTION: Final rule. scope of that authority as it would modify the route structure as necessary Lists of Subjects in 14 CFR Part 71 SUMMARY: This action amends VHF to preserve the safe and efficient flow of Omnidirectional Range (VOR) Federal air traffic within the National Airspace Airspace, Incorporation by reference, airways V–12, V–74, and V–516, in the System. Navigation (air). vicinity of Anthony, KS. The History Adoption of the Amendment modifications are necessary due to the planned decommissioning of the VOR The FAA published a notice of In consideration of the foregoing, the portion of the Anthony, KS, VOR/ proposed rulemaking for Docket No. Federal Aviation Administration Tactical Air Navigation (VORTAC) FAA–2020–0003 in the Federal Register amends 14 CFR part 71 as follows: navigation aid (NAVAID), which (85 FR 3290; January 21, 2020), provides navigation guidance for amending VOR Federal airways V–12, PART 71—DESIGNATION OF CLASS A, portions of the affected VOR Federal V–74, and V–516 in the vicinity of B, C, D, AND E AIRSPACE AREAS; AIR airways. The Anthony VOR is being Anthony, KS, due to the planned TRAFFIC SERVICE ROUTES; AND decommissioned as part of the FAA’s decommissioning of the VOR portion of REPORTING POINTS VOR Minimum Operational Network the Anthony, KS, VORTAC. Interested (MON) program. parties were invited to participate in ■ 1. The authority citation for part 71 DATES: Effective date 0901 UTC, April this rulemaking effort by submitting continues to read as follows: 22, 2021. The Director of the Federal written comments on the proposal. No comments were received. Authority: 49 U.S.C. 106(f), 106(g); 40103, Register approves this incorporation by reference action under Title 1 Code of VOR Federal airways are published in 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, paragraph 6010(a) of FAA Order 1959–1963 Comp., p. 389. Federal Regulations part 51, subject to the annual revision of FAA Order 7400.11E dated July 21, 2020, and effective September 15, 2020, which is § 71.1 [Amended] 7400.11 and publication of conforming amendments. incorporated by reference in 14 CFR ■ 2. The incorporation by reference in 71.1. The VOR Federal airways listed in ADDRESSES: FAA Order 7400.11E, 14 CFR 71.1 of FAA Order 7400.11E, this document will be subsequently Airspace Designations and Reporting published in the Order. Airspace Designations and Reporting Points, and subsequent amendments can Points, dated July 21, 2020, and FAA Order 7400.11, Airspace be viewed online at https:// Designations and Reporting Points, is effective September 15, 2020, is _ www.faa.gov/air traffic/publications/. published yearly and effective on amended as follows: For further information, you can contact September 15. Paragraph 6005 Class E Airspace Areas the Rules and Regulations Group, Extending Upward From 700 Feet or More Federal Aviation Administration, 800 The Rule Above the Surface of the Earth. Independence Avenue SW, Washington, The FAA is amending 14 CFR part 71 * * * * * DC 20591; telephone: (202) 267–8783. by modifying VOR Federal airways V– The Order is also available for 12, V–74, and V–516. The planned ASW AR E5 Dumas, AR [Amended] inspection at the National Archives and decommissioning of the VOR portion of Billy Free Municipal Airport, AR Records Administration (NARA). For the Anthony, KS, VORTAC NAVAID (Lat. 33°53′04″ N, long. 91°32′03″ W) information on the availability of FAA has made this action necessary. The That airspace extending upward from 700 Order 7400.11E at NARA, email: VOR Federal airway changes are feet above the surface within a 6.5-mile [email protected] or go to https:// outlined below. radius of Billy Free Municipal Airport. www.archives.gov/federal-register/cfr/ V–12: V–12 extends between the ibr-locations.html. Gaviota, CA, VORTAC and the
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Shelbyville, IN, VOR/Distance rulemaking actions that designate or PA; INT Harrisburg 092° and Pottstown, PA, Measuring Equipment (VOR/DME); and modify classes of airspace areas, 278° radials; to Pottstown. between the Allegheny, PA, VOR/DME airways, routes, and reporting points * * * * * and the Pottstown, PA, VORTAC. The (see 14 CFR part 71, Designation of V–74 [Amended] airway segment between the Mitbee, Class A, B, C, D, and E Airspace Areas; OK, VORTAC and the Wichita, KS, Air Traffic Service Routes; and From Garden City, KS; to Dodge City, KS. VORTAC is removed. Additionally, the From Pioneer, OK; Tulsa, OK; Fort Smith, Reporting Points). As such, this action AR; 6 miles, 7 miles wide (4 miles north and Amarillo, TX, VOR listed in the airway is not expected to result in any 3 miles south of centerline) Little Rock, AR; description is corrected to reflect the potentially significant environmental Pine Bluff, AR; Greenville, MS; to Magnolia, Panhandle, TX, VORTAC. The impacts. In accordance with FAA Order MS. unaffected portions of the existing 1050.1F, paragraph 5–2 regarding * * * * * airway remain as charted. Extraordinary Circumstances, the FAA V–74: V–74 extends between the has reviewed this action for factors and V–516 [Amended] Garden City, KS, VORTAC and the circumstances in which a normally From Pioneer, OK; to Oswego, KS. Magnolia, MS, VORTAC. The airway categorically excluded action may have * * * * * segment between the Dodge City, KS, a significant environmental impact Issued in Washington, DC, on January 27, VORTAC and the Pioneer, OK, VORTAC requiring further analysis. The FAA has is removed. The unaffected portions of 2021. determined that no extraordinary George Gonzalez, the existing airway remain as charted. circumstances exist that warrant V–516: V–516 extends between the Acting Manager, Rules and Regulations preparation of an environmental Group. Liberal, KS, VORTAC and the Oswego, assessment or environmental impact KS, VOR/DME. The airway segment study. [FR Doc. 2021–02066 Filed 2–22–21; 8:45 am] between the Liberal, KS, VORTAC and BILLING CODE 4910–13–P the Pioneer, OK, VORTAC is removed. List of Subjects in 14 CFR Part 71 The unaffected portion of the existing Airspace, Incorporation by reference, airway remains as charted. DEPARTMENT OF TRANSPORTATION All radials listed in the VOR Federal Navigation (air). Federal Aviation Administration airway descriptions below are Adoption of the Amendment unchanged and stated in True degrees. In consideration of the foregoing, the 14 CFR Part 71 Regulatory Notices and Analyses Federal Aviation Administration [Docket No. FAA–2020–0879; Airspace The FAA has determined that this amends 14 CFR part 71 as follows: Docket No. 20–AGL–36] regulation only involves an established body of technical regulations for which PART 71—DESIGNATION OF CLASS A, RIN 2120–AA66 frequent and routine amendments are B, C, D, AND E AIRSPACE AREAS; AIR necessary to keep them operationally TRAFFIC SERVICE ROUTES; AND Amendment of Class E Airspace; current. It, therefore: (1) Is not a REPORTING POINTS Kankakee, IL ‘‘significant regulatory action’’ under AGENCY: ■ Federal Aviation Executive Order 12866; (2) is not a 1. The authority citation for part 71 Administration (FAA), DOT. ‘‘significant rule’’ under Department of continues to read as follows: ACTION: Final rule. Transportation (DOT) Regulatory Authority: 49 U.S.C. 106(f), 106(g); 40103, Policies and Procedures (44 FR 11034; 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, SUMMARY: This action amends the Class February 26, 1979); and (3) does not 1959–1963 Comp., p. 389. E airspace extending upward from 700 warrant preparation of a regulatory § 71.1 [Amended] feet above the surface at Greater evaluation as the anticipated impact is Kankakee Airport, Kankakee, IL. This so minimal. Since this is a routine ■ 2. The incorporation by reference in action is the result of an airspace review matter that only affects air traffic 14 CFR 71.1 of FAA Order 7400.11E, caused by the decommissioning of the procedures and air navigation, it is Airspace Designations and Reporting Kankakee VHF omnidirectional range certified that this rule, when Points, dated July 21, 2020, and (VOR) navigation aid as part of the VOR promulgated, does not have a significant effective September 15, 2020, is Minimum Operational Network (MON) economic impact on a substantial amended as follows: Program. number of small entities under the Paragraph 6010(a) Domestic VOR Federal criteria of the Regulatory Flexibility Act. DATES: Effective 0901 UTC, June 17, Airways. 2021. The Director of the Federal Environmental Review * * * * * Register approves this incorporation by The FAA has determined that this V–12 [Amended] reference action under Title 1 Code of Federal Regulations part 51, subject to action of modifying VOR Federal From Gaviota, CA; San Marcus, CA; airways V–12, V–74, and V–516, due to Palmdale, CA; 38 miles, 6 miles wide, the annual revision of FAA Order the planned decommissioning of the Hector, CA; 12 miles, 38 miles, 85 MSL, 14 7400.11 and publication of conforming VOR portion of the Anthony, KS, miles, 75 MSL, Needles, CA; 45 miles, 34 amendments. VORTAC NAVAID, qualifies for miles, 95 MSL, Drake, AZ; Winslow, AZ; 30 ADDRESSES: FAA Order 7400.11E, categorical exclusion under the National miles, 85 MSL, Zuni, NM; Albuquerque, NM; Airspace Designations and Reporting Environmental Policy Act and its Otto, NM; Anton Chico, NM; Tucumcari, Points, and subsequent amendments can implementing regulations at 40 CFR part NM; Panhandle, TX; to Mitbee, OK. From be viewed online at https:// Wichita, KS; Emporia, KS; INT Emporia 063° _ 1500, and in accordance with FAA and Napoleon, MO, 243° radials; Napoleon; www.faa.gov/air traffic/publications/. Order 1050.1F, Environmental Impacts: INT Napoleon 095° and Columbia, MO, 292° For further information, you can contact Policies and Procedures, paragraph 5– radials; Columbia; Foristell, MO; Troy, IL; the Airspace Policy Group, Federal 6.5a, which categorically excludes from Bible Grove, IL; to Shelbyville, IN. From Aviation Administration, 800 further environmental impact review Allegheny, PA; Johnstown, PA; Harrisburg, Independence Avenue SW, Washington,
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DC 20591; telephone: (202) 267–8783. and effective September 15, 2020. FAA Environmental Review The Order is also available for Order 7400.11E is publicly available as inspection at the National Archives and listed in the ADDRESSES section of this The FAA has determined that this Records Administration (NARA). For document. FAA Order 7400.11E lists action qualifies for categorical exclusion information on the availability of FAA Class A, B, C, D, and E airspace areas, under the National Environmental Order 7400.11E at NARA, email air traffic service routes, and reporting Policy Act in accordance with FAA [email protected] or go to https:// points. Order 1050.1F, ‘‘Environmental www.archives.gov/federal-register/cfr/ Impacts: Policies and Procedures,’’ ibr-locations.html. The Rule paragraph 5–6.5.a. This airspace action is not expected to cause any potentially FOR FURTHER INFORMATION CONTACT: This amendment to Title 14 Code of Jeffrey Claypool, Federal Aviation significant environmental impacts, and Federal Regulations (14 CFR) part 71 no extraordinary circumstances exist Administration, Operations Support amends the Class E airspace extending Group, Central Service Center, 10101 that warrant preparation of an upward from 700 feet above the surface Hillwood Parkway, Fort Worth, TX environmental assessment. to within a 6.6-mile (decreased from a 76177; telephone (817) 222–5711. 7-mile) radius of Greater Kankakee List of Subjects in 14 CFR Part 71 SUPPLEMENTARY INFORMATION: Airport, Kankakee, IL; removes the Airspace, Incorporation by reference, Authority for This Rulemaking Kankakee VOR/DME and associated Navigation (air). The FAA’s authority to issue rules extensions from the airspace legal regarding aviation safety is found in description; and amends the southwest Adoption of the Amendment Title 49 of the United States Code. extension to 4 (increased from 2) miles ° ° In consideration of the foregoing, the Subtitle I, Section 106 describes the each side of the 214 (previously 218 ) bearing from the Greater Kankakee: Federal Aviation Administration authority of the FAA Administrator. amends 14 CFR part 71 as follows: Subtitle VII, Aviation Programs, RWY 04–LOC (previously the airport) describes in more detail the scope of the extending from the 6.6-mile (decreased PART 71—DESIGNATION OF CLASS A, agency’s authority. This rulemaking is from 7-mile) radius to 16.8 (increased B, C, D, AND E AIRSPACE AREAS; AIR promulgated under the authority from 16.6) miles southwest of the TRAFFIC SERVICE ROUTES; AND described in Subtitle VII, Part A, airport; and removing the city REPORTING POINTS Subpart I, Section 40103. Under that associated with the airport to comply section, the FAA is charged with with changes to FAA Order 7400.2M, ■ 1. The authority citation for part 71 prescribing regulations to assign the use Procedures for Handling Airspace continues to read as follows: of airspace necessary to ensure the Matters. safety of aircraft and the efficient use of This action is the result of an airspace Authority: 49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, airspace. This regulation is within the review caused by the decommissioning 1959–1963 Comp., p. 389. scope of that authority as it amends the of the Kankakee VOR, which provided Class E airspace extending upward from navigation information for the 700 feet above the surface at Greater § 71.1 [Amended] instrument procedures this airport, as Kankakee Airport, Kankakee, IL, to part of the VOR MON Program. ■ 2. The incorporation by reference in support instrument flight rule 14 CFR 71.1 of FAA Order 7400.11E, FAA Order 7400.11, Airspace operations at this airport. Airspace Designations and Reporting Designations and Reporting Points, is History Points, dated July 21, 2020, and published yearly and effective on effective September 15, 2020, is The FAA published a notice of September 15. proposed rulemaking in the Federal amended as follows: Register (85 FR 71586; November 10, Regulatory Notices and Analyses Paragraph 6005 Class E Airspace Areas 2020) for Docket No. FAA–2020–0879 to Extending Upward From 700 Feet or More The FAA has determined that this amend the Class E airspace extending Above the Surface of the Earth. regulation only involves an established upward from 700 feet above the surface body of technical regulations for which * * * * * at Greater Kankakee Airport, Kankakee, frequent and routine amendments are IL. Interested parties were invited to AGL IL E5 Kankakee, IL [Amended] necessary to keep them operationally participate in this rulemaking effort by Greater Kankakee Airport, IL current, is non-controversial and submitting written comments on the (Lat. 41°04′17″ N, long. 87°50′47″ W) proposal to the FAA. No comments unlikely to result in adverse or negative Greater Kankakee: RWY 04–LOC were received. comments. It, therefore: (1) Is not a (Lat. 41°05′00″ N, long. 87°50′12″ W) ‘‘significant regulatory action’’ under Class E airspace designations are That airspace extending upward from 700 published in paragraph 6005 of FAA Executive Order 12866; (2) is not a feet above the surface within a 6.6-mile Order 7400.11E, dated July 21, 2020, ‘‘significant rule’’ under DOT radius of Greater Kankakee Airport, and and effective September 15, 2020, which Regulatory Policies and Procedures (44 within 4 miles each side of the 214° bearing is incorporated by reference in 14 CFR FR 11034; February 26, 1979); and (3) from the Greater Kankakee: RWY 04–LOC 71.1. The Class E airspace designations does not warrant preparation of a extending from the 6.6-mile radius of the listed in this document will be regulatory evaluation as the anticipated airport to 16.8 miles southwest of the airport. published subsequently in the Order. impact is so minimal. Since this is a routine matter that only affects air traffic Issued in Fort Worth, Texas, on February Availability and Summary of procedures and air navigation, it is 17, 2021. Documents for Incorporation by certified that this rule, when Martin A. Skinner, Reference promulgated, does not have a significant Acting Manager, Operations Support Group, This document amends FAA Order economic impact on a substantial ATO Central Service Center. 7400.11E, Airspace Designations and number of small entities under the [FR Doc. 2021–03521 Filed 2–22–21; 8:45 am] Reporting Points, dated July 21, 2020, criteria of the Regulatory Flexibility Act. BILLING CODE 4910–13–P
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DEPARTMENT OF TRANSPORTATION Authority for This Rulemaking The Rule The FAA’s authority to issue rules Federal Aviation Administration This amendment to 14 CFR part 71: regarding aviation safety is found in Revokes the Class E surface airspace Title 49 of the United States Code. 14 CFR Part 71 at Tri-County Regional Airport, Lone Subtitle I, Section 106 describes the Rock, WI, as the weather reporting and authority of the FAA Administrator. communications requirements of FAA [Docket No. FAA–2020–1059; Airspace Subtitle VII, Aviation Programs, Docket No. 20–AGL–40] Order 7400.2M, Procedures for describes in more detail the scope of the Handling Airspace Matters, are no agency’s authority. This rulemaking is RIN 2120–AA66 longer being met to retain this airspace; promulgated under the authority Amends the Class E airspace Revocation of Class E Airspace and described in Subtitle VII, Part A, extending upward from 700 feet above Amendment of Class E Airspace; Lone Subpart I, Section 40103. Under that the surface to within a 6.5-mile Rock, WI section, the FAA is charged with (increased from a 6.4-mile) radius of Tri- prescribing regulations to assign the use County Regional Airport, Lone Rock, AGENCY: Federal Aviation of airspace necessary to ensure the WI; removes the city associated with the Administration (FAA), DOT. safety of aircraft and the efficient use of airport to comply with changes in FAA ACTION: Final rule. airspace. This regulation is within the Order 7400.2M; and updates the scope of that authority as it revokes the geographic coordinates of the airport to SUMMARY: This action revokes the Class Class E surface airspace at Tri-County coincide with the FAA’s aeronautical E surface airspace at Tri-County Regional Airport, Lone Rock, WI, and database; Regional Airport, Lone Rock, WI, and amends the Class E airspace extending And amends the Class E airspace amends the Class E airspace extending upward from 700 feet above the surface extending upward from 700 feet above upward from 700 feet above the surface at Tri-County Regional Airport and the surface to within a 6.4-mile at Tri-County Regional Airport and Richland Airport, Richland Center, WI, (decreased from a 7.3-miles) radius of Richland Airport, Richland Center, WI. which is contained within the Lone Richland Airport, Richland Center, WI, This action is the result of airspace Rock, WI, airspace legal description, to which is contained within the Lone reviews caused by the decommissioning support instrument flight rule Rock, WI, airspace legal description; of the Lone Rock VHF omnidirectional operations at this airport. and updates the name (previously range (VOR) navigation aid as part of the History Richland Center Airport) and VOR Minimum Operational Network geographic coordinates of the airport to (MON) Program. The names and The FAA published a notice of coincide with the FAA’s aeronautical geographic coordinates of the airport are proposed rulemaking in the Federal database. also being updated to coincide with the Register (85 FR 75267; November 25, FAA’s aeronautical database. 2020) for Docket No. FAA–2020–1059 to This action is the result of airspace reviews caused by the decommissioning DATES: Effective 0901 UTC, June 17, revoke the Class E surface airspace at Tri-County Regional Airport, Lone Rock, of the Lone Rock VOR, which provided 2021. The Director of the Federal navigation information for the Register approves this incorporation by WI, and amend the Class E airspace extending upward from 700 feet above instrument procedures these airports, as reference action under Title 1 Code of part of the VOR MON Program. Federal Regulations part 51, subject to the surface at Tri-County Regional the annual revision of FAA Order Airport and Richland Airport, Richland FAA Order 7400.11, Airspace 7400.11 and publication of conforming Center, WI. Interested parties were Designations and Reporting Points, is amendments. invited to participate in this rulemaking published yearly and effective on effort by submitting written comments September 15. ADDRESSES: FAA Order 7400.11E, on the proposal to the FAA. No Airspace Designations and Reporting Regulatory Notices and Analyses comments were received. Points, and subsequent amendments can Class E airspace designations are The FAA has determined that this be viewed online at https:// published in paragraph 6002 and 6005, regulation only involves an established www.faa.gov/air_traffic/publications/. respectively, of FAA Order 7400.11E, body of technical regulations for which For further information, you can contact dated July 21, 2020, and effective frequent and routine amendments are the Airspace Policy Group, Federal September 15, 2020, which is necessary to keep them operationally Aviation Administration, 800 incorporated by reference in 14 CFR current, is non-controversial and Independence Avenue SW, Washington, 71.1. The Class E airspace designations unlikely to result in adverse or negative DC 20591; telephone: (202) 267–8783. listed in this document will be comments. It, therefore: (1) Is not a The Order is also available for published subsequently in the Order. ‘‘significant regulatory action’’ under inspection at the National Archives and Executive Order 12866; (2) is not a Records Administration (NARA). For Availability and Summary of ‘‘significant rule’’ under DOT information on the availability of FAA Documents for Incorporation by Regulatory Policies and Procedures (44 Order 7400.11E at NARA, email Reference FR 11034; February 26, 1979); and (3) [email protected] or go to https:// This document amends FAA Order does not warrant preparation of a www.archives.gov/federal-register/cfr/ 7400.11E, Airspace Designations and regulatory evaluation as the anticipated ibr-locations.html. Reporting Points, dated July 21, 2020, impact is so minimal. Since this is a FOR FURTHER INFORMATION CONTACT: and effective September 15, 2020. FAA routine matter that only affects air traffic Jeffrey Claypool, Federal Aviation Order 7400.11E is publicly available as procedures and air navigation, it is Administration, Operations Support listed in the ADDRESSES section of this certified that this rule, when Group, Central Service Center, 10101 document. FAA Order 7400.11E lists promulgated, does not have a significant Hillwood Parkway, Fort Worth, TX Class A, B, C, D, and E airspace areas, economic impact on a substantial 76177; telephone (817) 222–5711. air traffic service routes, and reporting number of small entities under the SUPPLEMENTARY INFORMATION: points. criteria of the Regulatory Flexibility Act.
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Environmental Review DEPARTMENT OF TRANSPORTATION authority of the FAA Administrator. Subtitle VII, Aviation Programs, The FAA has determined that this Federal Aviation Administration describes in more detail the scope of the action qualifies for categorical exclusion agency’s authority. This rulemaking is under the National Environmental 14 CFR Part 71 promulgated under the authority Policy Act in accordance with FAA described in Subtitle VII, Part A, Order 1050.1F, ‘‘Environmental [Docket No. FAA–2020–0525 Airspace Subpart I, Section 40103. Under that Impacts: Policies and Procedures,’’ Docket No. 20–ASO–7] section, the FAA is charged with paragraph 5–6.5.a. This airspace action RIN 2120–AA66 prescribing regulations to assign the use is not expected to cause any potentially of the airspace necessary to ensure the significant environmental impacts, and Amendment and Establishment of Area safety of aircraft and the efficient use of no extraordinary circumstances exist Navigation (RNAV) Routes; South- airspace. This regulation is within the that warrant preparation of an Central Florida Metroplex Project scope of that authority as it would environmental assessment. AGENCY: Federal Aviation expand the availability of RNAV in List of Subjects in 14 CFR Part 71 Administration (FAA), DOT. Florida to improve the efficiency of the NAS by lessening the dependency on Airspace, Incorporation by reference, ACTION: Final rule. ground-based navigation aids. Navigation (air). SUMMARY: This action amends two History Adoption of the Amendment existing low altitude RNAV routes (T- routes), and establishes nine new T- The FAA published a notice of In consideration of the foregoing, the routes in support of the South-Central proposed rulemaking for Docket No. Federal Aviation Administration Florida Metroplex Project. The changes FAA–2020–0525 in the Federal Register amends 14 CFR part 71 as follows: made in this rule will reduce the (85 FR 36355; June 16, 2020) amending dependency of the National Airspace PART 71—DESIGNATION OF CLASS A, two existing low altitude RNAV routes System (NAS) on ground-based B, C, D, AND E AIRSPACE AREAS; AIR (T-routes), and establishing nine new T- navigational systems, and assist with TRAFFIC SERVICE ROUTES; AND routes in support of the South-Central the transition to a more efficient REPORTING POINTS Florida Metroplex Project. Interested Performance Based Navigation (PBN) parties were invited to participate in ■ 1. The authority citation for part 71 route structure. this rulemaking effort by submitting continues to read as follows: DATES: Effective date 0901 UTC, April written comments on the proposal. One 22, 2021. The Director of the Federal comment was received, which was not Authority: 49 U.S.C. 106(f), 106(g); 40103, Register approves this incorporation by 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, germane to the NPRM. 1959–1963 Comp., p. 389. reference action under Title 1 Code of United States Area Navigation routes Federal Regulations part 51, subject to are published in paragraph 6011 of FAA § 71.1 [Amended] the annual revision of FAA Order Order 7400.11E, dated July 21, 2020, 7400.11 and publication of conforming ■ 2. The incorporation by reference in and effective September 15, 2020, which amendments. 14 CFR 71.1 of FAA Order 7400.11E, is incorporated by reference in 14 CFR Airspace Designations and Reporting ADDRESSES: FAA Order 7400.11E, 71.1. The RNAV routes listed in the Points, dated July 21, 2020, and Airspace Designations and Reporting document would be subsequently effective September 15, 2020, is Points, and subsequent amendments can published in the Order. amended as follows: be viewed online at https:// www.faa.gov/air_traffic/publications/. Availability and Summary of Paragraph 6002 Class E Airspace Areas For further information, you can contact Documents for Incorporation by Designated as a Surface Area. the Rules and Regulations Group, Reference * * * * * Federal Aviation Administration, 800 This document amends FAA Order AGL WI E2 Lone Rock, WI [Remove] Independence Avenue SW, Washington, 7400.11E, Airspace Designations and DC 20591; telephone: (202) 267–8783. Reporting Points, dated July 21, 2020, Paragraph 6005 Class E Airspace Areas The Order is also available for Extending Upward From 700 Feet or More and effective September 15, 2020. FAA Above the Surface of the Earth. inspection at the National Archives and Order 7400.11E is publicly available as Records Administration (NARA). For listed in the ADDRESSES section of this * * * * * information on the availability of FAA document. FAA Order 7400.11E lists AGL WI E5 Lone Rock, WI [Amended] Order 7400.11E at NARA, email: Class A, B, C, D, and E airspace areas, Tri-County Regional Airport, WI [email protected] or go to https:// air traffic service routes, and reporting (Lat. 43°12′43″ N, long. 90°10′47″ W) www.archives.gov/federal-register/cfr/ points. Richland Airport, WI ibr-locations.html. ° ′ ″ ° ′ ″ The Rule (Lat. 43 17 00 N, long. 90 17 54 W) FOR FURTHER INFORMATION CONTACT: Paul That airspace extending upward from 700 Gallant, Rules and Regulations Group, This action amends 14 CFR part 71 by feet above the surface within a 6.5-mile Office of Policy, Federal Aviation amending two existing low altitude radius of the Tri-County Regional Airport, Administration, 800 Independence RNAV routes (T-routes), and and within a 6.4-mile radius of the Richland Avenue SW, Washington, DC 20591; establishing nine new T-routes in Airport. telephone: (202) 267–8783. support of the South-Central Florida Issued in Fort Worth, Texas, on February SUPPLEMENTARY INFORMATION: Metroplex Project. The purpose of the 17, 2021. routes is to expand the availability of Martin A. Skinner, Authority for This Rulemaking RNAV, and improve the efficiency of Acting Manager, Operations Support Group, The FAA’s authority to issue rules the NAS by reducing the dependency on ATO Central Service Center. regarding aviation safety is found in ground-based navigation systems. The [FR Doc. 2021–03522 Filed 2–22–21; 8:45 am] Title 49 of the United States Code. following is a general description of the BILLING CODE 4910–13–P Subtitle I, Section 106 describes the amended and new routes.
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T–208: The FAA is amending T–208. T–347: T–347 is a new route that environmental impact requiring further T–208 is an existing route that extends extends between the CLEFF, FL, WP, analysis. The FAA has determined no from the Gators, FL (GNV), VORTAC and the SEBAG, FL, WP. extraordinary circumstances exist that eastward to the CARRA, FL, fix, then to T–349: T–349 is a new route that warrant preparation of an the Ormond Beach (OMN) VORTAC. extends between the VARZE, FL, WP, environmental assessment or This action removes the Gators and the TROYR, FL, WP. environmental impact study. VORTAC, the CARRA fix, and the T–353: T–353 is a new route that List of Subjects in 14 CFR Part 71 Ormond Beach VORTAC from the route. extends between the FEBRO, FL, WP, T–208 is realigned to start at the and the ASTOR, FL, WP. Airspace, Incorporation by reference, WALEE, FL, waypoint (WP) (located to FAA Order 7400.11, Airspace Navigation (air). the east of the current Gators, FL, Designations and Reporting Points, is VORTAC). The route then proceeds published yearly and effective on The Amendment September 15. eastward to the MMKAY, FL; and the In consideration of the foregoing, the FOXAM, FL, WPs, (near the Florida east Regulatory Notices and Analyses Federal Aviation Administration coast), then it turns southward through The FAA has determined that this amends 14 CFR part 71 as follows: the SUUGR, FL, WP, the SMYRA, FL; regulation only involves an established PART 71—DESIGNATION OF CLASS A, OAKIE, FL; MALET, FL; TICCO, FL; and body of technical regulations for which B, C, D, AND E AIRSPACE AREAS; AIR INDIA, FL, fixes, then continues frequent and routine amendments are TRAFFIC SERVICE ROUTES; AND southward through the DIMBY, FL, WP; necessary to keep them operationally REPORTING POINTS the VALKA, FL, fix, the SULTY, FL; current. It, therefore: (1) Is not a WIXED, FL; CLEFF, FL; DURRY, FL; ‘‘significant regulatory action’’ under ■ 1. The authority citation for part 71 and BOBOE, FL, WPs; and, terminates at Executive Order 12866; (2) is not a continues to read as follows: the SHANC, FL, fix (located about 17 ‘‘significant rule’’ under Department of nautical miles (NM) northwest of the Transportation (DOT) Regulatory Authority: 49 U.S.C. 106(f), 106(g); 40103, Fort Lauderdale, FL, VOR/DME). The Policies and Procedures (44 FR 11034; 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, amended route extends between the February 26, 1979); and (3) does not 1959–1963 Comp., p. 389. WALEE, FL, WP, and the SHANC, FL, warrant preparation of a regulatory § 71.1 [Amended] fix. evaluation as the anticipated impact is T–210: The FAA is amending T–208. so minimal. Since this is a routine ■ 2. The incorporation by reference in T–210 is an existing route that extends matter that only affects air traffic 14 CFR 71.1 of FAA Order 7400.11E, from the Taylor, FL (TAY), VORTAC, to procedures and air navigation, it is Airspace Designations and Reporting the OHLEE, FL, WP, to the BRADO, FL, certified that this rule, when Points, dated July 21, 2020, and fix. The FAA is removing the Taylor, promulgated, does not have a significant effective September 15, 2020, is FL, VORTAC from the route and adding economic impact on a substantial amended as follows: the MARQO, FL, WP (in the vicinity of number of small entities under the the Taylor VORTAC) as the new start Paragraph 6011—United States Area criteria of the Regulatory Flexibility Act. Navigation Routes. point. From the MARQO, FL, WP, the route proceeds southeastward through Environmental Review * * * * * the OHLEE, FL, WP, and BRADO, FL, The FAA has determined that this T–208 WALEE, FL to SHANC, FL [Amended] fix (as currently charted). After the action of amending low altitude RNAV WALEE, FL WP (Lat. 29°41′36.05″ N, long. BRADO, FL, fix, the route turns routes T–208 and T–210, and 082°14′07.07″ W) southward through the MMKAY, FL, establishing low altitude RNAV routes MMKAY, FL WP (Lat. 29°41′55.42″ N, long. and MRUTT, FL, WPs, the GUANO, FL, T–336, T–337, T–339, T–341, T–343, T– 081°26′49.15″ W) fix, and the KIZER, FL, fix (located FOXAM, FL WP (Lat. 29°33′37.73″ N, long. 345, T–347, T–349, and T–355 in the ° ′ ″ about 23 NM north of the Orlando, FL south-central United States qualifies for 081 09 37.84 W) SUUGR, FL WP (Lat. 29°19′40.38″ N, long. (ORL), VORTAC). After KIZER, FL, the categorical exclusion under the National ° ′ ″ route turns southwestward through the 081 07 20.79 W) Environmental Policy Act and its SMYRA, FL FIX (Lat. 29°00′19.48″ N, long. EMSEE, FL; DAIYL, FL; AKOJO, FL; and implementing regulations at 40 CFR part 080°59′34.51″ W) PUNQU, FL, WPs, and terminates at the 1500, and in accordance with FAA OAKIE, FL FIX (Lat. 28°51′04.26″ N, long. VARZE, FL, WP. Order 1050.1F, Environmental Impacts: 080°55′52.35″ W) T–336: T–336 is a new route that Policies and Procedures, paragraph 5– MALET, FL FIX (Lat. 28°41′29.90″ N, long. extends between the TROYR, FL, WP, 6.5a, which categorically excludes from 080°52′04.30″ W) ° ′ ″ and the WIXED, FL, WP. further environmental impact review TICCO, FL FIX (Lat. 28 31 00.50 N, long. 080°47′52.80″ W) T–337: T–337 is a new route that rulemaking actions that designate or ° ′ ″ extends between the SWENY, FL, WP, INDIA, FL FIX (Lat. 28 26 04.19 N, long. modify classes of airspace areas, 080°45′55.25″ W) and the WEZER, FL, WP. airways, routes, and reporting points DIMBY, FL WP (Lat. 28°04′52.54″ N, long. T–339: T–339 is a new route that (see 14 CFR part 71, Designation of 080°37′37.61″ W) extends between the KARTR, FL, WP, Class A, B, C, D, and E Airspace Areas; VALKA, FL FIX (Lat. 27°55′06.06″ N, long. and the ODDEL, FL, WP. Air Traffic Service Routes; and 080°34′17.17″ W) T–341: T–341 is a new route that Reporting Points). As such, this action SULTY, FL WP (Lat. 27°48′12.41″ N, long. extend between the MEAGN, FL, WP, is not expected to cause any potentially 080°32′59.17″ W) ° ′ ″ and the MARQO, FL, WP. significant environmental impacts. In WIXED, FL WP (Lat. 27 41 24.86 N, long. 080°29′56.56″ W) T–343: T–343 is a new route that accordance with FAA Order 1050.1F, ° ′ ″ extends between the WORPP, FL, WP, CLEFF, FL WP (Lat. 27 00 03.31 N, long. paragraph 5–2 regarding Extraordinary 080°32′38.27″ W) and the INDIA, FL, WP. Circumstances, the FAA has reviewed DURRY, FL WP (Lat. 26°43′46.96″ N, long. T–345: T–345 is a new route that this action for factors and circumstances 080°24′09.25″ W) extends between the MARKT, FL, WP, in which a normally categorically BOBOE, FL WP (Lat. 26°28′48.72″ N, long. and the DEARY, FL, WP. excluded action may have a significant 080°23′05.23″ W)
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SHANC, FL FIX (Lat. 26°18′51.14″ N, long. T–341 MEAGN, FL to MARQO, FL [New] TROYR, FL WP (Lat. 29°34′20.92″ N, long. ° ′ ″ ° ′ ″ 080 20 00.16 W) MEAGN, FL WP (Lat. 26°14′17.20″ N, long. 083 01 52.68 W) * * * * * 080°47′23.64″ W) * * * * * ZAGPO, FL WP (Lat. 26°23′47.41″ N, long. T–210 MARQO, FL to VARZE, FL T–353 FEBRO, FL to ASTOR, FL [New] 080°57′25.83″ W) [Amended] ° ′ ″ CUSEK, FL WP (Lat. 26°51′38.79″ N, long. FEBRO, FL WP (Lat. 27 37 02.08 N, long. ° ′ ″ ° ′ ″ MARQO, FL WP (Lat. 30 30 53.57 N, long. 081°23′17.37″ W) 081 47 07.68 W) ° ′ ″ MOANS, FL WP (Lat. 27°54′49.97″ N, long. 082 32 45.62 W) WEZER, FL WP (Lat. 28°02′26.59″ N, long. ° ′ ″ 081°44′54.89″ W) OHLEE, FL WP (Lat. 30 16 06.04 N, long. 082°02′39.60″ W) ° ′ ″ PUNQU, FL WP (Lat. 28°34′33.65″ N, long. 082 06 32.53 W) VARZE, FL WP (Lat. 28°16′25.85″ N, long. ° ′ ″ 081°49′22.43″ W) BRADO, FL FIX (Lat. 29 55 21.88 N, long. 082°01′44.51″ W) ° ′ ″ AKOJO, FL WP (Lat. 28°45′44.01″ N, long. 081 28 07.89 W) MARQO, FL WP (Lat. 30°30′53.57″ N, long. ° ′ ″ 081°43′31.54″ W) MMKAY, FL WP (Lat. 29 41 55.42 N, long. 082°32′45.62″ W) ° ′ ″ 081°26′49.15″ W) DAIYL, FL WP (Lat. 28 49 10.74 N, long. ° ′ ″ * * * * * 081°41′29.68″ W) MRUTT, FL WP (Lat. 29 12 12.40 N, long. ° ′ ″ ° ′ ″ EMSEE, FL WP (Lat. 28 50 43.72 N, long. 081 23 55.50 W) T–343 WORPP, FL to INDIA, FL [New] ° ′ ″ ° ′ ″ 081 32 47.03 W) GUANO, FL FIX (Lat. 29 05 58.73 N, long. ° ′ ″ ° ′ ″ ° ′ ″ WORPP, FL FIX (Lat. 25 53 36.69 N, long. KIZER, FL WP (Lat. 28 55 26.00 N, long. 081 23 18.93 W) ° ′ ″ ° ′ ″ 080°58′26.87″ W) 081 22 17.83 W) KIZER, FL FIX (Lat. 28 55 26.00 N, long. ° ′ ″ GUANO, FL WP (Lat. 29°05′58.73″ N, long. 081°22′17.83″ W) CUSEK, FL WP (Lat. 26 51 38.79 N, long. 081°23′17.37″ W) 081°23′18.93″ W) EMSEE, FL WP (Lat. 28°50′43.72″ N, long. ° ′ ″ ° ′ ″ FEBRO, FL WP (Lat. 27°37′02.08″ N, long. MRUTT, FL WP (Lat. 29 12 12.40 N, long. 081 32 47.03 W) 081°23′55.50″ W) ° ′ ″ 081°47′07.68″ W) DAIYL, FL WP (Lat. 28 49 10.74 N, long. FOXAM, FL WP (Lat. 29°33′37.73″ N, long. ° ′ ″ TAHRS, FL WP (Lat. 27°52′12.96″ N, long. 081 41 29.68 W) 081°09′37.84″ W) ° ′ ″ 081°33′55.12″ W) AKOJO, FL WP (Lat. 28 45 44.01 N, long. ° ′ ″ ASTOR, FL WP (Lat. 29°47′55.30″ N, long. ° ′ ″ YOJIX, FL FIX (Lat. 28 02 44.04 N, long. ° ′ ″ 081 43 31.54 W) ° ′ ″ 081 18 06.11 W) PUNQU, FL WP (Lat. 28°34′33.65″ N, long. 081 33 45.34 W) ° ′ ″ * * * * * 081°49′22.43″ W) YONMA, FL FIX (Lat. 28 03 55.68 N, long. ° ′ ″ VARZE, FL WP (Lat. 28°16′25.85″ N, long. 081 24 31.18 W) Issued in Washington, DC, on February 19, ° ′ ″ 082°01′44.51″ W) ODDEL, FL FIX (Lat. 28 05 45.51 N, long. 2021. ° ′ ″ 081 10 10.24 W) Mark E. Gauch, * * * * * DEARY, FL FIX (Lat. 28°06′02.53″ N, long. 080°54′51.40″ W) Acting Manager, Rules and Regulations T–336 TROYR, FL to WIXED, FL [New] Team. INDIA, FL FIX (Lat. 28°26′04.19″ N, long. TROYR, FL WP (Lat. 29°34′20.92″ N, long. 080°45′55.25″ W) [FR Doc. 2021–03842 Filed 2–19–21; 4:55 pm] 083°01′52.68″ W) BILLING CODE 4910–13–P OMMNI, FL WP (Lat. 28°51′29.29″ N, long. * * * * * ° ′ ″ 082 09 41.75 W) T–345 MARKT, FL to DEARY, FL [New] PUNQU, FL WP (Lat. 28°34′33.65″ N, long. ° ′ ″ DEPARTMENT OF TRANSPORTATION 081°49′22.43″ W) MARKT, FL WP (Lat. 26 22 53.63 N, long. ° ′ ″ 080°34′41.82″ W) YOJIX, FL WP (Lat. 28 02 44.04 N, long. Federal Aviation Administration 081°33′45.34″ W) AIRBT, FL WP (Lat. 26°46′51.62″ N, long. YONMA, FL WP (Lat. 28°03′55.68″ N, long. 080°42′21.85″ W) 081°24′31.18″ W) DOWDI, FL WP (Lat. 27°07′16.35″ N, long. 14 CFR Part 71 ° ′ ″ 080°42′02.47″ W) ODDEL, FL WP (Lat. 28 05 45.51 N, long. [Docket No. FAA–2020–1058; Airspace ° ′ ″ ° ′ ″ 081 10 10.24 W) LLNCH, FL WP (Lat. 27 26 07.67 N, long. Docket No. 20–AGL–39] DEARY, FL WP (Lat. 28°06′02.53″ N, long. 080°41′44.46″ W) 080°54′51.40″ W) DEARY, FL WP (Lat. 28°06′02.53″ N, long. RIN 2120–AA66 WIXED, FL WP (Lat. 27°41′24.86″ N, long. 080°54′51.40″ W) 080°29′56.56″ W) * * * * * Amendment of Class E Airspace and * * * * * Revocation of Class E Airspace; T–347 CLEFF, FL to SEBAG, FL [New] Multiple Minnesota Towns T–337 SWENY, FL to WEZER, FL [New] CLEFF, FL WP (Lat. 27°00′03.31″ N, long. AGENCY: Federal Aviation SWENY, FL WP (Lat. 26°33′58.08″ N, long. 080°32′38.27″ W) 082°12′21.08″ W) BAIRN, FL WP (Lat. 27°56′52.37″ N, long. Administration (FAA), DOT. RISKS, FL WP (Lat. 27°01′51.89″ N, long. 081°06′54.35″ W) ACTION: Final rule. 081°56′40.30″ W) SABOT, FL WP (Lat. 28°15′05.10″ N, long. WEZER, FL WP (Lat. 28°02′26.59″ N, long. 081°13′37.16″ W) SUMMARY: This action amends the Class 082°02′39.60″ W) CROPY, FL WP (Lat. 28°47′32.71″ N, long. E airspace extending upward from 700 ° ′ ″ * * * * * 081 21 35.38 W) feet above the surface at multiple KIZER, FL WP (Lat. 28°55′26.00″ N, long. Minnesota Towns and revokes the Class T–339 KARTR, FL to ODDEL, FL [New] 081°22′17.83″ W) E airspace extending upward from 700 KARTR, FL FIX (Lat. 25°29′45.76″ N, long. GUANO, FL WP (Lat. 29°05′58.73″ N, long. feet above the surface at Silver Bay 081°30′46.24″ W) 081°23′18.93″ W) Municipal Airport, Silver Bay, MN. This DEEDS, FL FIX (Lat. 25°58′40.31″ N, long. MRUTT, FL WP (Lat. 29°12′12.40″ N, long. action is the result of airspace reviews 081°13′59.60″ W) 081°23′55.50″ W) ° ′ ″ ° ′ ″ caused by the decommissioning of SWAGS, FL FIX (Lat. 26 10 37.07 N, long. FOXAM, FL WP (Lat. 29 33 37.73 N, long. multiple non-federal non-directional 081°05′59.93″ W) 081°09′37.84″ W) ZAGPO, FL WP (Lat. 26°23′47.41″ N, long. SEBAG, FL WP (Lat. 29°49′04.24″ N, long. beacons (NDBs) within Minnesota. The 080°57′25.83″ W) 081°12′34.72″ W) names and geographic coordinates of ° ′ ″ various airports are also being updated DIDDY, FL FIX (Lat. 27 18 38.15 N, long. * * * * * 080°52′55.92″ W) to coincide with the FAA’s aeronautical ODDEL, FL FIX (Lat. 28°05′45.51″ N, long. T–349 VARZE, FL to TROYR, FL [New] database. ° ′ ″ 081 10 10.24 W) VARZE, FL WP (Lat. 28°16′25.85″ N, long. DATES: Effective 0901 UTC, June 17, * * * * * 082°01′44.51″ W) 2021. The Director of the Federal
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Register approves this incorporation by Bay Municipal Airport, Silver Bay, MN, Benson Municipal Airport, Benson, MN; reference action under Title 1 Code of as this airspace is no longer required. and updates the geographic coordinates Federal Regulations part 51, subject to of the airport to coincide with the FAA’s History the annual revision of FAA Order aeronautical database; 7400.11 and publication of conforming The FAA published a notice of Amends the Class E airspace amendments. proposed rulemaking in the Federal extending upward from 700 feet above Register (85 FR 76497; November 30, ADDRESSES: the surface to within a 6.4-mile FAA Order 7400.11E, 2020) for Docket No. FAA–2020–1058 to Airspace Designations and Reporting (decreased from a 7-mile) radius of amend the Class E airspace extending Cambridge Municipal Airport, Points, and subsequent amendments can upward from 700 feet above the surface be viewed online at https:// Cambridge, MN; and updates the _ at multiple Minnesota Towns and geographic coordinates of the airport to www.faa.gov/air traffic/publications/. revoke the Class E airspace extending For further information, you can contact coincide with the FAA’s aeronautical upward from 700 feet above the surface database; the Airspace Policy Group, Federal at Silver Bay Municipal Airport, Silver Aviation Administration, 800 Amends the Class E airspace Bay, MN. Interested parties were invited extending upward from 700 feet above Independence Avenue SW, Washington, to participate in this rulemaking effort DC 20591; telephone: (202) 267–8783. the surface to within a 6.4-mile by submitting written comments on the (decreased from a 7-mile) radius of The Order is also available for proposal to the FAA. No comments inspection at the National Archives and Cloquet Carlton County Airport, were received. Cloquet, MN; and updates the Records Administration (NARA). For Class E airspace designations are information on the availability of FAA geographic coordinates of the airport to published in paragraph 6005 of FAA coincide with the FAA’s aeronautical Order 7400.11E at NARA, email Order 7400.11E, dated July 21, 2020, [email protected] or go to https:// database; and effective September 15, 2020, which Amends the Class E airspace www.archives.gov/federal-register/cfr/ is incorporated by reference in 14 CFR ibr-locations.html. extending upward from 700 feet above 71.1. The Class E airspace designations the surface to within a 6.4-mile FOR FURTHER INFORMATION CONTACT: listed in this document will be (decreased from a 7-mile) radius of Jeffrey Claypool, Federal Aviation published subsequently in the Order. Crookston Municipal Airport Kirkwood Administration, Operations Support Availability and Summary of Field, Crookston, MN; and updates the Group, Central Service Center, 10101 Documents for Incorporation by name (previously Crookston Municipal Hillwood Parkway, Fort Worth, TX Reference Kirkwood Field) and geographic 76177; telephone (817) 222–5711. coordinates of the airport to coincide This document amends FAA Order SUPPLEMENTARY INFORMATION: with the FAA’s aeronautical database; 7400.11E, Airspace Designations and Amends the Class E airspace Authority for This Rulemaking Reporting Points, dated July 21, 2020, extending upward from 700 feet above and effective September 15, 2020. FAA the surface at Glencoe Municipal The FAA’s authority to issue rules Order 7400.11E is publicly available as Airport, Glencoe, MN, by removing the regarding aviation safety is found in listed in the ADDRESSES section of this Glencoe NDB and associated extension Title 49 of the United States Code. document. FAA Order 7400.11E lists from the airspace legal description; and Subtitle I, Section 106 describes the Class A, B, C, D, and E airspace areas, updates the geographic coordinates of authority of the FAA Administrator. air traffic service routes, and reporting the airport to coincide with the FAA’s Subtitle VII, Aviation Programs, points. describes in more detail the scope of the aeronautical database; agency’s authority. This rulemaking is The Rule Amends the Class E airspace promulgated under the authority This amendment to 14 CFR part 71: extending upward from 700 feet above described in Subtitle VII, Part A, Amends the Class E airspace the surface to within a 6.4-mile Subpart I, Section 40103. Under that extending upward from 700 feet above (decreased from a 6.5-mile) radius of section, the FAA is charged with the surface to within a 6.5-mile Mora Municipal Airport, Mora, MN; prescribing regulations to assign the use (increased from a 6.4-mile) radius of removes the Mora NDB and associated of airspace necessary to ensure the Aitkin Municipal Airport-Steve Kurtz extension from the airspace legal safety of aircraft and the efficient use of Field, Aitkin, MN; removes the Aitkin description; and updates the geographic airspace. This regulation is within the NDB and associated extension from the coordinates of the airport to coincide scope of that authority as it amends the airspace legal description; and updates with the FAA’s aeronautical database; Class E airspace extending upward from the name (previously Aitkin Municipal And revokes the Class E airspace 700 feet above the surface at: Aitkin Airport) and geographic coordinates of extending upward from 700 feet above Municipal Airport-Steve Kurtz Field, the airport to coincide with the FAA’s the surface at Silver Bay Municipal Aitkin, MN; Appleton Municipal aeronautical database; Airport, Silver Bay, MN, as the Airport, Appleton, MN; Benson Amends the Class E airspace instrument procedures at this airport Municipal Airport, Benson, MN; extending upward from 700 feet above have been cancelled and the airspace is Cambridge Municipal Airport, the surface at Appleton Municipal no longer required. Cambridge, MN; Cloquet Carlton County Airport, Appleton, MN, by removing the This action is the result of airspace Airport, Cloquet, MN; Crookston extension northwest of the airport as it reviews caused by the decommissioning Municipal Airport Kirkwood Field, is no longer required; and updates the of the Aitkin, Appleton, Benson, Crookston, MN; Glencoe Municipal geographic coordinates of the airport to Cambridge, Cloquet, Crookston, Airport, Glencoe, MN; and Mora coincide with the FAA’s aeronautical Glencoe, Mora, and Silver Bay non- Municipal Airport, Mora, MN, to database; federal NDBs which provided support instrument flight rule Amends the Class E airspace navigation information for the operations at these airports; and revokes extending upward from 700 feet above instrument procedures these airports. the Class E airspace extending upward the surface to within a 6.4-mile FAA Order 7400.11, Airspace from 700 feet above the surface at Silver (decreased from a 7-mile) radius of Designations and Reporting Points, is
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published yearly and effective on Paragraph 6005 Class E Airspace Areas AGL MN E5 Silver Bay, MN [Remove] September 15. Extending Upward From 700 Feet or More Above the Surface of the Earth. Issued in Fort Worth, Texas, on February 17, 2021. Regulatory Notices and Analyses * * * * * Martin A. Skinner, The FAA has determined that this AGL MN E5 Aitkin, MN [Amended] regulation only involves an established Acting Manager, Operations Support Group, body of technical regulations for which Aitkin Municipal Airport-Steve Kurtz Field, ATO Central Service Center. MN [FR Doc. 2021–03518 Filed 2–22–21; 8:45 am] frequent and routine amendments are (Lat. 46°32′54″ N, long. 93°40′36″ W) necessary to keep them operationally BILLING CODE 4910–13–P That airspace extending upward from 700 current, is non-controversial and feet above the surface within a 6.5-mile unlikely to result in adverse or negative radius of the Aitkin Municipal Airport-Steve DEPARTMENT OF TRANSPORTATION comments. It, therefore: (1) Is not a Kurtz Field. ‘‘significant regulatory action’’ under * * * * * Federal Aviation Administration Executive Order 12866; (2) is not a AGL MN E5 Appleton, MN [Amended] ‘‘significant rule’’ under DOT 14 CFR Part 71 Regulatory Policies and Procedures (44 Appleton Municipal Airport, MN FR 11034; February 26, 1979); and (3) (Lat. 45°13′39″ N, long. 96°00′16″ W) [Docket No. FAA–2020–0889; Airspace does not warrant preparation of a That airspace extending upward from 700 Docket No. 20–ASO–25] regulatory evaluation as the anticipated feet above the surface within a 6.4-mile RIN 2120–AA66 impact is so minimal. Since this is a radius of the Appleton Municipal Airport. routine matter that only affects air traffic * * * * * Amendment of Class D Airspace, and Class E Airspace; Smyrna, TN procedures and air navigation, it is AGL MN E5 Benson, MN [Amended] certified that this rule, when Benson Municipal Airport, MN AGENCY: Federal Aviation promulgated, does not have a significant (Lat. 45°19′55″ N, long. 95°39′02″ W) Administration (FAA), DOT. economic impact on a substantial That airspace extending upward from 700 ACTION: Final rule. number of small entities under the feet above the surface within a 6.4-mile criteria of the Regulatory Flexibility Act. radius of Benson Municipal Airport. SUMMARY: This action amends Class D airspace and Class E airspace extending Environmental Review * * * * * upward from 700 feet above the surface The FAA has determined that this AGL MN E5 Cambridge, MN [Amended] at Smyrna Airport, Smyrna, TN. An action qualifies for categorical exclusion Cambridge Municipal Airport, MN evaluation of airspace in the area under the National Environmental (Lat. 45°33′27″ N, long. 93°15′51″ W) determined that this airport required an Policy Act in accordance with FAA That airspace extending upward from 700 adjustment of Class D and E airspaces. Order 1050.1F, ‘‘Environmental feet above the surface within a 6.4-mile Controlled airspace is necessary for the Impacts: Policies and Procedures,’’ radius of the Cambridge Municipal Airport. safety and management of instrument paragraph 5–6.5.a. This airspace action * * * * * flight rules (IFR) operations in the area. is not expected to cause any potentially DATES: AGL MN E5 Cloquet, MN [Amended] Effective 0901 UTC, August 12, significant environmental impacts, and 2021. The Director of the Federal no extraordinary circumstances exist Cloquet Carlton County Airport, MN ° ′ ″ ° ′ ″ Register approves this incorporation by that warrant preparation of an (Lat. 46 42 04 N, long. 92 30 13 W) reference action under Title 1 Code of environmental assessment. That airspace extending upward from 700 Federal Regulations part 51, subject to feet above the surface within a 6.4-mile the annual revision of FAA Order Lists of Subjects in 14 CFR Part 71 radius of the Cloquet Carlton County Airport. 7400.11 and publication of conforming Airspace, Incorporation by reference, * * * * * amendments. Navigation (air). AGL MN E5 Crookston, MN [Amended] ADDRESSES: FAA Order 7400.11E, Adoption of the Amendment Crookston Municipal Airport Kirkwood Airspace Designations and Reporting In consideration of the foregoing, the Field, MN Points, and subsequent amendments can (Lat. 47°50′30″ N, long. 96°37′17″ W) be viewed online at https:// Federal Aviation Administration _ amends 14 CFR part 71 as follows: That airspace extending upward from 700 www.faa.gov/air traffic/publications/. feet above the surface within a 6.4-mile For further information, you can contact PART 71—DESIGNATION OF CLASS A, radius of the Crookston Municipal Airport the Airspace Policy Group, Federal Kirkwood Field. B, C, D, AND E AIRSPACE AREAS; AIR Aviation Administration, 800 TRAFFIC SERVICE ROUTES; AND * * * * * Independence Avenue SW, Washington, REPORTING POINTS AGL MN E5 Glencoe, MN [Amended] DC, 20591; Telephone: (202) 267–8783. The Order is also available for ■ Glencoe Municipal Airport, MN 1. The authority citation for part 71 (Lat. 44°45′22″ N, long. 94°04′53″ W) inspection at the National Archives and continues to read as follows: Records Administration (NARA). For That airspace extending upward from 700 Authority: 49 U.S.C. 106(f), 106(g); 40103, feet above the surface within a 6.3-mile information on the availability of FAA 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, radius of Glencoe Municipal Airport. Order 7400.11E at NARA, email [email protected] or go to https:// 1959–1963 Comp., p. 389. * * * * * www.archives.gov/federal-register/cfr/ § 71.1 [Amended] AGL MN E5 Mora, MN [Amended] ibr-locations.html. ■ 2. The incorporation by reference in Mora Municipal Airport, MN FOR FURTHER INFORMATION CONTACT: John 14 CFR 71.1 of FAA Order 7400.11E, (Lat. 45°53′31″ N long. 93°16′23″ W) Fornito, Operations Support Group, Airspace Designations and Reporting That airspace extending upward from 700 Eastern Service Center, Federal Aviation Points, dated July 21, 2020, and feet above the surface within a 6.4-mile Administration, 1701 Columbia Ave., effective September 15, 2020, is radius of the Mora Municipal Airport. College Park, GA 30337; Telephone amended as follows: * * * * * (404) 305–6364.
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SUPPLEMENTARY INFORMATION: is incorporated by reference in 14 CFR Environmental Review 71.1. The Class E airspace designations Authority for This Rulemaking The FAA has determined that this listed in this document will be action qualifies for categorical exclusion The FAA’s authority to issue rules published subsequently in the Order. regarding aviation safety is found in under the National Environmental Title 49 of the United States Code. Availability and Summary of Policy Act in accordance with FAA Subtitle I, Section 106, describes the Documents for Incorporation by Order 1050.1F, ‘‘Environmental authority of the FAA Administrator. Reference Impacts: Policies and Procedures,’’ Subtitle VII, Aviation Programs, paragraph 5–6.5a. This airspace action This document amends FAA Order is not expected to cause any potentially describes in more detail the scope of the 7400.11E, Airspace Designations and agency’s authority. This rulemaking is significant environmental impacts, and Reporting Points, dated July 21, 2020, no extraordinary circumstances exist promulgated under the authority and effective September 15, 2020. FAA described in Subtitle VII, Part A, that warrant preparation of an Order 7400.11E is publicly available as environmental assessment. Subpart I, Section 40103. Under that listed in the ADDRESSES section of this section, the FAA is charged with document. FAA Order 7400.11E lists Lists of Subjects in 14 CFR Part 71 prescribing regulations to assign the use Class A, B, C, D, and E airspace areas, Airspace, Incorporation by reference, of airspace necessary to ensure the air traffic routes, and reporting points. safety of aircraft and the efficient use of Navigation (air) airspace. This regulation is within the The Rule Adoption of the Amendment scope of that authority as it amends This amendment to 14 CFR part 71 In consideration of the foregoing, the Class D airspace and Class E airspace amends Class D airspace for Smyrna, Federal Aviation Administration extending upward from 700 feet above TN, as the FAA has determined that amends 14 CFR Part 71 as follows: the surface at Smyrna Airport, Smyrna, extensions of 1.2 miles each side of the TN, to support IFR operations in the 142° bearing from the airport, extending PART 71—DESIGNATION OF CLASS A, area. from the 3.9-mile radius to 5.5 miles B, C, D, AND E AIRSPACE AREAS; AIR History southeast of the airport, and within 1.2 TRAFFIC SERVICE ROUTES; AND ° REPORTING POINTS The FAA published a notice of prosed miles each side of the 184 bearing from the airport, extending from the 3.9-mile rulemaking in the Federal Register (85 ■ radius to 5.5 miles south of the airport 1. The authority citation for part 71 FR 73436, November 18, 2020) for continues to read as follows: Docket No. FAA–2020–0889 to amend are necessary for the safety of IFR Class D airspace for Smyrna, TN, as the aircraft landing at Smyrna Airport. Also, Authority: 49 U.S.C. 106(f), 106(g); 40103, the Class D ceiling is reduced from 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, FAA has determined that extensions of 1959–1963 Comp., p. 389. 1.2 miles each side of the 142° bearing 3,000 feet to 2,500 feet as per the request from the airport, extending from the 3.9- of the air traffic facilities involved. In § 71.1 [Amended] addition, the FAA updates Class E mile radius to 5.5 miles southeast of the ■ airspace extending upward from 700 2. The incorporation by reference in airport, and within 1.2 miles each side 14 CFR 71.1 of FAA Order 7400.11E, of the 184° bearing from the airport, feet above the surface by increasing the airport radius from 9 miles to 11.5 Airspace Designations and Reporting extending from the 3.9-mile radius to Points, dated July 21, 2020, effective 5.5 miles south of the airport are miles. Also, the reference to Nashville Class C, in the Class D description, is September 15, 2020, is amended as necessary for the safety of IFR aircraft follows: landing at Smyrna Airport. Also, the removed as it is not necessary (7400.11, Class D ceiling is reduced from 3,000 1003.b). FAA Order 7400.11, Airspace Paragraph 5000 Class D Airspace. feet to 2,500 feet as per the request of Designations and Reporting Points, is * * * * * published yearly and effective on the air traffic facilities involved. In ASO TN D Smyrna, TN [Amended] addition, the FAA proposed to update September 15. Class E airspace extending upward from Smyrna Airport, TN Regulatory Notices and Analyses (Lat. 36°00′32″ N, long. 86°31′12″ W) 700 feet above the surface by increasing the airport radius from 9 miles to 11.5 The FAA has determined that this That airspace extending upward from the surface to but not including 2,500 feet MSL miles. The FAA also proposed the regulation only involves an established body of technical regulations for which within a 3.9-mile radius of the Smyrna reference to Nashville Class C in the Airport, and within 1.2 miles each side of the Class D description be removed as it is frequent and routine amendments are 142° bearing from the airport, extending from not necessary (7400.11, 1003.b). necessary to keep them operationally the 3.9-mile radius to 5.5-miles southeast of Finally, subsequent to publication of current. It, therefore: (1) Is not a the airport, and within 1.2-miles each side of the proposal the FAA found the ‘‘significant regulatory action’’ under the184° bearing from the airport, extending southern Class D extension was Executive Order 12866; (2) is not a from the 3.9-mile radius to 5.5-miles south of incorrectly identified as the 181° ‘‘significant rule’’ under DOT the airport. This Class D airspace area is bearing. This action corrects the Regulatory Policies and Procedures (44 effective during the specific dates and times extension to read 184° bearing. FR 11034; February 26, 1979); and (3) established in advance by a Notice to does not warrant preparation of a Airmen. The effective dates and times will Interested parties were invited to thereafter be continuously published in the participate in this rulemaking effort by regulatory evaluation as the anticipated Chart Supplement. submitting written comments on the impact is so minimal. Since this is a proposal to the FAA. No comments routine matter that only affects air traffic Paragraph 6005 Class E Airspace Areas were received. procedures and air navigation, it is Extending Upward From 700 Feet or More Class D and Class E airspace certified that this rule, when Above the Surface of the Earth. designations are published in Paragraph promulgated, does not have a significant ASO TN E5 Nashville, TN [Amended] 5000, and 6005, respectively, of FAA economic impact on a substantial Nashville International Airport, TN Order 7400.11E, dated July 21, 2020, number of small entities under the (Lat. 36°07′28″ N, long. 86°40′41″ W) and effective September 15, 2020, which criteria of the Regulatory Flexibility Act. Smyrna Airport
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(Lat. 36°00′32″ N, long. 86°31′12″ W) be viewed online at https:// Availability and Summary of Music City Executive Airport www.faa.gov/air_traffic/publications/. Documents for Incorporation by ° ′ ″ ° ′ ″ (Lat. 36 22 30 N, long. 86 24 30 W) For further information, you can contact Reference Lebanon Municipal Airport the Airspace Policy Group, Federal (Lat. 36°11′25″ N, long. 86°18′56″ W) This document amends FAA Order Murfreesboro Municipal Airport Aviation Administration, 800 7400.11E, Airspace Designations and (Lat. 35°52′43″ N, long. 86°22′39″ W) Independence Avenue SW, Washington, Reporting Points, dated July 21, 2020, John C. Tune Airport DC 20591; telephone: (202) 267–8783. and effective September 15, 2020. FAA ° ′ ″ ° ′ ″ (Lat. 36 10 59 N, long. 86 53 11 W) The Order is also available for Order 7400.11E is publicly available as Vanderbilt University Medical Center inspection at the National Archives and listed in the ADDRESSES section of this Hospital Point In Space Coordinates Records Administration (NARA). For (Lat. 36°08′30″ N, long. 86°48′6″ W) document. FAA Order 7400.11E lists information on the availability of FAA Class A, B, C, D, and E airspace areas, That airspace extending upward from 700 Order 7400.11E at NARA, email feet above the surface within a 15 mile radius air traffic service routes, and reporting [email protected] or go to https:// points. of Nashville International Airport, and www.archives.gov/federal-register/cfr/ within a 11.5-mile radius of Smyrna Airport, ibr-locations.html. The Rule and within a 7-mile radius of Music City Executive Airport, and within a 10-mile FOR FURTHER INFORMATION CONTACT: This amendment to 14 CFR part 71: radius of Lebanon Municipal Airport, and Jeffrey Claypool, Federal Aviation Amends the Class E surface area within a 9-mile radius of Murfreesboro Administration, Operations Support airspace to within a 4.1-mile (decreased Municipal Airport, and within an 8.6-mile Group, Central Service Center, 10101 from a 4.3-mile) radius of Bradford radius of John C. Tune Airport, and that Hillwood Parkway, Fort Worth, TX Regional Airport, Bradford, PA; removes airspace within a 6-mile radius of the Point 76177; telephone (817) 222–5711. the Bradford VORTAC and the In Space serving Vanderbilt University Medical Center Hospital. SUPPLEMENTARY INFORMATION: associated extension from the airspace legal description; adds an extension to Issued in College Park, Georgia, on Authority for This Rulemaking 1 mile each side of the 134° bearing February 1, 2021. The FAA’s authority to issue rules from the airport extending from the 4.1- Andreese C. Davis, regarding aviation safety is found in mile radius of the airport to 4.2 miles Manager, Airspace & Procedures Team South, Title 49 of the United States Code. southeast of the airport; and replaces the Eastern Service Center, Air Traffic Subtitle I, Section 106 describes the outdated term ‘‘Airport/Facility Organization. authority of the FAA Administrator. Directory’’ with ‘‘Chart Supplement’’; [FR Doc. 2021–02482 Filed 2–22–21; 8:45 am] Subtitle VII, Aviation Programs, And amends the Class E airspace BILLING CODE 4910–13–P describes in more detail the scope of the extending upward from 700 feet above agency’s authority. This rulemaking is the surface to within a 6.6-mile promulgated under the authority (increased from a 6.5-mile) radius of DEPARTMENT OF TRANSPORTATION described in Subtitle VII, Part A, Bradford Regional Airport; removes the Federal Aviation Administration Subpart I, Section 40103. Under that Bradford VORTAC and the associated section, the FAA is charged with extension from the airspace legal 14 CFR Part 71 prescribing regulations to assign the use description; removes the BRAFO LOM of airspace necessary to ensure the and the associated extension from the [Docket No. FAA–2020–1015; Airspace safety of aircraft and the efficient use of airspace legal description; and removes Docket No. 20–AEA–20] airspace. This regulation is within the the city associated with the airport to RIN 2120–AA66 scope of that authority as it amends the comply with changes to FAA Order Class E surface airspace and the Class E 7400.2M, Procedures for Handling Amendment of the Class E Airspace; airspace extending upward from 700 Airspace Matters. Bradford, PA feet above the surface at Bradford This action is the result of an airspace Regional Airport, Bradford, PA, to review caused by the decommissioning AGENCY: Federal Aviation support instrument flight rule of the Bradford VOR, which provided Administration (FAA), DOT. operations at this airport. navigation information for the ACTION: Final rule. instrument procedures at this airport, as History part of the VOR MON Program. SUMMARY: This action amends the Class The FAA published a notice of FAA Order 7400.11, Airspace E airspace at Bradford Regional Airport, proposed rulemaking in the Federal Designations and Reporting Points, is Bradford, PA. This action is the result Register (85 FR 74302; November 20, published yearly and effective on of airspace reviews caused by the 2020) for Docket No. FAA–2020–1015 to September 15. decommissioning of the Bradford VHF amend the Class E airspace at Bradford omnidirectional range (VOR) navigation Regional Airport, Bradford, PA. Regulatory Notices and Analyses aid as part of the VOR Minimum Interested parties were invited to The FAA has determined that this Operational Network (MON) Program. participate in this rulemaking effort by regulation only involves an established DATES: Effective 0901 UTC, June 17, submitting written comments on the body of technical regulations for which 2021. The Director of the Federal proposal to the FAA. No comments frequent and routine amendments are Register approves this incorporation by were received. necessary to keep them operationally reference action under Title 1 Code of Class E airspace designations are current, is non-controversial and Federal Regulations part 51, subject to published in paragraph 6005 of FAA unlikely to result in adverse or negative the annual revision of FAA Order Order 7400.11E, dated July 21, 2020, comments. It, therefore: (1) Is not a 7400.11 and publication of conforming and effective September 15, 2020, which ‘‘significant regulatory action’’ under amendments. is incorporated by reference in 14 CFR Executive Order 12866; (2) is not a ADDRESSES: FAA Order 7400.11E, 71.1. The Class E airspace designations ‘‘significant rule’’ under DOT Airspace Designations and Reporting listed in this document will be Regulatory Policies and Procedures (44 Points, and subsequent amendments can published subsequently in the Order. FR 11034; February 26, 1979); and (3)
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does not warrant preparation of a Paragraph 6005 Class E Airspace Areas notice of its decision to temporarily regulatory evaluation as the anticipated Extending Upward From 700 Feet or More limit the travel of individuals from impact is so minimal. Since this is a Above the Surface of the Earth. Canada into the United States at land routine matter that only affects air traffic * * * * * ports of entry along the United States- procedures and air navigation, it is AEA PA E5 Bradford, PA [Amended] Canada border to ‘‘essential travel,’’ as certified that this rule, when further defined in that document.1 The Bradford Regional Airport, PA document described the developing promulgated, does not have a significant (Lat. 41°48′11″ N, long. 78°38′24″ W) economic impact on a substantial circumstances regarding the COVID–19 HIVIT Waypoint pandemic and stated that, given the number of small entities under the (Lat. 41°57′51″ N, long. 78°39′15″ W) criteria of the Regulatory Flexibility Act. outbreak and continued transmission That airspace extending upward from 700 and spread of the virus associated with Environmental Review feet above the surface of the Earth within a 6.6-mile radius of the Bradford Regional COVID–19 within the United States and The FAA has determined that this Airport, and within a 6-mile radius of the globally, DHS had determined that the action qualifies for categorical exclusion HIVIT Waypoint serving the University of risk of continued transmission and under the National Environmental Pittsburgh. spread of the virus associated with COVID–19 between the United States Policy Act in accordance with FAA Issued in Fort Worth, Texas, on February Order 1050.1F, ‘‘Environmental 17, 2021. and Canada posed a ‘‘specific threat to human life or national interests.’’ DHS Impacts: Policies and Procedures,’’ Martin A. Skinner, paragraph 5–6.5.a. This airspace action later published a series of notifications Acting Manager, Operations Support Group, continuing such limitations on travel is not expected to cause any potentially ATO Central Service Center. until 11:59 p.m. EST on February 21, significant environmental impacts, and [FR Doc. 2021–03517 Filed 2–22–21; 8:45 am] no extraordinary circumstances exist 2021.2 BILLING CODE 4910–13–P that warrant preparation of an DHS continues to monitor and environmental assessment. respond to the COVID–19 pandemic. As of the week of February 14, 2021, there List of Subjects in 14 CFR Part 71 DEPARTMENT OF HOMELAND have been over 108.2 million confirmed SECURITY Airspace, Incorporation by reference, cases globally, with over 2.3 million Navigation (air). confirmed deaths.3 There have been U.S. Customs and Border Protection over 27.6 million confirmed and Adoption of the Amendment probable cases within the United 19 CFR Chapter I 4 In consideration of the foregoing, the States, over 820,000 confirmed cases in 5 Federal Aviation Administration Canada, and over 1.9 million Notification of Temporary Travel 6 amends 14 CFR part 71 as follows: Restrictions Applicable to Land Ports confirmed cases in Mexico. of Entry and Ferries Service Between Notice of Action PART 71—DESIGNATION OF CLASS A, the United States and Canada B, C, D, AND E AIRSPACE AREAS; AIR Given the outbreak and continued TRAFFIC SERVICE ROUTES; AND AGENCY: Office of the Secretary, U.S. transmission and spread of COVID–19 REPORTING POINTS Department of Homeland Security; U.S. within the United States and globally, Customs and Border Protection, U.S. the Secretary has determined that the ■ 1. The authority citation for part 71 Department of Homeland Security. 1 85 FR 16548 (Mar. 24, 2020). That same day, continues to read as follows: ACTION: Notification of continuation of DHS also published notice of its decision to Authority: 49 U.S.C. 106(f), 106(g); 40103, temporary travel restrictions. temporarily limit the travel of individuals from 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, Mexico into the United States at land ports of entry 1959–1963 Comp., p. 389. SUMMARY: This document announces the along the United States-Mexico border to ‘‘essential decision of the Secretary of Homeland travel,’’ as further defined in that document. 85 FR § 71.1 [Amended] Security (Secretary) to continue to 16547 (Mar. 24, 2020). 2 temporarily limit the travel of See 86 FR 4969 (Jan. 19, 2021); 85 FR 83432 ■ 2. The incorporation by reference in (Dec. 22, 2020); 85 FR 74603 (Nov. 23, 2020); 85 14 CFR 71.1 of FAA Order 7400.11E, individuals from Canada into the United FR 67276 (Oct. 22, 2020); 85 FR 59670 (Sept. 23, States at land ports of entry along the 2020); 85 FR 51634 (Aug. 21, 2020); 85 FR 44185 Airspace Designations and Reporting (July 22, 2020); 85 FR 37744 (June 24, 2020); 85 FR Points, dated July 21, 2020, and United States-Canada border. Such travel will be limited to ‘‘essential 31050 (May 22, 2020); 85 FR 22352 (Apr. 22, 2020). effective September 15, 2020, is DHS also published parallel notifications of its amended as follows: travel,’’ as further defined in this decisions to continue temporarily limiting the document. travel of individuals from Mexico into the United Paragraph 6002 Class E Airspace Areas States at land ports of entry along the United States- Designated as Surface Areas. DATES: These restrictions go into effect Mexico border to ‘‘essential travel.’’ See 86 FR 4969 at 12 a.m. Eastern Standard Time on (Jan. 19, 2021); 85 FR 83433 (Dec. 22, 2020); 85 FR * * * * * February 22, 2021 and will remain in 74604 (Nov. 23, 2020); 85 FR 67275 (Oct. 22, 2020); AEA PA E2 Bradford, PA [Amended] effect until 11:59 p.m. Eastern Daylight 85 FR 59669 (Sept. 23, 2020); 85 FR 51633 (Aug. 21, 2020); 85 FR 44183 (July 22, 2020); 85 FR 37745 Bradford Regional Airport, PA Time (EDT) on March 21, 2021. (June 24, 2020); 85 FR 31057 (May 22, 2020); 85 FR (Lat. 41°48′11″ N, long. 78°38′24″ W) FOR FURTHER INFORMATION CONTACT: 22353 (Apr. 22, 2020). Within a 4.1-mile radius of the Bradford Stephanie Watson, Office of Field 3 WHO, Coronavirus disease 2019 (COVID–19) Regional Airport, and within 1 mile each side Operations Coronavirus Coordination Weekly Epidemiological Update (Feb. 16, 2021), of the 134° bearing from the airport extending available at https://www.who.int/publications/m/ Cell, U.S. Customs and Border item/weekly-epidemiological-update-16-february- from the 4.1-mile radius to 4.2 miles Protection (CBP) at 202–325–0840. 2021. southeast of the airport. This Class E airspace 4 SUPPLEMENTARY INFORMATION: CDC, COVID Data Tracker (accessed Feb. 18, area is effective during the specific dates and 2021), available at https://covid.cdc.gov/covid-data- times established in advance by a Notice to Background tracker/. Airmen. The effective date and time will 5 WHO, COVID–19 Weekly Epidemiological thereafter be continuously published in the On March 24, 2020, the Department of Update (Feb. 16, 2021). Chart Supplement. Homeland Security (DHS) published 6 Id.
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risk of continued transmission and reach individuals on both sides of the directed to prepare and distribute spread of the virus associated with border. appropriate guidance to CBP personnel COVID–19 between the United States For purposes of the temporary on the continued implementation of the and Canada poses an ongoing ‘‘specific alteration in certain designated ports of temporary measures set forth in this threat to human life or national entry operations authorized under 19 Notification. The CBP Commissioner interests.’’ U.S.C. 1318(b)(1)(C) and (b)(2), travel may determine that other forms of through the land ports of entry and ferry travel, such as travel in furtherance of U.S. and Canadian officials have terminals along the United States- economic stability or social order, mutually determined that non-essential Canada border shall be limited to constitute ‘‘essential travel’’ under this travel between the United States and ‘‘essential travel,’’ which includes, but Notification. Further, the CBP Canada poses additional risk of is not limited to— Commissioner may, on an transmission and spread of the virus • U.S. citizens and lawful permanent individualized basis and for associated with COVID–19 and places residents returning to the United States; humanitarian reasons or for other • the populace of both nations at Individuals traveling for medical purposes in the national interest, permit increased risk of contracting the virus purposes (e.g., to receive medical the processing of travelers to the United associated with COVID–19. Moreover, treatment in the United States); States not engaged in ‘‘essential travel.’’ given the sustained human-to-human • Individuals traveling to attend transmission of the virus, returning to educational institutions; Alejandro N. Mayorkas, • previous levels of travel between the Individuals traveling to work in the Secretary, U.S. Department of Homeland two nations places the personnel United States (e.g., individuals working Security. staffing land ports of entry between the in the farming or agriculture industry [FR Doc. 2021–03774 Filed 2–19–21; 11:15 am] United States and Canada, as well as the who must travel between the United BILLING CODE 9112–FP–P individuals traveling through these States and Canada in furtherance of ports of entry, at increased risk of such work); • Individuals traveling for emergency DEPARTMENT OF HOMELAND exposure to the virus associated with response and public health purposes SECURITY COVID–19. Accordingly, and consistent (e.g., government officials or emergency with the authority granted in 19 U.S.C. responders entering the United States to U.S. Customs and Border Protection 1318(b)(1)(C) and (b)(2),7 I have support federal, state, local, tribal, or determined that land ports of entry territorial government efforts to respond 19 CFR Chapter I along the U.S.-Canada border will to COVID–19 or other emergencies); continue to suspend normal operations • Individuals engaged in lawful cross- Notification of Temporary Travel and will only allow processing for entry border trade (e.g., truck drivers Restrictions Applicable to Land Ports into the United States of those travelers supporting the movement of cargo of Entry and Ferries Service Between engaged in ‘‘essential travel,’’ as defined between the United States and Canada); the United States and Mexico below. Given the definition of ‘‘essential • Individuals engaged in official AGENCY: Office of the Secretary, U.S. travel’’ below, this temporary alteration government travel or diplomatic travel; Department of Homeland Security; U.S. in land ports of entry operations should • Members of the U.S. Armed Forces, Customs and Border Protection, U.S. not interrupt legitimate trade between and the spouses and children of Department of Homeland Security. the two nations or disrupt critical members of the U.S. Armed Forces, supply chains that ensure food, fuel, returning to the United States; and ACTION: Notification of continuation of medicine, and other critical materials • Individuals engaged in military- temporary travel restrictions. related travel or operations. SUMMARY: This document announces the The following travel does not fall 7 19 U.S.C. 1318(b)(1)(C) provides that decision of the Secretary of Homeland within the definition of ‘‘essential ‘‘[n]otwithstanding any other provision of law, the Security (Secretary) to continue to Secretary of the Treasury, when necessary to travel’’ for purposes of this temporarily limit the travel of respond to a national emergency declared under the Notification— National Emergencies Act (50 U.S.C. 1601 et seq.) • individuals from Mexico into the United or to a specific threat to human life or national Individuals traveling for tourism purposes (e.g., sightseeing, recreation, States at land ports of entry along the interests,’’ is authorized to ‘‘[t]ake any . . . action United States-Mexico border. Such that may be necessary to respond directly to the gambling, or attending cultural events). national emergency or specific threat.’’ On March At this time, this Notification does not travel will be limited to ‘‘essential 1, 2003, certain functions of the Secretary of the apply to air, freight rail, or sea travel travel,’’ as further defined in this Treasury were transferred to the Secretary of document. Homeland Security. See 6 U.S.C. 202(2), 203(1). between the United States and Canada, Under 6 U.S.C. 212(a)(1), authorities ‘‘related to but does apply to passenger rail, DATES: These restrictions go into effect Customs revenue functions’’ were reserved to the passenger ferry travel, and pleasure boat at 12 a.m. Eastern Standard Time on Secretary of the Treasury. To the extent that any travel between the United States and February 22, 2021 and will remain in authority under section 1318(b)(1) was reserved to the Secretary of the Treasury, it has been delegated Canada. These restrictions are effect until 11:59 p.m. Eastern Daylight to the Secretary of Homeland Security. See Treas. temporary in nature and shall remain in Time (EDT) on March 21, 2021. Dep’t Order No. 100–16 (May 15, 2003), 68 FR effect until 11:59 p.m. EDT on March FOR FURTHER INFORMATION CONTACT: 28322 (May 23, 2003). Additionally, 19 U.S.C. 21, 2021. This Notification may be 1318(b)(2) provides that ‘‘[n]otwithstanding any Stephanie Watson, Office of Field other provision of law, the Commissioner of U.S. amended or rescinded prior to that time, Operations Coronavirus Coordination Customs and Border Protection, when necessary to based on circumstances associated with Cell, U.S. Customs and Border respond to a specific threat to human life or the specific threat.8 Protection (CBP) at 202–325–0840. national interests, is authorized to close temporarily The Commissioner of U.S. Customs any Customs office or port of entry or take any other SUPPLEMENTARY INFORMATION: lesser action that may be necessary to respond to and Border Protection (CBP) is hereby the specific threat.’’ Congress has vested in the Background Secretary of Homeland Security the ‘‘functions of 8 DHS is working closely with counterparts in all officers, employees, and organizational units of Mexico and Canada to identify appropriate public On March 24, 2020, the Department of the Department,’’ including the Commissioner of health conditions to safely ease restrictions in the Homeland Security (DHS) published CBP. 6 U.S.C. 112(a)(3). future and support U.S. border communities. notice of its decision to temporarily
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limit the travel of individuals from spread of the virus associated with For purposes of the temporary Mexico into the United States at land COVID–19 between the United States alteration in certain designated ports of ports of entry along the United States- and Mexico poses an ongoing ‘‘specific entry operations authorized under 19 Mexico border to ‘‘essential travel,’’ as threat to human life or national U.S.C. 1318(b)(1)(C) and (b)(2), travel further defined in that document.1 The interests.’’ through the land ports of entry and ferry document described the developing U.S. and Mexican officials have terminals along the United States- circumstances regarding the COVID–19 mutually determined that non-essential Mexico border shall be limited to pandemic and stated that, given the travel between the United States and ‘‘essential travel,’’ which includes, but outbreak and continued transmission Mexico poses additional risk of is not limited to— • and spread of the virus associated with transmission and spread of the virus U.S. citizens and lawful permanent COVID–19 within the United States and residents returning to the United States; associated with COVID–19 and places • globally, DHS had determined that the the populace of both nations at Individuals traveling for medical risk of continued transmission and increased risk of contracting the virus purposes (e.g., to receive medical spread of the virus associated with treatment in the United States); associated with COVID–19. Moreover, • COVID–19 between the United States given the sustained human-to-human Individuals traveling to attend and Mexico posed a ‘‘specific threat to transmission of the virus, returning to educational institutions; human life or national interests.’’ DHS • previous levels of travel between the Individuals traveling to work in the later published a series of notifications two nations places the personnel United States (e.g., individuals working continuing such limitations on travel staffing land ports of entry between the in the farming or agriculture industry until 11:59 p.m. EST on February 21, United States and Mexico, as well as the who must travel between the United 2021.2 individuals traveling through these States and Mexico in furtherance of DHS continues to monitor and ports of entry, at increased risk of such work); respond to the COVID–19 pandemic. As • exposure to the virus associated with Individuals traveling for emergency of the week of February 14, 2021, there COVID–19. Accordingly, and consistent response and public health purposes have been over 108.2 million confirmed with the authority granted in 19 U.S.C. (e.g., government officials or emergency cases globally, with over 2.3 million 1318(b)(1)(C) and (b)(2),7 I have responders entering the United States to confirmed deaths.3 There have been determined that land ports of entry support federal, state, local, tribal, or over 27.6 million confirmed and along the U.S.-Mexico border will territorial government efforts to respond probable cases within the United continue to suspend normal operations to COVID–19 or other emergencies); States,4 over 820,000 confirmed cases in • and will only allow processing for entry Individuals engaged in lawful cross- Canada,5 and over 1.9 million into the United States of those travelers border trade (e.g., truck drivers confirmed cases in Mexico.6 engaged in ‘‘essential travel,’’ as defined supporting the movement of cargo Notice of Action below. Given the definition of ‘‘essential between the United States and Mexico); • Individuals engaged in official Given the outbreak and continued travel’’ below, this temporary alteration in land ports of entry operations should government travel or diplomatic travel; transmission and spread of COVID–19 • Members of the U.S. Armed Forces, within the United States and globally, not interrupt legitimate trade between the two nations or disrupt critical and the spouses and children of the Secretary has determined that the members of the U.S. Armed Forces, risk of continued transmission and supply chains that ensure food, fuel, medicine, and other critical materials returning to the United States; and • Individuals engaged in military- 1 reach individuals on both sides of the 85 FR 16547 (Mar. 24, 2020). That same day, related travel or operations. DHS also published notice of its decision to border. temporarily limit the travel of individuals from The following travel does not fall Canada into the United States at land ports of entry 7 within the definition of ‘‘essential along the United States-Canada border to ‘‘essential 19 U.S.C. 1318(b)(1)(C) provides that ‘‘[n]otwithstanding any other provision of law, the travel’’ for purposes of this travel,’’ as further defined in that document. 85 FR Notification— 16548 (Mar. 24, 2020). Secretary of the Treasury, when necessary to respond to a national emergency declared under the • 2 See 86 FR 4967 (Jan. 19, 2021); 85 FR 83433 Individuals traveling for tourism National Emergencies Act (50 U.S.C. 1601 et seq.) (Dec. 22, 2020); 85 FR 74604 (Nov. 23, 2020); 85 purposes (e.g., sightseeing, recreation, or to a specific threat to human life or national FR 67275 (Oct. 22, 2020); 85 FR 59669 (Sept. 23, interests,’’ is authorized to ‘‘[t]ake any . . . action gambling, or attending cultural events). 2020); 85 FR 51633 (Aug. 21, 2020); 85 FR 44183 that may be necessary to respond directly to the At this time, this Notification does not (July 22, 2020); 85 FR 37745 (June 24, 2020); 85 FR national emergency or specific threat.’’ On March 31057 (May 22, 2020); 85 FR 22353 (Apr. 22, 2020). apply to air, freight rail, or sea travel 1, 2003, certain functions of the Secretary of the DHS also published parallel notifications of its between the United States and Mexico, Treasury were transferred to the Secretary of decisions to continue temporarily limiting the Homeland Security. See 6 U.S.C. 202(2), 203(1). but does apply to passenger rail, travel of individuals from Canada into the United Under 6 U.S.C. 212(a)(1), authorities ‘‘related to passenger ferry travel, and pleasure boat States at land ports of entry along the United States- Customs revenue functions’’ were reserved to the Canada border to ‘‘essential travel.’’ See 86 FR 4969 travel between the United States and Secretary of the Treasury. To the extent that any (Jan. 19, 2021); 85 FR 83432 (Dec. 22, 2020); 85 FR Mexico. These restrictions are authority under section 1318(b)(1) was reserved to 74603 (Nov. 23, 2020); 85 FR 67276 (Oct. 22, 2020); the Secretary of the Treasury, it has been delegated temporary in nature and shall remain in 85 FR 59670 (Sept. 23, 2020); 85 FR 51634 (Aug. to the Secretary of Homeland Security. See Treas. effect until 11:59 p.m. EDT on March 21, 2020); 85 FR 44185 (July 22, 2020); 85 FR 37744 Dep’t Order No. 100–16 (May 15, 2003), 68 FR (June 24, 2020); 85 FR 31050 (May 22, 2020); 85 FR 21, 2021. This Notification may be 28322 (May 23, 2003). Additionally, 19 U.S.C. 22352 (Apr. 22, 2020. amended or rescinded prior to that time, 1318(b)(2) provides that ‘‘[n]otwithstanding any 3 WHO, Coronavirus disease 2019 (COVID–19) other provision of law, the Commissioner of U.S. based on circumstances associated with Weekly Epidemiological Update (Feb. 16, 2021), Customs and Border Protection, when necessary to the specific threat.8 available at https://www.who.int/publications/m/ respond to a specific threat to human life or The Commissioner of U.S. Customs item/weekly-epidemiological-update---16-february- national interests, is authorized to close temporarily and Border Protection (CBP) is hereby 2021. any Customs office or port of entry or take any other 4 CDC, COVID Data Tracker (accessed Feb. 18, lesser action that may be necessary to respond to directed to prepare and distribute 2021), available at https://covid.cdc.gov/covid-data- the specific threat.’’ Congress has vested in the tracker/. Secretary of Homeland Security the ‘‘functions of 8 DHS is working closely with counterparts in 5 WHO, COVID–19 Weekly Epidemiological all officers, employees, and organizational units of Mexico and Canada to identify appropriate public Update (Feb. 16, 2021). the Department,’’ including the Commissioner of health conditions to safely ease restrictions in the 6 Id. CBP. 6 U.S.C. 112(a)(3). future and support U.S. border communities.
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appropriate guidance to CBP personnel DEPARTMENT OF HEALTH AND DATES: This rule is effective February on the continued implementation of the HUMAN SERVICES 23, 2021. temporary measures set forth in this FOR FURTHER INFORMATION CONTACT: Notification. The CBP Commissioner Food and Drug Administration David Alterman, Center for Veterinary may determine that other forms of Medicine (HFV–212), Food and Drug travel, such as travel in furtherance of 21 CFR Parts 510, 520, and 522 Administration, 7519 Standish Pl., economic stability or social order, Rockville, MD 20855, 240–402–5720, constitute ‘‘essential travel’’ under this [Docket No. FDA–2019–N–5405] [email protected]. Notification. Further, the CBP SUPPLEMENTARY INFORMATION: New Animal Drug Applications; Beta- Commissioner may, on an Aminopropionitrile Fumarate; n-Butyl I. Background individualized basis and for Chloride; Cupric Glycinate Injection; humanitarian reasons or for other Elsewhere in this issue of the Federal Dichlorophene and Toluene; Orgotein Register, FDA gave notice that approval purposes in the national interest, permit for Injection; Tetracycline Tablets the processing of travelers to the United of the seven NADAs listed in table 1, and all supplements and amendments States not engaged in ‘‘essential travel.’’ AGENCY: Food and Drug Administration, thereto, is withdrawn, effective HHS. Alejandro N. Mayorkas, February 23, 2021, for lack of Secretary, U.S. Department of Homeland ACTION: Final rule, technical compliance with reporting requirements Security. amendment. in 21 CFR 514.80. As provided in the [FR Doc. 2021–03776 Filed 2–19–21; 11:15 am] regulatory text of this document, the BILLING CODE 9111–FP–P SUMMARY: The Food and Drug animal drug regulations are amended to Administration (FDA) is amending the reflect withdrawal of approval of the animal drug regulations to reflect the following applications and a current withdrawal of approval of seven new format. Withdrawal of approval of animal drug applications (NADAs) for NADA 065–067 for Tetracycline lack of compliance with the reporting Hydrochloride (HCl) Tablets did not requirements in an FDA regulation. require amending the regulations.
TABLE 1—NADAS FOR WHICH APPROVAL IS WITHDRAWN
Trade name Application No. (drug) Sponsor 21 CFR section
031–971 ...... CUPRATE (cupric glycinate) ...... Walco International, Inc., 15 West Putnam, Porter- 522.518 ville, CA 93257. 045–863 ...... PALOSEIN (orgotein) ...... OXIS International, Inc., 6040 N Cutter Circle, Suite 522.1620 317, Portland, OR 97217–3935. 046–922 ...... SERGEANTS SURE SHOT (n-butyl chloride) Cap- ConAgra Pet Products Co., 3902 Leavenworth St., 520.260 sules. Omaha, NE 68105. 046–923 ...... SERGEANTS (n-butyl chloride) Puppy Worm Cap- ConAgra Pet Products Co., 3902 Leavenworth St., 520.260 sules. Omaha, NE 68105. 065–067 ...... Tetracycline HCl Tablets ...... Premo Pharmaceutical Laboratories, Inc., 111 Not codified Leuning St., South Hackensack, NJ 07606. 140–850 ...... ELITE (dichlorophene and toluene) Dog and Cat RSR Laboratories, Inc., 501 Fifth St., Bristol, TN 520.580 Wormer. 37620. 141–107 ...... BAPTEN for Injection (+-aminopropionitrile fuma- Alaco, Inc., 1500 North Wilmot Rd., Suite 290–C, 522.84 rate). Tucson, AZ 85712.
Following these withdrawals of Federal Register publication of the Likewise, this is not a rule subject to approval, Alaco, Inc.; ConAgra Pet conditions of use of an approved or Executive Order 12866, which defines a Products Co.; OXIS International, Inc.; conditionally approved new animal rule as ‘‘an agency statement of general RSR Laboratories, Inc.; and Walco drug and the name and address of the applicability and future effect, which International, Inc., are no longer the drug’s sponsor in a ‘‘notice, which upon the agency intends to have the force and sponsors of an approved application. publication shall be effective as a effect of law, that is designed to Accordingly, 21 CFR 510.600(c) is being regulation.’’ A notice published implement, interpret, or prescribe law amended to remove the entries for these pursuant to section 512(i) is not subject or policy or to describe the procedure or firms. to the notice-and-comment rulemaking practice requirements of an agency.’’ II. Legal Authority requirements of the Administrative Procedure Act, 5 U.S.C. 551 et seq. See List of Subjects This rule sets forth technical section 512(i) of the FD&C Act (21 amendments to the regulations to codify 21 CFR Part 510 U.S.C. 360b(i)); 21 CFR 10.40(e)(3); S. recent actions on approved new animal Administrative practice and drug applications and corrections to Rep. 90–1308, at 5 (1968). improve the accuracy of the regulations, This document does not meet the procedure, Animal drugs, Labeling, and as such does not impose any burden definition of ‘‘rule’’ in 5 U.S.C. Reporting and recordkeeping on regulated entities. This rule is issued 804(3)(A) because it is a ‘‘rule of requirements. under section 512(i) of the Federal particular applicability.’’ Therefore, it is 21 CFR Parts 520 and 522 Food, Drug, and Cosmetic Act (FD&C not subject to the congressional review Act) (21 U.S.C. 360b(i)), which requires requirements in 5 U.S.C. 801–808. Animal drugs.
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Therefore, under the Federal Food, (2) Indications for use. For the ACTION: Notification of withdrawal. Drug, and Cosmetic Act and under removal of ascarids (Toxocara canis and authority delegated to the Commissioner Toxascaris leonina) and hookworms SUMMARY: The Food and Drug of Food and Drugs, 21 CFR parts 510, (Ancylostoma caninum, Ancylostoma Administration (FDA) is withdrawing 520, and 522 are amended as follows: braziliense, and Uncinaria approval of seven new animal drug stenocephala) from dogs. applications (NADAs) from multiple PART 510—NEW ANIMAL DRUGS (3) Limitations. Dogs should not be holders of these applications. The basis fed for 18 to 24 hours before being given ■ 1. The authority citation for part 510 for the withdrawals is that the holders the drug. Administration of the drug continues to read as follows: of these applications have repeatedly should be followed in 1⁄2 to 1 hour with Authority: 21 U.S.C. 321, 331, 351, 352, failed to file required annual reports for a mild cathartic. Normal feeding may be the applications. 353, 360b, 371, 379e. resumed 4 to 8 hours after treatment. § 510.600 [Amended] Animals subject to reinfection may be DATES: Withdrawal of approval is retreated in 2 weeks. A veterinarian effective February 23, 2021. ■ 2. In § 510.600, in the table in should be consulted before using in paragraph (c)(1), remove the entries for FOR FURTHER INFORMATION CONTACT: severely debilitated dogs. ‘‘Alaco, Inc.’’, ‘‘OXIS International, David Alterman, Center for Veterinary Inc.’’, ‘‘RSR Laboratories, Inc.’’, and § 520.580 [Amended] Medicine (HFV–212), Food and Drug ‘‘Walco International, Inc.’’; and in the ■ 5. In § 520.580, in paragraph (b)(1), Administration, 7519 Standish Pl., table in paragraph (c)(2), remove the remove ‘‘Nos. 017135, 023851, and Rockville, MD 20855, 240–402–5720, entries for ‘‘024991’’, ‘‘049185’’, [email protected]. ‘‘058670’’, and ‘‘064146’’. 058670’’ and in its place add ‘‘Nos. 017135 and 023851’’. SUPPLEMENTARY INFORMATION: The PART 520—ORAL DOSAGE FORM holders of approved applications to NEW ANIMAL DRUGS PART 522—IMPLANTATION OR INJECTABLE DOSAGE FORM NEW market new animal drugs are required to submit annual reports to FDA ■ 3. The authority citation for part 520 ANIMAL DRUGS concerning each of their approved continues to read as follows: ■ 6. The authority citation for part 522 applications in accordance with Authority: 21 U.S.C. 360b. continues to read as follows: § 514.80 (21 CFR 514.80). ■ 4. Revise § 520.260 to read as follows: Authority: 21 U.S.C. 360b. In the Federal Register of January 8, 2020 (85 FR 919), FDA published a § 520.260 n-Butyl chloride. § 522.84 [Removed] (a) Specifications. Each capsule notice offering an opportunity for a contains 221, 442, 884, or 1,768 ■ 7. Remove § 522.84. hearing (NOOH) on a proposal to withdraw approval of seven NADAs milligrams (mg); or 4.42 grams of n- § 522.518 [Removed] butyl chloride. because the sponsors had failed to (b) Sponsors. See sponsors in ■ 8. Remove § 522.518. submit the required annual reports for § 510.600(c) of this chapter: § 522.1620 [Removed] these applications. The holders of these (1) No. 023851 for capsules containing applications did not respond to the 221, 442, 884, or 1,768 mg, or 4.42 ■ 9. Remove § 522.1620. NOOH. Failure to file a written notice grams (g); and Dated: February 11, 2021. of participation and request for a (2) No. 054771 for capsules containing Lauren K. Roth, hearing as required by § 514.200(b) (21 221 mg. CFR 514.200(b)) constitutes an election (c) Conditions of use in dogs—(1) Acting Principal Associate Commissioner for Policy. by the applicant not to make use of the Amount. Administer capsules orally based on body weight as follows: [FR Doc. 2021–03251 Filed 2–22–21; 8:45 am] opportunity for a hearing concerning the (i) Capsules containing 221 mg: Under BILLING CODE 4164–01–P proposal to withdraw approval of the 5 pounds, 1 capsule per 11⁄4 pounds of applications and a waiver of any body weight. contentions concerning the legal status (ii) Capsules containing 442 mg: DEPARTMENT OF HEALTH AND of the drug products. Therefore, HUMAN SERVICES Under 5 pounds, 1 capsule per 21⁄2 approval of the seven applications listed in table 1 is being withdrawn. pounds of body weight. Food and Drug Administration (iii) Capsules containing 884 mg: (A) Under 5 pounds, 1 capsule; (B) 5 to 10 pounds, 2 capsules; 21 CFR Parts 510, 520, and 522 (C) 10 to 20 pounds, 3 capsules; [Docket No. FDA–2019–N–5405] (D) 20 to 40 pounds, 4 capsules; (E) Over 40 pounds, 5 capsules. New Animal Drugs; Withdrawal of (iv) Capsules containing 1,768 mg: Approval of New Animal Drug Dogs weighing 5 to 10 pounds, 1 Applications capsule. (v) Capsules containing 4.42 g: Dogs AGENCY: Food and Drug Administration, weighing 40 pounds or over, 1 capsule. HHS.
TABLE 1—NADAS FOR WHICH APPROVAL IS WITHDRAWN
Trade name Application No. (drug) Sponsor
031–971 ...... CUPRATE (cupric glycinate) ...... Walco International, Inc., 15 West Putnam, Porterville, CA 93257.
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TABLE 1—NADAS FOR WHICH APPROVAL IS WITHDRAWN—Continued
Trade name Application No. (drug) Sponsor
045–863 ...... PALOSEIN (orgotein) ...... OXIS International, Inc., 6040 N. Cutter Circle, suite 317, Portland, OR 97217–3935. 046–922 ...... SERGEANTS SURE SHOT (n-butyl chloride) Capsules ...... ConAgra Pet Products Co., 3902 Leavenworth St., Omaha, NE 68105. 046–923 ...... SERGEANTS (n-butyl chloride) Puppy Worm Capsules ...... ConAgra Pet Products Co., 3902 Leavenworth St., Omaha, NE 68105. 065–067 ...... Tetracycline Hydrochloride Tablets ...... Premo Pharmaceutical Laboratories, Inc., 111 Leuning St., South Hackensack, NJ 07606. 140–850 ...... ELITE (dichlorophene and toluene) Dog and Cat Wormer ..... RSR Laboratories, Inc., 501 Fifth St., Bristol, TN 37620. 141–107 ...... BAPTEN for Injection (+-aminopropionitrile fumarate) ...... Alaco, Inc., 1500 North Wilmot Rd., suite 290–C, Tucson, AZ 85712.
The Commissioner of Food and Drugs distributed together, regardless of create a new group registration option (the Commissioner), under section whether such distribution occurs via for musical works, sound recordings, 512(e)(2)(A) of the Federal Food, Drug, physical or digital media. The final rule and associated literary, pictorial, and and Cosmetic Act (21 U.S.C. generally adopts the provisions set forth graphic works contained on an album. 360b(e)(2)(A)), finds that the holders of in the May 2019 notice of proposed This option is referred to as ‘‘Group the applications listed in this document rulemaking in this proceeding, with Registration of Works on an Album of have repeatedly failed to submit reports certain updates to reflect the planned Music,’’ or ‘‘GRAM.’’ 3 The proposed required by § 514.80. In addition, under implementation of new online rule would allow an applicant to § 514.200(b), the Commissioner finds applications for this option. register up to twenty musical works and that the holders of the applications have DATES: Effective March 26, 2021. twenty sound recordings, i.e., forty total waived any contentions concerning the FOR FURTHER INFORMATION CONTACT: works, if the works were fixed in the legal status of the drug products. Regan A. Smith, General Counsel and same phonorecord, if the works were Therefore, under these findings, Associate Register of Copyrights, by created by the same author or had at approval of the applications listed in email at [email protected]; Robert least one common author, and if the claimant for each work in the group was this document, and all amendments and Kasunic, Associate Register of the same. The proposed rule also would supplements thereto, is hereby Copyrights and Director of Registration permit the registration of associated withdrawn, effective February 23, 2021. Policy and Practice, by email at rkas@ literary, pictorial, and graphic works in Elsewhere in this issue of the Federal copyright.gov; or John R. Riley, the album, such as cover art, liner notes, Register, FDA is amending the animal Assistant General Counsel, by email at or posters. To exercise this option, the drug regulations to reflect the [email protected]. Each can be Office proposed that applicants would withdrawal of approval of these contacted by telephone at 202–707– be required to submit their claims applications. 8350. through the online copyright Dated: February 11, 2021. SUPPLEMENTARY INFORMATION: registration system using the Standard Lauren K. Roth, I. Background Application. Acting Principal Associate Commissioner for The Office received thirteen Policy. The Copyright Act authorizes the comments in response to the NPRM, [FR Doc. 2021–03250 Filed 2–22–21; 8:45 am] Register of Copyrights to specify by eleven from individuals, one from the BILLING CODE 4164–01–P regulation the administrative classes of National Music Publishers Association works available for the purpose of (‘‘NMPA’’), and a joint comment by the seeking a registration and the nature of American Association of Independent LIBRARY OF CONGRESS the deposits required for each class. In Music (‘‘A2IM’’) and the Recording addition, Congress gave the Register the Industry Association of America Copyright Office discretion to allow registration of groups (‘‘RIAA’’). Each commenter supported of related works with one application the Office’s proposal to create the new 37 CFR Parts 201 and 202 and one filing fee, a procedure known group registration option, though some as ‘‘group registration.’’ 1 Pursuant to suggested various amendments to the [Docket No. 2019–4] this authority, the Register has issued proposed rule, including removing the Group Registration of Works on an regulations permitting the Office to proposed limit on the number of works Album of Music issue group registrations for certain that may be included in each claim and types of works, including for groups of clarifying who could be listed as a AGENCY: U.S. Copyright Office, Library newspapers, unpublished works, claimant of a work in a GRAM of Congress. newsletters and serials, unpublished registration. ACTION: Final rule. and published photographs, Having reviewed and carefully contributions to periodicals, secure test considered the submitted comments, the SUMMARY: The U.S. Copyright Office is items, and short online literary works.2 Office now issues a final rule that creating a new group registration option On May 20, 2019, the Office generally follows the proposed rule, for musical works, sound recordings, published a Notice of Proposed with some modifications. First, the rule and certain other works contained on an Rulemaking (‘‘NPRM’’) proposing to requires claims under this option to be album. This option will permit the submitted using a new online registration of a group of musical works 1 37 CFR 202.4; see 17 U.S.C. 408(c)(1). or a group of sound recordings 2 37 CFR 202.4(c)–(k). 3 84 FR 22762 (May 20, 2019).
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application specifically created for media. A collection of musical published on the same album. The GRAM filings, rather than on the recordings presented and offered to the language regarding documentation Standard Application. Second, to avoid public under authority of the copyright accordingly has been removed from the inefficiencies in the examination owner as a self-contained, fixed group final rule. process and ambiguities in the public would qualify as ‘‘a single physical or The NPRM also proposed to allow record, the final rule requires groups of electronic unit of distribution’’ for applicants to register up to twenty musical works and groups of sound purposes of the rule, regardless of musical works or twenty sound recordings to be registered using whether the works are accessed via recordings contained in an album. Some separate applications. download, stream, or other mechanism. commenters requested that the Office The key consideration is whether there remove or at least raise the twenty-work II. The Final Rule is some indication of the copyright cap. In addition to noting that some A. Eligibility Requirements owner’s intention to release the works albums contain more than twenty together as a single collection, as tracks,14 commenters pointed out that 1. Definition of an ‘‘Album’’; Number of the Standard Application does not Works distinguished from, for example, releasing them over time as additions to contain a title cap and voiced concern The NPRM proposed limiting this an evolving playlist.9 Thus, a group of that applicants could include more than group registration option to musical songs presented together on a streaming twenty tracks in error.15 NMPA works, sound recordings, and any service may qualify as an album, suggested that such mistakes could associated literary, pictorial, or graphic provided the other eligibility result in a refusal to register or delays works on an album of music, such as requirements are met. due to required correspondence.16 As liner notes and cover artwork. It defined It is partly for this reason that the discussed further below, however, the an ‘‘album’’ as ‘‘a single physical or final rule defines ‘‘album’’ as a ‘‘unit of Office will not be using the Standard electronic unit of distribution distribution.’’ As discussed in the Application for this registration option, containing at least two musical works NPRM, the Office’s existing ‘‘unit of and therefore believes that such errors and/or sound recordings embodied in publication’’ option has long provided a are less likely. The new application for phonorecords, including any associated vehicle for registering albums released claims registered under this option will literary, pictorial, or graphic works in physical formats, such as a ‘‘CD include a system validation that should distributed with the unit.’’ 4 Three packaged with cover art and a leaflet prevent applicants from listing more commenters requested clarification to containing lyrics’’ or a ‘‘box set of music than twenty musical works or sound ensure that the rule is sufficiently CDs.’’ 10 While the Office has declined recordings in the application. flexible to accommodate streaming to extend the unit of publication option More generally, the Office has services and other distribution models to digital products, the GRAM option is concluded that a twenty-work cap is that do not involve the purchasing of intended to provide an analogous appropriate to balance the needs of copies. A2IM and RIAA argued that the mechanism for digital music albums, in applicants with the administrative term ‘‘album’’ should be eliminated, as part to ensure that albums ‘‘released capabilities of the Office. As noted in it ‘‘appear[s] to be tied to physical first (or only) in digital formats’’ are the NPRM, the Office believes that this distribution and to an ownership eligible for similar registration limit will make this group option model’’ of music.5 They proposed options.11 The final rule accordingly available to the majority of albums instead using the term ‘‘release,’’ which retains the proposed definition, and the actually distributed in the market, and would be defined as ‘‘a collection of two Office intends this further guidance to in any event, albums with more than twenty works would still benefit from or more sound recordings or other address comments regarding the scope this group option because applicants media that are grouped together as those of eligibility for the GRAM option. terms are used in the Copyright Act.’’ 6 may be able to register additional works Some commenters expressed concern 17 In their view, this approach would have with the proposed requirement that an with a separate GRAM application. the advantage of ‘‘avoid[ing] the single applicant ‘‘submit documentation . . . Removing or raising the cap would unit of distribution concept’’ and would confirming that the musical works and/ likely increase the average processing be ‘‘generic enough to embrace new or sound recordings were included on time for these applications and thereby undermine the efficiency of this group release formats, such as a playlist that the album.’’ 12 A2IM and RIAA and an option. Indeed, there is a potential that contains all new recordings released by individual commenter, Jesse Morris, even the twenty-work cap may prove a single artist and grouped together for argued that it should be sufficient for an inefficient if the average number of commerce.’’ 7 NMPA did not propose a applicant to submit a sworn statement works on each application approaches change to the regulatory text but urged to that effect.13 The Office agrees with twenty. The Office remains open to the Office to consider adding language this recommendation. As part of the to the Compendium of U.S. Copyright application, the applicant will be 14 See A2IM & RIAA Comments at 5; NMPA Office Practices or a circular to clarify required to certify that the works being Comments at 3; Anonymous Anonymous that ‘‘the GRAM option extends to registered satisfy the requirements for Comments at 2 (‘‘20 seems low’’ but ‘‘25 to 30 albums that are not offered for digital this group registration option, including would cover most albums and a handful of purchase.’’ 8 that the works in the group were all soundtracks’’). Other commenters appeared The proposed definition of ‘‘album’’ is satisfied with this number. See Anonymous Artist Comments at 2 (‘‘As a musician most of my albums not intended to be limited to albums 9 See Album, Dictionary.com (2021 ed.), https:// contain 10 to 15 songs.’’); Brian Smith Comments distributed under a model in which www.dictionary.com/browse/album (‘‘a collection at 2 (detailing desire to register ‘‘20 songs including copies are acquired and retained by a of audio recordings released together as a collected music recordings and artwork’’); Rich Turgeon purchaser—e.g., downloads or physical work’’). Comments at 2 (noting that it ‘‘[w]ould be nice to 10 84 FR at 22764 (quoting U.S. Copyright Office, just keep [the GRAM registration option] Compendium of U.S. Copyright Office Practices, straightforward and be able to register up to 12–13 4 84 FR at 22764, 22768. Third Edition (‘‘Compendium (Third)’’) sec. 1107.1). songs at a time’’). 5 A2IM & RIAA Comments at 4. 11 84 FR at 22764. 15 A2IM & RIAA Comments at 5; NMPA 6 Id. 12 84 FR at 22768. Comments at 3. 7 Id. at 5. 13 A2IM & RIAA Comments at 7–8; Jesse Morris 16 NMPA Comments at 3. 8 NMPA Comments at 3 (citing 84 FR at 22764). Comments at 2. 17 84 FR at 22764–65 & n.30.
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revisiting this issue based on data that twenty sound recordings on an album, registration certificate would start with become available after implementation, but wrote only ten of the musical works ‘‘GRAM,’’ while the album offered for including with respect to fees, staffing, embodied in those recordings, she sale would not, causing potential and processing times.18 would be required to provide titles for confusion in the public record and in all twenty works and exclude from the 23 2. Custom Application; Works That May litigation. musical work claim the ten Be Included In light of these concerns, and compositions she did not author by because the group-title requirement was Under the proposed rule, an applicant listing their titles in the Material could register up to twenty musical Excluded field. Given the number of necessitated by the limitations of the 24 works and twenty sound recordings, i.e., possible permutations, such Standard Application, the Office has forty total works, using the Standard requirements would likely lead to eliminated this requirement. Instead, Application if the works were fixed in ambiguities requiring correspondence the GRAM applications will include a the same phonorecord and the other with the applicant, as well as potential mandatory field for the title of the regulatory requirements were met.19 inaccuracies in the public record, album, which will appear on the A2IM and RIAA expressed concern over particularly where the applicant is registration certificate and in the public the requirement to use the Standard unfamiliar with the distinction between record. The album title will be used to Application, urging the Office to instead musical works and sound recordings for automatically generate a group title (e.g., ‘‘create a dedicated GRAM application copyright purposes. Because such ‘‘Works published on the album that runs on the existing system.’’ 20 correspondence would likely result in [ALBUM TITLE]’’). The group title and They observed that this approach would additional refusals or a higher fee for the album title will both appear in the ‘‘[n]ot only . . . encourage use of GRAM this group registration option to registration certificate and the public by smaller, less sophisticated, less accommodate the additional Office record. For applications that include frequent users,’’ but also would ‘‘lead to resources needed, the Office has literary, pictorial, or graphic works, the fewer telephone inquiries from determined that it is preferable to create system will automatically generate titles copyright owners and [would] require a bifurcated group option. for those works (e.g., ‘‘Liner notes, less correspondence from registration The final rule accordingly provides photograph(s), and/or artwork first specialists, both of which will save the for two separate types of applications. published on the album [ALBUM Office time and money.’’ 21 The Office An applicant may register up to twenty TITLE]’’), although the applicant may agrees that decoupling GRAM musical works on an album using the provide a more specific title for those applications from the Standard application designated for ‘‘musical works by following the instructions Application would greatly simplify the works from an album.’’ An applicant given in the help text. The Office will registration process for both applicants may register up to twenty sound add those titles to the public record and Office staff, and therefore it has recordings, as well as any associated when it examines the claim. worked with the Library’s Office of the literary, pictorial, or graphic works first Chief Information Officer to develop published with the same album, using 4. Collective Work Registration new applications specifically for GRAM the application designated for ‘‘sound that can be accessed and submitted recordings from an album.’’ The initial RIAA and A2IM requested that the through the electronic registration version of the application for ‘‘musical Office allow applicants to include the system (‘‘eCO’’). The final rule has been works from an album’’ will not include full album as a collective work as one updated to reflect this change. an option for registration of these of the works that can be registered on In the course of developing this ancillary materials because the Office the GRAM application.25 They noted functionality, the Office also determined understands that typically these works that some existing group registration that permitting the registration of both are not authored or owned by the party options permit registration of both a musical works and sound recordings that authored or owns the musical collective work and the individual using one application may give rise to works. To the extent there is a need in component works, citing the unit of complexities in the examination process the marketplace, however, the Office is publication and group serial options as that could hinder the Office’s efficient open to considering a future update that examples.26 But these commenters did administration of the group option. For would permit registration of such not explain why they believe there is a example, in cases where the musical materials on the application for need for such an option in the GRAM works and sound recordings on an ‘‘musical works from an album.’’ The application given that applicants album have different authors, an Office welcomes public input on already have the ability to register both applicant would be required to list all whether copyright owners would a collective work and the individual the authors of both the music and sound benefit from such an option. works comprising it by filing a recordings, to list the titles of the works 3. Title Information collective work claim using the created by each author, and to provide Standard Application. As discussed in an appropriate authorship statement to The NPRM proposed that an applicant the NPRM, a collective work registration be required to provide a title for the describe each author’s contribution(s) to will extend to the individual component album, a title for each musical work each work. In the Registration Program’s works if the copyright in those works is and/or sound recording, titles for any experience, challenges or inaccuracies held by the owner of the collective work associated literary, pictorial, or graphic are likely to arise where the nature of copyright, provided the component works that are included in the group, the applicant’s authorship differs with works contain sufficient original and a title that identifies the group as a respect to the musical work and the authorship and have not been sound recording for multiple album whole, starting with the word 22 tracks. For example, if an author created ‘‘GRAM.’’ Some commenters objected to the requirement to provide a separate 23 A2IM & RIAA Comments at 6; Jesse Morris Comments at 1. 18 Id. at 22765. title for the group. Among other 24 See Jesse Morris Comments at 1; A2IM & RIAA 19 Id. at 22764. concerns, they noted that the Comments at 6. 20 A2IM & RIAA Comments at 8. 25 A2IM & RIAA Comments at 3. 21 Id. 22 84 FR at 22766. 26 Id. at 3–4.
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previously published or registered.27 organization that has obtained nation of publication for the album.’’ 36 Thus, where a party seeks to register an ownership of all rights under the NMPA, however, expressed concern album as a collective work in addition copyright initially belonging to the over the requirement that all eligible to registering the individual sound author.’’ 32 Thus, a publisher that is the works in the group be published on the recordings and/or musical works, it may transferee of all of the exclusive rights album on the same date, noting that it do so under the existing collective work of a joint author of eligible works may is common for a song to be published option. The GRAM option will be listed as a claimant for purposes of as a single before it is published as part complement this option by facilitating a GRAM application, even if the of an album.37 It suggested that the registration of multiple works in cases publisher has not received rights from Office allow previously published where parties own copyrights in other joint authors. If, however, only a works that are later included on an multiple individual works on an album subset of a joint author’s exclusive album to be included in a GRAM but are ineligible for collective work rights have been transferred to it, the registration ‘‘to maximize the [GRAM registration—for example, because they publisher would not qualify as a option’s] usefulness’’ and ‘‘to encourage are not the owner of the collective work claimant. While the Office cannot an accurate public record.’’ 38 The Office copyright or because the particular advise as to how this standard may has amended the final rule to allow for selection and arrangement of tracks does apply to specific types of assignments, the registration of a musical work or not qualify as a collective work. Based whether a given transaction constitutes sound recording that was previously on the record at this time, the final rule a transfer of copyright ownership—as published as an individual work only accordingly does not include this distinguished from merely a (e.g., as a single), provided that the option. nonexclusive license—will be governed application includes the statutorily- 5. Author and Claimant by the statutory definition of that required date of first publication for term.33 each of the works.39 Applicants should Under the proposed rule, ‘‘all of the To the extent NMPA’s comment is provide this information in the ‘‘Note to works claimed in the group must have raising concerns regarding the Copyright Office’’ field in the relevant a common author,’’ and ‘‘the copyright ‘‘claimant’’ definition more generally, GRAM application. The certificate of claimant(s) for each work must be the registration will be annotated to reflect 28 the Office notes that any changes to that same person(s) or organization.’’ The provision would have implications for a the additional publication dates. NPRM explained that ‘‘the claimant may broader range of stakeholders than those In addition, A2IM and RIAA and Jesse either be (1) the author or co-author of affected by the GRAM option. The Morris separately asked for a all of the works, or (2) the party that Office therefore does not believe that clarification in the final rule that owns all of the exclusive rights that this proceeding is the appropriate forum previously published or registered initially belonged to the author or co- works that were later contained on an 29 for consideration of such changes, authors.’’ album may be excluded from the GRAM NMPA asked the Office to clarify the although it is open to considering this question more broadly.34 As the Office application claim.40 These parties were definition of ‘‘claimant’’ for GRAM concerned that the inclusion of a registration eligibility. Specifically, it continues development of its next- generation registration system, however, previously published single would expressed concern over the NPRM’s disqualify the entire album from the statement that ‘‘if the works were it will continue to explore ways to better GRAM registration option. This was not created by two or more co-authors, the accommodate registrations involving the intent of the proposed rule. claimant or co-claimant must own or co- jointly owned works, and welcomes Applicants should disclaim ineligible own all of the rights that initially input from NMPA and other interested works by listing the titles of those works belonged to the co-authors. If a party parties. The Office also notes that a in the Material Excluded field. owns or co-owns the rights that initially third party who is assigned a copyright belonged to some, but not all, of the co- interest but does not qualify as a B. Application Requirements claimant for GRAM registration authors, that party cannot be named as As discussed, the Office is developing 30 purposes may record its ownership a copyright claimant.’’ In NMPA’s two new online applications specifically view, this statement could ‘‘suggest that information in the Office’s public record.35 Moreover, as noted above, an for this group option—one application a claimant who has been assigned rights for musical works, and another by a co-author of a work (for example, author of the work may always be listed as a claimant. application for sound recordings and a music publisher to whom a songwriter any associated literary, pictorial, or who is a co-author of a song has 6. Publication Information graphic works included with the same assigned their rights) must have Commenting parties did not object to album. These applications are currently obtained all of the rights from all of the expected to be implemented into the co-authors of a song.’’ 31 the requirement that a GRAM application must ‘‘specify the date and eCO system this spring by the OCIO. To clarify, the definition of Nevertheless, the availability of the ‘‘claimant’’ for purposes of the GRAM 32 GRAM applications is ultimately option is not intended to differ from the 37 CFR 202.3(a)(3); see also Compendium (Third) sec. 405.1. dependent on the completion of system generally applicable definition of that 33 See 17 U.S.C. 101 (‘‘A ‘transfer of copyright development and may be affected by term. Under the Office’s regulations, a ownership’ is an assignment, mortgage, exclusive unanticipated delays in that process. copyright claimant is either ‘‘(i) [t]he license, or any other conveyance, alienation, or author of a work’’ or ‘‘(ii) [a] person or hypothecation of a copyright or of any of the exclusive rights comprised in a copyright, whether 36 84 FR at 22766. or not it is limited in time or place of effect, but 37 NMPA Comments at 5. 27 84 FR at 22763 & n.16 (citing Compendium not including a nonexclusive license.’’). 38 Id. (Third) sec. 509.2; U.S. Copyright Office, Circular 34 The Office has an open rulemaking proceeding 39 Because the statutory deposit requirements 34: Multiple Works 2–3). on this provision. See Registration of Copyright: differ based on whether a work is first published 28 Id. at 22765. Definition of Claimant, 77 FR 29257 (May 17, 2012). within or outside the United States, see 17 U.S.C. 29 Id. 35 37 CFR 201.4; see also Document Recordation: 408(b), the final rule requires that the nation of 30 NMPA Comments at 4 (quoting 84 FR at 22765– Completing and Submitting Declarations of publication be the same for all works in the group. 66). Ownership in Musical Works, U.S. Copyright Office, 40 A2IM & RIAA Comments at 7; Jesse Morris 31 Id. https://www.copyright.gov/recordation/domw/. Comments at 2.
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The Office will issue a public initially, at the same level as previously of works generally.55 Because musical announcement when implementation is noted, given the similarities in expected works published solely on complete and this option is available to workflow associated with examining phonorecords are not subject to the best applicants. these claims and the lack of additional edition requirement, the authors and The Office will provide detailed data to support an alternate level. The owners of these works may submit information on group eligibility final rule therefore establishes a $65 fee. digital phonorecords regardless of how requirements and instructions on Given, however, that the Office now has the album was published.56 Conversely, completing the applications on its greater flexibility to adjust fees sound recordings are subject to the best website, including a video and webinar. specifically for this option, it will gather edition requirement, and therefore additional data to determine if this C. Filing Fee authors and owners of those works must amount should be adjusted once this submit copies in either physical or 48 The NPRM provided that the filing fee option is implemented. The Office digital form, depending on how the for the GRAM option would be $55, the also is open to considering differential work was published.57 It is beyond the fee applicable to claims submitted on price options following implementation scope of this proceeding to consider the Standard Application. It further of its next-generation registration potential changes to those requirements. noted that the Office had recently 49 system. The final rule therefore generally retains proposed to increase the Standard the NPRM’s deposit provisions, with Application fee to $75 and that if that D. Deposit Requirements updates to reflect the two new GRAM- proposal were adopted, the new fee The NPRM noted that ‘‘[t]he deposit specific applications.58 would apply to GRAM claims.41 requirements for this group registration Subsequently, the Office submitted a option will be the same as the As noted in the NPRM, for digital final proposed schedule and analysis of requirements that normally apply to deposits, each work must be contained fees to Congress in which it reduced the claims involving musical works, sound in a separate electronic file, assembled proposed increase to $65.42 Based on recordings, and associated album in an orderly form in one of the the comments received in the fee study material.’’ 50 The Office proposed that acceptable file formats listed on the proceeding, and in light of the Office’s for GRAM claims that include sound Office’s website, and uploaded as inability under the current registration recordings, ‘‘the applicant should individual electronic files (not .zip files) system to charge different prices for submit two physical phonorecords, to the electronic submission system.59 different types of works submitted on along with two physical copies of any The NPRM provided that a submission the Standard Application, at the time its related album material,’’ if the album will be considered ‘‘orderly’’ if the file fee study was submitted to Congress, the was published in physical form or in name for each work can reasonably be Office reiterated its recommendation both physical and digital form.51 ‘‘If the matched with the corresponding title that the GRAM fee be the same as the album was published solely in digital entered on the application so that the Standard Application fee.43 form, the applicant may upload a digital examiner can verify that the correct Following the 120-day statutory phonorecord along with a digital copy works were uploaded.60 No party period for congressional review,44 the of any related album material.’’ 52 For commented on this requirement. The Office promulgated a final rule GRAM claims that do not include sound final rule incorporates this requirement implementing the proposed fee recordings, the Office proposed that into the regulatory text, providing that schedule.45 The rule noted the Office’s ‘‘the applicant should submit a ‘‘[t]he file name for each work must expectation that GRAM registrations complete phonorecord of each musical match the title as submitted on the would ‘‘require a workflow similar to work being registered’’ and a complete application.’’ This provisions tracks claims submitted on the Standard copy of any associated literary, pictorial, language in the recently issued final Application’’ and that commenters in or graphic works associated with the rule for group registration of short the fee study proceeding generally claim.53 online literary works,61 and is intended 46 supported linking the two fees. To A2IM and RIAA requested that ‘‘when to avoid potential confusion resulting avoid potential confusion, the Office did the works are available in both physical from inconsistent designations. not adopt the GRAM fee as part of that and digital form the applicant be rule, noting that it instead would adopt permitted to select whether to submit a 55 The Copyright Act authorizes the Register of the fee when it issued a final rule physical or digital deposit,’’ reasoning Copyrights to specify by regulation ‘‘the nature of implementing the GRAM option.47 that ‘‘digital copies are much easier and the copies or phonorecords to be deposited’’ with Although the Office is now providing less expensive for record labels to respect to particular administrative classes established for purposes of registration. 17 U.S.C. standalone applications for GRAM 54 provide than physical ones.’’ These 408(c)(1); see also id. at 408(b) (establishing deposit submissions, it continues to believe it is deposit requirements, however, are requirements, ‘‘[e]xcept as provided by sub-section appropriate to charge the same fee as is designed to conform to the best edition (c)’’). For purposes of this group option, the Office charged for Standard Application requirements applicable to these types has adopted the same deposit requirements filings. The Office believes that it is applicable to the relevant categories of works under individual applications, in order to avoid affecting reasonable to set the GRAM fee, at least 48 See A2IM & RIAA Comments at 6 (‘‘[W]e would the Library’s collections policies. be open to a fee structure whereby some baseline 56 Id. 41 84 FR at 22766. number of tracks (e.g., 20) can be included as part 57 The Copyright Act provides that, in the case of 42 U.S. Copyright Office, Proposed Schedule and of the basic group registration fee and additional a work first published outside the United States, Analysis of Copyright Fees to Go into Effect in tracks can be included in the same GRAM only one copy or phonorecord is required for Spring 2020 at 20 (2019), https:// application for an additional surcharge (e.g., $1–$2 deposit. 17 U.S.C. 408(b)(3). The final rule has been www.copyright.gov/rulemaking/feestudy2018/ per track for each additional track).’’). updated to reflect this distinction. proposed-fee-schedule.pdf. 49 See Registration Modernization, 85 FR 12704, 58 As noted, the application for ‘‘musical works 43 Id. at 29. 12706 (Mar. 3, 2020). from an album’’ will not initially permit the 44 See 17 U.S.C. 708(b)(5). 50 84 FR at 22767. registration of ancillary materials. The final rule has 45 Copyright Office Fees, 85 FR 9374 (Feb. 19, 51 Id. been revised to reflect this limitation. 2020). 52 Id. 59 84 FR at 22767. 46 Id. at 9380–81. 53 Id. 60 Id. 47 Id. 54 A2IM & RIAA Comments at 7. 61 See 37 CFR 202.4(j)(7).
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E. Supplementary Registrations (9) Registration of a group of works on album, the date and nation of an album 65 publication for each work must be A supplementary registration is a specified in the application, and the special type of registration that may be * * * * * nation of publication for each work used ‘‘to correct an error in a copyright PART 202—PREREGISTRATION AND must be the same. A musical work or registration or to amplify the REGISTRATION OF CLAIMS TO sound recording that was previously information given in a registration.’’ 62 COPYRIGHT published as an individual work only The Office has created multiple versions (e.g., as a single) may be included in the of a form that may be used to correct or ■ 3. The authority citation for part 202 claim if the date of first publication for amplify information in registrations continues to read as follows: that work is listed separately in the made under specified group registration Authority: 17 U.S.C. 408(f), 702. application. options, but the Office has not yet (2) Application. If the group consists ■ 4. Amend § 202.4 by: created a version for a registration of a of sound recordings and, as applicable, ■ a. Redesignating paragraphs (k) group of works on an album of music. any associated literary, pictorial, or through (n) as paragraphs (o) through Therefore, the final rule clarifies that graphic works, the applicant must (r), respectively. applicants should contact the Office of complete and submit the application Registration Policy & Practice to obtain ■ b. Adding new paragraph (k). ■ c. Adding and reserving new designated for ‘‘sound recordings from instructions before seeking a an album.’’ If the group consists of supplementary registration involving paragraphs (l), (m), and (n). ■ d. Amend the newly redesignated musical works, the applicant must these types of claims. paragraph (r), by removing the words complete and submit the application This update constitutes a change to a ‘‘or (k)’’ and adding in its place the designated for ‘‘musical works from an ‘‘rule[] of agency . . . procedure[] or album.’’ The application may be 63 words ‘‘(k), or (o)’’. practice.’’ It does not ‘‘alter the rights The addition reads as follows: submitted by any of the parties listed in or interests of parties,’’ but merely § 202.3(c)(1). ‘‘alter[s] the manner in which the § 202.4 Group registration. (3) Deposit. (i) For claims in works parties present themselves or their * * * * * first published in the United States viewpoints to the agency.’’ 64 It therefore (k) Group registration of works on an submitted with the application for is not subject to the notice and comment album. Pursuant to the authority ‘‘sound recordings from an album,’’ the requirements of the Administrative granted by 17 U.S.C. 408(c)(1), the applicant must submit two complete Procedure Act. Register of Copyrights has determined phonorecords containing the best edition of each recording, and two List of Subjects that a group of two or more musical works, or two or more sound recordings complete copies of any associated 37 CFR Part 201 and any associated literary, pictorial, or literary, pictorial, or graphic works that are included in the group. For claims in Copyright, General provisions. graphic works, may be registered with one application, the required deposit, works first published outside the United 37 CFR Part 202 and the filing fee required by § 201.3 of States submitted with this application, this chapter, if the following conditions the applicant must submit one complete Copyright, Preregistration and phonorecord of the work either as first registration of claims to copyright. are met: (1) Eligible works. (i) All of the works published or of the best edition. A Final Regulations in the group must be contained on the phonorecord will be considered complete if it satisfies the requirements For the reasons set forth in the same album. For the purposes of this section, an album is a single physical or set forth in § 202.19(b)(2). The deposit preamble, the Copyright Office amends may be submitted in a digital form if the 37 CFR parts 201 and 202 as follows: electronic unit of distribution containing at least two musical works album has been distributed solely in a PART 201—GENERAL PROVISIONS and/or sound recordings embodied in a digital format, and if the requirements phonorecord, including any associated set forth in paragraph (k)(3)(iii) of this ■ 1. The authority citation for part 201 literary, pictorial, or graphic works section have been met. continues to read as follows: distributed with the unit. (ii) For claims submitted with the (ii) The group may include: application for ‘‘musical works from an Authority: 17 U.S.C. 702. (A) Up to twenty musical works; or album,’’ the applicant must submit one ■ 2. Amend § 201.3 by: (B) Up to twenty sound recordings complete phonorecord of each musical ■ a. Redesignating paragraphs (c)(9) and any associated literary, pictorial, or work that is included in the group. through (c)(28) as paragraphs (c)(10) graphic works included with the same (iii) The deposit may be submitted in through (c)(29), respectively. album. a digital form if the following ■ b. Adding new paragraph (c)(9). (iii) The applicant must provide a title requirements have been met. Each work must be contained in a separate The addition reads as follows: for the album and a title for each musical work or sound recording electronic file. The files must be § 201.3 Fees for registration, recordation, claimed in the group. assembled in an orderly form, they must and related services, special services, and (iv) All of the works in the group must be submitted in one of the electronic services performed by the Licensing be created by the same author or the formats approved by the Office, and Division. works must have a common joint they must be uploaded to the electronic * * * * * author, and the copyright claimant or registration system as individual (c) * * * co-claimants for each work must all be electronic files (not .zip files). The file * * * * * the same person(s) or organization. The size for each uploaded file must not works may be registered as works made exceed 500 megabytes; the files may be 62 17 U.S.C. 408(d). for hire if they are identified in the compressed to comply with this 63 5 U.S.C. 553(b)(A). application as such. requirement. The file name for each 64 JEM Broad. Co. v. F.C.C., 22 F.3d 320, 326 (D.C. (v) As a general rule, all of the works work must match the title as submitted Cir. 1994) (internal citation omitted). must be first published on the same on the application.
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(4) Special relief. In an exceptional rule. In this correction document we violation of the APA, or that the case, the Copyright Office may waive will respond to the comment received. comment period was otherwise legally the online filing requirement set forth in DATES: This rule is effective on February insufficient in any way. The agency did paragraph (k)(2) of this section or may 23, 2021. not eliminate the opportunity for public grant special relief from the deposit ADDRESSES: The EPA has established a comment, but rather temporarily requirement under § 202.20(d), subject docket for this action under Docket ID eliminated one method of transmission to such conditions as the Associate No. EPA–R08–OAR–2019–0643. All of public comment, in light of public Register of Copyrights and Director of documents in the docket are listed at health concerns related to the COVID– the Office of Registration Policy and http://www.regulations.gov. Although 19 pandemic. We provided notice of Practice may impose on the applicant. listed in the index, some information is that temporary change in the proposed * * * * * not publicly available, e.g., CBI or other rule published at 85 FR 57731, in full information whose disclosure is compliance with the APA’s ‘‘prior § 202.6 [Amended] restricted by statute. Certain other public notification’’ requirement. ■ 5. Amend § 202.6(e)(2) by: material, such as copyrighted material, Additionally, the proposed rule ■ a. Removing ‘‘or for’’ after and adding is not placed on the internet and will be describes CAA comment submission ‘‘,’’ in its place and adding ‘‘, or a group publicly available only in hard copy requirements: of works published on the same album form. Publicly available docket ‘‘The written comment is considered registered under § 202.4(k),’’ after materials are available through http:// the official comment and should include discussion of all points you ‘‘§ 202.4(j)’’. www.regulations.gov, or you may contact the person identified in the FOR wish to make. The EPA will generally Dated: February 11, 2021. FURTHER INFORMATION CONTACT section not consider comments or comment Shira Perlmutter, for additional availability information. contents located outside of the primary Register of Copyrights and Director of the submission (i.e., on the web, cloud, or FOR FURTHER INFORMATION CONTACT: Kate U.S. Copyright Office. other file sharing system). For Gregory, (303) 312–6175, gregory.kate@ additional submission methods, the full Approved by: epa.gov. Mail can be directed to the Air EPA public comment policy, Carla D. Hayden, and Radiation Division, U.S. EPA, information about CBI or multimedia Librarian of Congress. Region 8, Mail-code 8ARD–QP, 1595 submissions, and general guidance on Wynkoop Street, Denver, Colorado [FR Doc. 2021–03533 Filed 2–22–21; 8:45 am] making effective comments, please visit 80202–1129. BILLING CODE 1410–30–P http://www2.epa.gov/dockets/ SUPPLEMENTARY INFORMATION: commenting-epa-dockets.’’ (This site Throughout this document ‘‘we,’’ ‘‘us,’’ directs commenters to regulations.gov as ENVIRONMENTAL PROTECTION and ‘‘our’’ means the EPA. our preferred method for submitting AGENCY I. Response to Comments comments.) The APA requires agencies to provide 40 CFR Part 52 Comment an opportunity for public comment, but We received one anonymous it does not dictate the form in which [EPA–R08–OAR–2019–0643; FRL–10018– 17–Region 8] comment on the proposed rulemaking. comments may be submitted, nor does The commenter asserts that in stating it preclude agencies from imposing Air Quality State Implementation that hard copy comments would not be reasonable limitations or structures on Plans; Approval and Promulgation of accepted,1 the EPA was attempting to comment submissions. Accordingly, the Implementation Plans; Utah; preclude submission of comments by commenter’s assertion that the APA Infrastructure Requirements for the ‘‘post mail,’’ without prior public required the Agency here to accept 2015 Ozone National Ambient Air notification or rulemaking, in violation comments on this proposal by postal Quality Standards; Correction of the Administrative Procedure Act mail is incorrect. In addition, the e- (APA). The commenter cited in Government Act of 2002 requires AGENCY: Environmental Protection particular 5 U.S.C. 553(c): ‘‘After notice agencies to create electronic dockets for Agency (EPA). required by this section, the agency rulemakings and make those e-dockets ACTION: Final rule; correction. shall give interested persons an available to the public; the EPA satisfied opportunity to participate in the rule that requirement in this case by SUMMARY: On June 1, 2020, the making through submission of written employing the Federal Rulemaking Environmental Protection Agency (EPA) data, views, or arguments with or Portal at regulations.gov as an option for published a rulemaking proposing to without opportunity for oral submitting comments on the proposed approve multiple elements of the presentation.’’ The commenter stated rulemaking. Further, the fact that the infrastructure SIP requirements for the that the EPA must re-propose the rule commenter was successfully able to 2015 ozone NAAQS for the State of without excluding comments submitted submit a written comment by electronic Utah, while taking no action on three by mail. means demonstrates that the notice and infrastructure elements (85 FR 33052). The commenter also stated that they comment method used did not interfere On September 16, 2020, we published a submitted a separate comment by postal with the commenter’s ability to rulemaking taking final action on the mail. comment on this action. proposal. The final rulemaking As noted, the EPA was not required Response incorrectly stated that there were no to accept comments by postal mail in comments received during the public The EPA does not agree that the this matter and did not do so. Even if comment period for the proposed comment method offered was in we had chosen to accept a comment rulemaking (85 FR 57731). One submitted by postal mail, the comment comment, submitted electronically on 1 In the ‘‘addresses’’ section, the proposed that the commenter claimed was rulemaking stated: ‘‘To reduce the risk of COVID– July 1, 2020, had been received but was 19 transmission, for this action we will not be submitted by postal mail was not found inadvertently overlooked in the accepting comments submitted by mail or hand at the address listed in the proposed preparation of the September 16 final delivery’’ (85 FR 33052). rule, or at any of the other agency
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addresses that we checked after appropriate, disproportionate human ENVIRONMENTAL PROTECTION receiving the electronically submitted health or environmental effects, using AGENCY comment. Because the commenter practicable and legally permissible anonymously submitted the methods, under Executive Order 12898 40 CFR Part 52 electronically submitted comment, (59 FR 7629, February 16, 1994). contacting the commenter to inquire In addition, the SIP is not approved to [EPA–R03–OAR–2020–0194; FRL–10017– about location of the comment apply on any Indian reservation land or 11–Region 3] submitted by mail was not possible. in any other area where EPA or an Air Plan Approval; West Virginia; 1997 Indian tribe has demonstrated that a II. Statutory and Executive Order 8-Hour Ozone National Ambient Air tribe has jurisdiction. In those areas of Reviews Quality Standard Second Maintenance Indian country, the rule does not have Under the Clean Air Act, the Plan for the West Virginia Portion for tribal implications and will not impose Administrator is required to approve a the Charleston, West Virginia Area substantial direct costs on tribal SIP submission that complies with the Comprising Kanawha and Putnam governments or preempt tribal law as provisions of the Act and applicable Counties specified by Executive Order 13175 (65 Federal regulations. 42 U.S.C. 7410(k); FR 67249, November 9, 2000). 40 CFR 52.02(a). Thus, in reviewing SIP AGENCY: Environmental Protection submissions, the EPA’s role is to The Congressional Review Act, 5 Agency (EPA). approve state choices, provided that U.S.C. 801 et seq., as added by the Small ACTION: Final rule. they meet the criteria of the Clean Air Business Regulatory Enforcement SUMMARY: Act. Accordingly, this action merely Fairness Act of 1996, generally provides The Environmental Protection approves state law as meeting Federal that before a rule may take effect, the Agency (EPA) is approving a state requirements and does not impose agency promulgating the rule must implementation plan (SIP) revision additional requirements beyond those submit a rule report, which includes a submitted by the West Virginia imposed by state law. For that reason, copy of the rule, to each House of the Department of Environmental Protection this action: Congress and to the Comptroller General (WVDEP) of the State of West Virginia. • Is not a ‘‘significant regulatory of the United States. EPA will submit a This revision pertains to West Virginia’s action’’ subject to review by the Office report containing this action and other plan for maintaining the 1997 8-hour of Management and Budget under required information to the U.S. Senate, ozone national ambient air quality Executive Orders 12866 (58 FR 51735, the U.S. House of Representatives, and standard (NAAQS) for the Charleston October 4, 1993) and 13563 (76 FR 3821, the Comptroller General of the United Area (comprising Kanawha and Putnam January 21, 2011); States prior to publication of the rule in Counties). The EPA is approving these • Is not an Executive Order 13771 (82 the Federal Register. A major rule revisions to the West Virginia SIP in FR 9339, February 2, 2017) regulatory cannot take effect until 60 days after it accordance with the requirements of the action because SIP approvals are is published in the Federal Register. Clean Air Act (CAA). exempted under Executive Order 12866; This action is not a ‘‘major rule’’ as DATES: This final rule is effective on • Does not impose an information defined by 5 U.S.C. 804(2). March 25, 2021. collection burden under the provisions Under section 307(b)(1) of the Clean ADDRESSES: EPA has established a of the Paperwork Reduction Act (44 Air Act, petitions for judicial review of docket for this action under Docket ID U.S.C. 3501 et seq.); this action must be filed in the United Number EPA–R03–OAR–2020–0194. All • Is certified as not having a States Court of Appeals for the documents in the docket are listed on significant economic impact on a appropriate circuit by April 26, 2021. the https://www.regulations.gov substantial number of small entities Filing a petition for reconsideration by website. Although listed in the index, under the Regulatory Flexibility Act (5 the Administrator of this final rule does some information is not publicly U.S.C. 601 et seq.); not affect the finality of this action for available, e.g., confidential business • Does not contain any unfunded the purposes of judicial review nor does information (CBI) or other information mandate or significantly or uniquely it extend the time within which a whose disclosure is restricted by statute. affect small governments, described in petition for judicial review may be filed, Certain other material, such as the Unfunded Mandates Reform Act of and shall not postpone the effectiveness copyrighted material, is not placed on 1995 (Pub. L. 104–4); of such rule or action. This action may • the internet and will be publicly Does not have Federalism not be challenged later in proceedings to available only in hard copy form. implications as specified in Executive enforce its requirements. (See section Publicly available docket materials are Order 13132 (64 FR 43255, August 10, 307(b)(2)). available through https:// 1999); www.regulations.gov, or please contact • Is not an economically significant List of Subjects in 40 CFR Part 52 the person identified in the FOR FURTHER regulatory action based on health or Environmental protection, Air INFORMATION CONTACT section for safety risks subject to Executive Order pollution control, Carbon monoxide, additional availability information. 13045 (62 FR 19885, April 23, 1997); Greenhouse gases, Incorporation by FOR FURTHER INFORMATION CONTACT: • Is not a significant regulatory action reference, Intergovernmental relations, Keila M. Paga´n-Incle, Planning & subject to Executive Order 13211 (66 FR Lead, Nitrogen dioxide, Ozone, Implementation Branch (3AD30), Air & 28355, May 22, 2001); Particulate matter, Reporting and • Radiation Division, U.S. Environmental Is not subject to requirements of recordkeeping requirements, Sulfur Protection Agency, Region III, 1650 section 12(d) of the National oxides, Volatile organic compounds. Technology Transfer and Advancement Arch Street, Philadelphia, Pennsylvania Act of 1995 (15 U.S.C. 272 note) because Dated: February 11, 2021. 19103. The telephone number is (215) application of those requirements would Debra Thomas, 814–2926. Ms. Paga´n-Incle can also be be inconsistent with the CAA; and Acting Regional Administrator, Region 8. reached via electronic mail at pagan- • Does not provide EPA with the [FR Doc. 2021–03252 Filed 2–22–21; 8:45 am] [email protected]. discretionary authority to address, as BILLING CODE 6560–50–P SUPPLEMENTARY INFORMATION:
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I. Background criteria may be eligible to submit a TSD is ‘‘flawed, illegal, [and] is being On June 29, 2020 (85 FR 38816), EPA limited maintenance plan (LMP) to used improperly for the wrong published a notice of proposed satisfy one of the requirements of CAA purpose. . . .’’ The commenter states rulemaking (NPRM) for the State of section 175A. Specifically, states may that ‘‘EPA must retract its reliance on West Virginia. In the NPRM, EPA meet CAA section 175A’s requirements the modeling for the purposes of this proposed approval of West Virginia’s to ‘‘provide for maintenance’’ by maintenance plan and must find some plan for maintaining the 1997 8-hour demonstrating that an area’s design other way of showing continued 4 ozone NAAQS through August 10, 2026, values are well below the NAAQS and maintenance of the 1997 ozone in accordance with CAA section 175A. that it has had historical stability NAAQS.’’ Response 1: EPA does not agree with The formal SIP revision was submitted attaining the NAAQS. EPA evaluated the commenter that the approval of by WVDEP on December 10, 2019. WVDEP’s December 10, 2019 submittal for consistency with all applicable EPA West Virginia’s second maintenance II. Summary of SIP Revision and EPA guidance and CAA requirements. EPA plan is not appropriate. The commenter Analysis found that the submittal met CAA raises concerns about West Virginia and On July 11, 2006 (71 FR 39001, Section 175A and all CAA EPA’s citation of air quality modeling, effective August 10, 2006), EPA requirements, and proposed approval of but the commenter ignores that EPA’s approved a redesignation request (and the LMP for the Charleston Area primary basis for finding that West maintenance plan) from WVDEP for the (comprising Kanawha and Putnam Virginia has provided for maintenance Charleston Area. Per CAA section Counties) as a revision to the West of the 1997 8-hour ozone NAAQS in the 175A(b), at the end of the eighth year Virginia SIP. The effect of this action Charleston Area is the State’s after the effective date of the makes certain commitments related to demonstration that the criteria for a redesignation, the state must also the maintenance of the 1997 8-hour limited maintenance plan has been met. submit a second maintenance plan to ozone NAAQS federally enforceable as See 85 FR 38816, June 29, 2020. ensure ongoing maintenance of the part of the West Virginia SIP. Specifically, as stated in the NPRM, for standard for an additional 10 years, and Other specific requirements of decades EPA has interpreted the provision in CAA section 175A that in South Coast Air Quality Management WVDEP’s December 10, 2019 submittal and the rationale for EPA’s proposed requires states to ‘‘provide for District v. EPA,1 the D.C. Circuit held action are explained in the NPRM and maintenance’’ of the NAAQS to be that this requirement cannot be waived will not be restated here. satisfied where areas demonstrate that for areas, like the Charleston Area, that design values are and have been stable had been redesignated to attainment for III. EPA’s Response to Comments and well below the NAAQS—e.g., at the 1997 8-hour ozone NAAQS prior to Received 85% of the standard, or in this case at revocation and that were designated EPA received three comments on the or below 0.071 ppm. EPA calls such attainment for the 2008 ozone NAAQS. June 29, 2020 NPRM. All comments demonstration a ‘‘limited maintenance CAA section 175A sets forth the criteria received are in the docket for this plan.’’ for adequate maintenance plans. In rulemaking action. A summary of the The modeling cited by the commenter addition, EPA has published comments and EPA’s responses is was referenced in West Virginia’s longstanding guidance that provides provided herein. submission and as part of EPA’s further insight on the content of an Comment 1: The commenter asserts proposed approval as supplementary approvable maintenance plan, that the LMP should not be approved supporting information, and we do not explaining that a maintenance plan because of EPA’s reliance on the Air agree that the commenter’s concerns should address five elements: (1) An Quality Modeling Technical Support about relying on that modeling are attainment emissions inventory; (2) a Document (TSD) that was developed for warranted. The commenter contends maintenance demonstration; (3) a EPA’s regional transport rulemaking. that the modeling only goes out three commitment for continued air quality The commenter contends that: (1) The years (to 2023) and it needs to go out to monitoring; (4) a process for verification TSD shows maintenance of the area for 10 years, and therefore may not be of continued attainment; and (5) a three years and not 10 years; (2) the relied upon. However, the air quality contingency plan.2 WVDEP’s December modeling was performed for transport modeling was only relied upon by EPA 10, 2019 SIP submittal fulfills West purposes across state lines and not to to provide additional support to Virginia’s obligation to submit a second show maintenance of the NAAQS; (3) indicate that the area is expected to maintenance plan and addresses each of the modeling was performed for the continue to attain the NAAQS during the five necessary elements. 2008 and 2015 ozone NAAQS and not the relevant period. As noted above, As discussed in the June 29, 2020, the 1997 ozone NAAQS; (4) the TSD has West Virginia primarily met the NPRM, consistent with longstanding been ‘‘highly contested’’ by requirement to demonstrate EPA’s guidance,3 areas that meet certain environmental groups and that ‘‘other maintenance of the NAAQS by showing states contend EPA’s modeling as that they met the criteria for a limited 1 882 F.3d 1138 (DC Cir. 2018). flawed;’’ and (5) the TSD does not maintenance plan, rather than by 2 ‘‘Procedures for Processing Requests to address a recent court decision that modeling or projecting emissions Redesignate Areas to Attainment,’’ Memorandum from John Calcagni, Director, Air Quality threw out EPA’s modeling ‘‘because it inventories out to a future year. We also Management Division, September 4, 1992 (Calcagni modeled to the wrong attainment do not agree that the State is required Memo). year. . . .’’ The commenter asserts that to demonstrate maintenance for 10 3 See ‘‘Limited Maintenance Plan Option for the four specific issues it raises with years; CAA section 175A requires the Nonclassifiable Ozone Nonattainment Areas’’ from Sally L. Shaver, Office of Air Quality Planning and respect to the modeling means that the State to demonstrate maintenance Standards (OAQPS), dated November 16, 1994; through the 20th year after the area is ‘‘Limited Maintenance Plan Option for 4 The ozone design value for a monitoring site is redesignated, which in this case is 2026. Nonclassifiable CO Nonattainment Areas’’ from the 3-year average of the annual fourth-highest daily We also disagree with the Joseph Paisie, OAQPS, dated October 6, 1995; and maximum 8-hour average ozone concentrations. ‘‘Limited Maintenance Plan Option for Moderate The design value for an ozone nonattainment area commenter’s contention that because PM10 Nonattainment Areas’’ from Lydia Wegman, is the highest design value of any monitoring site the air quality modeling was performed OAQPS, dated August 9, 2001. in the area. to analyze the transport of pollution
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across state lines with respect to other that the existence of criticisms of the largely upheld by the Supreme Court) ozone NAAQS, it cannot be relied upon agency’s air quality modeling render it and the CSAPR Update began in this action. We acknowledge that the unreliable, and we also do not agree that implementation in 2017. The latter rule air quality modeling at issue was anything in recent court decisions, was remanded to EPA to address the performed as part of EPA’s efforts to including Wisconsin v. EPA, suggests analytic year issues discussed in the address interstate transport pollution that EPA’s air quality modeling is prior comment and response, but the under CAA section 110(a)(2)(D)(i)(I). technically flawed. We acknowledge rule remains fully in effect. The However, the purpose of the air quality that the source apportionment air commenter is correct that the D.C. modeling is fully in keeping with the quality modeling runs cited by the Circuit vacated the CSAPR close-out, question of whether West Virginia is commenter have been at issue in various but we note that that rule was only a expected to maintain the NAAQS. The legal challenges to EPA actions, determination that no further emission air quality modeling identifies which air including the Wisconsin v. EPA case. reductions were required to address quality monitors in the United States are However, in that case, the only flaw in interstate transport obligations for the projected to have problems attaining or EPA’s air quality modeling identified by 2008 ozone NAAQS; the rule did not maintaining the 2008 and 2015 NAAQS the D.C. Circuit was the fact that its itself establish any emission reductions. for ozone in 2023. Because the air analytic year did not align with the quality modeling results simply provide attainment date found in CAA section We therefore disagree that the legal projected ozone concentration design 181.6 Contrary to the commenter’s status of these rules presents any values, which are expressed as three- suggestion, the D.C. Circuit upheld obstacle to EPA’s approval of West year averages of the annual fourth high EPA’s air quality modeling with respect Virginia’s submission. 8-hour daily maximum ozone to the many technical challenges raised Comment 3: EPA also received a third concentrations, the modeling results are by petitioners in the Wisconsin case.7 comment, which included some useful for analyzing attainment and We therefore think reliance on the contradictory statements, and much of maintenance of any of the ozone interstate transport air quality modeling which is beyond the scope of this NAAQS that are measured using this as supplemental support for showing action. However, we summarize a few averaging time; in this case, the 1997, that the Charleston Area will maintain germane points raised by the commenter 2008 and 2015 ozone NAAQS. The only the 1997 8-hour ozone NAAQS through and respond to them herein. The difference between the three standards the end of its 20th-year maintenance commenter states that EPA must is stringency. Taking the Charleston period is appropriate. disapprove the maintenance plan for the Area’s most recent certified design value Comment 2: The commenter asserts Charleston Area because ‘‘this plan does as of the proposal (i.e., for the years that EPA should disapprove this not adequately limit or prevent the 2016–2018), the area’s design value was maintenance plan because EPA should harmful effects of ozone formation.’’ 0.067 parts per million (ppm). What we not allow states to rely on emission The commenter also suggests that can discern from this is that the area is programs such as the Cross-State Air approving the maintenance plan would Pollution rule (CSAPR) to demonstrate meeting the 1997 ozone NAAQS of allow for more ozone pollution. The maintenance for the 1997 ozone 0.080 ppm, the 2008 ozone NAAQS of commenter raises concerns about the NAAQS. The commenter alleges that 0.075 ppm, and the 2015 ozone NAAQS scope of EPA’s authority, alleging that of 0.070 ppm. The same principle ‘‘the CSAPR and CSAPR Update and EPA’s authority is not unlimited, that applies to projected design values from CSAPR Close-out rules were vacated EPA must take into account health the air quality modeling. In this case, entirely’’ by multiple courts and ‘‘are effects from harmful ozone, and that the interstate transport modeling now illegal programs providing no indicated that in 2023, the Charleston legally enforceable emission reductions EPA is perhaps not using an ‘‘acceptable Area’s design value is projected to be to any states formerly covered by the methodology’’ or the ‘‘best available 0.060 ppm, which is again, well below rules.’’ The commenter also asserts that science.’’ all three standards. The fact that the air nothing restricts ‘‘big coal and gas Response 3: The NAAQS are quality modeling was performed to power plants from emitting way beyond standards required by the CAA to be indicate whether the area will have there (sic) restricted amounts.’’ The established by EPA. The CAA identifies problems attaining or maintaining the commenter does allow that ‘‘If EPA can two types of NAAQS, primary and 2015 ozone NAAQS (i.e., 0.070 ppm) show that continued maintenance secondary. Primary NAAQS are air does not make the modeling less useful without these rules is possible for the quality standards that ‘‘based on such for determining whether the area will next 10 years then that would be OK but criteria and allowing an adequate also meet the less stringent revoked as the plan stands it relies on these margin of safety, are requisite to protect 1997 standard (i.e., 0.080 ppm). reductions and must be disapproved.’’ the public health,’’ and secondary The commenter asserts that many Response 2: The commenter has NAAQS specify a level of air quality groups have criticized EPA’s transport misapprehended the factual that ‘‘is requisite to protect the public modeling, alleging that the agency used circumstances regarding these interstate welfare from any known or anticipated improper emissions inventories, transport rules. Every rule cited by the adverse effects associated with the incorrect contribution thresholds, wrong commenter that achieves emission presence of such air pollutant in the modeling years, or that EPA has not reductions from electric generating units ambient air.’’ CAA 109(b)(1) and (2). In accounted for local situations or (EGUs or power plants)—i.e., the Cross- lay terms, primary NAAQS ‘‘provide reductions that occurred after the State Air Pollution Rule and the CSAPR public health protection, including inventories were established. The Update—remains in place and protecting the health of ‘sensitive’ commenter also alleges that EPA should continues to ensure emission reductions populations such as asthmatics, not rely on its modeling because it ‘‘fails of nitrogen oxides (NO ) and sulfur X children, and the elderly,’’ and to stand up to the recent court dioxide (SO2). CSAPR began decisions,’’ citing the Wisconsin v. EPA implementation in 2015 (after it was secondary NAAQS ‘‘provide public D.C. Circuit decision.5 EPA disagrees welfare protection, including protection 6 Wisconsin, 938 F.3d at 313. against decreased visibility and damage 5 Wisconsin, 938 F.3d 303 (D.C. Cir. 2019). 7 Wisconsin, 938 F.3d at 323–331. to animals, crops, vegetation, and
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buildings.’’ 8 As stated in the NPRM, on • Is not a ‘‘significant regulatory Congress and to the Comptroller General July 18, 1997 (62 FR 38856), EPA action’’ subject to review by the Office of the United States. EPA will submit a revised both the primary and secondary of Management and Budget under report containing this action and other NAAQS for ozone to set the acceptable Executive Orders 12866 (58 FR 51735, required information to the U.S. Senate, level of ozone in the ambient air at 0.08 October 4, 1993) and 13563 (76 FR 3821, the U.S. House of Representatives, and ppm, averaged over an 8-hour period. January 21, 2011); the Comptroller General of the United EPA set the primary 8-hour ozone • Is not an Executive Order 13771 (82 States prior to publication of the rule in NAAQS based on scientific evidence FR 9339, February 2, 2017) regulatory the Federal Register. A major rule demonstrating that ozone causes action because it is not a significant cannot take effect until 60 days after it adverse health effects at lower regulatory action under Executive Order is published in the Federal Register. concentrations and over longer periods 12866; This action is not a ‘‘major rule’’ as of time than was understood when the • Does not impose an information defined by 5 U.S.C. 804(2). collection burden under the provisions pre-existing 1-hour ozone NAAQS was C. Petitions for Judicial Review set. Thus, the primary 1997 8-hour of the Paperwork Reduction Act (44 ozone NAAQS sets a threshold that at U.S.C. 3501 et seq.); Under section 307(b)(1) of the CAA, the time, EPA believed to be protective • Is certified as not having a petitions for judicial review of this of public health allowing for an significant economic impact on a action must be filed in the United States adequate margin of safety.9 The substantial number of small entities Court of Appeals for the appropriate Charleston Area is meeting every ozone under the Regulatory Flexibility Act (5 circuit by April 26, 2021. Filing a NAAQS, and EPA’s approval of West U.S.C. 601 et seq.); petition for reconsideration by the • Virginia’s plan to continue to maintain Does not contain any unfunded Administrator of this final rule does not the 1997 8-hour ozone NAAQS (as it has mandate or significantly or uniquely affect the finality of this action for the since it was redesignated to attainment affect small governments, as described purposes of judicial review nor does it in 2006) is based on EPA’s judgment in the Unfunded Mandates Reform Act extend the time within which a petition of 1995 (Pub. L. 104–4); for judicial review may be filed, and that the emission limitations in West • Virginia’s SIP and other federally Does not have Federalism shall not postpone the effectiveness of enforceable measures have been implications as specified in Executive such rule or action. This action effective at ensuring that the Charleston Order 13132 (64 FR 43255, August 10, pertaining to West Virginia’s limited 1999); maintenance plan for the Charleston Area will continue to attain the NAAQS. • EPA does not agree that it has exceeded Is not an economically significant Area (comprising Kanawha and Putnam its statutory authority. We also believe regulatory action based on health or Counties) may not be challenged later in that we articulated our methodology for safety risks subject to Executive Order proceedings to enforce its requirements. evaluating West Virginia’s submission 13045 (62 FR 19885, April 23, 1997); (See section 307(b)(2).) • Is not a significant regulatory action in the proposal, and that we have subject to Executive Order 13211 (66 FR List of Subjects in 40 CFR Part 52 followed that methodology here in the 28355, May 22, 2001); Environmental protection, Air final action. • Is not subject to requirements of pollution control, Incorporation by IV. Final Action section 12(d) of the National reference, Nitrogen dioxide, Ozone, Technology Transfer and Advancement Volatile organic compounds. EPA is approving the 1997 8-hour Act of 1995 (15 U.S.C. 272 note) because ozone NAAQS limited maintenance Dated: February 3, 2021. application of those requirements would Diana Esher, plan for the Charleston Area be inconsistent with the CAA; and Acting Regional Administrator, Region III. (comprising Kanawha and Putnam • Does not provide EPA with the Counties) as a revision to the West discretionary authority to address, as For the reasons stated in the Virginia SIP. appropriate, disproportionate human preamble, the EPA amends 40 CFR part V. Statutory and Executive Order health or environmental effects, using 52 as follows: Reviews practicable and legally permissible methods, under Executive Order 12898 PART 52—APPROVAL AND A. General Requirements (59 FR 7629, February 16, 1994). PROMULGATION OF IMPLEMENTATION PLANS Under the CAA, the Administrator is In addition, this rule does not have required to approve a SIP submission tribal implications as specified by ■ 1. The authority citation for part 52 that complies with the provisions of the Executive Order 13175 (65 FR 67249, continues to read as follows: November 9, 2000), because the SIP is CAA and applicable Federal regulations. Authority: 42 U.S.C. 7401 et seq. 42 U.S.C. 7410(k); 40 CFR 52.02(a). not approved to apply in Indian country Thus, in reviewing SIP submissions, located in the State, and EPA notes that Subpart XX—West Virginia EPA’s role is to approve state choices, it will not impose substantial direct provided that they meet the criteria of costs on tribal governments or preempt ■ 2. In § 52.2520, the table in paragraph the CAA. Accordingly, this action tribal law. (e) is amended by adding an entry for merely approves state law as meeting B. Submission to Congress and the ‘‘1997 8-Hour Ozone National Ambient Federal requirements and does not Comptroller General Air Quality Standard Second impose additional requirements beyond Maintenance Plan for the West Virginia The Congressional Review Act, 5 Portion of the Charleston, West Virginia those imposed by state law. For that U.S.C. 801 et seq., as added by the Small reason, this action: Area Comprising Kanawha and Putnam Business Regulatory Enforcement Counties’’ at the end of the table to read Fairness Act of 1996, generally provides as follows: 8 https://www.epa.gov/criteria-air-pollutants/ that before a rule may take effect, the naaqs-table. agency promulgating the rule must § 52.2520 Identification of plan. 9 The Primary ozone NAAQS has been revised twice since 1997, most recently on October 26, submit a rule report, which includes a * * * * * 2015. 80 FR 65292. copy of the rule, to each House of the (e) * * *
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State Name of non-regulatory SIP revision Applicable submittal EPA approval Additional geographic area date date explanation
******* 1997 8-Hour Ozone National Ambient Air Quality Standard Second Mainte- Charleston, West Virginia Area Com- 12/10/2019 2/23/2021, [insert nance Plan for the West Virginia Portion of the Charleston, West Virginia prising Kanawha and Putnam Federal Reg- Area Comprising Kanawha and Putnam Counties. Counties. ister citation].
[FR Doc. 2021–02623 Filed 2–22–21; 8:45 am] FOR FURTHER INFORMATION CONTACT: commitment for continued air quality BILLING CODE 6560–50–P Maria A. Pino, Planning & monitoring; (4) a process for verification Implementation Branch (3AD30), Air & of continued attainment; and (5) a Radiation Division, U.S. Environmental contingency plan.2 PADEP’s March 10, ENVIRONMENTAL PROTECTION Protection Agency, Region III, 1650 2020 submittal fulfills Pennsylvania’s AGENCY Arch Street, Philadelphia, Pennsylvania obligation to submit a second 19103. The telephone number is (215) maintenance plan and addresses each of 40 CFR Part 52 814–2181. Ms. Pino can also be reached the five necessary elements. [EPA–R03–OAR–2020–0316; FRL–10018– via electronic mail at pino.maria@ As discussed in the September 3, 14–Region 3] epa.gov. 2020 NPRM, EPA allows the submittal SUPPLEMENTARY INFORMATION: of a less rigorous, limited maintenance Air Plan Approval; Pennsylvania; 1997 plan (LMP) to meet the CAA section 8-Hour Ozone National Ambient Air I. Background 175A requirements by demonstrating Quality Standards Second On September 3, 2020 (85 FR 54961), that the area’s design value 3 is well Maintenance Plan for the Scranton- EPA published a notice of proposed below the NAAQS and that the Wilkes-Barre Area rulemaking (NPRM) for the historical stability of the area’s air Commonwealth of Pennsylvania. In the quality levels shows that the area is AGENCY: Environmental Protection unlikely to violate the NAAQS in the Agency (EPA). NPRM, EPA proposed approval of Pennsylvania’s plan for maintaining the future. EPA evaluated PADEP’s March ACTION: Final rule. 1997 ozone NAAQS in the Scranton- 10, 2020 submittal for consistency with SUMMARY: The Environmental Protection Wilkes-Barre Area through December all applicable EPA guidance and CAA Agency (EPA) is approving a state 19, 2027, in accordance with CAA requirements. EPA found that the implementation plan (SIP) revision section 175A. The formal SIP revision submittal met CAA section 175A and all submitted by the Commonwealth of was submitted by PADEP on March 10, CAA requirements, and proposed Pennsylvania. This revision pertains to 2020. approval of the LMP for the Scranton- Wilkes-Barre Area as a revision to the the Commonwealth’s plan, submitted by II. Summary of SIP Revision and EPA Pennsylvania SIP. The effect of this the Pennsylvania Department of Analysis action makes certain commitments Environmental Protection (PADEP), for On November 19, 2007 (72 FR 64948, maintaining the 1997 8-hour ozone related to the maintenance of the 1997 effective December 19, 2007), EPA ozone NAAQS Federally enforceable as national ambient air quality standard approved a redesignation request (and (NAAQS) (referred to as the ‘‘1997 part of the Pennsylvania SIP. maintenance plan) from PADEP for the Other specific requirements of ozone NAAQS’’) in the Scranton- Scranton-Wilkes-Barre Area. In Wilkes-Barre, Pennsylvania area PADEP’s March 10, 2020 submittal and accordance with section 175A(b), at the the rationale for EPA’s proposed action (Scranton-Wilkes-Barre Area). This end of the eighth year after the effective action is being taken under the Clean are explained in the NPRM and will not date of the redesignation, the state must be restated here. Air Act (CAA). also submit a second maintenance plan DATES: This final rule is effective on to ensure ongoing maintenance of the III. EPA’s Response to Comments March 25, 2021. standard for an additional 10 years, and Received ADDRESSES: EPA has established a in South Coast Air Quality Management EPA received one comment in docket for this action under Docket ID District v. EPA,1 the D.C. Circuit held support of its proposed approval of Number EPA–R03–OAR–2020–0316. All that this requirement cannot be waived PADEP’s March 10, 2020 submittal. EPA documents in the docket are listed on for areas, like the Scranton-Wilkes-Barre received no adverse comments on the the https://www.regulations.gov Area, that had been redesignated to September 3, 2020 NPRM. Therefore, no website. Although listed in the index, attainment for the 1997 8-hour ozone response to comments is required. some information is not publicly NAAQS prior to revocation and that IV. Final Action available, e.g., confidential business were designated attainment for the 2008 information (CBI) or other information ozone NAAQS. CAA section 175A sets EPA is approving PADEP’s second whose disclosure is restricted by statute. forth the criteria for adequate maintenance plan for the Scranton- Certain other material, such as maintenance plans. In addition, EPA copyrighted material, is not placed on has published longstanding guidance 2 ‘‘Procedures for Processing Requests to the internet and will be publicly that provides further insight on the Redesignate Areas to Attainment,’’ Memorandum from John Calcagni, Director, Air Quality available only in hard copy form. content of an approvable maintenance Management Division, September 4, 1992 (Calcagni Publicly available docket materials are plan, explaining that a maintenance Memo). available through https:// plan should address five elements: (1) 3 The ozone design value for a monitoring site is www.regulations.gov, or please contact An attainment emissions inventory; (2) the 3-year average of the annual fourth-highest daily FOR FURTHER maximum 8-hour average ozone concentrations. the person identified in the a maintenance demonstration; (3) a The design value for an ozone nonattainment area INFORMATION CONTACT section for is the highest design value of any monitoring site additional availability information. 1 882 F.3d 1138 (D.C. Cir. 2018). in the area.
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Wilkes-Barre Area for the 1997 ozone • Is not a significant regulatory action Court of Appeals for the appropriate NAAQS as a revision to the subject to Executive Order 13211 (66 FR circuit by April 26, 2021. Filing a Pennsylvania SIP. 28355, May 22, 2001); petition for reconsideration by the • Is not subject to requirements of Administrator of this final rule does not V. Statutory and Executive Order section 12(d) of the National affect the finality of this action for the Reviews Technology Transfer and Advancement purposes of judicial review nor does it A. General Requirements Act of 1995 (15 U.S.C. 272 note) because extend the time within which a petition Under the CAA, the Administrator is application of those requirements would for judicial review may be filed, and be inconsistent with the CAA; and shall not postpone the effectiveness of required to approve a SIP submission • that complies with the provisions of the Does not provide EPA with the such rule or action. CAA and applicable Federal regulations. discretionary authority to address, as This action, approving PADEP’s 42 U.S.C. 7410(k); 40 CFR 52.02(a). appropriate, disproportionate human second maintenance plan for the Thus, in reviewing SIP submissions, health or environmental effects, using Scranton-Wilkes-Barre Area for the 1997 EPA’s role is to approve state choices, practicable and legally permissible ozone NAAQS, may not be challenged provided that they meet the criteria of methods, under Executive Order 12898 later in proceedings to enforce its the CAA. Accordingly, this action (59 FR 7629, February 16, 1994). requirements. (See section 307(b)(2).) In addition, this rule does not have merely approves state law as meeting List of Subjects in 40 CFR Part 52 Federal requirements and does not tribal implications as specified by impose additional requirements beyond Executive Order 13175 (65 FR 67249, Environmental protection, Air those imposed by state law. For that November 9, 2000), because the SIP is pollution control, Incorporation by reason, this action: not approved to apply in Indian country reference, Intergovernmental relations, • Is not a ‘‘significant regulatory located in the State, and EPA notes that Nitrogen dioxide, Ozone, Reporting and action’’ subject to review by the Office it will not impose substantial direct recordkeeping requirements, Volatile of Management and Budget under costs on tribal governments or preempt organic compounds. tribal law. Executive Orders 12866 (58 FR 51735, Dated: February 3, 2021. October 4, 1993) and 13563 (76 FR 3821, B. Submission to Congress and the Diana Esher, January 21, 2011); Comptroller General • Is not an Executive Order 13771 (82 Acting Regional Administrator, Region III. FR 9339, February 2, 2017) regulatory The Congressional Review Act, 5 For the reasons stated in the action because SIP approvals are U.S.C. 801 et seq., as added by the Small preamble, the EPA amends 40 CFR part exempted under Executive Order 12866. Business Regulatory Enforcement 52 as follows: • Does not impose an information Fairness Act of 1996, generally provides collection burden under the provisions that before a rule may take effect, the PART 52—APPROVAL AND of the Paperwork Reduction Act (44 agency promulgating the rule must PROMULGATION OF U.S.C. 3501 et seq.); submit a rule report, which includes a IMPLEMENTATION PLANS • Is certified as not having a copy of the rule, to each House of the significant economic impact on a Congress and to the Comptroller General ■ 1. The authority citation for part 52 substantial number of small entities of the United States. EPA will submit a continues to read as follows: under the Regulatory Flexibility Act (5 report containing this action and other Authority: 42 U.S.C. 7401 et seq. U.S.C. 601 et seq.); required information to the U.S. Senate, • Does not contain any unfunded the U.S. House of Representatives, and Subpart NN—Pennsylvania mandate or significantly or uniquely the Comptroller General of the United affect small governments, as described States prior to publication of the rule in ■ 2. In § 52.2020, the table in paragraph in the Unfunded Mandates Reform Act the Federal Register. A major rule (e)(1) is amended by adding the entry of 1995 (Pub. L. 104–4); cannot take effect until 60 days after it ‘‘Second Maintenance Plan for the • Does not have Federalism is published in the Federal Register. Scranton-Wilkes-Barre 1997 8-Hour implications as specified in Executive This action is not a ‘‘major rule’’ as Ozone Nonattainment Area’’ at the end Order 13132 (64 FR 43255, August 10, defined by 5 U.S.C. 804(2). of the table to read as follows: 1999); • Is not an economically significant C. Petitions for Judicial Review § 52.2020 Identification of plan. regulatory action based on health or Under section 307(b)(1) of the CAA, * * * * * safety risks subject to Executive Order petitions for judicial review of this (e) * * * 13045 (62 FR 19885, April 23, 1997); action must be filed in the United States (1) * * *
State Name of non-regulatory SIP revision Applicable submittal EPA approval date Additional explanation geographic area date
******* Second Maintenance Plan for the Scranton- Scranton-Wilkes-Barre 3/10/20 2/23/21, [insert Fed- Scranton/Wilkes-Barre Area: Lackawanna, Wilke-Barre 1997 8-Hour Ozone Nonattain- Area. eral Register cita- Luzerne, Monroe and Wyoming Counties. ment Area. tion].
* * * * * [FR Doc. 2021–02618 Filed 2–22–21; 8:45 am] BILLING CODE 6560–50–P
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ENVIRONMENTAL PROTECTION I. General Information instructions for submitting comments. Do not submit electronically any AGENCY A. Does this action apply to me? information you consider to be CBI or 40 CFR Part 180 You may be potentially affected by other information whose disclosure is this action if you are an agricultural restricted by statute. • [EPA–HQ–OPP–2020–0176; FRL–10017–66] producer, food manufacturer, or Mail: OPP Docket, Environmental pesticide manufacturer. The following Protection Agency Docket Center (EPA/ Oxalic Acid; Exemption From the list of North American Industrial DC), (28221T), 1200 Pennsylvania Ave. Requirement of a Tolerance Classification System (NAICS) codes is NW, Washington, DC 20460–0001. not intended to be exhaustive, but rather • Hand Delivery: To make special AGENCY: Environmental Protection provides a guide to help readers arrangements for hand delivery or Agency (EPA). determine whether this document delivery of boxed information, please applies to them. Potentially affected follow the instructions at http:// ACTION: Final rule. entities may include: www.epa.gov/dockets/contacts.html. • Crop production (NAICS code 111). Additional instructions on SUMMARY: This regulation establishes an • Animal production (NAICS code commenting or visiting the docket, exemption from the requirement of a 112). along with more information about tolerance for residues of oxalic acid on • Food manufacturing (NAICS code dockets generally, is available at http:// honey and honeycomb. This regulation 311). www.epa.gov/dockets. • Pesticide manufacturing (NAICS eliminates the need to establish a II. Background and Statutory Findings maximum permissible level on these code 32532). commodities for residues of oxalic acid. In the Federal Register of September B. How can I get electronic access to 30, 2020 (85 FR 61682) (FRL–10014–74), DATES: This regulation is effective other related information? EPA issued a document pursuant to February 23, 2021. Objections and You may access a frequently updated FFDCA section 408(d)(3), 21 U.S.C. requests for hearings must be received electronic version of 40 CFR part 180 346a(d)(3), announcing the filing of a on or before April 26, 2021, and must through the Government Publishing pesticide tolerance petition (PP 0E8824) be filed in accordance with the Office’s e-CFR site at http:// by Interregional Research Project instructions provided in 40 CFR part www.ecfr.gov/cgi-bin/text- Number 4 (IR–4), 500 College Road East, 178 (see also Unit I.C. of the idx?&c=ecfr&tpl=/ecfrbrowse/Title40/ Suite 201W, Princeton, NJ 08540 as an SUPPLEMENTARY INFORMATION). 40tab_02.tpl. agent for the U.S. Department of Agriculture, Agricultural Research ADDRESSES: The docket for this action, C. How can I file an objection or hearing Service (ARS), Bee Research Laboratory, identified by docket identification (ID) request? 10300 Baltimore Ave. Bldg. 306, BARC- number EPA–HQ–OPP–2020–0176, is Under FFDCA section 408(g), 21 East, Beltsville, MD 20705. The petition available at http://www.regulations.gov U.S.C. 346a, any person may file an requested that 40 CFR part 180 be or at the Office of Pesticide Programs objection to any aspect of this regulation amended by establishing an exemption Regulatory Public Docket (OPP Docket) and may also request a hearing on those from the requirement of a tolerance in in the Environmental Protection Agency objections. You must file your objection or on honey and honeycomb for Docket Center (EPA/DC), West William or request a hearing on this regulation residues of oxalic acid dihydrate. That Jefferson Clinton Bldg., Rm. 3334, 1301 in accordance with the instructions document referenced a summary of the Constitution Ave. NW, Washington, DC provided in 40 CFR part 178. To ensure petition prepared by the petitioner, 20460–0001. The Public Reading Room proper receipt by EPA, you must ARS, which is available in the docket, is open from 8:30 a.m. to 4:30 p.m., identify docket ID number EPA–HQ– http://www.regulations.gov. There were Monday through Friday, excluding legal OPP–2020–1076 in the subject line on no comments received in response to holidays. The telephone number for the the first page of your submission. All the notice of filing. Public Reading Room is (202) 566–1744, objections and requests for a hearing Section 408(c)(2)(A)(i) of FFDCA and the telephone number for the OPP must be in writing and must be received allows EPA to establish an exemption Docket is (703) 305–5805. by the Hearing Clerk on or before April from the requirement for a tolerance (the Due to the public health concerns 26, 2021. Addresses for mail and hand legal limit for a pesticide chemical related to COVID–19, the EPA Docket delivery of objections and hearing residue in or on a food) only if EPA Center (EPA/DC) and Reading Room is requests are provided in 40 CFR determines that the exemption is ‘‘safe.’’ closed to visitors with limited 178.25(b). Section 408(c)(2)(A)(ii) of FFDCA exceptions. The staff continues to In addition to filing an objection or defines ‘‘safe’’ to mean that ‘‘there is a provide remote customer service via hearing request with the Hearing Clerk reasonable certainty that no harm will email, phone, and webform. For the as described in 40 CFR part 178, please result from aggregate exposure to the latest status information on EPA/DC submit a copy of the filing (excluding pesticide chemical residue, including services and docket access, visit https:// any Confidential Business Information all anticipated dietary exposures and all www.epa.gov/dockets. (CBI)) for inclusion in the public docket. other exposures for which there is Information not marked confidential reliable information.’’ This includes FOR FURTHER INFORMATION CONTACT: exposure through drinking water and in Marietta Echeverria, Registration pursuant to 40 CFR part 2 may be residential settings but does not include Division (7505P), Office of Pesticide disclosed publicly by EPA without prior occupational exposure. Pursuant to Programs, Environmental Protection notice. Submit the non-CBI copy of your FFDCA section 408(c)(2)(B), in Agency, 1200 Pennsylvania Ave. NW, objection or hearing request, identified establishing or maintaining in effect an Washington, DC 20460–0001; main by docket ID number EPA–HQ–OPP– exemption from the requirement of a telephone number: (703) 305–7090; 2020–0176, by one of the following tolerance, EPA must take into account email address: [email protected]. methods: • Federal eRulemaking Portal: http:// the factors set forth in FFDCA section SUPPLEMENTARY INFORMATION: www.regulations.gov. Follow the online 408(b)(2)(C) and (D), which requires
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EPA to give special consideration to IV. Aggregate Exposures indistinguishable from naturally exposure of infants and children to the In examining aggregate exposure, occurring oxalic acid, EPA concludes pesticide chemical residue in FFDCA section 408 directs EPA to that there is a reasonable certainty that establishing a tolerance and to ‘‘ensure consider available information no harm to the general U.S. population that there is a reasonable certainty that concerning exposures from the pesticide or any population subgroup, including no harm will result to infants and residue in food and all other non- infants and children, will result from children from aggregate exposure to the occupational exposures, including aggregate exposure when considering pesticide chemical residue . . .’’, as drinking water from ground water or dietary exposure and all other non- well as consider other factors. surface water and exposure through occupational sources of pesticide EPA performs a number of analyses to pesticide use in gardens, lawns, or exposure. Accordingly, EPA finds that determine the risks from aggregate buildings (residential and other indoor exempting residues of oxalic acid from exposure to pesticide residues. First, uses). the requirement of a tolerance will be EPA determines the toxicity of Oxalic acid is ubiquitous in the safe. pesticides. Second, EPA examines environment being found naturally in VII. Other Considerations exposure to the pesticide through food, many plants and vegetables, as well as drinking water, and other non- in honey. Available studies and Analytical Enforcement Methodology occupational exposures that occur as a literature indicate that residues in or on An analytical method is not required result of use of the pesticide. honey from the proposed use will be for enforcement purposes since the III. Toxicological Profile insignificant and indistinguishable from Agency is establishing an exemption background levels of oxalic acid, and from the requirement of a tolerance Consistent with FFDCA section due to the lack of toxicity, exposure is without any numerical limitation. 408(b)(2)(D), EPA has reviewed the not expected to pose a risk. EPA had VIII. Conclusion available scientific data and other also considered the potential for relevant information in support of this aggregate exposure to oxalic acid Therefore, an exemption is action and considered its validity, residues in food and all other non- established for residues of oxalic acid in completeness and reliability and the occupational exposures, including or on honey and honeycomb when relationship of this information to drinking water (ground and surface) and applied to beehives. human risk. EPA has also considered other pesticide uses in gardens, lawns, available information concerning the IX. Statutory and Executive Order and/or buildings (residential and other Reviews variability of the sensitivities of major indoor uses). The proposed use does not identifiable subgroups of consumers, change the previous assessment’s This action establishes an exemption including infants and children. The conclusions about drinking water and from the requirement of a tolerance nature of the toxic effects caused by residential exposure. under FFDCA section 408(d) in oxalic acid are discussed in this unit. response to a petition submitted to the Oxalic acid is ubiquitous in the V. Cumulative Effects From Substances Agency. The Office of Management and environment being found naturally in With a Common Mechanism of Toxicity Budget (OMB) has exempted these types many plants and vegetables, as well as Section 408(b)(2)(D)(v) of FFDCA of actions from review under Executive in honey. Oxalic acid is commonly used requires that, when considering whether Order 12866, entitled ‘‘Regulatory as an analytical reagent in textile to establish, modify, or revoke a Planning and Review’’ (58 FR 51735, finishing, in metal, wood, or equipment tolerance, the Agency consider October 4, 1993). Because this action cleaning, in bleaching straw and leather, ‘‘available information’’ concerning the has been exempted from review under in removing paint, varnish, rust, or ink cumulative effects of a particular Executive Order 12866, this action is stains, in dye manufacturing, in pesticide’s residues and ‘‘other not subject to Executive Order 13211, chemical synthesis, in the paper, substances that have a common entitled ‘‘Actions Concerning ceramics, photographic, and rubber mechanism of toxicity.’’ Regulations That Significantly Affect industries, as well as in vitro as a blood EPA has not found oxalic acid to Energy Supply, Distribution, or Use’’ (66 specimen anticoagulant in veterinary share a common mechanism of toxicity FR 28355, May 22, 2001) or Executive medicine. The available data indicate with any other substances, and oxalic Order 13045, entitled ‘‘Protection of decreased body weight effects occuring acid does not appear to produce a toxic Children from Environmental Health only at high doses. Moreover, based on metabolite produced by other Risks and Safety Risks’’ (62 FR 19885, the literature and due to the lack of substances. For the purposes of this April 23, 1997), nor is it considered a adverse effects associated with the long tolerance action, therefore, EPA has regulatory action under Executive Order history of use in a number of assumed that oxalic acid does not have 13771, entitled ‘‘Reducing Regulations manufacturing processes and goods, a common mechanism of toxicity with and Controlling Regulatory Costs’’ (82 exposure to oxalic acid is unlikely to other substances. For information FR 9339, February 3, 2017). This action result in short-term, long-term, prenatal regarding EPA’s efforts to determine does not contain any information developmental, or mutagenic and/or which chemicals have a common collections subject to OMB approval genotoxic toxicological effects. A full mechanism of toxicity and to evaluate under the Paperwork Reduction Act discussion of the literature and the cumulative effects of such (PRA) (44 U.S.C. 3501 et seq.), nor does background on the toxicological profile chemicals, see EPA’s website at https:// it require any special considerations of oxalic acid can be found in docket www.epa.gov/pesticide-science-and- under Executive Order 12898, entitled number EPA–HQ–OPP–2020–0176 in assessing-pesticide-risks/cumulative- ‘‘Federal Actions to Address the documents titled ‘‘Oxalic Acid. assessment-risk-pesticides. Environmental Justice in Minority Label Amendment Regarding Use in Populations and Low-Income Beehives with Honey Supers to Control VI. Determination of Safety for U.S. Populations’’ (59 FR 7629, February 16, Varroa Mites’’ and ‘‘Oxalic Acid. New Population, Infants and Children 1994). Use in Beehives to control Varroa Based on the lack of toxicity and the Since tolerances and exemptions that mites.’’ fact that residues will be below and are established on the basis of a petition
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under FFDCA section 408(d), such as Dated: December 23, 2020. vaccinecompensation/, or contact the exemption in this final rule, do not Marietta Echeverria, Tamara Overby, Acting Director, require the issuance of a proposed rule, Acting Director, Registration Division, Office Division of Injury Compensation the requirements of the Regulatory of Pesticide Programs. Programs, Healthcare Systems Bureau, Flexibility Act (RFA) (5 U.S.C. 601 et Therefore, for the reasons stated in the HRSA, Room 08N146B, 5600 Fishers seq.), do not apply. preamble, EPA is amending 40 CFR Lane, Rockville, MD 20857; by email at [email protected]; or by This action directly regulates growers, chapter I as follows: telephone at (855) 266–2427. food processors, food handlers, and food PART 180—TOLERANCES AND retailers, not States or Tribes, nor does SUPPLEMENTARY INFORMATION: EXEMPTIONS FOR PESTICIDE this action alter the relationships or CHEMICAL RESIDUES IN FOOD I. Background distribution of power and HHS published a notice of proposed responsibilities established by Congress ■ 1. The authority citation for part 180 rulemaking on July 20, 2020 (85 FR in the preemption provisions of FFDCA continues to read as follows: 43794), and a final rule on January 21, section 408(n)(4). As such, the Agency Authority: 21 U.S.C. 321(q), 346a and 371. 2021 (86 FR 6249). The January 20, 2021 has determined that this action will not ■ Final Rule amended the provisions of 42 have a substantial direct effect on States 2. Add § 180.1381 to subpart D to read as follows: CFR 100.3 by removing Shoulder Injury or Tribal Governments, on the Related to Vaccine Administration relationship between the National § 180.1381 Oxalic Acid; exemption from (SIRVA), vasovagal syncope, and Item Government and the States or Tribal the requirement of a tolerance. XVII from the Vaccine Injury Table. The Governments, or on the distribution of Residues of oxalic acid in or on honey January 20, 2021 memorandum from the power and responsibilities among the and honeycomb are exempted from the Assistant to the President and Chief of various levels of government or between requirement of a tolerance when oxalic Staff, entitled ‘‘Regulatory Freeze the Federal Government and Indian acid is used as a miticide in honeybee Pending Review,’’ instructed Federal Tribes. Thus, the Agency has hives. agencies to consider delaying the determined that Executive Order 13132, [FR Doc. 2021–03256 Filed 2–22–21; 8:45 am] effective date of rules published in the entitled ‘‘Federalism’’ (64 FR 43255, BILLING CODE 6560–50–P Federal Register, but which have not August 10, 1999) and Executive Order yet taken effect, for a period of 60 days 13175, entitled ‘‘Consultation and so that the new Administration may Coordination with Indian Tribal DEPARTMENT OF HEALTH AND review recently published rules for ‘‘any Governments’’ (65 FR 67249, November HUMAN SERVICES questions of fact, law, and policy the 9, 2000) do not apply to this action. In rule may raise.’’ The memorandum addition, this action does not impose 42 CFR Part 100 notes certain exceptions that do not apply here. On January 20, 2021, the any enforceable duty or contain any RIN 0906–AB24 unfunded mandate as described under Office of Management and Budget (OMB) also published OMB Title II of the Unfunded Mandates National Vaccine Injury Compensation Memorandum M–21–14, Reform Act (UMRA) (2 U.S.C. 1501 et Program: Revisions to the Vaccine Implementation of Memorandum seq.). Injury Table; Delay of Effective Date Concerning Regulatory Freeze Pending This action does not involve any AGENCY: Health Resources and Services Review, which provides guidance technical standards that would require Administration (HRSA), Department of regarding the Regulatory Freeze Agency consideration of voluntary Health and Human Services (HHS). Memorandum. See OMB M–21–14, consensus standards pursuant to section ACTION: Final rule; delay of effective Implementation of Memorandum 12(d) of the National Technology date. Concerning Regulatory Freeze Pending Transfer and Advancement Act Review, https://www.whitehouse.gov/ (NTTAA) (15 U.S.C. 272 note). SUMMARY: In accordance with the wp-content/uploads/2021/01/M-21-14- Presidential directive as expressed in Regulatory-Review.pdf. OMB M–21–14 X. Congressional Review Act the memorandum of January 20, 2021, explains that pursuant to the Regulatory from the Assistant to the President and Freeze Memorandum, agencies ‘‘should Pursuant to the Congressional Review Chief of Staff, entitled ‘‘Regulatory Act (5 U.S.C. 801 et seq.), EPA will consider postponing the effective dates Freeze Pending Review,’’ this action for 60 days and reopening the submit a report containing this rule and delays until April 23, 2021, the effective rulemaking process’’ for ‘‘rules that have other required information to the U.S. date of the rule entitled ‘‘National not yet taken effect and about which Senate, the U.S. House of Vaccine Injury Compensation Program: questions involving law, fact, or policy Representatives, and the Comptroller Revisions to the Vaccine Injury Table,’’ have been raised.’’ Id. General of the United States prior to published in the Federal Register on On February 12, 2021, HHS published publication of the rule in the Federal January 21, 2021 (January 21, 2021 Final a notice of proposed rulemaking, Register. This action is not a ‘‘major Rule). proposing, after a brief public comment rule’’ as defined by 5 U.S.C. 804(2). DATES: As of February 22, 2021, the period, to delay the effective date of the effective date of the January 21, 2021 List of Subjects in 40 CFR Part 180 January 21, 2021 Final Rule for 60 days, Final Rule, published in the Federal from February 22, 2021, to April 23, Environmental protection, Register at 86 FR 6249, is delayed for 60 2021. HHS did so to determine whether Administrative practice and procedure, days, from February 22, 2021 to April the January 21, 2021 Final Rule’s Agricultural commodities, Pesticides 23, 2021. promulgation raises any legal issues, and pests, Reporting and recordkeeping FOR FURTHER INFORMATION CONTACT: including but not limited to (1) whether requirements. Please visit the National Vaccine Injury the Advisory Commission on Childhood Compensation Program’s website, Vaccines (ACCV) was properly notified https://www.hrsa.gov/ of the proposed rule pursuant to 42
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U.S.C. 300aa–14(c) and (d), and (2) for or against the delay; other comments HHS is unable to respond to this whether the public was properly that raised issues beyond the scope of comment as it does not state why the notified of the entire revised regulation, the proposed rule delaying the effective commenter does not support the delay. 42 CFR 100.3(b)–(e) (including the date are not addressed here, but will be The other anonymous commenter qualifications and aids to interpretation considered by the agency in asserted, without indicating the factual and the coverage provisions), given that determining future actions related to the basis for the assertion, that the ACCV both the proposed and final rules underlying rule. We have summarized had been properly notified about the published in the Federal Register the relevant comments received and NPRM to remove SIRVA, vasovagal included only the revised Vaccine provided our answers below. syncope, and Item XVII from the Table. Injury Table itself, but not the entire Eight commenters, including the Furthermore, the anonymous revised regulation. Biotechnology Innovation Organization, commenter pointed out that ‘‘HHS says HHS received 29 comments on the American Association for Justice, it needs time to determine whether the notice of proposed rulemaking, most in Walgreens, and the National Association ACCV ‘was properly notified of the support of the delay of the effective date of Chain Drug Stores, support delaying proposed rule pursuant to 42 U.S.C. to April 23, 2021, with only two the January 21, 2021 Final Rule because 300aa–14(c).’ 86 FR 9308, 9309 (Feb. 12, anonymous comments against. After they believe that the rule contravenes 2021) (the notice refers to 42 U.S.C. careful consideration of the comments the purpose of the National Childhood 300aa–14(c), but presumably it meant to received, HHS has decided to delay the Vaccine Injury Act. Thirteen refer to 300aa–14(d).).’’ HHS disagrees January 21, 2021 Final Rule’s effective commenters, including the National with this commenter’s views about the date to April 23, 2021. HHS continues Community Pharmacists Association, ACCV and is concerned that the ACCV to believe that the delay is reasonable the Vaccine Injured Petitioners Bar may not have been properly notified. and will not be disruptive because the Association, the American Pharmacists We also note that 300aa–14(c) discusses underlying rule has not yet been Association, the National Alliance of the process for promulgating regulations implemented or taken effect. State Pharmacy Associations, and to revise the Table, but agree that Section 553(d) of the Administrative various petitioners’ attorneys, support section that 300aa–14(d) discusses the Procedure Act (APA) (5 U.S.C. 551 et the delay of the final rule because they role of the ACCV in the regulation seq.) requires that Federal agencies believe the final rule did not adequately process more specifically. That provide at least 30 days after take into account the recommendations subsection states the ‘‘Secretary may not publication of a final rule in the Federal of the ACCV or the public. Four Register before making it effective, commenters, including a petitioner’s propose a regulation under subsection unless good cause can be found not to attorney, supported the delay so that, (c) or any revision thereof, unless the do so. HHS finds that there is good pursuant to the Regulatory Freeze Secretary has first provided to the cause for making this final rule effective memorandum, the new Administration Commission a copy of the proposed less than 30 days after publication in the may review the rule and the comments regulation or revision, requested Federal Register given that failure to do submitted during that rulemaking recommendations and comments by the so would result in the January 21, 2021 process. Another commenter expressed Commission, and afforded the Final Rule going into effect before it can concern with the promulgation of the Commission at least 90 days to make be reviewed by the new Administration final rule, specifically that the contents such recommendations.’’ [emphasis pursuant to the Regulatory Freeze of the November 9, 2020 hearing have added] Per the March 6, 2020 ACCV Memorandum and OMB M–21–14, and not been made publicly available, and meeting minutes, found at https:// because the majority of public as such supported the delay. Many www.hrsa.gov/sites/default/files/hrsa/ comments received support the delay commenters who said they had their advisory-committees/vaccines/ and HHS’s plans to more closely review own SIRVA injuries supported the meetings/2020/accv-march-meeting- the January 21, 2021 Final Rule’s delay. Finally, four commenters stated minutes.pdf, ACCV members said promulgation for both procedural and that the January 21, 2021 Final Rule during the March meeting that, because policy reasons. contravenes the science surrounding the NPRM was marked as ‘‘privileged SIRVA. HHS agrees that delaying the and confidential’’ and was not on the II. Analysis and Responses to Public agenda for the meeting, they were Comments effective date of the final rule would provide the agency time to ensure the uncertain whether they were allowed to In the notice of proposed rulemaking, rule was properly promulgated and discuss the NPRM at the ACCV meeting HHS solicited comments regarding consider the other issues surrounding as a group. The fact that ACCV members whether to delay the January 21, 2021 the rule. were uncertain as to whether the ACCV Final Rule’s effective date for 60 days, Two anonymous commenters as a group could discuss the NPRM at from February 22, 2021, to April 23, opposed the delay of the final rule. One that meeting raises the issue about 2021. We received 29 comments. The 27 anonymous commenter stated the final whether the ACCV as a whole actually comments in support of the delay of the rule should go into effect without delay was provided with the statutorily- effective date of the January 21, 2021 for the reasons stated in the Department required 90 days to provide its Final Rule to April 23, 2021, were from of Justice’s (DOJ) May 15, 2020 letter. comments and recommendations on the a broad range of patients, vaccine See https://www.hrsa.gov/sites/default/ NPRM. This sentiment was echoed in attorneys and legal clinics, biotech trade files/hrsa/advisory-committees/ the May 18, 2020 meeting minutes, associations, pharmacist and drug store vaccines/hunt-letter-sirva.pdf. That found at https://www.hrsa.gov/sites/ associations, and non-profit letter outlines DOJ’s views with respect default/files/hrsa/advisory-committees/ organizations. HHS only received two to the July 20, 2020 notice of proposed vaccines/meetings/2020/accv-may- anonymous comments opposing the rulemaking (NPRM) (85 FR 43794), meeting-minutes.pdf, where, for an delay of the effective date of the January specifically the view that SIRVA should example, an ACCV member raised the 21, 2021 Final Rule. HHS took into not be a compensable injury under the issue that ‘‘ACCV commissioners consideration comments on the VICP, but does not discuss why the received this draft VICP NPRM in underlying rule to the extent they shed commenter opposes delaying the February of 2020, at that time light on the reasons commenters were effective date of the final rule. As such, commissioners were told it was
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privileged, confidential document that III. Regulatory Impact Analysis reasonable and will not be disruptive could not be discussed. It was not on Executive Order 12866 directs because the underlying rule has not yet the agenda for the March 6, 2020 agencies to assess all costs and benefits been implemented or taken effect. meeting.’’ While the member of available regulatory alternatives and, Paperwork Reduction Act of 1995 acknowledged a brief discussion did when rulemaking is necessary, to select This rule has no information occur, it remains clear that not all ACCV regulatory approaches that provide the collection requirements. members believed they could discuss greatest net benefits (including potential the NPRM during the March meeting. In economic, environmental, public health, Norris Cochran, a letter to the Secretary of HHS dated safety, distributive, and equity effects). Acting Secretary, Department of Health and May 20, 2020, with the recommendation In addition, under the Regulatory Human Services. to oppose the proposed changes to the Flexibility Act, if a rule has a significant Table, the ACCV again expressed [FR Doc. 2021–03747 Filed 2–19–21; 11:15 am] economic effect on a substantial number BILLING CODE 4165–15–P dissatisfaction with the ACCV of small entities, HHS must specifically recommendation process, stating, consider the economic effect of a rule on ‘‘During its March 6 Meeting, the small entities and analyze regulatory Commission briefly discussed this draft options that could lessen the impact of DEPARTMENT OF HOMELAND NPRM; however, no representative from the rule. SECURITY HHS was present to address questions The Office of Information and from ACCV members, and discussion of Regulatory Affairs has determined that Federal Emergency Management the draft NPRM was not an agenda item. this rule is not a ‘‘significant regulatory Agency Therefore, ACCV members requested, action’’ under section 3(f) of Executive among other things, a meeting with an Order 12866. 44 CFR Part 64 HHS official to respond to their HHS has determined that no resources questions about the NPRM. Thus, the are required to implement the [Docket ID FEMA–2021–0003; Internal Agency Docket No. FEMA–8667] May 18, 2020 meeting was scheduled, requirements in this rule because but an HHS official who could respond compensation will continue to be made Suspension of Community Eligibility to the ACCV’s questions did not consistent with the status quo. attend.’’ (See https://www.hrsa.gov/ Therefore, in accordance with the AGENCY: Federal Emergency sites/default/files/hrsa/advisory- Regulatory Flexibility Act of 1980 Management Agency, DHS. committees/vaccines/reports/accv- (RFA), and the Small Business ACTION: Final rule. recommendation-may-2020.pdf.) Regulatory Enforcement Act of 1996, That anonymous commenter also which amended the RFA, HHS certifies SUMMARY: This rule identifies stated that the public was made aware that this rule will not have a significant communities where the sale of flood of the entire revised regulation, impact on a substantial number of small insurance has been authorized under including the qualifications and aids to entities. the National Flood Insurance Program interpretation and coverage provisions, HHS has also determined that this (NFIP) that are scheduled for because ‘‘the NPRM and the Final Rule rule does not meet the criteria for a suspension on the effective dates listed provide: ‘In 100.3, revise paragraph (a) major rule under the Congressional within this rule because of and remove paragraphs (c)(10) and (13) Review Act or Executive Order 12866 noncompliance with the floodplain and (e)(8).’ 85 FR 43,804; 86 FR 6249, and would have no major effect on the management requirements of the 6267 (Jan. 21, 2021).’’ The anonymous economy or Federal expenditures. program. If the Federal Emergency commenter said he or she believes it is Similarly, it will not have effects on Management Agency (FEMA) receives sufficient to refer solely to the State, local, and tribal governments and documentation that the community has paragraphs being removed, and not spell on the private sector such as to require adopted the required floodplain out the entire revised regulation. consultation under the Unfunded management measures prior to the However, the final rule says, ‘‘In § 100.3, Mandates Reform Act of 1995. Nor on effective suspension date given in this revise paragraph (a) and remove the basis of family well-being will the rule, the suspension will not occur. paragraphs (c)(10) and (13) and (e)(8). provisions of this rule affect the Information identifying the current The revision reads as follows . . .’’ following family elements: Family participation status of a community can After the ‘‘as follows,’’ the only text that safety; family stability; marital be obtained from FEMA’s CSB available is included is the Table itself, and not commitment; parental rights in the at www.fema.gov/flood-insurance/work- the revised qualifications and aids to education, nurture and supervision of with-nfip/community-status-book. interpretation and coverage provisions. their children; family functioning; Please note that per Revisions to Therefore, the language in the proposed disposable income or poverty; or the Publication Requirements for and final rules is ambiguous because it behavior and personal responsibility of Community Eligibility Status implies that the entirety of the revised youth, as determined under section Information Under the National Flood regulation is included, but then only 654(c) of the Treasury and General Insurance Program, notices such as this includes the Table itself. Furthermore, Government Appropriations Act of one for scheduled suspension will no the version of the Vaccine Injury Table 1999. longer be published in the Federal that is currently displayed on the eCFR Register as of June 2021 but will be includes a link titled ‘‘Link to an Impact of the New Rule available at National Flood Insurance amendment published at 86 FR 6267, This rule extends the effective date of Community Status and Public Jan. 21, 2021.’’ This link displays only the final rule titled ‘‘National Vaccine Notification | FEMA.gov. Individuals the Vaccine Injury Table that was Injury Compensation Program: without internet access will be able to published in the final rule, and this Revisions to the Vaccine Injury Table’’ contact their local floodplain delay will permit HHS to clarify these until April 23, 2021, to determine management official and/or State NFIP seemingly conflicting instructions whether that rule’s promulgation raises Coordinating Office directly for concerning 42 CFR 100.3(b)–(e). any legal issues. This delay is assistance.
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DATES: The effective date of each participation status can be verified at the Regulatory Flexibility Act because community’s scheduled suspension is anytime on the CSB section at fema.gov. the National Flood Insurance Act of the third date (‘‘Susp.’’) listed in the In addition, FEMA publishes a Flood 1968, as amended, Section 1315, 42 third column of the following tables. Insurance Rate Map (FIRM) that U.S.C. 4022, prohibits flood insurance FOR FURTHER INFORMATION CONTACT: If identifies the Special Flood Hazard coverage unless an appropriate public you want to determine whether a Areas (SFHAs) in these communities. body adopts adequate floodplain particular community was suspended The date of the published FIRM is management measures with effective on the suspension date or for further indicated in the fourth column of the enforcement measures. The information, contact Adrienne L. table. No direct federal financial communities listed no longer comply Sheldon, PE, CFM, Federal Insurance assistance (except assistance pursuant to with the statutory requirements, and and Mitigation Administration, Federal the Robert T. Stafford Disaster Relief after the effective date, flood insurance Emergency Management Agency, 400 C and Emergency Assistance Act not in will no longer be available in the Street SW, Washington, DC 20472, (202) connection with a flood) may be communities unless remedial action 674–1087. Details regarding updated provided for construction or acquisition takes place. publication requirements of community of buildings in identified SFHAs for Regulatory Classification. This final eligibility status information under the communities not participating in the rule is not a significant regulatory action NFIP can be found on the CSB section NFIP and identified for more than a year under the criteria of section 3(f) of at www.fema.gov. on FEMA’s initial FIRM for the Executive Order 12866 of September 30, SUPPLEMENTARY INFORMATION: The NFIP community as having flood-prone areas 1993, Regulatory Planning and Review, enables property owners to purchase (section 202(a) of the Flood Disaster 58 FR 51735. Federal flood insurance that is not Protection Act of 1973, 42 U.S.C. Executive Order 13132, Federalism. otherwise generally available from 4106(a), as amended). This prohibition This rule involves no policies that have private insurers. In return, communities against certain types of federal federalism implications under Executive agree to adopt and administer local assistance becomes effective for the Order 13132. floodplain management measures aimed communities listed on the date shown Executive Order 12988, Civil Justice at protecting lives, new and in the last column. The Administrator Reform. This rule meets the applicable substantially improved construction, finds that notice and public comment standards of Executive Order 12988. and development in general from future procedures under 5 U.S.C. 553(b), are Paperwork Reduction Act. This rule flooding. Section 1315 of the National impracticable and unnecessary because does not involve any collection of Flood Insurance Act of 1968, as communities listed in this final rule information for purposes of the amended, 42 U.S.C. 4022, prohibits the have been adequately notified. Paperwork Reduction Act, 44 U.S.C. sale of NFIP flood insurance unless an Each community receives 6-month, 3501 et seq. appropriate public body adopts 90-day, and 30-day notification letters adequate floodplain management addressed to the Chief Executive Officer List of Subjects in 44 CFR Part 64 measures with effective enforcement stating that the community will be Flood insurance, Floodplains. measures. The communities listed in suspended unless the required Accordingly, 44 CFR part 64 is this document no longer meet that floodplain management measures are amended as follows: statutory requirement for compliance met prior to the effective suspension with NFIP regulations, 44 CFR part 59. date. Since these notifications were PART 64—[AMENDED] Accordingly, the communities will be made, this final rule may take effect suspended on the effective date listed in within less than 30 days. ■ 1. The authority citation for Part 64 the third column. As of that date, flood National Environmental Policy Act. continues to read as follows: insurance will no longer be available in FEMA has determined that the Authority: 42 U.S.C. 4001 et seq.; the community. FEMA recognizes community suspension(s) included in Reorganization Plan No. 3 of 1978, 3 CFR, communities may adopt and submit the this rule is a non-discretionary action 1978 Comp.; p. 329; E.O. 12127, 44 FR 19367, required documentation after this rule is and therefore the National 3 CFR, 1979 Comp.; p. 376. published but prior to the actual Environmental Policy Act of 1969 (42 suspension date. These communities U.S.C. 4321 et seq.) does not apply. § 64.6 [Amended] will not be suspended and will continue Regulatory Flexibility Act. The ■ 2. The tables published under the to be eligible for the sale of NFIP flood Administrator has determined that this authority of § 64.6 are amended as insurance. Their current NFIP rule is exempt from the requirements of follows:
Date certain Community Effective date authorization/cancellation of Current effective federal assistance State and location No. sale of flood insurance in community map date no longer available in SFHAs
Region 3 Pennsylvania: East Buffalo, 421011 April 24, 1973, Emerg; February 2, 1977, Reg; Feb- Feb. 26, 2021 Feb. 26, 2021. Township of, Union ruary 26, 2021, Susp. County. Susquehanna, Township of, 421746 June 27, 1975, Emerg; June 1, 1982, Reg; February ...... do * Do. Juniata County. 26, 2021, Susp. Virginia: Culpeper, Town of, 510042 June 16, 1975, Emerg; March 2, 1989, Reg; Feb- ...... do Do. Culpeper County. ruary 26, 2021, Susp. Culpeper County, Unincor- 510041 November 26, 1974, Emerg; July 1, 1987, Reg; Feb- ...... do Do. porated Areas. ruary 26, 2021, Susp. Rappahannock County, Un- 510128 January 7, 1976, Emerg; August 24, 1984, Reg; Feb- ...... do Do. incorporated Areas. ruary 26, 2021, Susp.
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Date certain Community Effective date authorization/cancellation of Current effective federal assistance State and location No. sale of flood insurance in community map date no longer available in SFHAs
Region 4 Tennessee: Brentwood, City 470205 March 23, 1973, Emerg; February 1, 1978, Reg; Feb- ...... do Do. of, Williamson County. ruary 26, 2021, Susp. Cheatham County, Unincor- 470026 September 27, 1974, Emerg; May 19, 1981, Reg; ...... do Do. porated Areas. February 26, 2021, Susp. Hendersonville, City of, 470186 May 28, 1974, Emerg; November 4, 1981, Reg; Feb- ...... do Do. Sumner County. ruary 26, 2021, Susp. Pegram, Town of, 470291 N/A, Emerg; April 9, 1987, Reg; February 26, 2021, ...... do Do. Cheatham County. Susp. Pleasant View, Town of, 470428 N/A, Emerg; August 1, 2011, Reg; February 26, ...... do Do. Cheatham County. 2021, Susp. Ridgetop, City of, Davidson 470162 N/A, Emerg; March 13, 2009, Reg; February 26, ...... do Do. and Robertson Counties. 2021, Susp. Robertson County, Unincor- 470158 May 28, 1982, Emerg; June 15, 1984, Reg; February ...... do Do. porated Areas. 26, 2021, Susp. Williamson County, Unin- 470204 May 27, 1975, Emerg; April 1, 1981, Reg; February Feb. 26, 2021 Feb. 26, 2021. corporated Areas. 26, 2021, Susp. * -do- = Ditto. Code for reading third column: Emerg.—Emergency; Reg.—Regular; Susp.—Suspension.
Eric J. Letvin, Initiative’s request to withdraw its contiguous spectrum below 3 gigahertz. Deputy Assistant Administrator for petition. Too much of this spectrum, which is Mitigation, Federal Insurance and Mitigation prime mid-band spectrum for next Administration—FEMA Resilience, DATES: The Commission adopted the Order on Reconsideration denying the generation mobile operations, including Department of Homeland Security, Federal 5G, has lain fallow for more than twenty Emergency Management Agency. Petitions for Reconsideration on December 9, 2020. years. In the 2.5 GHz Report and Order, [FR Doc. 2021–03223 Filed 2–22–21; 8:45 am] the Commission transformed the BILLING CODE 9110–12–P FOR FURTHER INFORMATION CONTACT: John regulatory framework governing the Schauble, Deputy Chief, Broadband band in order to move this spectrum Division, Wireless Telecommunications into the hands of those who will FEDERAL COMMUNICATIONS Bureau, (202) 418–0797 or email provide service to Americans across the COMMISSION [email protected]. country, and particularly in rural and SUPPLEMENTARY INFORMATION: This is a Tribal areas. The Commission replaced 47 CFR Part 1 summary of the Commission’s Order on an outdated regulatory regime, [WT Docket No. 18–120; FCC 20–183; FRS Reconsideration (Reconsideration developed in the days when educational 17359] Order), WT Docket No. 18–120; FCC 20– TV was the only use envisioned for this 183, adopted on December 9, 2020 and spectrum, with one that not only gives Transforming the 2.5 GHz Band released on December 17, 2020. The full incumbent users more flexibility in how text of the Reconsideration Order is AGENCY: Federal Communications they use the spectrum, but also provides available electronically via the FCC’s Commission. opportunities for additional entities to Electronic Document Management obtain access to unused 2.5 GHz ACTION: Dismissal of petitions for System (EDOCS) website at https:// spectrum. Among other things, the reconsideration. www.fcc.gov/edocs or via the FCC’s Commission established a Tribal SUMMARY: In this document, the Federal Electronic Comment Filing System Priority Window to address the acute Communications Commission (ECFS) website at http://www.fcc.gov/ problem of lack of access to wireless (Commission) addresses the Petitions ecfs. (Documents will be available communications services in rural Tribal for Reconsideration (Petitions) filed by electronically in ASCII, Microsoft Word, areas, and it decided to hold an overlay National Congress of American Indians and/or Adobe Acrobat.) Alternative auction thereafter for remaining (NCAI) and Schools, Health & Libraries formats are available for people with unassigned spectrum rights. Broadband Coalition and others (SHLB disabilities (braille, large print, 2. Three parties sought et al.), asking that the Commission electronic files, audio format), by reconsideration of various aspects of the reinstate the eligibility restrictions it sending an email to [email protected] or order. The National Congress of eliminated in the 2.5 GHz Report and calling the Commission’s Consumer and American Indians (NCAI) seeks Order, published on October 25, 2019, Governmental Affairs Bureau at (202) reconsideration of the Commission’s and create a window for additional 418–0530 (voice), (202) 418–0432 decision to focus the Tribal Priority educational use of the band. The (TTY). The 2.5 GHz Report and Order, Window opportunity on rural Tribal Commission dismisses the Petitions in WT Docket No. 18–120, FCC 19–62, land. The Schools, Health & Libraries part and, alternatively and released July 11, 2019 published at 84 Broadband Coalition and others (SHLB independently, denies the other two FR 57343 on October 25, 2019. et al.), meanwhile, ask that the petitions. The Hawai’i Broadband Synopsis Commission reinstate the eligibility Initiative filed a Petition for restrictions the Commission eliminated Reconsideration, which it subsequently I. Introduction in the 2.5 GHz Report and Order and requested leave to withdraw. The 1. The 2.5 GHz band (2496–2690 create a window for additional Commission grants Hawai’i Broadband MHz) is the single largest band of educational use of the band And the
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Hawai’i Broadband Initiative filed a 6. The Commission observed that, Commission also determined that the Petition for Reconsideration, which it ‘‘[b]ecause the problem of access to original motivations for adopting subsequently requested leave to wireless communications services is restrictions on Educational Broadband withdraw. most acute in rural areas . . . the Service (EBS) licenses were now 3. The Commission grants the Hawai’i purpose of the Tribal priority window obsolete. In the 2.5 GHz Report and Broadband Initiative’s request to should be to promote service to areas Order, the Commission explained: ‘‘The withdraw its petition, and the that are currently unserved or circumstances that led to the creation of Commission dismisses in part and, underserved.’’ The Commission a dedicated educational service no alternatively and independently, denies previously has reported that ‘‘the longer exist. Substantial technological the other two petitions. In doing so, the population of individuals living on changes over the last 30 years enable Commission affirms the framework it Tribal lands is disproportionately any educator with a broadband adopted to make available the 2.5 GHz skewed toward rural, rather than urban, connection to access a myriad of band quickly by eliminating outdated areas.’’ As the Commission found in the educational resources—a content legacy regulations that inhibited full use 2.5 GHz Report and Order, distribution model that does not require of the band and establishing flexible-use ‘‘individualized policies tailored to dedicated educational spectrum rules that will allow commercial specific deployment issues, such as licensed to educational providers to use this large swath of increasing access to spectrum over institutions.... [T]oday there are a prime mid-band spectrum to provide 5G unserved rural Tribal areas,’’ honored multiplicity of other sources of and other advanced services to the Commission’s trust relationship educational programming available to American consumers. with Tribal Nations. As such, the institutions with broadband Commission established the Tribal II. Background connections. All of these factors support Priority Window for rural Tribal lands 4. The Commission established a eliminating the eligibility restrictions at that ‘‘are not part of an urbanized area this time.’’ Tribal Priority Window to address the or urban cluster area with a population acute problem of lack of access to equal to or greater than 50,000.’’ 10. Meanwhile, only a handful of EBS wireless communications services in 7. Tribal land for purposes of the licensees have deployed their own rural Tribal areas. The Tribal Priority Tribal Priority Window consists of: Any networks or use their EBS licenses in a Window represents a particularly federally recognized Indian Tribe’s way that requires dedicated spectrum. important and unprecedented reservation, pueblo or colony, including Instead, most licensees rely on lessees to opportunity to address the former reservations in Oklahoma, deploy and operate broadband networks communications needs of rural Tribal Alaska Native regions established using their licensed spectrum, and they communities, many of which lack pursuant to the Alaska Native Claims use the leases as a source for revenues meaningful access to wired and wireless Settlement Act (85 Stat. 688) and Indian or devices. In considering the arguments communications services. Successful Allotments, see § 54.400(e), as well as surrounding the former EBS eligibility applicants in the Tribal Priority Hawaiian Home Lands—areas held in restrictions, the Commission Window will be able to acquire licenses trust for native Hawaiians by the state determined that its elimination would for all available 2.5 GHz spectrum over of Hawaii, pursuant to the Hawaiian promote more efficient use of the their rural Tribal lands—for free, which Homes Commission Act, 1920, July 9, spectrum, improve operators’ ability to should afford sufficient bandwidth to 1921, 42 Stat 108, et seq., as amended; attract capital, make the spectrum more offer broadband wireless service to these and any lands designated prior to July appealing for commercial operators to communities. 10, 2019, as Tribal Lands pursuant to include in their long-term service plans, 5. The Commission established the designation process contained in and better align these licenses with the criteria for the Tribal Priority Window § 54.412. flexible-use licensing policies used in that would ‘‘provide the most effective 8. As explained in the 2.5 GHz Report similar spectrum bands. Based on the and targeted way to achieve the and Order, the Commission adopted the record, the Commission found that Commission’s goal of closing the digital same general definition of Tribal land as eliminating long-standing, but obsolete, divide in Tribal lands.’’ Specifically, the set forth in part 54 of its rules related eligibility restrictions on EBS licenses Commission included four basic to the Universal Service Fund. In was the best way of ensuring that the requirements for Tribes and Tribal addition to ‘‘on-reservation’’ lands, the band could be fully used for high-speed entities seeking to take advantage of the Commission also included off- broadband services. Tribal Priority Window: (1) Eligibility is reservation Tribal lands as eligible for 11. For similar reasons, the limited to federally recognized the Tribal Priority Window if they were Commission declined to establish a American Indian Tribes and Alaska designated as Tribal lands prior to July priority window for educational Native Villages or entities owned and 10, 2019 pursuant to the process set institutions. In the 2.5 GHz Report and controlled by federally recognized forth in § 54.412 of its rules. Order, the Commission explained that Tribes or a consortium of such Tribes: 9. After the Tribal Priority Window an educational priority window ‘‘would (2) the license must be for Tribal land, closes, any remaining unassigned 2.5 be at odds with its other decisions to as defined in part 54 of the GHz spectrum will be made available provide greater flexibility for more Commission’s rules; (3) the geographic for commercial use via competitive providers to make use of the 2.5 GHz service area requested must be rural, bidding, as the Commission found this band to offer high-speed broadband meaning not part of an urbanized area to be the best way to assign spectrum service to the public.’’ An educational or urban cluster area with a population quickly and efficiently for its highest- priority window raised the additional equal to or greater than 50,000; and (4) valued use. In seeking to modernize the complication that mutually exclusive the eligible Tribal entity must have a 2.5 GHz band and make this valuable applications for licenses sought through local presence on the rural Tribal land spectrum available expeditiously for a such a window would need to be for which it is applying.1 wide range of consumer uses, the resolved through a system of competitive bidding, and that 1 Licenses obtained in the Tribal Priority Window incumbent operations within the relevant will operate as overlay licenses subject to protecting geographic area. educational institutions in a majority of
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states would likely be precluded from III. Discussion government ‘‘applies equally to all 2 participating in such a process. 14. It is well established that federally recognized tribal nations, not 12. In its petition, NCAI supports the reconsideration ‘‘will not be granted just to certain sub-sets of tribal nations Commission’s decision to establish a merely for the purpose of again debating based on location of tribal lands.’’ In Tribal Priority Window but asks that the matters on which the tribunal has once other words, it repeats the same Commission: (1) allow non-rural Tribal deliberated and spoken.’’ Petitions for argument that the Commission already lands to be eligible in the Tribal Priority reconsideration that rely on arguments rejected. And for good reason. NCAI has Window, and (2) revise the applicable that have been fully considered and failed to demonstrate that the rules for defining eligible Tribal lands. rejected by the Commission may be Commission, in affording Tribes in this SHLB et al. ask that the Commission dismissed or denied. Both the NCAI and window an opportunity to obtain spectrum licenses over their rural Tribal reconsider its decisions to eliminate the SHLB et al. petitions primarily repeat lands, has failed to uphold any specific educational eligibility restrictions and arguments that the Commission trust responsibility expressed by to not create an educational priority considered and rejected previously. The Congress. In contrast, the Commission window. Commission fully considered the policy does have a statutory responsibility to benefits of focusing on rural Tribal 13. The Tribal Priority Window manage the radio spectrum and lands in the 2.5 GHz Report and Order. commenced on February 3, 2020 and Congress has exhorted us to speed the And the Commission adopted the lasted until September 2, 2020. In the deployment of broadband to all definition of Tribal lands contained in Bureau Procedures Public Notice (PN), Americans in a reasonable and timely its part 54 rules. To the extent NCAI’s PN 35 FCC Rcd 308, the Wireless manner. In managing this important Telecommunications Bureau specified a petition reiterates already rejected mid-band spectrum, the Commission simplified application process to allow arguments, it is procedurally improper, continues to believe that an approach of for the inclusion of any waiver and the Commission dismisses the targeting rural Tribal lands for the Tribal request(s) as part of a specific petition and otherwise deny it in its Priority Window, where the problem of application—including a waiver of the entirety. access to wireless communications 15. Regarding the SHLB et al. Petition, Tribal land definition as applied in the services is most acute,4 and Report and Order. A number of Tribes the Commission previously fully subsequently offering overlay licenses have filed applications availing considered all the arguments raised for any remaining unassigned spectrum themselves of this waiver mechanism to therein, including whether an via a competitive bidding process is the seek licenses for lands falling outside educational window or flexible use most effective way to make this the § 27.1204(b)(2) definition following would be the best means of promoting spectrum available for next generation release of the Bureau Procedures PN.3 broadband deployment, the likelihood wireless services. The Commission of mutually exclusive applications if the carefully considered how to make this 2 2.5 GHz Report and Order, 34 FCC Rcd at 5469– Commission opened an educational spectrum available quickly to those able 70, paras. 67–68; see id. at 5471, para. 73 window, and the distinctions between to deploy service, and determined that, (concluding that ‘‘a Tribal priority window is less the Tribal Priority Window and any while spectrum over urban areas should likely to trigger mutual exclusivity in a significant educational window. Since the petition number of license areas than a priority window for be made available via competitive educational institutions’’ because ‘‘most rural Tribal merely repeats previously raised and bidding, the Commission would first lands areas will likely be associated with a single rejected arguments, the petition is make spectrum available over rural Tribal entity, whereas many localities have a wide procedurally improper and dismissed. Tribal Lands for free to Tribal entities to variety of educational institutions that could have As a separate and independent ground a local presence’’). help them meet the communications SHLB et al. argue that the Commission failed to for rejecting this argument, the needs of these rural areas without the address the use of a settlement window to resolve Commission finds that in any event it delay and cost of engaging in mutual exclusive applications. To the contrary, the lacks merit. SHLB et al. present no competitive bidding. Commission rejected the use of a settlement compelling argument that warrants 18. Although NCAI claims that window, along with all the other alternatives suggested by the parties as possible means of reconsideration of the Commission’s limiting rural lands to areas ‘‘not part of avoiding mutual exclusivity, because it would not decision to make this spectrum an urbanized area or urban cluster area comply with the public interest test of section available for flexible use nor to limit any with a population equal to or greater 309(j)(6)(E) the Communications Act of 1934. See priority application window to Tribal than 50,000’’ was arbitrary and prevents 2.5 GHz Report and Order, 34 FCC Rcd at 5470, para. 68 & n.195; id. at 5470, para. 68 (rejecting all entities. Tribes from serving more populated suggested alternatives to avoid mutual exclusivity, 16. In short, the Commission portions of their lands, focusing this including, but not limited to, the examples listed dismisses in part and denies both spectrum opportunity on rural Tribal in the text, as ‘‘inconsistent either with the petitions for reconsideration. The Lands is in furtherance of a specific Communications Act’s requirement that the Commission discusses each issue raised Commission use competitive bidding to resolve policy goal of lowering the cost for mutually exclusive applications or with the public by the petitions in turn. Tribes to serve the unserved. Indeed, interest test applicable to alternatives that avoid 17. First, the Commission finds that NCAI fails to explain its claim that the mutual exclusivity.’’). the NCAI petition provides no new facts Commission’s choice is unsupported. 3 See, e.g., File Nos. 0009056169 (Stockbridge or arguments that would provide a basis Further, NCAI does not offer a single Munsee Community), 0009133181 (Confederated Tribes of the Chehalis Reservation), 0009164208 for reconsidering its decision to focus example of a Tribe whose ability to (Duckwater Shoshone Tribe). Under the the Tribal Priority Window on rural but Commission’s rules, waivers will be granted if it is not other Tribal lands. In its comments, 4 See 2.5 GHz Report and Order, 34 FCC Rcd at shown that: (i) The underlying purpose of the NCAI claimed that limiting the Tribal 5466, para. 56; see also Inquiry Concerning rules(s) would not be served or would be frustrated Priority Window, inter alia, would Deployment of Advanced Telecommunications by application to the instant case, and that a grant Capability to All Americans in a Reasonable and of the requested waiver would be in the public ‘‘create separate classes of tribal Timely Fashion, 2020 Broadband Progress Report, interest; or (ii) in view of the unique or unusual governments, which is inconsistent with 35 FCC Rcd 8986, 9013, para. 47 (2020) (‘‘Rural factual circumstances of the instant case, the intent of Congress.’’ NCAI now Tribal lands continue to lag behind urban Tribal application of the rule(s) would be inequitable, repeats its argument that the trust lands, with only 52.9% of all Tribal lands in rural unduly burdensome or contrary to the public areas having deployment of both [fixed and mobile interest, or the applicant has no reasonable relationship between federally broadband] services, as compared to 93.1% of alternative. recognized tribes and the Federal Tribal lands in urban areas.’’).
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serve its Tribal lands is hampered by the before making remaining unassigned approach in the context of spectrum limitation. NCAI’s argument overlooks spectrum available via competitive auctions, excluding off-reservation the fact that the underlying purpose of bidding does exactly that; NCAI fails to lands from the definition of ‘‘Tribal the Tribal Priority Window is ‘‘to show otherwise. lands,’’ requiring a winning bidder to address the communications needs of 21. Second, the Commission declines provide a certification from a Tribal their communities and of residents on NCAI’s request to use the Commission’s government in order to receive Tribal rural Tribal lands, including the definition of Tribal lands contained in land bidding credits and entertaining deployment of advanced wireless its part 73 rules in lieu of the definition waivers to include off-reservation lands services to unserved or underserved based on part 54. NCAI has not within the scope of such bidding areas.’’ Focusing the Tribal Priority convinced us that the part 73 definition credits. Window opportunity on rural Tribal of Tribal lands (which includes off 23. Third, the Commission rejects lands not only satisfied this policy reservation trust lands) is more NCAI’s request to re-open the off- objective but also makes sense from a appropriate in this context than the part reservation designation process in licensing perspective, as most of the 54 definition.7 The part 73 definition § 54.412 of the Commission’s rules. spectrum over urban Tribal lands was adopted for a completely different Contrary to NCAI’s claim, the already is assigned and thus unavailable purpose than the Tribal Priority Commission already addressed this for licensing as part of the Window.5 Window: i.e., to permit comparison issue by creating a waiver process that 19. Moreover, the Commission between non-commercial educators applicants can take advantage of to the regularly distinguishes between rural applying for broadcast stations. By extent they seek to include additional and non-rural areas in carrying out contrast, the Tribal Priority Window off-reservation lands as part of their policy objectives—in its universal was adopted to encourage the provision applications. This case-by-case waiver service rules, in its competition rules, of necessary communications services process is not dissimilar from the and even in its spectrum-bidding in rural areas and to provide federally designation procedure provided for in rules 6—because the wide geographies recognized Tribes with direct access to part 54. In circumstances where Tribes and dispersed populations in rural areas unassigned 2.5 GHz spectrum over their can show good cause to include as merit a different policy response than own Tribal lands before making any eligible off-reservation lands specifically the challenges faced in non-rural areas. remaining unassigned spectrum for purposes of participation in the The Commission has never before available to any eligible provider via Tribal Priority Window, the waiver suggested that such differentiation competitive bidding. The Commission process provides an opportunity for impugns the sovereignty of the states required the direct participation of them to do so. That waiver process was nor its trust responsibilities to Tribes, Tribal governments, or entities owned made part of the application procedures and (as the Commission noted in the 2.5 and controlled by such Tribes, in the 2.5 to allow Tribes to seek eligibility for off- GHz Report and Order) the Commission GHz context to ensure that licensees reservation lands without delaying the fails to see how such differentiation would have the requisite authority over Tribal Priority Window or unreasonably here could have such effects. The the deployment of facilities and service limiting the ability of Tribes to apply for Commission also notes that its on their rural Tribal lands. this spectrum. More than 50 such definition of what land would be 22. The Commission nonetheless waivers were filed in the Tribal Priority considered ‘‘rural’’ is both administrable recognized that there may be exceptions Window, which closed on September 2, 2020. and objective—not something that to the general rule. That’s why case-by- 24. The Commission is not legally requires us to make discretionary case waivers are available, effectively allowing for a result similar to required to, and it sees no benefit in, judgments about individual Tribes. reopening and starting anew a different 20. And to the extent that NCAI designation of off-reservation lands in the specific context of applying for process that would not only require thinks this decision contravenes the Tribes to make additional filings but Commission’s 2000 Tribal Policy unassigned 2.5 GHz spectrum. Indeed, the Commission has received a number also delay the processing of all Statement (65 FR 41668), the applications already filed during the Commission disagrees. There the of waiver requests during the Tribal Priority Window to include certain off- Tribal Priority Window, including Commission committed to working with applications of those Tribes who Tribes ‘‘to ensure, through its reservation lands as Tribal lands. And this approach mirrors the Commission’s properly sought eligibility for such off- regulations and policy initiatives, and reservation lands using the waiver consistent with section 1 of the 7 process available to them in the Tribal Communications Act of 1934, that The Commission adopted the definition of ‘‘Tribal lands’’ almost verbatim from the part 54 Priority Window. Indian Tribes have adequate access to universal service rules. Compare 47 CFR 25. Fourth, SHLB et al.’s suggestion communications services.’’ Making 27.1204(b)(2), with id. § 54.5, and id. § 54.400(e). that, were the Commission to maintain spectrum available over rural Tribal Although the Commission has extended ‘‘Tribal lands’’ in the universal service context to include eligibility restrictions and adopt a lands in the Tribal Priority Window certain off-reservation lands, the Commission notes separate priority window, most new that the Lifeline and high-cost programs serve a educational licensees would choose to 5 Interested parties can use the 2.5 GHz Rural different purpose than the Tribal Priority deploy their own networks, belies Tribal Priority Window mapping tool, available at Window—i.e., those programs award funding ‘‘for https://www.fcc.gov/rural-tribal-window-updates, to the provision, maintenance, and upgrading of strong evidence in the record to the see where eligible Tribal lands are located, which facilities and services.’’ In other words, when contrary. The Commission disagreed reservations contain urban lands, and where 2.5 targeting universal service funds, the Commission with this perspective in the 2.5 GHz GHz spectrum is licensed. increases funding for rural Tribal areas because they Report and Order. 6 See, e.g., 47 CFR part 54, subpart G (Universal (and off-reservation lands) face similar broadband Service for Rural Health Care Program); 47 CFR deployment and adoption challenges. In contrast, 26. To start, the vast majority of 1.2110(f)(4) (rural service provider bidding credit); the Tribal Priority Window is designed to provide existing licensees, including in rural Modernizing Unbundling and Resale Requirements federally recognized Tribes with direct access to areas, have not deployed their own in an Era of Next-Generation Networks and spectrum over their own Tribal lands—as such, a networks but instead lease to Services, notice of proposed rulemaking, 85 FR 472, narrower initial definition accompanied by a waiver January 6, 2020, 34 FCC Rcd 11290, 11304–05 process that contemplates possible expansion of commercial providers. As of May 13, (2019) (proposing differing regulatory treatment Tribal lands in special circumstances is more 2019, there were 2,087 active leases of depending on whether an area is a rural or not). appropriate. EBS spectrum, compared with 2,193
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licenses. In fact, SHLB et al.’s assertion Commission retained the former Commission previously found this that ‘‘the record is replete with eligibility rules. study to be premised on an unrealistic examples of EBS licensees offering 28. In short, the Commission finds deployment model. Not only did the service’’ qualifies that assertion by little support for the argument that Commission find that history and acknowledging that they are offering educators are better positioned to experience discredit the study’s service ‘‘through the EBS leasing deploy their own broadband networks assumption that, in unserved rural model.’’ This ‘‘EBS leasing model’’ is in areas that are not served by areas, EBS licensees would self-deploy not an example of EBS licensees commercial operators. Even in rural rather than seek to enter into a lease providing service, but of EBS licensees areas, that simply has not been the case. agreement with a commercial carrier; merely leasing spectrum to a For example, the Wireless internet the Commission also found problems commercial provider; that the vast Service Providers Association (WISPA) with the study’s assumption that, in majority of EBS licensees chose to lease explains that several WISPs ‘‘have rural served areas, licensees would be spectrum rather than use the spectrum acquired EBS spectrum lease rights . . . able to provide broadband service at to provide service is one of the very to improve service to subscribers and/or $15/month.9 Further, the Commission reasons the Commission concluded that expand service to new areas, in many notes that, while the Catholic liberating this spectrum and making it cases to rural communities’’ and lists Technology Network (CTN) and readily available for flexible use by examples of these WISPs. WISPA National Educational Broadband Service providers—rather than engage in a further argues that ‘‘WISPs have shown Association (NEBSA) supported the delayed process that put the spectrum time and again that they can deploy existing eligibility requirements, they in the hands of hundreds of entities, licensed, lightly licensed, and did not view the proposal around which with each of whom the service provider unlicensed fixed wireless services in the SHLB Economic Study was based as must negotiate a lease—was in the rural areas—and do so cost-efficiently workable. Finally, the Commission public interest. with unencumbered access to licensed found the study to undervalue the 2.5 GHz spectrum.’’ And SHLB et al. 27. In fact, the instances that SHLB et potential benefits of an auction rather demonstrate the success of commercial al. identify where EBS licensees than a direct assignment to educational operators (rather than educational deployed their own networks are and/or tribal entities on numerous institutions) in building out this notable because of how rare they are. counts.10 Generation of revenue is not spectrum: ‘‘WISPs like BeamSpeed, For example, SHLB et al. cite the self- LLC, Evertek, Inc., Redzone Wireless, 9 deployment undertaken by Northern SHLB et al. claim that the Commission wrongly Rise Broadband, SiouxLan characterize the SHLB Economic Study as assuming Michigan University (NMU), under a Communications, and Watch a $15/month price for both served and unserved waiver of the EBS filing freeze. In Communications have ‘invested many areas. SHLB et al. Petition at 7–8. The Commission recognizes that the $15/month price applies only to granting the waiver, however, the millions of dollars’ in networks that Bureau noted: ‘‘NMU is unique among the served areas and that the price is assumed to ‘utilize leased [EBS] spectrum to be $35/month in the unserved areas. The EBS licensees—while most EBS provide high-quality, competitive Commission finds it unrealistic, however, that licensees have not built their own broadband services to consumers, often educational providers could sustain service to rural facilities and have leased their spectrum in more rural areas of the United States areas at the $15/month price. The Commission to commercial providers, NMU has built found no evidence in the record of such low prices where broadband options are limited.’ ’’ except in the case of Mobile Citizen and Mobile and operates its own LTE broadband SoniqWave Networks LLC also intends Beacon, which have leases with Sprint for spectrum network that covers a significant portion to participate in the upcoming auction licenses in ‘‘major and more densely populated of the rugged, underserved territory in and is planning deployments using markets.’’ Furthermore, the Commission finds that Michigan’s Upper Peninsula.’’ Although the $35/month price in unserved rural areas would spectrum it has acquired in the be unrealistic because it assumes that educational SHLB et al. state that the Commission secondary market from former EBS providers would self-deploy in those areas, which has granted seven waivers in the last six licensees. is contrary to the Commission’s history and years to ‘‘allow[ ] educational entities 29. In sum, SHLB et al. have failed to experience with the 2.5 GHz band. History has access to EBS spectrum for the purpose shown that the vast majority of EBS licensees present any new facts or arguments that simply do not provide service—at any price—but, of building wireless networks,’’ these would cause us to change the instead, lease the spectrum. The Commission is seven waivers cover only three entities Commission’s conclusion that the best unpersuaded that repeating history will provide a (i.e., NMU, Kings County, CA, and approach to accelerate deployment and different result. Monterey County, CA), which further enable a wide range of potential uses for 10 The SHLB et al. claim that the Commission mischaracterizes the SHLB Economic Study as demonstrates the rarity of self-deployed consumers nationwide is to license this purely county-based. While the Commission systems. SHLB et al. also point to the spectrum for flexible use and eliminate recognizes that the deployment model of the interest in developing statewide the transaction costs (both money and educational license holders is not county-based, its broadband networks expressed by states time) associated with leasing by concern is that the SHLB Economic Study assumes 8 that for winners of a potential auction, the such as Nebraska and Utah, but they fail educational institutions. ‘‘commercial deployment model only considers to explain how such interest will result 30. Fifth, the Commission rejects deployment to entire counties.’’ This is because the in actual deployment, given that much SHLB et al.’s continued reliance on a SHLB Economic Study rules out any deployment to of the spectrum in more populated areas flawed study in support of maintaining a county with partial deployment or change in plan offerings by non-educational providers, which the of those states is already licensed and the eligibility requirements. The Commission finds unreasonable. The SHLB et al. used by commercial providers, in also claim that the Commission’s belief in the contrast with northern Michigan where 8 SHLB et al.’s argument that EBS licensees potential for price reduction after the auction via the spectrum was mostly unassigned. In should be given additional access to free 2.5 GHz cost reduction is misguided because ‘‘competitive spectrum in a priority window because E-Rate dynamics are the key driver of reduced wireless short, although NMU has shown itself to funding cannot be used to support off-campus or prices.’’ While competition is an important be a motivated educational institution home use of E-Rate supported infrastructure (SHLB determinant of wireless prices, the Commission has with access to technical expertise, the et al. Petition at 5) is unpersuasive; this fact is not also recognized the roles of costs. For example, the Commission would expect most EBS new. See 47 U.S.C. 254(h)(1)(B), (h)(2). SHLB’s Commission recognized substantial cost reductions argument ignores the fact that this statutory from spectrum combinations in the T-Mobile/Sprint licensees to act consistently with their restriction was in place when the vast majority of transaction that would allow lower prices. behavior to date and lease spectrum to EBS licensees chose to lease the spectrum, rather However, the Commission does not assert that cost commercial providers if the than self-deploy networks. Continued
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the only measure of value of an objectives. The Tribal Priority Window Education; Utah Education and auction; 11 society benefits when is readily distinguishable from any form Telehealth Network; Council of Chief spectrum available for flexible use for of educator window. Moreover, their State School Officers; A Better Wireless; next-generation wireless services and suggestion of creating an educational and Access Humboldt on November 25, assigned to those who are most likely to priority window limited to New 2019, are dismissed to the extent use it themselves to deploy. The Channel Group 3, comprised of 17.5 specified in this Order on Commission therefore finds that making megahertz of spectrum, would not only Reconsideration and, alternatively and the remaining unassigned spectrum suffer from the same concerns the independently, denied as specified available via competitive bidding is in Commission has previously identified, herein. the public interest and is more likely to but also would result in inefficient 35. It is further ordered, pursuant to expeditiously put this spectrum to its allocation of mid-band spectrum. Under section 405 of the Communications Act highest and best use for the benefit of all that proposal, only the 17.5 megahertz of 1934, as amended, and § 1.429 of the Americans. of non-contiguous spectrum in New Commission’s rules, 47 CFR 1.429, that 31. Sixth, the Commission previously Channel Group 3 would be assigned and the Request for Withdrawal of Petition stated its reasons for establishing the licensed differently than the adjacent for Reconsideration filed by the Hawaii Tribal Priority Window but not a broad commercial Broadband Radio Service Broadband Initiative on March 30, 2020, window for educational institutions. spectrum. The result would be that is granted, and the Petition for Specifically, the Commission concluded educators would end up only with a Reconsideration by the Hawaii that Tribes have an interest in obtaining narrow spectrum band that they might Broadband Initiative on November 25, access to 2.5 GHz spectrum to serve not be able to use fully because of the 2019, is dismissed. their rural Tribal lands that is greater need to protect adjacent channel Federal Communications Commission. than and distinct from that of commercial operations. In contrast, in educational institutions, based on: (1) the auction context, potential bidders Marlene Dortch, The unique status of federally can take into consideration the Secretary, Office of the Secretary. recognized Tribes and the nature of the availability of and ability to aggregate Editorial note: This document was Commission’s federal trust spectrum to make the best use of this received for publication by the Office of the responsibility, (2) the right of Tribes to smaller Channel Group. Federal Register on January 4, 2021. set their own communications policies 33. For these reasons, the Commission [FR Doc. 2021–00051 Filed 2–22–21; 8:45 am] in the lands they govern, (3) the unique affirms its conclusion in the 2.5 GHz BILLING CODE 6712–01–P and significant obstacles to offering Report and Order that, ‘‘[g]iven the time service in Tribal areas, and (4) the fact and effort and delay that would be that Tribes have not previously had involved in establishing and running FEDERAL COMMUNICATIONS access to this spectrum. The SHLB et al. [an educational] priority window, and COMMISSION fail to address these distinctions.12 the likelihood that such a window for 32. In turn, the Commission finds that all educational institutions would result 47 CFR Part 64 SHLB et al.’s advocacy for a narrower in having to auction the spectrum educational priority window analogous anyway, the Commission finds that [CG Docket Nos. 03–123, FCC 20–105; FRS 17377] to the Tribal Priority Window, or an moving directly to flexible use and open educational priority window limited to eligibility would be the most Telecommunications Relay Service New Channel Group 3 (old Channels expeditious method of making spectrum Rules Modernization G1, G2, and G3), would not address the available to provide broadband service Commission stated deployment in rural and underserved areas, AGENCY: Federal Communications consistent with the Commission’s Commission. ‘‘primarily’’ determines price as claimed by the statutory objective to ensure ‘the ACTION: Final rule. petitioners. development and rapid deployment of 11 The Petitioners also argue any resulting lower SUMMARY: In this document, the Federal price would still not match the price educational new technologies, products, and institutions could provide, but this is based on the services for the benefit of the public, Communications Commission $15/month price the Commission discounts for including those residing in rural areas, (Commission) eliminates two rural areas. In general, based on the historic success without administrative or judicial Telecommunications Relay Service of spectrum auctions at the FCC and the ability of (TRS) mandatory minimum standards the overlay auction format to rationalize the delays.’ ’’ The Commission therefore irregular patchwork of EBS license areas with often denies the SHLB et al. Petition. because they are no longer necessary to complicated licensing arrangements, the provide functional equivalence with IV. Ordering Clauses Commission believes that auctioning the fallow 2.5 voice services, and ceases Federal GHz spectrum will provide the most benefit to the 34. Accordingly, it is ordered Register publication of applications for American consumers. pursuant to sections 4(i), 4(j), 303(r), 12 The SHLB et al. acknowledge that the certification of state TRS programs in Commission ‘‘attempt[ed] to distinguish the reasons and 309(j) of the Communications Act of favor of providing notice on the for the Tribal priority window from the more 1934, as amended, 47 U.S.C. 154(i), Commission’s website and in its general educational priority windows.’’ Id. at 16. 154(j), 303(r), and 309(j), as well as Electronic Document Management Rather than address the reasons for distinguishing § 1.429 of the Commission’s rules, 47 Tribal entities, the SHLB et al. cite a handful of System (EDOCS). submissions in the record to contend that the CFR 1.429, that the Petitions for DATES: Effective Date: These rules are Commission’s ‘‘conclusion that many educators Reconsideration filed by the National effective March 25, 2021. might not be positioned to provide broadband is Congress of American Indians and unsupported in fact and in the record.’’ As FOR FURTHER INFORMATION CONTACT: discussed above and in the 2.5 GHz Report and jointly by the Schools, Health & Libraries Broadband Coalition; William Wallace, Consumer and Order, however, the Commission’s experience with Governmental Affairs Bureau, at (202) the EBS service and its review of the record indicate Consortium for School Networking; that only ‘‘a small fraction of educational State Educational Technology Directors 418–2716, or email William.Wallace@ institutions’’ have expressed an interest in fcc.gov. providing broadband service in rural areas, which Association; American Library does not provide a sufficient basis for establishing Association; National Digital Inclusion SUPPLEMENTARY INFORMATION: This is a an educational priority window. Alliance; Nebraska Department of summary of the Commission’s Report
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and Order, document FCC 20–105, functionally equivalent to voice 6. Repeal of Equal Access Rule. The adopted on August 4, 2020, released on communication services. The ‘‘equal Commission repeals the equal access August 5, 2020, in CG Docket No. 03– access’’ rule provides that ‘‘TRS users requirement in its entirety. This rule is 123. The Commission previously sought shall have access to their chosen no longer needed to ensure the comment on these issues in a Further interexchange carrier through the TRS, functional equivalence of TRS. Because Notice of Proposed Rulemaking (2019 and to all other operator services to the voice customers today typically obtain TRS Rules Modernization FNPRM), same extent that such access is provided telephone service by paying a bundled published at 85 FR 1134, January 9, to voice users,’’ and the ‘‘billing or flat rate without time or distance 2020. The full text of document FCC 20– options’’ requirement directs TRS differentials for long distance calls, the 105 will be available for public providers to offer ‘‘the same billing ability to select a long distance provider inspection and copying via the options (e.g., sent-paid long distance, is no longer an essential aspect of Commission’s Electronic Comment operator-assisted, collect, and third telephone service, and the Commission Filing System (ECFS). To request party billing) traditionally offered for has terminated equal access materials in accessible formats for wireline voice services.’’ requirements for voice service. Further, people with disabilities (Braille, large 3. In 2014, the Commission revisited section 225 of the Act only requires TRS print, electronic files, audio format), these rules in part. The Commission to include equal access ‘‘to the same send an email to [email protected], or call recognized that the voice extent that such access is provided to the Consumer and Governmental Affairs communications marketplace had voice users,’’ and there are few Bureau at (202) 418–0530. undergone major changes since the rules situations in which a TRS provider would be obligated to provide equal Congressional Review Act were adopted in 1991. As a result, consumers of Voice over internet access under the current rule, even if a The Commission sent a copy of Protocol and mobile telephone services consumer were to request such access. document FCC 20–105 to Congress and routinely received long distance service 7. This unnecessary rule also burdens the Government Accountability Office as a bundled feature of their service TRS providers with the cost of pursuant to the Congressional Review plans, with no separate time- or maintaining an equal access Act, 5 U.S.C. 801(a)(1)(A). distance-sensitive fees, eliminating the infrastructure, hindering the efficient provision of TRS. Deleting the equal Final Paperwork Reduction Act of 1995 need for equal access and alternative access rule will allow TRS providers to Analysis billing options. The Commission concluded that these features had modernize their TRS facilities and Document FCC 20–105 does not discontinue what can be a confusing contain new or modified proposed become unnecessary to ensure functional equivalence for internet- and time-consuming call setup process. information collection requirements 8. Clarification Regarding Financial based forms of TRS in cases where the subject to the Paperwork Reduction Act Incentives. The Commission clarifies internet-based TRS provider is not of 1995, Public Law 104–13. In addition, that, when TRS providers allow therefore, it does not contain any new charging users for long distance service. consumers to make long distance calls or modified information collection As a result, the equal access and billing without incurring per-minute charges, burden for small business concerns with options requirements currently only such offerings do not constitute an fewer than 25 employees, pursuant to apply to the three non-internet-based impermissible financial incentive for the Small Business Paperwork Relief forms of TRS, which are provided TRS use. In today’s marketplace, the Act of 2002, Public Law 107–198, see 44 through state programs. widespread bundling of long distance U.S.C. 3506(c)(4). 4. Federal Register Publication. and local calling negates any risk that Section 225 of the Act provides that offering free long distance to TRS users Synopsis states choosing to establish state TRS would create an impermissible 1. The Commission updates certain programs for intrastate service must incentive to make long distance calls. rules governing telecommunications request and receive certification for This clarification is limited to the relay services (TRS) to improve the such programs from the Commission. specific issue regarding per-minute efficiency and cost-effectiveness of TRS Since 1991, the Commission’s TRS rules charges for long distance service and for both TRS providers and users. In have required that, upon the filing of does not, for example, authorize a TRS keeping with current technology and state certification applications, a notice provider to reimburse or otherwise prevailing offerings in the voice seeking public comment on such assume payment for charges currently communications market, the applications shall be published in the assessed on TRS users for internet Commission repeals the ‘‘equal access’’ Federal Register. In 2000, the access or telephone service. and ‘‘billing options’’ requirements for Commission established EDOCS, and 9. Repeal of Billing Options TRS providers. The Commission also decided that notice of applications for Requirement. The Commission repeals ceases Federal Register publication of certification of internet-based forms on the billing options requirement in its state requests for TRS program TRS would be published in EDOCS and entirety. Alternative billing options are certifications, relying instead on on the Commission’s website, with no disappearing from the world of voice publication of these applications in the requirement to publish such notice in services, and thus options such as sent- Commission’s electronic document the Federal Register. paid long distance and collect, calling management system and on its website. 5. Further Notice of Proposed card, and third-party billing are no 2. Equal Access and Billing Options Rulemaking. In the 2019 TRS Rules longer essential to ensure that TRS is Requirements. As required by section Modernization FNPRM, the Commission functionally equivalent to voice service. 225 of the Communications Act (the proposed (1) to repeal the equal access 10. Eliminating this obligation will Act), as amended, 47 U.S.C. 225, the and billing options rules for all TRS relieve TRS providers from any need to Commission’s rules prescribe providers and (2) to cease Federal maintain obsolete features of circuit- mandatory minimum standards to Register publication of state TRS switched networks at a time when they ensure that TRS providers offer certification applications in favor of and others within the communications telephone services for persons with publication on its website and in industry have been transitioning to IP- hearing and speech disabilities that are EDOCS. based platforms. In addition to
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functional equivalence and efficiency, proposals in the 2019 TRS Rules 19. Eliminating the requirement for allowing TRS users access to Modernization FNPRM, including the Commission to publish in the improvements in technology is another comment on the IRFA. Federal Register notice of applications one of the Commission’s mandates for certification of state TRS programs Need For, and Objectives of, the Rules under section 225 of the Act. Repealing will have no impact on small entities the billing options rule will benefit TRS 13. Document FCC 20–105 eliminates because only the Commission is providers and users by allowing the outdated equal access and multiple burdened by this obligation. technological improvements with no billing options requirements form the consequential costs or harms to the TRS mandatory minimum standards Ordering Clauses functional equivalence and efficiency of and streamlines Commission processes 20. Pursuant to sections 1, 2, and 225 TRS. by ceasing Federal Register publications of the Communications Act of 1934, as 11. Ceasing Federal Register of state requests for TRS program amended, 47 U.S.C. 151, 152, and 225, Publication. The Commission deletes certification, while continuing to document FCC 20–105 is adopted, and the requirement that public notices of publish notice of certification the Commission’s rules are amended. applications for certification of state applications in the Commission’s 21. The Commission’s Consumer and TRS programs be published in the electronic document management Governmental Affairs Bureau, Reference Federal Register. This action will system and on the Commission’s Information Center, shall send a copy of improve the efficiency of the website. the Report and Order, including the Commission’s TRS certification process Final Regulatory Flexibility Analysis, to and conserve administrative resources, Summary of Significant Issues Raised by Public Comments in Response to the the Chief Counsel for Advocacy of the and will not conflict with statutory Small Business Administration. requirements or the Commission’s IRFA ability to make informed certification 14. No comments were filed in List of Subjects in 47 CFR Part 64 decisions. Federal Register publication response to the IRFA. Individuals with disabilities, of state certification applications is not Response to Comments by the Chief Telecommunications, required by section 225 of the Act or the Counsel for Advocacy of the Small Telecommunications relay services. Administrative Procedure Act, 5 U.S.C. Federal Communications Commission. 551 et seq. Such certifications do not Business Administration involve rulemaking, and the 15. The Chief Counsel did not file any Marlene Dortch, Commission’s review is conducted comments in response to the proposed Secretary, Office of the Secretary. based on the documentation submitted rules in this proceeding. by a state, with no adjudicatory hearing Final Rules Description and Estimate of the Number ordinarily needed to determine whether of Small Entities to Which the Rules For the reasons discussed in the a state program merits certification. Will Apply preamble, the Federal Communications Moreover, for comparable Commission Commission amends 47 CFR part 64 as authorization processes, such as 16. The amendments to rules adopted follows: certifications for internet-based TRS in the Report and Order will affect the providers and common-carrier obligations of non-internet based TRS PART 64—MISCELLANEOUS RULES applications for certificates of ‘‘public providers. These services can be RELATING TO COMMON CARRIERS convenience and necessity,’’ Federal included within the broad economic Register publication is not required category of All Other ■ 1. The authority citation for part 64 unless special circumstances apply. Telecommunications. continues to read as follows: 12. Ceasing Federal Register Description of Projected Reporting, Authority: 47 U.S.C. 151, 152, 154, 201, publication will not prevent or deter Recordkeeping, and Other Compliance 202, 217, 218, 220, 222, 225, 226, 227, 227b, public input on state TRS certification 228, 251(a), 251(e), 254(k), 262, 276, Requirements proposals. Since this rule was adopted, 403(b)(2)(B), (c), 616, 620, 1401–1473, unless the Commission has introduced an 17. Elimination of the equal access otherwise noted; Pub. L. 115–141, Div. P, sec. internet-based document management and billing options for TRS providers 503, 132 Stat. 348, 1091. system, which makes public notices and ceasing Federal Register ■ 2. Amend § 64.604 by revising requesting comment on applications (as publication for state TRS program paragraph (a)(3)(ii) to read as follows well as the applications themselves) certification applications do not create and removing and reserving paragraph readily accessible through the direct reporting, recordkeeping, or other (b)(3): Commission’s EDOCS and ECFS on the compliance requirements on TRS Commission’s website. Posting providers. § 64.604 Mandatory Minimum Standards. electronic notices of state TRS Steps Taken To Minimize Significant * * * * * certification applications via EDOCS Impact on Small Entities, and (a) * * * and the Commission’s website will Significant Alternatives Considered (3) * * * provide sufficient notice to enable (ii) Relay services shall be capable of 18. Repeal of the equal access and interested members of the public to handling any type of call normally billing options requirements will reduce comment on an application. provided by telecommunications the burden on small entities subject to carriers unless the Commission Final Regulatory Flexibility Analysis the rule. Such entities would no longer determines that it is not technologically As required by the Regulatory need to provide TRS users with the feasible to do so. Relay service providers Flexibility Act of 1980 as amended, the ability to select their long distance have the burden of proving the Commission incorporated an Initial carrier or offer billing options, and the infeasibility of handling any type of call. Regulatory Flexibility Analysis (IRFA) providers would no longer be required into the Further Notice of Proposed to configure their networks for such * * * * * Rulemaking. The Commission sought functionalities. Other small entities ■ 3. Amend § 64.606 by revising written public comment on the would not be affected. paragraph (a)(1) to read as follows:
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§ 64.606 internet-based TRS provider and lowers the ancillary and supplementary capacity for the provision of Broadcast TRS program certification. service fee for certain NCE services; and internet services consistent with (a) *** (1) Certified state program. clarifies that NCEs may offer limited statutory directives. Any state, through its office of the Broadcast internet services to donors 2. In this Report and Order (Order), governor or other delegated executive without transforming those donations we adopt, with only minor changes, four office empowered to provide TRS, into feeable ancillary and of the tentative conclusions set forth in desiring to establish a state program supplementary service revenue. the NPRM. Specifically, we clarify the under this section shall submit DATES: Effective March 25, 2021. basis on which to calculate ancillary documentation to the Commission FOR FURTHER INFORMATION CONTACT: For and supplementary service fees. We addressed to the Federal additional information, contact Lyle retain the existing standard of Communications Commission, Chief, Elder, [email protected], of the Media derogation of broadcast service. We also, Consumer and Governmental Affairs Bureau, Policy Division, (202) 418– however, amend the derogation rule to Bureau, TRS Certification Program, 2120. Direct press inquiries to Janice eliminate an outdated reference to Washington, DC 20554, and captioned Wise at (202) 418–8165. analog television. We reaffirm the freedom of noncommercial educational ‘‘TRS State Certification Application.’’ SUPPLEMENTARY INFORMATION: This is a television stations (NCEs) to provide All documentation shall be submitted in summary of the Commission’s Report ancillary and supplementary services. narrative form, shall clearly describe the and Order, FCC 20–181, adopted and And while we generally decline at this state program for implementing released on December 10, 2020. The full time to adjust the fee imposed on intrastate TRS, and the procedures and text of this document is available ancillary and supplementary services, remedies for enforcing any requirements electronically via the FCC’s Electronic we intend to revisit this issue at a future imposed by the state program. The Document Management System date to determine whether we should Commission shall give public notice of (EDOCS) website at https:// adjust the fee or the basis of the fee once state applications for certification. www.fcc.gov/edocs or via the FCC’s the market for Broadcast internet * * * * * Electronic Comment Filing System services develops. [FR Doc. 2021–00792 Filed 2–22–21; 8:45 am] (ECFS) website at https://www.fcc.gov/ 3. Recognizing the unique educational BILLING CODE 6712–01–P ecfs. (Documents will be available public service mission of NCEs seeking electronically in ASCII, Microsoft Word, to provide Broadcast internet services, and/or Adobe Acrobat.) Alternative we also adopt a number of additional FEDERAL COMMUNICATIONS formats are available for people with proposals designed to preserve and COMMISSION disabilities (Braille, large print, expand this essential mission. Notably, electronic files, audio format), by we find that an NCE television 47 CFR Part 73 sending an email to [email protected] or broadcast station may use its 6 MHz calling the Commission’s Consumer and [MB Docket No. 20–145; FCC 20–181; FRS channel capacity primarily not only for 17327] Governmental Affairs Bureau at (202) its free, over-the-air nonprofit, 418–0530 (voice), (202) 418–0432 noncommercial, educational, television Promoting Broadcast Internet (TTY). Innovation Through ATSC 3.0 broadcast service, as under our current Synopsis interpretation of the rule, but also for AGENCY: Federal Communications 1. Earlier last year, the Commission any nonprofit, noncommercial, Commission. initiated a proceeding to encourage the educational (‘‘primary’’) ancillary and ACTION: Final rule. provision of new and innovative supplementary services. We also adopt a reduced fee of 2.5% on gross revenue SUMMARY: Through this final rule, the Broadcast internet services enabled by ATSC 3.0—the ‘‘Next Generation’’ generated by such ‘‘primary’’ ancillary Commission fosters the efficient and and supplementary services, as opposed robust use of broadcast spectrum broadcast television standard often referred to as Next Gen TV—that can to the 5% fee applied to ancillary and capacity for the provision of Broadcast supplementary services generally. With internet services consistent with complement the nation’s 5G wireless networks.1 In so doing, the Commission these actions, this Order continues to statutory directives. In this document, lay the groundwork for broadcasters, the Commission concludes that sought to eliminate uncertainty cast on such services by legacy regulations and and thereby the general public, to ancillary and supplementary (A&S) fees to consider whether, and if so how, to explore and benefit from the should be calculated based on the gross update the Commission’s rules possibilities and opportunities that revenue received by the broadcaster, regarding ancillary and supplementary Broadcast internet provides. without regard to the gross revenue of services, adopted over 20 years ago. 4. Background. As the Commission an unaffiliated third party, such as a With this item, we take additional steps explained in the NPRM, the ATSC 3.0 spectrum lessee; should retain the to clarify and update the regulatory IP-based standard offers greater effective existing standard of derogation of landscape in order to foster the efficient spectral capacity than ATSC 1.0, the broadcast service, but amend the and robust use of broadcast spectrum current digital broadcast television wording of the rules to eliminate the standard. The additional capacity will outdated reference to analog television; 1 Promoting Broadcast Internet Innovation allow broadcasters to expand their and should reaffirm that noncommercial Through ATSC 3.0, MB Docket No. 20–145, traditional television offerings, educational television broadcast stations Declaratory Ruling and notice of proposed including by offering higher quality (NCEs) may offer Broadcast internet rulemaking, 85 FR 43142 and 85 FR 43195 (July 16, video and audio and a wider range of 2020) (Declaratory Ruling and NPRM). The services. The Commission also Commission referred to these new ancillary programming choices. Broadcasters may reinterprets the application to permit offerings over broadcast spectrum as ‘‘Broadcast also provide innovative non-traditional noncommercial educational stations internet’’ services to distinguish them from services, and the NPRM asked about the (NCEs) to devote the substantial traditional over-the-air video services. We note that ‘‘types of Broadcast internet services the rule changes we adopt herein will apply equally majority of their spectrum not just to to all ancillary and supplementary services that are likely to be provided in the free over-the-air television but also provided using either the ATSC 1.0 or 3.0 future.’’ Commenters describe a wide ancillary and supplementary services; transmission standards. array of exciting possibilities. APTS/
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PBS explain that NCEs might expand rules, determine the success of the have a better understanding of how the and roll out offerings in ‘‘a variety of nascent Broadcast internet industry. In transition to ATSC 3.0 is progressing. areas that further their public service the accompanying NPRM, the We do, however, adopt our tentative missions, especially education, child Commission sought comment on any conclusion that fees should be development, public safety, national rule changes needed to further promote calculated based on the gross revenue security, job training, and telehealth.’’ regulatory certainty and greater received by the broadcaster rather than PMG describes a wide range of possible investment in innovative Broadcast revenue received by a spectrum lessee. uses, including: (i) Distance learning internet services. Finally, we decline at this time to adopt services, such as distributing subject- 6. Specifically, the NPRM sought the proposal made by Public Knowledge and classroom-specific lectures and comment on a number of general et al. that we use the fees we collect for reading materials to students, and matters concerning the potential uses ancillary and supplementary services to broadcasting content to school buses and applications of excess broadcast fund a program to offset costs for during long rural commutes to make spectrum capacity resulting from the consumers who upgrade their that time more enriching for students; transition to ATSC 3.0; on whether the equipment as part of the transition to (ii) trusted, encrypted, and curated amount and method of calculating the ATSC 3.0, and we decline at this time distribution of health-related content to ancillary and supplementary services to exempt from the ancillary and those unserved and underserved by fee should be reconsidered given the supplementary service fee ‘‘in-kind’’ high-speed internet; (iii) emergency new potential uses of excess spectrum contributions, or otherwise change our alerting services that allow more homes, capacity; and on whether the fee for ancillary and supplementary vehicles, and first responders to gain Commission should clarify or modify services that fall into certain classes of access to life-saving information; (iv) the rules prohibiting derogation of service. expanded distribution of local and broadcast service and defining an 8. The Telecommunications Act of hyper-local news to audiences across a analogous service. The NPRM elicited 1996 (1996 Act) requires broadcasters to community; and (iv) software and 17 comments, 12 replies, and numerous pay a fee to the United States Treasury cybersecurity updates to power smart ex parte filings from commenters to the extent they use their digital cities, automobiles, and ‘‘Internet of representing companies and industry television (DTV) spectrum to provide Things’’ (IoT) products and groups from the broadcast, cable, ancillary and supplementary services applications. ONE Media explains that: wireless, and consumer electronics for which the payment of a subscription [i]n addition to enhanced broadcast industries, as well as non-profit groups fee is required in order to receive such programming, the ATSC 3.0 standard enables and groups hoping to explore new services, or for which the licensee use of television spectrum to communicate Broadcast internet opportunities. directly or indirectly receives with devices over wide areas efficiently, Commenters are largely supportive of compensation from a third party in expanding opportunities for distance the Commission’s tentative conclusions, return for transmitting material learning, advanced emergency alerting and although as discussed below there is furnished by such a third party (other information functions, highly secure file notable opposition to the proposal to than commercial advertisements used to delivery and authentication, offloading large exclude third party facility support broadcasting for which a data files (including video) needed by carriers to cache programming directly on improvements from revenue subscription fee is not required). The user devices, dramatically improving calculations, a proposal we decline to 1996 Act further provides that the efficient distribution of data to autonomous adopt today. There is also disagreement ancillary and supplementary services driving vehicles, facilitating near- regarding the proposal to clarify the fee program shall be designed to recover instantaneous needs for IoT devices and derogation standard, both from parties for the public a portion of the value of telemedicine or smart agriculture activities, who support a significant change and the public spectrum resource made and other innovative services yet to be parties who oppose any change at all to available for such commercial use, and conceived. the existing text. The record also reflects to avoid unjust enrichment through the 5. In June 2020, the Commission widespread skepticism about any method employed to permit such uses commenced this proceeding to ensure Commission action that would go of that resource; and to recover for the that our rules will help foster the beyond the tentative conclusions, with public an amount that, to the extent development of innovative and efficient two notable exceptions. First, NCEs and feasible, equals but does not exceed uses of broadcast spectrum like the ones associated parties make a compelling (over the term of the license) the amount described above. In the Declaratory case that substantial public benefits that would have been recovered had Ruling, the Commission clarified that could accrue through the widespread such services been licensed at auction. the lease of excess broadcast television deployment of Broadcast internet over In addition, the Commission is required spectrum to a third party, including public television spectrum, justifying by statute to adjust the ancillary and another broadcaster, for the provision of additional steps to encourage that supplementary services fee from time to ancillary and supplementary services deployment. Second, a large number of time in order to ensure that these does not result in attribution under our low power television (LPTV) station requirements continue to be met. broadcast television station ownership representatives and interested parties 9. As a preliminary matter, we rules or for any other requirements propose changes to the rules governing reaffirm that section 336 of the 1996 Act related to television station attribution LPTV service, though the proposals are gives the Commission flexibility to (e.g., filing ownership reports). The largely unrelated to Broadcast internet determine the appropriate fee for Commission explained that regulatory services. ancillary and supplementary services clarity will help ensure that 7. Discussion. Ancillary and within the parameters set forth in the broadcasters and other innovators have Supplementary Service Fee. With one statute. Section 336 directs the the flexibility to generate the scale— exception, discussed below, we decline Commission to ‘‘establish a program to both locally and nationally—that may at this time to adjust the fee program assess and collect . . . an annual fee or be necessary to support certain associated with ancillary and other schedule or method of payment Broadcast internet services, and that supplementary services. Rather, we will that promotes the objectives’’ described regulatory reform can ensure that revisit the size and basis of the fee, as by the statute. Specifically, the statute market forces, rather than outdated well as other relevant issues, when we requires that the fee program be
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designed to recover for the public some the extent to which ATSC 3.0 will be 3.0 transition. These commenters note portion of the value of the spectrum, deployed and adopted by consumers or that ATSC 3.0 is not compatible with prevent the unjust enrichment of which ATSC 3.0-based services and current television devices and contend broadcasters providing ancillary and features will be offered as feeable that, because consumers will have to supplementary services, and Broadcast internet services. Indeed, the replace their television sets or purchase approximate the revenues that would Commission recently reached a similar converter devices to receive ATSC 3.0 have been received had the spectrum on conclusion when it first authorized the signals, the transition to ATSC 3.0 ‘‘will which the services are provided been voluntary transmission to ATSC 3.0. create high consumer costs, similar to licensed through an auction. As the Accordingly, we reject commenters’ those faced by consumers during the Commission has observed, ‘‘the 1996 suggestions that we reconsider the DTV transition.’’ Thus, they maintain Act gives the Commission broad current 5% fee on broadcast commercial we should act now, to develop a discretion in setting the amount of the stations, at this time. Instead, consistent program to offset ATSC 3.0 transition fee for ancillary and supplementary with recommendations in the record, we costs for consumers. We note that the services,’’ bounded by the criteria set believe it would be better to revisit the transition to ATSC 3.0 is voluntary and forth in section 336(e). Commenters ancillary and supplementary service fee still in its early stages; therefore, we find who addressed this issue agree with this when the ATSC 3.0 marketplace has it is premature to consider such a analysis. further developed. program at this time. We also note that 10. Fee for Commercial Television 13. Calculation of Gross Revenue. We the DTV transition equipment subsidy Broadcast Stations. We conclude that adopt our tentative conclusion that fees program was explicitly mandated by we do not have sufficient information at should be calculated based on the gross Congress. this early stage in the ATSC 3.0 revenue received by the broadcaster 16. Classes of Ancillary and transition to evaluate fully whether a rather than revenue received by a Supplementary Service. We decline to change to, much less elimination of, the spectrum lessee. As the Commission grant fee exemptions for certain classes current fee for feeable ancillary and stated in the NPRM, to hold otherwise of Broadband internet service, such as supplementary services offered by could subject a broadcaster to a fee telehealth, distance learning, public commercial television stations would payment in excess of the gross revenue safety, or homeland security-related better reflect the directives of section it actually receives. All commenters services, or for services that promote 336(e). Accordingly, we retain the who addressed this issue agree with this internet access in rural areas. Although, current fee of 5% for such stations and approach regarding the calculation of intend to reevaluate the fee once the gross revenue. As proposed in the according to the record, such services marketplace for Broadcast internet NPRM, we also conclude that to the are currently beginning to be provided services has become more mature. extent the licensee and the lessee are by, or are in development by, NCE 11. As the Commission previously has affiliated, we will attribute the gross stations, we believe it is premature to recognized, in considering how to revenue of the lessee to the licensee for take any such action given the nascent calculate the appropriate ancillary and purposes of calculating the ancillary state of the market for these ATSC 3.0 supplementary fee, we must balance and supplementary services fee, based services. As discussed further below, we potentially competing statutory goals: on a share of gross revenue that is take action in this Order to encourage Recover a portion of the value of the proportional to the licensee’s stake in the development of ‘‘primary’’ NCE spectrum used for ancillary and the lessee. Otherwise, as the ancillary and supplementary services supplementary services, avoid unjust Commission noted in the NPRM, the (those used for nonprofit, enrichment, and approximate the licensee (or its parent company) could noncommercial, educational purposes), revenue that would have been received create a subsidiary for the sole purpose by reducing the fee associated with such had these services been licensed of evading the fee while retaining all of services. At the same time, we conclude through an auction. A fee that is too the financial benefit of the arrangement. that we do not have a sufficient basis at high could dissuade broadcasters from 14. We decline at this time to take up this time to support changing our fee providing Broadcast internet services the issue of whether to exclude from approach for any other type of ancillary and thereby reduce the potential gross revenue the value of ‘‘in-kind’’ and supplementary service that are not benefits to consumers of such services facility improvements. Although the considered ‘‘primary.’’ Among other and preclude the Commission from Commission tentatively concluded in things, we lack information regarding collecting fees approximating the the NPRM that the value of such how such services are likely to be amount that would have been recovered improvements should be excluded from provided, whether they will be revenue- for the spectrum at auction. On the the gross revenue calculation, the record generating, whether there will be other hand, a fee that is too low may on this issue was limited and the sufficient demand to support the both fail to prevent the unjust comments were mixed. We will provision of such services, or whether enrichment of licensees and to recover continue to monitor the progress of the our current fee for ancillary and for the public an amount approximating transition to ATSC 3.0, the provision of supplementary services will dissuade the amount that would have been Broadcast internet services, and the broadcasters from offering such services. recovered at auction. status of ‘‘in-kind’’ facility For similar reasons, we also decline at 12. In considering these statutory improvements in the marketplace, and this time to exempt from fees, or adopt mandates, we conclude that it would be may address this issue in the future if a lower fee for, services that promote premature at this time to adjust the warranted. internet access in rural areas. We will ancillary and supplementary service fee 15. ATSC 3.0 Consumer Equipment. continue to monitor the transition to without knowing more about the kinds We decline at this time to adopt the ATSC 3.0, including the provision of of Broadcast internet services that will proposal made by Public Knowledge et Broadcast internet services such as be provided and the economics thereof. al. that we use the fees collected from telehealth, public safety, and homeland The conversion to ATSC 3.0 is entirely ancillary and supplementary services to security-related services, as well as voluntary, and commercial service has fund a program offsetting costs for services that provide internet access in only recently commenced in a few consumers who upgrade their consumer rural areas, and may reconsider this television markets. We cannot yet gauge premises equipment as part of the ATSC issue in the future.
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17. NCE Television Stations. NCE Order’s interpretation of § 73.621,3 20. In light of the unique educational television stations play an important which held that a substantial majority of public service mission of role in providing nonprofit, an NCE television licensee’s digital noncommercial educational television noncommercial, and education services capacity must be dedicated to nonprofit, stations (NCEs) seeking to provide to communities nationwide, and the noncommercial, educational broadcast ancillary and supplementary services, Commission is committed to supporting service, limiting ancillary and we clarify that § 73.621 allows NCE their enthusiastic embrace of the supplementary services to an NCE television licensees to count as part of possibilities that Next Gen TV provides. television licensee’s excess capacity. In the ‘‘primary’’ use of their spectrum not Accordingly, we adopt, in part, the so doing, we seek to preserve the just ‘‘nonprofit, noncommercial, commenter proposal to reinterpret nonprofit, noncommercial, educational educational, broadcast service,’’ but also § 73.621 of our rules, which will allow nature of an NCE television licensee’s ancillary and supplementary services NCEs to provide a wider range of service to its community, while that are nonprofit, noncommercial, and services that align with their core affording such NCE licensees increased educational in nature. Specifically, we mission. While, as discussed above, we flexibility to provide ‘‘primary’’ services conclude that § 73.621(j) permits an generally decline to adjust the fee that are not traditional broadcasting. NCE television licensee to count associated with ancillary and Although we decline to define what nonprofit, noncommercial, and supplementary services, to the extent constitutes a ‘‘substantial majority’’ of educational ancillary and that NCE television stations offer feeable the NCE’s digital bitstream at this time, supplementary services, together with ancillary and supplementary services we expect to seek comment in a future its free, over-the-air nonprofit, that are nonprofit, noncommercial, and proceeding on whether it is appropriate noncommercial, educational television educational, we adopt a reduced fee to revise § 73.621(j) regarding the broadcast service, as ‘‘primary’’ services based on 2.5% of gross revenues amount of its 6 MHz channel capacity that fall within § 73.621(a). Section generated by such ‘‘primary’’ ancillary that an NCE television licensee must 73.621(j) states that § 73.621 ‘‘will apply and supplementary services. We also devote to ‘‘primary’’ uses, the scope of to the entire digital bitstream of clarify that when an NCE television those primary uses, and any other noncommercial educational television station provides ‘‘donor exclusive’’ related matters.4 stations, including the provision of ancillary and supplementary services 19. As an initial matter, we adopt our ancillary or supplementary services.’’ that are nominal in value in return for unopposed tentative conclusion that We recognize that the 2001 NCE contributions to the licensee, we will NCE television licensees are allowed to Ancillary Services Report and Order, not treat such contributions as provide ancillary and supplementary which adopted § 73.621(j), interpreted ‘‘subscription fees’’ under section 336 of services. Indeed, the 2001 NCE this provision to mean that NCE the 1996 Act or § 73.621 of our rules. Ancillary Services Report and Order television licensees are required to use 18. NCE Ancillary and Supplementary sought to clarify not whether NCEs their entire digital capacity ‘‘primarily’’ Services. We conclude that an NCE could offer ancillary and supplementary for their free, over-the-air television television licensee may provide services, but ‘‘the manner in which nonprofit, noncommercial, educational Broadcast internet services, provided [NCE] television licensees may use their broadcast service and that ancillary and that the substantial majority of its 6 excess [DTV] capacity for remunerative supplementary services do not qualify MHz channel capacity is dedicated to a purposes.’’ The 2001 NCE Ancillary as a ‘‘primary’’ use. We reject this combination of free, over-the-air Services Report and Order amended interpretation of § 73.621(j) of our rules nonprofit, noncommercial, educational, § 73.621 of the rules ‘‘to clarify that the as unnecessarily narrow. Rather, we television broadcast service and any [s]ection’s requirements apply to the agree with APTS/PBS and PMVG that it nonprofit, noncommercial, educational entire digital bitstream of NCE is reasonable to afford greater flexibility (or ‘‘primary’’) ancillary and [television] licensees, including the to NCE television licensees to provide supplementary services it chooses to provision of ancillary or supplementary ancillary and supplementary services 2 provide. In this regard, we modify the services,’’ in order to ‘‘preserve the that are nonprofit, noncommercial, and 2001 NCE Ancillary Services Report and noncommercial educational nature of educational in nature as a ‘‘primary’’ public broadcasting, while allowing use, and that there is a wide potential 2 An NCE television licensee may provide NCE [television] licensees some 5 ancillary and supplementary services that are not variety of such services. We are nonprofit, noncommercial, and educational— flexibility in remunerative use of their including commercial services—on the licensee’s spectrum.’’ The Commission concluded 5 APTS/PBS maintain that any ancillary or excess (i.e., non-primary) capacity. Such services at the time that this balance required supplementary service that ‘‘ ‘serve[s] the will be subject to the standard fee of 5% of gross NCE television licensees to ‘‘use their educational needs of the community’ or furthers the revenues. We note that an NCE licensee, like all ‘advancement of educational programs’ ’’ should be other television broadcasters, must broadcast at entire digital capacity primarily for a considered ‘‘primary.’’ We reject this view because least one free over-the-air video programming nonprofit, noncommercial, educational it would permit for-profit, commercial educational stream, and its ancillary and supplementary broadcast service.’’ The Commission services (or non-educational television broadcasts) services must not derogate this service. During the ‘‘decline[d] to quantify the term to be counted among the ‘‘primary’’ uses of an transition period to ATSC 3.0 service, we are NCE’s spectrum. Instead, consistent with the affording NCE television broadcasters significant ‘primarily,’ ’’ but ‘‘consider[ed] it to requirements in § 73.621(a) that the station qualify flexibility to determine the best mix of services for mean a ‘substantial majority’ of [the as ‘‘noncommercial educational’’ and is licensed their communities. However, as during the DTV NCE television licensee’s] entire digital ‘‘only to [a] nonprofit educational organization,’’ transition, our expectation remains that the capacity.’’ the rule requires that all ‘‘primary’’ uses, whether fundamental use of the DTV license will be for the broadcast television or ancillary and provision of free, over-the-air television service. We supplementary, must be nonprofit, noncommercial, do not decide at this time the separate, broader 3 66 FR 58973 (Nov. 26, 2001). and educational. We find this reading best issue of how much spectral capacity a broadcast 4 In addition, until we address this issue in this preserves the nonprofit, noncommercial, and television station (commercial or NCE) must use future proceeding, we will consider waiver requests educational nature of public broadcasting. We note after the ATSC 3.0 transition period for the as necessary to allow public safety or other that our decision today applies only to the provision of its free over-the-air television service. ancillary and supplementary uses that are nonprofit application of § 73.621(a) to the provision of We will consider this issue in a future proceeding, and noncommercial, but may not be educational in ancillary and supplementary services pursuant to such as when we decide it is the appropriate time nature, to be applied to the ‘‘substantial majority’’ § 73.621(j); it does not change an NCE television to consider eliminating the ATSC 1.0 simulcasting portion of an NCE licensee’s spectrum dedicated for licensee’s broadcast and other obligations under requirement. ‘‘primary’’ purposes. § 73.621(a).
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unpersuaded by Public Knowledge’s term is ambiguous.7 In light of this bitstream. Given the benefit of the contention that ‘‘allowing NCEs to count ambiguity, the Commission previously ‘‘distinctive content of public broadcast spectrum used for ancillary and determined in 2001 that ‘‘primarily’’ programming’’ provided by NCEs, and supplementary services as primary means ‘‘substantial majority.’’ This the fact that the auction value of service . . . violates 47 U.S.C. definition was not challenged at the spectrum that must be ‘‘primarily’’ used [397](11).’’ 6 Accordingly, we interpret time, and we are not persuaded by the for such services is likely lower than the language of § 73.621(j) providing arguments in the record that present that of spectrum used for services that the requirements of § 73.621 will circumstances warrant reconsideration without such restrictions, we believe apply to the entire digital bitstream of of this earlier decision. Given the this lower fee is appropriate. NCE television stations, ‘‘including the retention of our substantial majority 24. Although we decline at this time provision of ancillary or supplementary requirement, Public Knowledge is to exempt NCE television stations services,’’ to broaden the scope of incorrect that our rules ‘‘will allow entirely from all fees on ancillary and § 73.621(a) such that NCE television NCEs to sublease or otherwise monetize supplementary service revenues stations have the flexibility to make the majority of their spectrum to third devoted to the station’s nonprofit ‘‘primary’’ use of their ‘‘entire digital parties instead of providing free service activities as APTS/PBS suggest, we bitstream’’ through provision of not only to the public.’’ Moreover, we find that believe that the reduction we adopt is a nonprofit, noncommercial, our decision to include certain ancillary an appropriate incremental and educational television broadcast service, and supplementary services as part of balanced approach. While some but also any nonprofit, noncommercial, the ‘‘primary’’ use of their spectrum commenters suggest that we make no and educational ancillary and affords NCE television licensees change to the 5% fee under any supplementary services it chooses to substantial additional flexibility in light circumstances, and others asked us to provide. of the enhanced capabilities made eliminate it entirely, we find that a fee 8 21. Although we adopt the NCE possible by the ATSC 3.0 standard. As of 2.5% for ‘‘primary’’ NCE ancillary proposal to reinterpret our rules to these services reach the market, we will and supplementary services that are permit ‘‘primary’’ ancillary and have additional context upon which to feeable under the statute appropriately supplementary services, we decline to evaluate whether any changes to the recognizes the public service mission of ‘‘pre-approve’’ specific services that definition of ‘‘primarily’’ are warranted. public television stations without could be considered primary. APTS/ Accordingly, we defer examination of creating a significant disparity with the PBS and PMVG ask us essentially to this issue and any other related matters 5% fee applied to other ancillary and create a ‘‘safe harbor’’ for Broadcast until the Broadcast internet marketplace supplementary services offered by NCE 9 internet services by identifying specific matures. and commercial television stations. services that will qualify as ‘‘primary’’ 23. Fee for NCE Primary Ancillary While we decline to adjust the 5% fee uses under § 73.621(a). Given the and Supplementary Services. While we generally, choosing instead to wait until nascent state of the Broadcast internet generally decline to adjust the fee the ATSC 3.0 marketplace further market, we find that it would be associated with ancillary and develops and after a further review is premature to classify such services in supplementary services, to the extent conducted, we believe a different this manner. Instead, consistent with that NCE television stations offer feeable approach is warranted for NCE stations. our precedent in applying § 73.621(a) to ancillary and supplementary services We seek to support the ability of public broadcast programming, we will defer to that are nonprofit, noncommercial, and television stations to provide and the judgment of the broadcaster when educational, we adopt a reduced fee of expand their nonprofit, noncommercial, evaluating whether a given ancillary 2.5% on gross revenues generated by educational services and engage in new and supplementary service is such ‘‘primary’’ services. As discussed and innovative educational efforts using above, § 73.621 of our rules provides educational unless such categorization ATSC 3.0 technology.10 NCE nonprofit, that NCE stations must ‘‘be used appears to be arbitrary or unreasonable. noncommercial, educational services, primarily to serve the educational needs provided by the nonprofit, education- 22. We also decline, at this time, to of the community; for the advancement focused licensees of NCE stations, adopt the NCE television broadcasters’ of educational programs; and to furnish uniquely advance the public interest proposal to redefine the term a nonprofit and noncommercial and therefore should be treated ‘‘primarily,’’ as used in § 73.621(a), to television broadcast service,’’ and differently under our fee program than mean a ‘‘simple majority’’ instead of a extends this requirement to all services other ancillary and supplementary ‘‘substantial majority,’’ which is the provided via the station’s digital definition adopted by the Commission services that are provided by NCE and commercial broadcast stations. Given in the 2001 NCE Ancillary Services 7 We note that the Merriam-Webster online Report and Order. We disagree with dictionary defines ‘‘primarily’’ as ‘‘for the most part; this, our approach appropriately APTS/PBS that there is a plain or chiefly.’’ Webster’s New World Dictionary defines reduces the fees on any revenue common meaning of the term it as ‘‘mainly; principally.’’ Thus, while ‘‘primarily’’ generated by such ‘‘primary’’ NCE could be used to mean a ‘‘simple majority,’’ that is ancillary and supplementary services, ‘‘primarily,’’ and instead find that the far from the ‘‘common’’ understanding. 8 Public Knowledge’s claims to the contrary thereby permitting the nonprofit, 6 Applying the last-antecedent rule, which notwithstanding, nothing in this Order undermines education-focused licensees of NCE ‘‘provides that ‘a limiting clause or phrase . . . the policy of ensuring free, over-the-air, educational television stations to retain a larger should ordinarily be read as modifying only the television programming. As required by existing percentage of any such revenue, noun or noun phrase that it immediately follows,’ ’’ rules, each NCE station must continue to provide providing more funds to support the we observe that ‘‘engaged primarily in the a free, over-the-air, nonprofit, noncommercial, production, acquisition, distribution, or educational television broadcast service. dissemination of educational and cultural television 9 We will also consider waiver requests, as 10 We note that Public Knowledge et al. contend or radio programs’’ is defining ‘‘any nonprofit necessary, to allow public safety or other ancillary that the Commission is prohibited from setting a fee institution,’’ and not ‘‘any licensee or permittee of and supplementary uses that are nonprofit and of zero for any licensee. Because we will continue a public broadcast station.’’ Furthermore, our noncommercial, but may not be educational in to collect ancillary and supplementary fees from ‘‘primary service’’ decision applies to the use of a nature, to be applied to the ‘‘substantial majority’’ every licensee, both commercial and licensee’s spectrum, not the activities of the portion of an NCE licensee’s spectrum committed noncommercial, we need not address Public licensee itself. to ‘‘primary’’ purposes. Knowledge et al.’s argument.
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core educational public service missions educational as opposed to spectrum Ancillary/Supplementary Services of such stations. designated for commercial use.11 In Report’’ whenever they receive feeable 25. We find that our approach is other words, the requirements imposed ancillary and supplementary services consistent with section 336 of the 1996 on the use of the NCE station spectrum revenue. We expect that, in this report, Act. As discussed above, the language of make this spectrum inherently less NCE filers will clearly identify any section 336 gives the Commission wide valuable at auction than spectrum services that are nonprofit, 12 discretion to select the appropriate fee without such use restrictions. Given noncommercial, and educational and for feeable ancillary and supplementary the benefits to the public of an therefore qualify for the reduced fee.13 services. Thus, we conclude that we accelerated rollout of NCE primary have discretion under the statute to Broadcast internet services, we find it is 29. Donor Contributions to NCE establish a fee for NCE primary ancillary appropriate to adopt this reduced fee Television Stations. As requested by and supplementary services that is even though it may overstate the auction PMVG and unopposed by other lower than the fee for other ancillary value of spectrum so restricted. We are commenters, we clarify that, when an and supplementary services, including directed not only to ‘‘collect an amount NCE television station provides ‘‘donor those provided by commercial stations. that . . . equals but does not exceed’’ exclusive’’ ancillary and supplementary Section 336(e)(1) directs the the auction value of the spectrum, but services that are nominal in value in Commission to establish ‘‘a program to also to recover a ‘‘portion of the value return for contributions to the licensee, assess and collect’’ ancillary and of the public spectrum resource’’ while we will not treat such contributions as supplementary fees that, pursuant to avoiding unjust enrichment. While we ‘‘subscription fees’’ under section 336 of section 336(e)(2), recover ‘‘a portion of find 2.5% to be appropriate at this time, the 1996 Act or § 73.621 of our rules. the value of the public spectrum,’’ we intend to monitor the development For example, PMVG notes that stations ‘‘avoid unjust enrichment,’’ and, of the NCE Broadcast internet may provide donor households with eventually, recover an amount marketplace and may adjust the fee if exclusive links to supplemental content, approximately equivalent to the conditions warrant. such as extended interviews or spectrum’s value at auction. Section 336 27. In reaching our decision, we are reference materials relevant to public does not require the Commission to levy not constrained by the Commission’s affairs programming, or stations could fees in direct proportion to the amount previous decision to apply to NCE offer donor households enhanced of spectrum held by each licensee. licensees the same fee for ancillary and viewing experiences, such as the Adjusting our program of fees to impose supplementary services that we apply to opportunity to view a local orchestra a reduced fee of 2.5% for NCE stations’ commercial licensees. Instead, we ‘‘primary’’ ancillary and supplementary conclude that advances in technology performance in 4K definition with services will not undermine the and the associated new offerings immersive sound. We will not treat such Commission’s ability to recover for the anticipated by NCE stations suggest a donor exclusive services as feeable as public a portion of the value of the different approach is currently long as the ancillary and supplementary spectrum made available for ancillary warranted when assessing the service provided in return is comparable and supplementary uses. Furthermore, a appropriate fee for NCE ‘‘primary’’ in terms of value to the kinds of small reduced fee on the nonprofit, ancillary and supplementary services. gifts (e.g., coffee mugs, tote bags) that noncommercial, educational ancillary Public television stations are already NCE stations often give donors in return and supplementary services offered by experimenting with ancillary and for contributions. We agree with PMVG NCEs will not create a danger of unjust supplementary services that advance the that the type of limited content offerings enrichment. Any additional ‘‘primary’’ public interest. Applying a reduced fee described above are comparable to the NCE ancillary and supplementary for ‘‘primary’’ NCE services will give traditional donor gifts provided by NCE services offered as a result of these NCE licensees both an additional stations and should not be treated as lower fees will, by their nature, redound incentive to pursue the expensive ancillary and supplementary services to the public’s benefit more than to the transition to ATSC 3.0 and additional provided in return for a subscription benefit of the nonprofit educational resources to devote to their core fee. We also agree that, unlike organization licensees of the NCE mission. We find that the 2.5% rate for stations. programming provided in return for a ‘‘primary’’ ancillary and supplementary subscription fee, the value of such 26. Finally, we conclude that a 2.5% services is sufficient to meet our fee is consistent with our directive content offerings made in return for a obligations under section 336 of the under section 336(e)(2)(B) to recover for donation is likely minimal as compared 1996 Act and will advance our goals of the public an amount that would have to the value of the donation. In addition, promoting Broadcast internet services been recovered ‘‘had such services been unlike a subscription fee, the donation and supporting the mission of NCE licensed’’ pursuant to an auction. The is made voluntarily and not pursuant to television stations to provide nonprofit, reduced fee of 2.5% will apply only to a subscription agreement. We intend to noncommercial, educational services. feeable ancillary and supplementary 28. We note that this limited change monitor the provision of ‘‘donor services that qualify as ‘‘primary’’ NCE does not excuse NCEs from their exclusive’’ services, however, and we services under § 73.621 of our rules, obligation to file an ‘‘Annual DTV may reconsider our decision in the which means they must be nonprofit, future if such donor services appear to noncommercial, and educational in 11 Our analysis is consistent with the analysis the be comparable to subscription-based nature. If spectrum restricted in this Commission applied to section 336(e)(2)(B) in the services. manner were offered for auction, we NCE Ancillary Services Report and Order. expect that bidders would offer a more 12 We agree with BitPath that, in considering modest amount of money for the right among other things the appropriate level of the fee, 13 to build facilities that are restricted to the Commission should consider the auction value We dismiss as moot NTCA’s proposal for a of the spectrum in the context of the ancillary and detailed reporting and audit system, which they providing services that are ‘‘primarily’’ supplementary services being provided, not merely suggest should apply if we waived all fees for nonprofit, noncommercial, and the auction value of the spectrum in the abstract. certain Broadcast internet services.
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30. Derogation and Analogous television programming. The incentives to maintain HD service, and Services. We adopt our tentative Commission also adopted rules a decision not to do so would be in conclusion that whether a broadcast codifying that broadcasters are response to competitive marketplace station’s signal has been derogated permitted to provide ancillary and conditions. We therefore ‘‘decline to should continue to be evaluated by supplementary services on their substitute our own judgment for that of whether it provides ‘‘at least one broadcast spectrum that are analogous local television stations that best know standard definition over-the-air video to other regulated services. If they their communities’ needs,’’ but will program signal at no direct charge to choose to do so, however, they are continue to monitor broadcasters’ viewers that is at least comparable in required to adhere to any rules specific deployment of ATSC 3.0 services and resolution to analog television to such type of service. evaluate the need for changes to our programming.’’ We also adopt our 32. Derogation of Service. Derogation derogation standard as part of a planned tentative conclusion to amend the of Service Standard. We adopt our future proceeding.17 wording of § 73.624(b) to define the tentative conclusion that whether a 34. Definition of a Standard precise resolution that is considered to broadcast station’s signal has been Definition Signal. Notwithstanding our be ‘‘at least comparable in resolution to derogated should continue to be decision to maintain the existing analog television programming’’ as 480i, evaluated by whether it provides ‘‘at derogation standard, we adopt our with a slight modification.14 Based on least one standard definition over-the- tentative conclusion to modernize the record, we decline to adopt two air video program signal at no direct § 73.624(b) so that a standard definition other proposals on which we sought charge to viewers that is at least signal is defined as one that has a comment in the NPRM—a presumption comparable in resolution to analog resolution of at least 480i (vertical that Broadcast internet services are not television programming.’’ As resolution of 480 lines, interlaced), as analogous to any other service regulated acknowledged both in this proceeding supported by multiple broadcast by the Commission and a de minimis and by the Commission in the Next Gen commenters. Despite NAB’s suggestion service threshold under which ancillary TV Report and Order,16 the ATSC 3.0 to the contrary, the record provides no and supplementary services might be standard will provide expanded evidence that clarifying and exempted from the need to comply with capacity for broadcasters to offer not modernizing the definition of a the regulations applicable to an only HD programming, but also other ‘‘standard definition signal’’ will place analogous service otherwise regulated enhanced television resolutions such as an increased burden on broadcasters. by the Commission. 4K and 8K more efficiently. However, as Rather, this change will merely remove 31. As discussed in the NPRM, section noted by NAB and BitPath, in light of an outdated reference to analog 336 of the 1996 Act allows broadcasters the ATSC 3.0 local simulcasting television and codify what is the flexibility to provide ancillary and requirement, requiring broadcasters to universally accepted as the digital supplementary services on their DTV provide a higher resolution above SD at resolution of a standard definition channels.15 In authorizing such this early stage of ATSC 3.0 deployment broadcast signal. While, as pointed out services, Congress directed the could jeopardize their ability to preserve by BitPath, the 480i resolution standard Commission to adopt rules ensuring that both primary and secondary ATSC 1.0 was adopted over 20 years ago, it is broadcasters providing ancillary and signals as stations convert to ATSC 3.0. universally utilized by television sets supplementary services: (1) Avoid Moreover, we agree with NAB, Pearl, today for displaying standard definition derogating any advanced television and BitPath that current marketplace programming. Continued reliance on an services that the Commission may forces are sufficient to incentivize obsolete analog broadcasting standard require; and (2) are subject to broadcasters to maintain their existing would be an outdated method by which Commission regulations applicable to standards of service for viewers, which to determine what is an acceptable analogous services. In furtherance of notably may include HD programming digital standard definition signal. these statutory requirements, the streams. Further, we conclude that this rule Commission adopted § 73.624(c) of the 33. Next, we deny requests from update is fully consistent with the broad rules, which permits broadcasters to several commenters that we prohibit initiative the Commission has offer ancillary and supplementary broadcasters from transitioning a signal undertaken the past four years to services provided they ‘‘do not derogate from HD to SD in order to provide an modernize its rules by removing the DTV broadcast stations’ obligations ancillary and supplementary service. outdated references that no longer under paragraph (b) of this section.’’ Earlier this year, the Commission reflect the current media marketplace. Section 73.624(b) of the rules, in turn, rejected NCTA’s proposal to require that 35. Analogous Services Analysis. In requires that each DTV broadcast ATSC 1.0 signals be simulcast in HD. light of the limited record on this topic licensee transmit at least one standard While we agree with NCTA that and the present lack of clarity definition (SD) over-the-air video transitioning an ATSC 1.0 signal from concerning the precise Broadcast program signal on its digital channel, at HD to SD to facilitate the deployment of internet services that broadcasters may no charge to viewers, that is at least ancillary and supplementary services is offer, we find it is premature to adopt comparable in resolution to analog different than transitioning a signal from HD to SD in order to comply with the 17 In the Spring of 2022, the Commission expects 14 to open a proceeding to evaluate the sunsetting of The number ‘‘480’’ identifies a vertical ATSC 1.0 simulcast requirement, we certain ATSC 3.0 technical provisions. Separately, resolution of 480 lines, and the ‘‘i’’ signifies an reiterate that there is no obligation that the Commission has stated that it will consider as interlaced resolution. broadcasters provide an HD signal, even part of a future proceeding the continued necessity 15 In general, the 1996 Act seeks ‘‘[t]o promote if they have chosen to do so in the past. of the ATSC 1.0 simulcasting requirement, which competition and reduce regulation in order to does not sunset. As part of a future proceeding, secure lower prices and higher quality services for Imposing such a signal quality based on the development of the ATSC 3.0 American telecommunications consumers and requirement remains inappropriate, for marketplace, we expect likewise to determine encourage the rapid deployment of new the same reasons it did six months whether to reevaluate our derogation standard. telecommunications technologies.’’ More While we have elected to maintain our current specifically, the 1996 Act gives the Commission ago—broadcasters have strong market derogation standard at this time, we continue to discretion to determine, in the public interest, ‘‘expect that the fundamental use of the 6 MHz DTV whether to permit broadcasters to offer ancillary 16 83 FR 4998 (Feb. 2, 2018), 84 FR 60350 (Dec. license will be for the provision of free over-the-air and supplementary services. 20, 2017). television service.’’
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a presumption that certain Broadcast whether a particular service would be Further, pursuant to our existing rules, internet services are or are not analogous to another, or whether LPTV stations that are unable to air the analogous to any other service regulated specific broadcast rules would apply. required ATSC 3.0 consumer education by the Commission. For the same Finally, we will continue to monitor the notifications because they not reasons, we decline to adopt a de marketplace and provide any necessary operational (i.e., silent or newly minimis service threshold under which clarification in the future once both constructed) may seek a waiver of the ancillary and supplementary services broadcasters and the Commission know Commission’s notice requirement from might be exempted from the need to the type of Broadcast internet services the Media Bureau.21 Finally, we note comply with the regulations of an that may be deployed and offered to that the proposals to allow LPTV analogous service otherwise regulated consumers. stations to use DTS and to protect LPTV 38. Other proposals. Low Power by the Commission. stations from full power DTS service are 36. In reaching both of these Television. We decline to adopt any of presently being considered in the DTS conclusions, we agree with NCTA and the proposals by low power television proceeding. CTIA that, at this initial stage in the and translator (LPTV) station development of Broadcast internet representatives and others to change our 40. Retransmission Consent. MVPD services, the Commission should LPTV service rules in this proceeding. Carriage of Broadcast internet Services. continue to evaluate whether or not a In addition to seeking comments on the We likewise decline to interpret our service is analogous to other regulated ancillary and supplementary service fee retransmission consent rules in the services on a case-by-case basis. While and derogation of service issues, the context of this proceeding. NCTA asks we do not foreclose adopting specific NPRM generally sought comment on the us to clarify that a broadcaster’s use of indicia of whether a service is or is not provision of Broadcast internet services retransmission consent to negotiate for likely to be found to be analogous at by LPTV stations and what steps, if any, carriage of Broadcast internet services some future point, we must first gain a the Commission should take to facilitate provided by a consortium of non- better understanding of how Broadcast the provision of such services by LPTV commonly owned broadcasters in the internet services ultimately evolve in stations. In response, LPTV groups and same market is prohibited by the bar on the marketplace. While, as argued by interested parties, such as ARK, ATBA, joint or coordinated retransmission PMG, it may in fact end up being the Edge Spectrum, Evoca, NRB, NTA, consent negotiations. NAB opposes this case that Broadcast internet services Spectrum Evolution, and One proposal as premature, urging us ‘‘to will be provided only on a one-way, Ministries, proposed a wide range of reject, now for the third time, NCTA’s one-to-many basis, as is the case with changes to the rules governing LPTV efforts to impose restraints on traditional video broadcast services, service. Among other things, these negotiations in the absence of any proposals include: Equalizing LPTV without knowing the precise services demonstration of real world market interference protection with that of full broadcasters will offer we cannot failure.’’ 22 We decline to address this universally conclude that such services power and Class A TV stations are inherently not analogous to any (essentially eliminating LPTV’s secondary status); creating a path for ATSC 1.0 and an ATSC 3.0 facility. We also note other service regulated by the that under section 312(g) of the Communications Commission.18 We also agree with certain LPTV stations to attain primary Act of 1934, as amended (the Act), if a station fails commenters that it is premature to status; lifting certain restrictions on to transmit a broadcast signal for any consecutive adopt a presumptive or de minimis LPTV service; granting blanket 12-month period its license automatically expires at construction permit and license the end of that period. However, under that section threshold under which ancillary and a licensee may request an extension of its license supplementary services otherwise akin extensions for LPTV stations seeking to if doing so would ‘‘promote equity and fairness.’’ to other regulated services would be build ATSC 3.0 facilities; abolish the The Commission has exercised its discretion under found not to be analogous.19 ATSC 3.0 consumer education section 312(g) to extend or reinstate a station’s requirement for silent and newly built expired license ‘‘to promote equity and fairness’’ 37. Though we decline to adopt only in limited circumstances where a station’s additional rules at this time, we LPTV stations, changing aspects of the failure to transmit a broadcast signal is due to recognize that broadcasters may interference rules; and changing aspects compelling circumstances that were beyond the continue to seek clarification from the of the Commission’s distributed licensee’s control. The Commission has stated that it would consider extensions in cases where Commission, from time to time, about transmission systems (DTS) rules. 39. We find that all of these proposals, stations were forced to remain dark for more than 12 months by the repack process. The Media 18 Pearl also requests that the Commission many of which call for sweeping Bureau will continue to consider such relief for ‘‘clarify broadly that broadcast television changes to the nature of LPTV service or LPTV stations impacted by the repack. regulations do not apply to broadcast internet translator service specifically, are 21 Stations should file requests for waiver as a services.’’ For the same reasons discussed above, we insufficiently related to Broadcast Legal STA in the Commission’s Licensing and are unable to conclude on a blanket basis, as Management System (LMS). All waiver requests requested by Pearl, that all broadcast television internet and are thus beyond the scope will be evaluated on a case-by-case basis and must rules do not apply to Broadcast internet services. of this proceeding. We note, however, include the following information: (1) An While as a general matter we envision that many that all LPTV stations transitioning to explanation describing why the station is unable to broadcast television rules (such as those related to digital service are eligible to request a comply with the existing consumer education children’s television or indecency, and, as requirements; (2) an alternative but comparable discussed by Pearl, our rules on attribution) would one-time, six-month extension of their means the station will use to notify viewers of the not apply to Broadcast internet services, others construction permit, and that we will station’s new channel or if the station has (such as technical rules governing station continue to consider requests to extend previously not been operational (i.e., is newly built) operations) may still be applicable. We note that LPTV licenses pursuant to the equity why notice would not be in the public interest; and our analysis in the Declaratory Ruling was (3) how grant of the waiver request complies with conducted solely in the context of evaluating our and fairness provision of section 312(g) the Commission’s general waiver standard. A 20 media ownership and attribution rules and the of the Act on a case-by-case basis. station may propose to provide alternative applicability of those rules to the leasing of excess notification to viewers through, for example, local broadcast television spectrum to a third party, 20 We note that the Commission intended that the newspaper, radio, other in-market television including another broadcaster, for the provision of LPTV exemption from the local simulcasting stations, and/or digital and social media. ancillary and supplementary services. requirement would help ensure that analog LPTV/ 22 Although we note that NCTA’s request is more 19 NCTA maintains that the plain language of translator stations and stations that have been narrowly focused than NAB suggests, we section 336(b) of the 1996 Act does not permit a de displaced due to the post-incentive auction nonetheless agree that retransmission consent minimis exemption, and no commenters disagree. repacking process were not forced to build both an issues are not relevant to this proceeding.
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issue, finding it beyond the scope of this application of § 73.621 of our rules to transmission of programs to the public. proceeding.23 permit noncommercial educational These establishments also produce or 41. Retransmission Consent stations (NCEs) to devote the substantial transmit visual programming to Agreements Including Ancillary and majority of their spectrum not just to affiliated broadcast television stations, Supplementary Services. We also reject free over-the-air television but also which in turn broadcast the programs to NTCA’s proposal that we exempt ancillary and supplementary services; the public on a predetermined schedule. broadcasters from all ancillary and lower the ancillary and supplementary Programming may originate in their own supplementary service fees if they service fee for certain NCE services; and studio, from an affiliated network, or provide ancillary and supplementary clarify that NCEs may offer limited from external sources. The SBA has services at no additional charge to Broadcast internet services to donors created the following small business unaffiliated MVPDs with which they without transforming those donations size standard for such businesses: Those have an existing retransmission consent into feeable ancillary and having $41.5 million or less in annual agreement. No commenters addressed supplementary service revenue. With receipts. The 2012 Economic Census this proposal. We note that ancillary these changes, we seek to clarify the reports that 751 firms in this category and supplementary services that are regulatory landscape in order to foster operated in that year. Of this number, solely being offered free of charge do not the efficient and robust use of broadcast 656 had annual receipts of less than $25 generate revenue and, therefore, are not spectrum capacity for the provision of million, 25 had annual receipts ranging subject to the ancillary and Broadcast internet services consistent from $25 million to $49,999,999, and 70 supplementary services fee. with statutory directives. had annual receipts of $50 million or 42. Procedural Matters. Final 44. Summary of Significant Issues more. Based on this data we therefore Regulatory Flexibility Analysis. As Raised by Public Comments in Response estimate that the majority of commercial required by the Regulatory Flexibility to the IRFA. There were no comments television broadcasters are small entities Act of 1980, as amended (RFA), an filed in response to the IRFA. under the applicable SBA size standard. Initial Regulatory Flexibility Analysis 45. Response to Comments by the 49. Additionally, the Commission has (IRFA) was incorporated in the NPRM in Chief Counsel for Advocacy of the Small estimated the number of licensed this proceeding. The Commission Business Administration. Pursuant to commercial television stations to be sought written public comment on the the Small Business Jobs Act of 2010, 1,374. Of this total, 1,282 stations (or proposals in the NPRM, including which amended the RFA, the 94.2%) had revenues of $41.5 million or comment on the IRFA. We received no Commission is required to respond to less in 2018, according to Commission comments specifically directed toward any comments filed by the Chief staff review of the BIA Kelsey Inc. the IRFA. This present Final Regulatory Counsel for Advocacy of the Small Media Access Pro Television Database Flexibility Analysis (FRFA) conforms to Business Administration (SBA), and to (BIA) on April 15, 2019, and therefore the RFA. provide a detailed statement of any these licensees qualify as small entities 43. Need for, and Objective of, the change made to the proposed rules as a under the SBA definition. In addition, Report and Order. The Commission result of those comments. the Commission estimates the number seeks to promote and preserve free, 46. The Chief Counsel did not of licensed noncommercial educational universally available, local broadcast comment in response to the proposed (NCE) television stations to be 388. The television by providing a clear rules in this proceeding. Commission does not compile and does 47. Description and Estimate of the regulatory landscape that permits not have access to information on the Number of Small Entities to Which licensees the flexibility to succeed in a revenue of NCE stations that would Rules Will Apply. The RFA directs competitive market and incentivizes the permit it to determine how many such agencies to provide a description of, and most efficient use of prime spectrum. stations would qualify as small entities. where feasible, an estimate of the 50. We note, however, that in We undertook this proceeding to ensure number of small entities that may be that our rules, most over 20 years old, assessing whether a business concern affected by the proposed rules, if qualifies as ‘‘small’’ under the above will help foster the introduction of new adopted. The RFA generally defines the Broadcast internet services and the definition, business (control) affiliations term ‘‘small entity’’ as having the same must be included. Our estimate, efficient use of existing television meaning as the terms ‘‘small business,’’ therefore, likely overstates the number broadcast spectrum under the new ‘‘small organization,’’ and ‘‘small of small entities that might be affected ATSC 3.0 standard. In this Report and governmental jurisdiction.’’ In addition, by our action, because the revenue Order, we therefore conclude that the term ‘‘small business’’ has the same figure on which it is based does not ancillary and supplementary (A&S) fees meaning as the term ‘‘small business include or aggregate revenues from should be calculated based on the gross concern’’ under the Small Business Act. affiliated companies. In addition, revenue received by the broadcaster, A small business concern is one which: another element of the definition of without regard to the gross revenue of (1) Is independently owned and ‘‘small business’’ requires that an entity an unaffiliated third party, such as a operated; (2) is not dominant in its field not be dominant in its field of operation. spectrum lessee; should retain the of operation; and (3) satisfies any We are unable at this time to define or existing standard of derogation of additional criteria established by the quantify the criteria that would broadcast service, but amend the SBA. Below, we provide a description of establish whether a specific television wording of the rules to eliminate the such small entities, as well as an broadcast station is dominant in its field outdated reference to analog television; estimate of the number of such small of operation. Accordingly, the estimate and should reaffirm that noncommercial entities, where feasible. of small businesses to which rules may educational television broadcast stations 48. Television Broadcasting. This apply does not exclude any television (NCEs) may offer Broadcast internet Economic Census category ‘‘comprises station from the definition of a small services. We also reinterpret the establishments primarily engaged in business on this basis and is therefore broadcasting images together with possibly over-inclusive. 23 We note that the NPRM indicated that changes to our rules and policies regarding retransmission sound.’’ These establishments operate 51. There are also 387 Class A consent agreements are beyond the scope to this television broadcast studios and stations. Given the nature of these proceeding. facilities for the programming and services, the Commission presumes that
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all of these stations qualify as small 56. Final Paperwork Reduction Act ■ 2. Amend § 73.624 by revising entities under the applicable SBA size Analysis. This document does not paragraphs (b) introductory text and (g) standard. In addition, there are 1,892 contain new or modified information introductory text to read as follows: LPTV stations and 3,621 TV translator collection requirements subject to the stations. Given the nature of these Paperwork Reduction Act of 1995 § 73.624 Digital television broadcast services as secondary and in some cases (PRA), Public Law 104–13. In addition, stations. purely a ‘‘fill-in’’ service, we will therefore, it does not contain any new * * * * * presume that all of these entities qualify or modified information collection (b) DTV broadcast station permittees as small entities under the above SBA burden for small business concerns with or licensees must transmit at least one small business size standard. fewer than 25 employees, pursuant to 52. Description of Projected over-the-air video program signal at no the Small Business Paperwork Relief direct charge to viewers on the DTV Reporting, Recordkeeping, and Other Act of 2002 (SBPRA), Public Law 107– channel. Until such time as a DTV Compliance Requirements for Small 198, see 44 U.S.C. 3506(c)(4). station permittee or licensee ceases Entities. This Report and Order imposes 57. Congressional Review Act. The analog transmissions and returns that no new reporting, recordkeeping, or Commission has determined, and the compliance requirements. Administrator of the Office of spectrum to the Commission, and 53. Steps Taken to Minimize the Information and Regulatory Affairs, except as provided in paragraph (b)(1) of Significant Economic Impact on Small Office of Management and Budget, this section, at any time that a DTV Entities, and Significant Alternatives concurs, that this rule is ‘‘non-major’’ broadcast station permittee or licensee Considered. The RFA requires an under the Congressional Review Act, 5 transmits a video program signal on its agency to describe any significant U.S.C. 804(2). The Commission will analog television channel, it must also alternatives that it has considered in send a copy of the Order to Congress transmit at least one over-the-air video developing its approach, which may and the Government Accountability program signal on the DTV channel. The include the following four alternatives Office, pursuant to 5 U.S.C. 801(a)(1)(A). DTV service that is provided pursuant (among others): ‘‘(1) The establishment 58. Accordingly, it is ordered that, to this paragraph (b) must have a of differing compliance or reporting pursuant to the authority contained in resolution of at least 480i (vertical requirements or timetables that take into sections 1, 4(i), 4(j), 303(r), and 336 of resolution of 480 lines, interlaced). account the resources available to small the Communications Act of 1934, as entities; (2) the clarification, * * * * * amended, 47 U.S.C. 151, 154(i), 154(j), consolidation, or simplification of 303(r), and 336, the Report and Order is (g) Commercial DTV licensees and compliance an reporting requirements adopted. permittees, and low power television, under the rule for such small entities; 59. It is further ordered that the TV translator and Class A television (3) the use of performance rather than Commission’s rules are hereby amended stations DTV licensees and permittees, design standards; and (4) an exemption as set forth in the Final Rules, effective must annually remit a fee of 5 percent from coverage of the rule, or any part as of 30 days after the date of of the gross revenues derived from all thereof, for such small entities.’’ ancillary and supplementary services, as 54. Our rules will not impose a publication in the Federal Register. defined by paragraph (b) of this section, negative economic impact on any 60. It is further ordered that the which are feeable, as defined in parties, because they increase Commission will send a copy of the opportunities for broadcasters without Report and Order in a report to Congress paragraphs (g)(1)(i) and (ii) of this imposing additional obligations. Indeed, and the Government Accountability section. Noncommercial DTV licensees by clarifying the scope of feeable Office pursuant to the Congressional and permittees must annually remit a revenue our rule may allow small Review Act (CRA). fee of 5 percent of the gross revenues broadcast entities transitioning to ATSC 61. It is further ordered that should no derived from all ancillary and 3.0 to experience positive economic petitions for reconsideration or petitions supplementary services, as defined by impacts through partnership with for judicial review be timely filed, MB paragraph (b) of this section, which are unaffiliated third parties. NCE television Docket No. 20–145 shall be terminated feeable, as defined in paragraphs stations in particular, both large and and its docket closed. (g)(1)(i) and (ii) of this section, except small, will experience positive benefits List of Subjects in 47 CFR Part 73 that such licensees and permittees must from the decisions made in this item, annually remit a fee of 2.5 percent of the Communications equipment, which will allow them to offer gross revenues from such ancillary or Television. nonprofit, noncommercial, educational supplementary services which are Broadcast internet services alongside Federal Communications Commission. nonprofit, noncommercial, and their television programming as part of Marlene Dortch, educational. the primary use of their spectrum, and Secretary. which imposes a reduced two and a half * * * * * [FR Doc. 2020–28615 Filed 2–22–21; 8:45 am] percent fee on these services. Final Rules 55. Report to Congress. The For the reasons stated in the BILLING CODE 6712–01–P Commission will send a copy of the preamble, the Federal Communications Report and Order, including this FRFA, Commission amends 47 CFR part 73 as in a report to be sent to Congress follows: pursuant to the Congressional Review Act. In addition, the Commission will PART 73—RADIO BROADCAST send a copy of the Report and Order, SERVICES including this FRFA, to the Chief Counsel for Advocacy of the SBA. A ■ 1. The authority citation for part 73 copy of the Report and Order and FRFA continues to read as follows: (or summaries thereof) will also be Authority: 47 U.S.C. 154, 155, 301, 303, published in the Federal Register. 307, 309, 310, 334, 336, 339.
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DEPARTMENT OF TRANSPORTATION The Final Rule establishes rules to allow industry to For the reasons discussed in the access the Chinook salmon bycatch Federal Railroad Administration preamble, FRA amends part 234 of reserve, and creates Chinook salmon chapter II, subtitle B of title 49, Code of bycatch closure thresholds for the trawl 49 CFR Part 234 Federal Regulations, with the following fishery. This rule fulfills the terms and correcting amendment: conditions of a 2017 National Marine [DOCKET No. FRA–2018–0096, Notice No. Fisheries Service Biological Opinion. 3] PART 234—GRADE CROSSING This rule is intended to promote the RIN 2130–AC72 SAFETY goals and objectives of the Magnuson- Stevens Fishery Conservation and State Highway-Rail Grade Crossing ■ 1. The authority citation for part 234 Management Act, the Pacific Coast Action Plans; Correction continues to read as follows: Groundfish Fishery Management Plan, Authority: 49 U.S.C. 20103, 20107, 20152, and other applicable laws, including the AGENCY: Federal Railroad 20160, 21301, 21304, 21311; Sec. 11401, Div. Endangered Species Act. Administration (FRA), Department of A, Pub. L. 114–94, 129 Stat. 1679 (49 U.S.C. DATES: This final rule is effective March Transportation (DOT). 22501 note); and 49 CFR 1.89. 25, 2021. ACTION: Correcting amendment. ■ 2. In § 234.11, revise paragraph (d) to ADDRESSES: This rule is accessible via SUMMARY: On December 14, 2020, FRA read as follows: the Office of the Federal Register published a final rule amending FRA’s § 234.11 State highway-rail grade crossing website at https:// grade crossing safety standards. In action plans. www.federalregister.gov/. Background information and documents, including a preparing the final rule for publication, * * * * * Biological Opinion and a Regulatory an error was made that resulted in a (d) Electronic submission of updated Impact Review (RIR)/Initial Regulatory cross-reference to the wrong paragraph. Action Plan and implementation report. Flexibility Analysis (IRFA) (Analysis), FRA is correcting that inadvertent error. Each of the 10 States listed in paragraph which addresses the statutory DATES: Effective on February 23, 2021. (c)(3) of this section shall submit its requirements of the Magnuson-Stevens FOR FURTHER INFORMATION CONTACT: updated highway-rail grade crossing Fishery Conservation and Management Kathryn Gresham, Attorney Adviser, action plan and implementation report Act (Magnuson-Stevens Act), Executive U.S. Department of Transportation, electronically through FRA’s website in Order 12866, and the Regulatory Federal Railroad Administration, Office PDF form. Flexibility Act (RFA), are available at of the Chief Counsel (email: * * * * * the NMFS West Coast Region website at [email protected], telephone: Issued in Washington, DC. https://www.fisheries.noaa.gov/region/ 202–493–6063). Brett A. Jortland, west-coast and at the Pacific Fishery SUPPLEMENTARY INFORMATION: In Acting Chief Counsel. Management Council’s (Council) § 234.11 of FRA’s December 14, 2020, website at http://www.pcouncil.org. final rule requiring States and the [FR Doc. 2021–03229 Filed 2–22–21; 8:45 am] BILLING CODE 4910–06–P Written comments regarding the District of Columbia to develop and burden-hour estimates or other aspects implement highway-rail grade crossing of the collection-of-information action plans, paragraph (d) erroneously DEPARTMENT OF COMMERCE requirements contained in this final rule referenced paragraph (d)(2) for a list of may be submitted to Barry A. Thom, 10 States required to submit their Regional Administrator, West Coast updated highway-rail grade crossing National Oceanic and Atmospheric Administration Region, NMFS, 7600 Sand Point Way action plans and implementation NE, Seattle, WA 98115–0070. Attn: reports electronically through FRA’s 50 CFR Part 660 Brian Hooper, and to www.reginfo.gov/ website in Portable Document Format public/do/PRAMain. (PDF). 85 FR 80648, 80660. The [Docket No. 210205–0012] referenced list is actually contained in FOR FURTHER INFORMATION CONTACT: paragraph (c)(3) of § 234.11; there is no RIN 0648–BJ50 Brian Hooper, phone: (206) 526–6117, or email: [email protected]. paragraph (d)(2) in § 234.11. Therefore, Magnuson-Stevens Act Provisions; FRA is issuing this correction amending Fisheries Off West Coast States; SUPPLEMENTARY INFORMATION: paragraph § 234.11(d) to refer to the Pacific Coast Groundfish Fishery; Background actual regulatory provision Salmon Bycatch Minimization (§ 234.11(c)(3)) that contains the list of The purpose of this final rule is to 10 States required to submit their AGENCY: National Marine Fisheries minimize interactions between updated highway-rail grade crossing Service (NMFS), National Oceanic and Endangered Species Act (ESA)-listed action plans and implementation Atmospheric Administration (NOAA), salmon species and Pacific Coast reports to FRA. FRA is proceeding Department of Commerce. groundfish fishing gear. On the West directly to a final rule as it finds public ACTION: Final rule. Coast, vessels fishing under the Pacific notice and comment to be unnecessary Coast Groundfish Fishery Management per the ‘‘good cause’’ exemption in 5 SUMMARY: This rule implements salmon Plan (FMP) use gear types (e.g. U.S.C. 553(b)(3)(B) for this clearly bycatch minimization measures to midwater and bottom trawl, fixed gear, inadvertent error. minimize incidental take of Endangered and hook-and-line) that interact with Species Act-listed salmon by vessels in listed Evolutionary Significant Units List of Subjects in 49 CFR Part 234 the Pacific Coast groundfish fishery. The (ESUs) of coho and Chinook salmon. Highway safety, Penalties, Railroad rule establishes additional management The seasonality and geographic extent, safety, Reporting and recordkeeping tools to minimize incidental Chinook including fishing depth and north/south requirements, State and local and coho salmon bycatch to keep distribution of the different target governments. fishery sectors within guidelines, strategies and gear types, result in
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different effects on different ESUs of the Council’s website, http:// Area (BRA) for midwater trawl vessels these salmonids. www.pcouncil.org. at the 200-fathom (fm) (366-meter (m)) On December 11, 2017, NMFS issued depth contour (83 FR 63970, December Description of Existing Salmon Bycatch a Biological Opinion on the impact of 12, 2018), and Block Area Closures Management in the Pacific Coast the NMFS authorization of the (BACs) for bottom trawl vessels from Groundfish Fishery groundfish fishery on ESA-listed shore to the 250-fm (457-m) depth salmonids (see ADDRESSES for electronic For purpose of analysis in the contour (84 FR 63966, November 19, access information). The Incidental Biological Opinion, NMFS divided the 2019) off Oregon and California. The Take Statement (ITS) in the Biological groundfish fishery into two groups or Council may recommend NMFS Opinion sets forth terms and conditions. ‘‘sectors’’ for the purposes of estimating implement BRAs and BACs to minimize Compliance with those terms and and analyzing ESA-listed salmon salmon bycatch through routine conditions provides an exemption to the bycatch. This rule will refer to these management measures, as described in prohibition on take of listed species in groups as the whiting sector and non- the FMP and regulation at 50 CFR Section 9 of the ESA. The components whiting sector. The whiting sector 660.60(c). Additional discussion of of the Biological Opinion are includes the Pacific Coast treaty Indian existing salmon bycatch management in summarized in the proposed rule for vessels that target whiting, as well as the groundfish fishery is included in the 2019–20 Pacific Coast groundfish non-tribal vessels in the mothership proposed rule (85 FR 66519; October 20, harvest specifications and management (MS) Coop Program, Catcher/processor 2020) and is not repeated here. measures (83 FR 47416; September 19, (C/P) Coop Program, and Pacific whiting 2018). NMFS and the Council Shorebased individual fishing quota Additional Management Tools To implemented a number of ITS terms and (IFQ) fishery that target whiting. In this Minimize ESA-Listed Salmon Bycatch conditions in the final rule for 2019–20 rule, the MS Coop Program, the C/P This final rule implements additional Pacific Coast groundfish harvest Coop Program and the Pacific whiting management tools beyond BRAs and specifications and management IFQ fishery are referred to as existing BACs, making these tools measures (83 FR 63970; December 12, ‘‘components’’ of the whiting sector. available to minimize incidental 2018). The non-whiting sector includes the Chinook and coho salmon bycatch to To address the remaining terms and Pacific Coast treaty Indian vessels that keep fishery sectors within guidelines. conditions (2.b and 3.a), the Council target Pacific coast groundfish species These additional tools include: (1) BACs developed new incidental salmon other than whiting, as well as non-tribal for midwater trawl fisheries; (2) an bycatch minimization tools to allow for vessels in the Shoreside trawl, fixed extension of BACs seaward of the 250- timely inseason management of salmon gear, and recreational fisheries that are fm (457-m) depth contour for bottom bycatch (term and condition 2.b). The not accounted for in pre-season salmon trawl fisheries; and (3) a selective Council also developed regulations modeling. The recreational fisheries not flatfish trawl (SFFT) gear requirement regarding the Chinook salmon bycatch accounted for in pre-season salmon for bottom trawl vessels. These reserve and its use (term and condition modeling are those occurring outside of additional management tools apply only 3.a). the open salmon seasons and the to non-tribal fisheries. NMFS expects The Council evaluated the Biological Oregon longleader fishery. the tribal fishery managers may Opinion and analyzed an action to NMFS currently manages Chinook implement area management measures amend the regulations implementing the salmon bycatch to guidelines of 11,000 to minimize salmon bycatch, as FMP to address ESA-listed salmon fish for the whiting sector, and 5,500 necessary. bycatch in the fishery at its November fish for the non-whiting sector. Fishery When deciding whether to 2018, April 2019, September 2019, and sectors may access a 3,500 Chinook recommend BACs or SFFT gear November 2019 meetings. The Council salmon bycatch ‘‘reserve’’ upon requirements for NMFS to implement, recommended a preferred alternative at reaching their Chinook bycatch consistent with the FMP, the Council its September 2019 meeting and took guideline. NMFS automatically closes will consider environmental impacts, final action in November 2019. The all groundfish fisheries once the including economic impacts, and public Council deemed the proposed guidelines plus the reserve are reached comment via the Council process. regulations consistent with and (i.e., a total of 20,000 Chinook salmon Depending on the circumstances, NMFS necessary to implement this action in a are caught as bycatch). For accounting may implement BACs or SFFT gear June 2, 2020, letter from Council purposes, Chinook salmon bycatch requirements for a defined period of Chairman Phil Anderson to NMFS accrues to either the whiting sector or time, for example, a few months or the Regional Administrator Barry Thom. non-whiting sector. NMFS monitors remainder of the fishing year, or NMFS amends the regulations for the Chinook salmon bycatch inseason and maintain the closure for an indefinite Pacific Coast groundfish fishery at 50 will (1) close the whiting sector if that period of time, for example, until CFR part 660 through this final rule to sector catches its guideline limit and the reopened by a subsequent action. NMFS incorporate the Council’s full reserve amount, (2) close the non- may implement one or more BACs or recommendation and implement the whiting sector if that sector catches its BACs with SFFT gear requirements, and terms and conditions set forth in the guideline limit and the full reserve the size of the BACs or BACs with SFFT 2017 NMFS Biological Opinion. amount, or (3) close either the whiting gear requirements can vary. A Federal Additional discussion of the or non-whiting sector if either sector Register document will announce the background and rationale for the reaches its guideline limit when the geographic boundaries (described with Council’s development of changes to the other sector has already taken the coordinates in codified regulations) of regulations is included in the proposed reserve amount (83 FR 63970; December one or more BACs or BACs with SFFT rule for this action (85 FR 66519; 12, 2018). gear requirements, the effective dates, October 20, 2020) and is not repeated NMFS previously established two applicable gear/fishery restrictions, as here. Detailed information, including tools to manage Chinook and coho well as the purpose and rationale. the supporting documentation the salmon bycatch in the groundfish NMFS will also disseminate this Council considered while developing fishery through prior rulemakings. information on BACs or BACs with these recommendations, is available at These two tools are a Bycatch Reduction SFFT gear requirements through public
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notices and posting on the West Coast Extension of Block Area Closures for Council recommended SFFT gear Region website (see ADDRESSES for Bottom Trawl Fisheries requirement through a routine electronic access information). This final rule allows NMFS to take management measure, as described in the FMP and regulation at 50 CFR Block Area Closures for Midwater Trawl routine inseason action to implement BACs seaward of the boundary line 660.60(c). Fisheries This final rule makes changes to the approximating the 250-fm (457-m) declaration report to allow NMFS Office This final rule makes BACs available depth contour to the existing boundary of Law Enforcement (OLE) to as a routine management measure to line approximating the 700-fm (1,280-m) sufficiently monitor and enforce SFFT minimize salmon bycatch in the limited Essential Fish Habitat Conservation gear requirements. In the list of entry midwater trawl fisheries in the Area closure for bottom trawl fisheries. potential gear type or sector/monitoring The boundary line approximating the whiting and non-whiting sectors and type declarations found at 50 CFR 700-fm (1,280-m) depth contour is prevent bycatch from exceeding the 660.13(d)(4)(iv)(A), NFMS added a guidelines. BACs are size variable described at 50 CFR 660.76. This declaration for ‘‘Limited entry selective spatial closures bounded by latitude extension of BACs only applies south of ° ′ ″ flatfish trawl, shorebased IFQ’’ and lines, defined at 50 CFR 660.11, and 46 16 00 N latitude (in the EEZ off modified the existing ‘‘Limited entry depth contour approximations defined Oregon and California). This final rule bottom trawl, shorebased IFQ, not at 50 CFR 660.71 through 660.74 ((10 fm allows NMFS to implement and modify including demersal trawl’’ declaration (18-m) through 250 fm (457-m)), and BACs, as a routine management to clarify that selective flatfish trawl § 660.76 (700 fm (1,280-m)). measure, in open areas beyond the 250- gear is not included (i.e., ‘‘Limited entry Amendment 28 to the FMP (84 FR fm (457-m) boundary in order to bottom trawl, shorebased IFQ, not 63966; November 19, 2019) established minimize incidental salmon bycatch. including demersal trawl or selective BACs for bottom trawl fisheries. This While salmon bycatch rates are flatfish trawl’’). final rule will prohibit midwater trawl generally low in depths greater than fishing within the BAC boundaries. 250-fm (457-m) for trawl fisheries Rules for Access to the Chinook Salmon BACs could be implemented or (Section 2.15 of the Analysis—see Reserve modified in the Exclusive Economic ADDRESSES), salmon distribution is This final rule establishes the rules or Zone (EEZ) off Oregon and California for known to extend into those depths. circumstances in which the whiting and vessels using midwater trawl gear. BACs Therefore, the Council recommended, non-whiting sectors can access the may be implemented in the EEZ off and NMFS is implementing, this Chinook salmon bycatch reserve. As Washington shoreward of the boundary extension so as to not constrain described in the Biological Opinion, line approximating the 250-fm (457-m) management of salmon bycatch in the access to the reserve for additional depth contour for vessels using bottom trawl fishery to the boundary Chinook salmon bycatch above the midwater trawl gear. The Council line approximating the 250-fm (457-m) sector’s guideline is not guaranteed. The decided to not include extending the depth contour as the seaward boundary Council recommended that a sector may available BAC boundary for vessels for a BAC. This final rule does not only access the reserve if NMFS has fishing with midwater trawl gear implement individual BACs for bottom implemented a management measure to beyond 250-fm (457-m) off Washington trawl fisheries. minimize Chinook salmon bycatch in that sector prior to it reaching its as part of its recommendation due to the Selective Flatfish Trawl Requirement for Chinook salmon bycatch guideline. The limited operation of midwater trawl Bottom Trawl Fisheries vessels in that area. Council recommended, and NMFS is The use of SFFT gear is expected to implementing, rules for accessing the The BAC tool will allow the Council reduce bycatch of Chinook salmon (85 reserve that hold the whiting and non- to recommend and NMFS to implement FR 66519; October 20, 2020). This final whiting sectors accountable for size variable area closures as a routine rule makes an SFFT gear requirement minimizing bycatch. management measure to address available as a routine management The Council recommended, and specific areas of high salmon bycatch measure to address ESA-listed salmon NMFS is implementing, that the non- rather than large fixed closure areas bycatch in the groundfish bottom trawl whiting sector may only access the (e.g., BRA). BACs will allow the fisheries. The requirement to fish with reserve if NMFS has implemented a midwater trawl fishery to remain open SFFT gear could be used in conjunction routine management measure (i.e. BRA, in areas outside of the BACs. with a BAC. In other words, if the BAC, or a SFFT gear requirement) to This final rule does not implement Council were to recommend and NMFS minimize Chinook salmon bycatch in specific individual BACs. BACs cannot were to implement a BAC for bottom the non-whiting sector prior to it be used to close an area to any type of trawl, it could allow bottom trawl reaching its Chinook salmon bycatch fishing other than groundfish bottom or vessels to continue fishing in the BAC guideline. This requirement may be midwater trawling. This rule allows if vessels used SFFT gear. The Council satisfied where NMFS has implemented NMFS to close or reopen BACs recommended, and NMFS is a BAC for bottom trawl or midwater preseason (e.g., before the start of the implementing, this action because it trawl fisheries, or an SFFT gear fishing year or before the May 15 start provides flexibility for those vessels requirement for bottom trawl fisheries. of the primary season for Pacific whiting with SFFT gear. In contrast to the non-whiting sector, fishery) or inseason. The approach is This final rule does not implement the Council recommended, and NMFS consistent with existing ‘‘routine individual SFFT gear requirements. The is implementing, that each component inseason’’ frameworks already in the Council could recommend SFFT gear of the whiting sector (i.e. the MS FMP and regulations. If good cause requirements in the future. This rule Cooperative Program, C/P Cooperative exists under the Administrative allows NMFS to implement SFFT Program, and the Pacific whiting Procedure Act to waive notice and requirements preseason or inseason. If Shorebased IFQ fishery) may access the comment, a single Federal Register consistent with the FMP, Magnuson- reserve only if NMFS has implemented document will announce routine Stevens Act, and other applicable law, a management measure to minimize inseason BACs approved by NMFS. NMFS may approve and implement a Chinook salmon bycatch for that
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component. This requirement may be salmon bycatch in the groundfish threshold condition that requires NMFS satisfied through the implementation of fishery. If NMFS has not implemented to close a specific component of the a BRA, BAC, or Salmon Mitigation Plan a routine management measure to whiting sector if NMFS has not (SMP) for the applicable component. minimize Chinook salmon bycatch in implemented a routine management Those vessels with an approved SMP the non-whiting sector, the non-whiting measure to minimize Chinook salmon will have access to the reserve without sector will close once the sector exceeds bycatch. Therefore, these vessels will further action by NMFS. The Council its Chinook salmon bycatch guideline of have access to the reserve without recommended, and NMFS is 5,500 Chinook salmon. NMFS will further action by NMFS. If the whiting implementing, that vessels not party to automatically close the MS Coop sector has caught 11,000 Chinook an SMP may access the reserve only if Program, C/P Coop Program, and the salmon, NMFS will close the entire NMFS has implemented a routine Pacific whiting IFQ fishery if NMFS has whiting sector, including those with an management measure (e.g., BRA or not implemented a routine management BAC) to minimize Chinook salmon measure to minimize Chinook salmon approved SMP, if the non-whiting sector bycatch for those vessels. bycatch (i.e. BRAs or BACs) for that has caught its 5,500 Chinook salmon As part of the rules for access to the specific component of the whiting bycatch guideline and 3,500 Chinook reserve, the Council recommended, and sector prior to the whiting sector salmon from the bycatch reserve. Table NMFS is implementing, automatic exceeding its Chinook salmon bycatch 1 summarizes the automatic fishery fishery closure thresholds. The Council guideline of 11,000 Chinook salmon. closure thresholds that NMFS is may recommend a routine management Those vessels with an approved SMP implementing as part of the reserve measure (e.g., BRA, BAC, or SFFT gear will be exempt from the 11,000 Chinook access rules. requirement) to minimize Chinook salmon bycatch guideline closure
TABLE 1—SUMMARY OF FISHERY CLOSURE THRESHOLDS FOR RESERVE ACCESS RULES
Close: If Chinook salmon catch exceeds: And:
Whiting sector ...... 11,000 fish in the whiting sector ...... (1) NMFS has not implemented a routine management measure to minimize Chinook salmon bycatch OR (2) The non-whiting sector has caught its 5,500 Chinook salmon bycatch guideline and 3,500 Chinook salmon from the by- catch reserve. Non-whiting sector .. 5,500 fish in the non-whiting sector ...... (1) NMFS has not implemented a routine management measure to minimize Chinook salmon bycatch OR (2) The whiting sector has caught its 11,000 Chinook salmon bycatch guideline and 3,500 Chinook salmon from the by- catch reserve.
Salmon Mitigation Plans for Pacific Salmon Mitigation Plan Parties similar to that employed by the existing Whiting Sector Participants in the Pacific whiting whiting cooperatives. The Council did Shorebased IFQ fishery may form not recommend a minimum number of This final rule allows a Pacific vessels in an SMP. In order to improve whiting sector cooperative or group of groups around common goals such as managing bycatch. MS and C/P vessels the clarity of the regulations and ensure vessels to develop a SMP for NMFS the robust management and approval. The SMP is a voluntary receive permits from NMFS to operate as cooperatives. While it does not accountability system envisioned by the agreement by a cooperative or group of Council, NMFS is implementing a three vessels in the Pacific whiting fishery MS receive permits from NMFS, the Shorebased Whiting Cooperative also vessel minimum for an approved SMP. Coop Program, C/P Coop Program, or operates around common goals such as Pacific whiting Shorebased IFQ fishery Salmon Mitigation Plan Required bycatch management. Under this final to manage Chinook salmon bycatch. Contents rule, groups of vessels, or cooperatives, NMFS expects the SMP to promote may create and submit SMPs to NMFS The SMP must detail how those reductions in Chinook salmon bycatch for approval. Individual vessels are not vessels party to the SMP will avoid and relative to what would have occurred in eligible to submit an SMP for approval. minimize Chinook salmon bycatch, the absence of an SMP because the SMP After NMFS approves an SMP, any including the tools they will employ. will require bycatch minimization changes in the membership of vessels The SMP must contain the names and measures for all vessels party to that party to the SMP, including a vessel signatures of the owner or SMP. Therefore, NMFS approval of an leaving an SMP or adding a vessel to an representative for each vessel that is SMP will give those vessels party to the SMP, must be submitted to NMFS for party to the SMP. The SMP must SMP access to the Chinook salmon approval though an SMP amendment. include the vessel name and United bycatch reserve. Additionally, vessels In recommending the SMP measures, States Coast Guard (USCG) vessel that are party to an approved SMP will the Council provided, and NMFS is registration number (as given on USCG have access to the reserve regardless of implementing, an additional way to Form 1270) or state registration number, NMFS implementing other inseason allow groups of Pacific whiting vessels if no USCG documentation, of each measures to minimize bycatch, such as to access the reserve. The Council vessel that is party to the SMP. The SMP BACs. Vessels that are party to an limited SMP submissions to must designate a representative to serve approved SMP may fish into the reserve cooperatives or other groups of vessels as the SMP point of contact with NMFS when the non-whiting sector has not because of concerns regarding the and the Council, and to submit the SMP used the full reserve and NMFS has enforceability of plans from individual proposal, any SMP amendments, and closed the whiting sector on the basis whiting vessels. The Council noted that post-season report. The SMP must also that it has reached 11,000 Chinook other groups would have the potential contain a compliance agreement in bycatch. to employ a robust management system which all parties to the SMP agree to
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voluntarily comply with all the vessels party to an approved SMP. The post-season report could be combined provisions of the SMP. Council may choose to exempt vessels with this annual cooperative report. party to an approved SMP from any Salmon Mitigation Plan Review and additional salmon bycatch minimization Trawl Fishery Closures in Response to Approval measure recommendation. If the SMP Chinook Salmon Bycatch Consistent with the dates for MS and measures are not sufficient in This final rule establishes automatic C/P cooperative permit and agreement minimizing salmon bycatch, as actions that will close all trawl fisheries submission, applicants must submit determined by the Council during if Chinook salmon bycatch exceeds proposed SMPs to NMFS between inseason review at regular Council 19,500 fish in the whiting and non- February 1 and March 31. An SMP will meetings, the Council could recommend whiting sectors, and will close non- expire on December 31 of the year in that NMFS implement additional whiting trawl fisheries if Chinook which NMFS approved it. Given the salmon bycatch minimization measures timing of this rulemaking, NMFS may salmon bycatch exceeds 8,500 fish in (i.e., BRAs or BACs) that apply to those the non-whiting sector. The closures offer flexibility by extending the SMP vessels party to an approved SMP even proposal deadline for 2021. NMFS will ensure that 500 Chinook salmon are if those vessels had access to the reserve available for bycatch in fixed gear and announce any flexibility in the 2021 through the SMP. For example, NMFS SMP submission deadline via public select recreational fisheries, so those may implement a BAC for all whiting fisheries can continue to operate in notice. sector vessels, including those with an NMFS will approve a proposed SMP years of high Chinook salmon bycatch approved SMP, if the whiting sector in the trawl fishery. For catch if the proposal contains the required were approaching the Chinook salmon accounting purposes, the Chinook contents and is reasonably expected to bycatch guideline and the Council had salmon bycatch from Pacific Coast treaty reduce Chinook salmon bycatch. NMFS determined SMP measures were not Indian fisheries will count towards the will disapprove a proposed SMP if it sufficiently minimizing salmon bycatch. does not contain the required contents, By using the existing declarations and applicable whiting or non-whiting or is not reasonably expected to reduce procedures, as well as a list of vessels sector bycatch guideline. However, Chinook salmon bycatch. If NMFS party to an approved SMP, NMFS OLE Pacific Coast treaty Indian fisheries will makes an initial administrative anticipates it can sufficiently monitor not close until the existing 20,000 determination (IAD) to disapprove the for unauthorized fishing vessels within Chinook salmon total fishery limit is proposed SMP, the applicant may the boundaries of a BAC that exempts reached. appeal. Any appeal under the SMP vessels with an approved SMP. This final rule does not change any of program will be processed by the NOAA the existing closure thresholds Post-Season Reporting Fisheries National Appeals Office. established in the 2019–2020 Pacific After the SMP is approved, the The Council also recommended, and Coast groundfish harvest specifications designated SMP representative must NMFS is implementing, an SMP post- and management measures (83 FR submit any changes to the SMP, season report as a necessary component 63970; December 12, 2018). The closure including any changes in which vessels of the SMP measures. The post-season thresholds (bycatch guideline plus are party to the SMP, as an amendment report will allow NMFS and the Council reserve) for the whiting and non-whiting to the SMP for approval by NMFS. An to monitor and assess Chinook salmon sectors will remain at 14,500 Chinook amendment to an approved SMP may be bycatch minimization efforts by vessels salmon for the whiting sector and 9,000 submitted to NMFS at any time during party to the SMP. This post-season Chinook salmon for the non-whiting the year in which the SMP is valid. report, and specifically information on sector, and a total closure of all NMFS will review the amendment to the effectiveness of the bycatch groundfish fisheries at 20,000 Chinook ensure it contains the required SMP avoidance measures, will also help salmon. The Council noted the existing contents. An amendment to an NMFS comply with term and condition fishery closure thresholds and inseason approved SMP will be effective upon 6.a.iii of the Biological Opinion. This processes would be sufficient to manage written notification of approval by term and condition requires that NMFS to the Chinook salmon bycatch NMFS to the designated SMP produce an annual report summarizing guidelines. However, the Council also representative. If NMFS makes an IAD bycatch reduction measures used and recognized the importance of protecting to disapprove the proposed SMP their effectiveness. fixed-gear and recreational fisheries amendment, the applicant may appeal. The designated SMP representative from potential closure in years of high Any appeal under the SMP program will will provide an annual post-season non-whiting trawl Chinook salmon be processed by the NOAA Fisheries report to the Council and NMFS no later bycatch. Therefore, the Council National Appeals Office. than March 31 of the year following the recommended, and NMFS is year in which the SMP was valid. The implementing, closure thresholds for Inseason SMP Monitoring and report will describe the group’s use of Evaluation trawl fisheries. Table 2 summarizes the Chinook salmon bycatch avoidance closure thresholds for trawl fisheries Those vessels party to the SMP will measures and an evaluation of the implemented as a result of this final commit to voluntarily comply with the effectiveness of those measures. The rule. provisions of the SMP. The Council will report will also describe any evaluate Chinook salmon bycatch levels amendments to the terms of the SMP TABLE 2—SUMMARY OF FISHERY CLO- and adherence to SMP provisions by that NMFS approved during that fishing SURES TO IMPLEMENT TRAWL FISH- those vessels party to the SMP, as year and the reasons that the group ERY THRESHOLDS needed, during the inseason review amended the SMP. process at Council meetings. In Pacific whiting cooperatives currently If Chinook salmon catch recommending and implementing a produce an annual cooperative report Close: exceeds: routine management measure to documenting the cooperative’s catch, minimize Chinook salmon bycatch, the bycatch data, and any other significant Non-whiting 8,500 fish in the non-whiting Council and NMFS will specifically activities undertaken by the cooperative trawl fish- sector. state whether the measure will apply to during the year. For efficiency, the SMP eries.
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TABLE 2—SUMMARY OF FISHERY CLO- salmon bycatch. The closures described Coop Program and C/P Coop Program) SURES TO IMPLEMENT TRAWL FISH- in the table do not apply to Pacific Coast when Chinook salmon bycatch exceeds ERY THRESHOLDS—Continued treaty Indian fisheries except for the 11,000 Chinook salmon if NMFS has not existing threshold closing all groundfish implemented a routine management fisheries, including Pacific Coast treaty Close: If Chinook salmon catch measure (i.e., BRA or BAC)) to minimize exceeds: Indian fisheries, if Chinook salmon Chinook salmon bycatch for that bycatch in the groundfish fishery individual component of the whiting All trawl fish- 19,500 fish in the whiting exceeds 20,000 fish. However, for catch eries. and non-whiting sectors. sector. The whiting sector closure at accounting purposes, the Chinook 11,000 Chinook salmon will not apply salmon bycatch from Pacific Coast treaty Summary of Groundfish Fishery to those vessels that are parties to an Indian fisheries will count towards the approved SMP, unless the non-whiting Closures in Response to Chinook applicable whiting or non-whiting Salmon Bycatch sector has caught the entire 3,500 sector bycatch guideline. NMFS will Chinook salmon bycatch reserve. Table 3 summarizes the groundfish close each component of the whiting fishery closures in response to Chinook sector (Pacific whiting IFQ fishery, MS
TABLE 3—SUMMARY OF GROUNDFISH FISHERIES CLOSURES DUE TO CHINOOK SALMON BYCATCH
If Chinook salmon by- Implemented with this final rule? Close: catch exceeds: And:
Yes (reserve access rules) ...... Whiting sector ...... 11,000 fish in the whit- (1) NMFS has not implemented a routine ing sector. management measure to minimize Chinook salmon bycatch OR (2) The non-whiting sector has caught its 5,500 Chinook salm- on bycatch guideline and 3,500 Chinook salmon from the bycatch reserve. No; previously established (83 FR 63970; De- Whiting sector ...... 14,500 fish in the whit- The non-whiting sector has not accessed the cember 12, 2018). ing sector. Chinook salmon bycatch reserve. Yes (reserve access rules) ...... Non-whiting sector ..... 5,500 fish in the non- (1) NMFS has not implemented a routine whiting sector. management measure to minimize Chinook salmon bycatch OR (2) The whiting sector has caught its 11,000 Chinook salmon guideline and 3,500 Chinook salmon from the bycatch reserve. Yes (trawl fishery closures) ...... Non-whiting trawl fish- 8,500 fish in the non- eries (midwater whiting sector. trawl and bottom trawl fisheries under the Shorebased IFQ Program). No; previously established (83 FR 63970; De- Non-whiting sector ..... 9,000 fish in the non- The whiting sector has not accessed the Chi- cember 12, 2018). whiting sector. nook salmon bycatch reserve. Yes (trawl fishery closures) ...... All trawl fisheries 19,500 fish in the whit- (whiting sector and ing and non-whiting non-whiting trawl sector. fisheries). No; previously established (83 FR 63970; De- All groundfish fisheries 20,000 fish in the whit- cember 12, 2018). ing and non-whiting sector.
Definition Correction minimization measures (85 FR 66519; were supportive of the proposed salmon October 20, 2020). The comment period bycatch minimization measures due to This final rule makes a minor ended November 19, 2020. NMFS the potential benefits for salmon technical correction related to the populations and other species like definition of ‘‘Mothership Coop received seven comment letters: three Southern Resident killer whales. Program’’ at § 660.111. An inaccurate from industry groups, one from a non- amendatory instruction (80 FR 77271, governmental organization, and three Response 1: NMFS agrees and is December 14, 2015) resulted in a from private citizens. One letter noted implementing the proposed measures duplicative definition with an incorrect several small errors or inconsistences in with the final rule. title. This rule removes the definition the preamble to the proposed rule. Comment 2: The proposed rule lacks for ‘‘Mothership Coop Program or MS NMFS has addressed those in a separate information regarding the bycatch Coop Program’’, and maintains the section below, Clarifications and guidelines and projections for coho definition for ‘‘Mothership (MS) Coop Corrections to the Preamble of the salmon bycatch. Program or MS sector’’ at § 660.111. Propose Rule. The comment letters are Response: The effects of the rule on This change is not substantive, as it available in their entirety from NMFS Chinook and coho salmon overlap. removes a redundant definition. (see ADDRESSES) or at the following web Therefore, NMFS examined these address: https://www.regulations.gov/ species together in the proposed rule Comments and Responses docket?D=NOAA-NMFS-2019-0063. analysis. This rule does not change the NMFS solicited public comment on Comment 1: Three private citizens coho salmon guidelines. As such, NMFS the proposed salmon bycatch and one non-governmental organization did not discuss these details in the
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proposed rule. NMFS manages coho allowed under their cooperative membership, including the removal of a salmon bycatch to guidelines of 474 fish agreements and cooperative permits to vessel that is not following the SMP for the whiting sector, and 560 fish for change vessels participating in the provisions. A vessel leaving an SMP the non-whiting sector. These cooperative by submitting an amended mid-fishing year would not present guidelines were established in the 2017 cooperative agreement to NMFS. equity issues, as that vessel would not NMFS Biological Opinion. For Catcher-processor limited entry trawl have automatic access to the reserve accounting purposes, coho salmon permits are also transferable. These once it leaves the SMP. NMFS will be bycatch accrues to either the whiting flexibilities provide opportunities for able to track vessels party to the SMP sector or non-whiting sector. NMFS fishery participants and cooperatives to through the SMP amendment process. monitors coho salmon bycatch inseason. optimize participation in the fishery. Per the reserve access rules in this final Comment 3: NMFS did not mention Second, the industry groups contend rule, a salmon bycatch minimization any significant alternatives to the unforeseen circumstances might occur action would need to be implemented bycatch minimization measures in the requiring a vessel to leave a cooperative prior to a vessel not party to an SMP IRFA of the proposed rule. or an SMP. This could include a vessel having access to the reserve. This would Response: Under the RFA, NMFS is ownership change or cooperative provide the conservation benefits for required to consider reasonable actions against a vessel that is not Chinook salmon envisioned by the regulatory alternatives that would meeting the requirements of the Council in recommending the reserve minimize the economic impact on cooperative. The industry groups access rules. affected small entities. NMFS made this recommended that any changes in Comment 8: Voluntary, industry- consideration, and as documented in vessels party to the SMP could occur based areas closures will be more timely the proposed and final rules, concluded through an SMP amendment. and effective than BACs to manage there are no significant alternatives to Response: NMFS specifically sought salmon bycatch. Voluntary industry the final rule that would accomplish the comment on this provision in the closures are based upon near real-time stated objectives in a way that would proposed rule. NMFS proposed this data and are adaptable to meet current reduce economic impacts of the final provision to: (1) Maximize the potential conditions on the fishing grounds. In rule on small entities. salmon conservation benefits of an SMP; contrast, a BAC would be implemented Comment 4: This rule should put (2) prevent vessels that did not follow on a much slower time frame and could further restrictions on bottom trawling the SMP provisions throughout the year be inconsistent with current fishing to protect Chinook and coho salmon from receiving the benefit of access into conditions. Due to this lag, a BAC could habitat. the reserve on the basis of the SMP; and close a fishing area where salmon Response: This rule fulfills the terms (3) ensure NMFS can sufficiently bycatch is no longer occurring. and conditions of a 2017 NMFS monitor and enforce a BAC from which Response: NMFS agrees that industry Biological Opinion. This rule vessels party to an approved SMP are based area closures may be more timely establishes additional management tools exempt. and effective than BACs. NMFS such as extending BACs for bottom NMFS agrees with the commenter that encourages industry to continue such trawl fisheries, which may benefit the provision could hinder flexible voluntary measures in order to reduce salmonid habitat. Further measures to salmon bycatch management in the the need for regulatory area-based protect salmonid habitat are beyond the whiting sector. As such, NMFS did not closures like BACs. Per the 2017 NMFS scope of this action. include this provision in this final rule. Biological Opinion, NMFS must manage Comment 5: Pacific whiting NMFS agrees an SMP amendment is an the fishery to the bycatch guidelines. cooperatives should be allowed to appropriate avenue to document and The Council recommended, and NMFS incorporate the SMP into the approve membership changes. The SMP agrees, that BACs would be a useful cooperative agreement, as well as the amendment process will give NMFS management tool to have available SMP post-season report into the annual means to track current SMP should mandatory salmon bycatch cooperative report. membership and ensure NMFS can minimization measures be necessary. Response: NMFS agrees and will work sufficiently monitor and enforce access Comment 9: The extension of BACs with the cooperatives to implement this to a BAC from which vessels party to an deeper than 250 fm is not needed administrative efficiency. approved SMP are exempt. because a long history of fishery data Comment 6: Two industry groups If vessels were to join an SMP after it clearly indicates that salmon incidental expressed support for implementation was approved (i.e., mid-fishing year) catch deeper than 250 fm is de minimis. of the proposed SMP as a mechanism and receive benefits such as access to Response: Salmon bycatch rates are for groups in the whiting sector to salmon bycatch reserve or exemption generally low in depths greater than 250 access the Chinook salmon reserve. from further bycatch management fm (457 m) for trawl fisheries (Section Response: NMFS agrees and is requirements, it may be inequitable for 2.15 of the Analysis—see ADDRESSES). implementing the proposed measures the vessels that had been following the However, salmon distribution is known with the final rule. SMP provisions throughout the year. to extend into those depths. The Comment 7: Two industry groups However, because the SMP group self- extension of BACs for bottom trawl expressed concerns with a provision of selects its members, it would be the fisheries in this final rule would allow the proposed rule that ‘‘no vessel may group’s choice to make membership NMFS to implement and modify BACs join or leave an SMP after it is changes equitable. While maximum in areas where salmon bycatch may approved’’. Under the proposed rule, salmon bycatch minimization benefits occur in order to keep the fishery sector those vessels party to the SMP would be may be realized when vessels follow within bycatch guidelines. committed to follow the SMP provisions bycatch minimization requirements in Comment 10: NMFS will need to for the year in which it is approved. The an SMP for a full fishing year, partial enforce BACs which restrict access for industry groups contend this provision year participation will still provide vessels without an approved SMP. In is unnecessarily restrictive, would limit benefits for salmon bycatch addition to VMS tracking and on the flexibility, and potentially hinder minimization purposes. water patrols, NMFS could inform the fishery performance. First, they argue NMFS agrees with the need for those Pacific whiting cooperatives to alert that whiting cooperatives are currently vessels party to the SMP to self-manage vessels under their structure that do not
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have an approved SMP to cease fishing Comment 12: One commenter stated membership and ensure NMFS can operations within the BAC. The the fishery closure authority provisions sufficiently monitor and enforce access documentation of which vessels are previously implemented to fulfill to a BAC from which vessels with an party to an SMP would guide this effort. requirements of the 2017 NMFS approved SMP are exempt. Response: NMFS agrees that Biological Opinion are not consistent As detailed in the Comments and documentation of vessels that are party with guidance and direction provided Responses section, the proposed rule to an SMP is critical to the enforcement by the Council to the agency in lacked clarity on how the SMP would be of BACs that allow access for vessels developing the opinion. The commenter evaluated. In order to meet the objective with an SMP. As such, NMFS will noted the Council did not include, nor of the SMP to minimize salmon bycatch, require the vessel name and USCG think necessary, the closure authorities consistent with the Council’s intent for vessel registration number (as given on independently developed by NMFS. this action, NMFS has clarified in the USCG Form 1270) or state registration Response: In this final rule, NMFS is final rule that the SMP must reasonably number, if no USCG documentation, of not modifying the automatic fishery be expected to reduce Chinook salmon each vessel that is party to the SMP be closure mechanisms previously bycatch. included in the SMP proposal. implemented through the final rule to Clarifications and Corrections to the Comment 11: Two commenters noted implement harvest specifications and Preamble of the Proposed Rule the need for strong implementation, management measures for the 2019– monitoring, reporting of salmon bycatch 2020 biennium (83 FR 63970; December The preamble to the proposed rule (85 minimization measures, including the 12, 2018). As such, this comment is FR 66519; October 20, 2020) on page SMP. In order to maximize the salmon outside the scope of this action. 66521 was unclear in describing the conservation benefits of an SMP, one ‘‘whiting sector’’ and ‘‘non-whiting commenter noted the need for regular Changes From the Proposed Rule sector’’ with respect to Pacific Coast in-season and post-season reporting of In response to public comments treaty Indian vessels. The final rule salmon bycatch, as well as the received and in order to provide clarity revised these descriptions to clarify that implementation of effective SMP to the new requirements, NMFS is vessels that participate in the Pacific bycatch reduction tools. making four changes to the action as Coast treaty Indian groundfish fisheries Response: NMFS agrees that strong proposed previously. are not part of the MS, C/P, or IFQ reporting and monitoring are needed for As detailed in the Comments and programs. effective salmon bycatch management. Responses section, NMFS will require Table 2 of the preamble to the In the SMP post-season report NMFS the vessel name and USCG vessel proposed rule (page 66523) summarized will require the SMP representative to registration number (as given on USCG the closure thresholds for reserve access provide an evaluation of the Form 1270) or state registration number, rules. Table 2 incorrectly stated a effectiveness of their avoidance if no USCG documentation, of each closure condition for the non-whiting measures in minimizing Chinook vessel that is party to the SMP be sector. This table, Table 1 of this final salmon bycatch. Salmon bycatch will included in the SMP proposal or any rule, has been revised to clarify that the continue to be monitored by NMFS SMP amendment. This requirement is non-whiting sector will close at 5,550 throughout the fishing year as is needed to sufficiently enforce BACs that Chinook salmon if the whiting sector required by the 2017 Biological allow access for vessels with an SMP. has caught its 11,000 Chinook salmon Opinion. Salmon bycatch data is also NMFS is also including a requirement bycatch guideline and 3,500 Chinook publically available online in near real- that the SMP proposal include a mailing salmon from the bycatch reserve. time through the Pacific Fisheries address for the SMP representative. This In the preamble to the proposed rule Information Network’s Reports will allow NMFS to send the SMP NMFS incorrectly stated on page 66523 Dashboard at https://reports.psmfc.org/ representative correspondence through that SFFT gear requirements were an pacfin. Additionally, the Council the mail. These requirement do not example of a routine management reviews salmon bycatch information at change the estimated public reporting measure to minimize salmon bycatch in each Council meeting and may burden for the submission of an SMP. the whiting sector. Whiting trawlers do recommend routine management As detailed in the Comments and not use SFFT gear. Therefore, this final measures to NMFS, if necessary to keep Responses section, NMFS is not rule omits reference to SFFT gear fishery sectors within the bycatch including in the final rule a provision of requirements for the whiting sector. guidelines. NMFS agrees the bycatch the proposed rule that ‘‘no vessel may The preamble to the proposed rule on tools in the SMP need effective join or leave an SMP after it is page 66523 inadvertently omitted a implementation. NMFS noted in the approved’’. Under that provision, those provision for closing the whiting sector proposed rule that it expects the SMP to vessels party to the SMP would have due to Chinook salmon bycatch. The promote reductions in Chinook salmon been committed to follow the SMP preamble to the proposed rule stated bycatch relative to what would have provisions for the year in which it is ‘‘the entire whiting sector, including occurred in the absence of an SMP approved. Through this final rule, those with an approved SMP, would because the SMP will require bycatch NMFS will allow vessels to join or leave close if the non-whiting sector has minimization measures for all vessels an SMP after it is approved. The SMP caught its 5,500 Chinook salmon party to that SMP. This reduction would representative must submit any bycatch guideline and 3,500 Chinook occur because the SMP will require membership changes through the SMP salmon from the bycatch reserve’’. As bycatch minimization measures for all amendment process. This change will clarified in the final rule, this fishery vessels party to that SMP. In order to provide industry with flexibility to closure will only occur if the whiting clarify how an SMP would be evaluated, manage salmon bycatch and self-select sector has caught 11,000 Chinook consistent with the intent of the its members, while still providing the salmon. Council, NMFS has included in the final conservation benefits for salmon rule an additional SMP approval criteria envisioned by the Council in Classification that the SMP must reasonably be recommending the reserve access rules. NMFS is issuing this rule pursuant to expected to reduce Chinook salmon The SMP amendment process will allow section 304(b)(1)(A) and 305(d) of the bycatch. NMFS to track current SMP Magnuson-Stevens Act, which provides
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specific authority and procedure for the rule will apply, or an explanation of this consideration and concluded there implementing this action. Section why no such estimate is available; are no significant alternatives. This 304(b)(1)(A) authorizes NMFS to 5. A description of the projected comment is discussed further in the implement a rule deemed by the reporting, recordkeeping, and other Comments and Responses section Council under section 303(c) to compliance requirements of the rule, above. This comment did not raise implement regulatory amendments. including an estimate of the classes of significant issues relative to the Pursuant to MSA Section 305(d), this small entities which will be subject to measures in the proposed rule. The action is necessary to carry out a minor the requirement and the type of Chief Counsel for Advocacy of the SBA technical correction because of an error professional skills necessary for did not file any comments on the IRFA in the regulatory text. The NMFS preparation of the report or record; and or the proposed rule. Assistant Administrator has determined 6. A description of the steps the A Description and an Estimate of the that this final rule is consistent with the agency has taken to minimize the Number of Small Entities to Which the FMP, other provisions of the Magnuson- significant economic impact on small Rule Will Apply Stevens Act, and other applicable law. entities consistent with the stated This final rule has been determined to objectives of applicable statutes, The RFA (5 U.S.C. 601 et seq.) be not significant for purposes of including a statement of the factual, requires government agencies to assess Executive Order 12866. policy, and legal reasons for selecting the effects that regulatory alternatives NMFS prepared a final regulatory the alternative adopted in the final rule would have on small entities, defined as flexibility analysis (FRFA) under section and why each one of the other any business/organization 604 of the RFA, which incorporates the significant alternatives to the rule independently owned and operated and IRFA. A summary of any significant considered by the agency which affect not dominant in its field of operation issues raised by the public comments in the impact on small entities was (including its affiliates). A small response to the IRFA, NMFS’s responses rejected. harvesting business has combined to those comments, and a summary of The ‘‘universe’’ of entities to be annual receipts of $11 million or less for the analyses completed to support the considered in a FRFA generally all affiliated operations worldwide. A action are addressed below. NMFS also includes only those small entities that small fish-processing business is one prepared a RIR for this action. A copy can reasonably be expected to be that employs 750 or fewer persons for of the RIR and IRFA is available from directly regulated by the action. If the all affiliated operations worldwide. NMFS (see ADDRESSES for electronic effects of the rule fall primarily on a For marinas and charter/party boats, a access information), and per the distinct segment of the industry, or small business is one that has annual requirements of 5 U.S.C. 604(a), the text portion thereof (e.g., user group, gear receipts not in excess of $7.5 million. A of the FRFA follows: type, geographic area), that segment will wholesale business servicing the fishing As applicable, section 604 of the RFA be considered the universe for purposes industry is a small business if it requires an agency to prepare a FRFA of this analysis. employs 100 or fewer persons on a full after being required by that section or In preparing a FRFA, an agency may time, part time, temporary, or other any other law to publish a general provide either a quantifiable or basis, at all its affiliated operations notice of proposed rulemaking and numerical description of the effects of a worldwide. A nonprofit organization is when an agency promulgates a final rule rule (and alternatives to the rule), or determined to be ‘‘not dominant in its under 5 U.S.C. 553. The following more general descriptive statements, if field of operation’’ if it is considered paragraphs constitute the FRFA for this quantification is not practicable or small under one of the following SBA action. reliable. size standards: environmental, This FRFA incorporates the IRFA, a conservation, or professional summary of any significant issues raised Need for and Objective of This Final organizations are considered small if by the public comments, NMFS’s Rule they have combined annual receipts of responses to those comments, and a The need for and objective of this $15 million or less, and other summary of the analyses completed to final rule is described above in the organizations are considered small if support the action. Analytical Background section of the preamble and they have combined annual receipts of requirements for the FRFA are described not repeated here. $7.5 million or less. in the RFA, section 604(a)(1) through The RFA defines small governmental Summary of Significant Issues Raised jurisdictions as governments of cities, (6). FRFAs contain: During Public Comment 1. A statement of the need for, and counties, towns, townships, villages, objectives of, the rule; NMFS published a proposed rule to school districts, or special districts with 2. A statement of the significant issues implement salmon bycatch populations of less than 50,000. raised by the public comments in minimization measures for the Pacific This final rule will directly affect all response to the IRFA, a statement of the coast groundfish fishery on October 20, commercial groundfish vessels and assessment of the agency of such issues, 2020 (85 FR 66519). An IRFA was select recreational groundfish vessels. In and a statement of any changes made in prepared and summarized in the the C/P sector, all three permit owners the proposed rule as a result of such Classification section of the preamble to (owning the collective 10 permits) self- comments; the proposed rule. The comment period reported as large entities. For the MS 3. The response of the agency to any on the proposed rule ended on sector, of the 31 MS/Catcher Vessel comments filed by the Chief Counsel for November 19, 2020. NMFS received endorsed permits, 25 permits and their Advocacy of the Small Business seven comment letters on the proposed associated vessels are registered as small Administration (SBA) in response to the rule. One comment was received entities. Nine permits held by seven proposed rule, and a detailed statement specific to the IRFA. The comment entities self-reported as large, with one of any change made to the proposed rule incorrectly asserted NMFS did not entity owning three permits. In order to in the final rule as a result of the consider any significant alternatives to fish in the shoreside whiting or comments; the bycatch minimization measures in midwater trawl sector, a limited entry 4. A description and an estimate of the IRFA. As documented in the trawl endorsed permit is required. Of the number of small entities to which proposed and final rule, NMFS made the 164 limited entry trawl endorsed
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permits (excluding those with a C/P there will be some negative economic Description of Significant Alternatives endorsement), 110 permit owners impact on small entities with the to This Final Rule That Minimize holding 129 permits classified implementation of a BAC or SFFT gear Economic Impacts on Small Entities themselves as small entities. The requirement. Vessels will potentially There are no significant alternatives to average small entity owns 1.17 permits have to move from closed fishing the final rule that would accomplish the with 15 entities owning more than one locations, which may decrease the stated objectives in a way that would permit. However, given that between 23 effectiveness at accessing target species. reduce economic impacts of the final and 26 vessels have participated in the rule on small entities. This action shoreside whiting fishery in the last Cooperatives or other groups of allows NMFS to exempt any take of three years and the same range of vessels in the Pacific whiting C/P, MS, listed species from the prohibitions that vessels in the midwater rockfish and shoreside IFQ sectors may incur would otherwise be imposed by Section fisheries, this is an overestimate of the additional administrative costs 9 of the ESA by complying with the potential impacted number of small associated with developing and terms and conditions in the 2017 NMFS entities. Additionally, it is likely some submitting the SMP and the post-season Biological Opinion, which specify entities own more than one vessel. From report. Because we estimate the certain measures for the Council and 2016–2018, there were 67–74 bottom reporting burden to average 10 hours NMFS to develop and implement, or trawl vessels. per response for the SMP proposal, and consider to minimize bycatch of ESA- Since 2016–18, there have been 17 to 8 hours per response for the SMP post- 23 fixed gear participants in the IFQ listed Chinook and coho salmon. For season report, we do not expect the that reason, there are no significant fishery, 136 to 144 in the limited entry reporting requirement to impact fixed gear fisheries, and 746 to 769 in alternatives to the action evaluated in profitability of operations for small or this FRFA. the open access fisheries. Of those fixed large entities. gear IFQ participants, there have been Small Entity Compliance Guide between 17 and 19 permits used to land Economic impacts to small entities groundfish. In 2018, an estimated 13 of affected by the trawl closure thresholds Section 212 of the Small Business these trawl endorsed permits were will depend on the time that the Regulatory Enforcement Fairness Act of classified as small entities (based on automatic closure points were reached. 1996 states that, for each rule or group 2019 declarations). In 2019, 208 of the Table 3.15 of the Analysis details the of related rules for which an agency is 239 fixed gear endorsed limited entry potential estimated losses for fisheries required to prepare a FRFA, the agency permits (required to fish in the primary by month. If the trawl sectors were to shall publish one or more guides to or limited entry fixed gear sectors) unexpectedly close the recreational assist small entities in complying with reported as small entities. For the sectors in November, this could be a the rule, and shall designate such permits that reported as large entities, loss of $27.4 million in revenue. publications as ‘‘small entity one entity owned three permits and compliance guides.’’ The agency shall There are no direct costs associated explain the actions a small entity is three owned two permits. All open with the rules for access to the reserve. access vessels are assumed to be small required to take to comply with a rule However, implementation of any entities, with ex-vessel revenues for all or group of rules. As part of this inseason bycatch minimization landings averaging $8,966 in 2018. rulemaking process, a small entity For the recreational sector, all charter measures prior to a sector accessing the compliance guide (the guide) was businesses are designated as small reserve would have associated economic prepared. Copies of this final rule are entities. The portion of the recreational impacts. For example, if there were available from the West Coast Regional fishery that will be affected by this unexpected high bycatch in the non- Office (see ADDRESSES), and the guide action are those groundfish trips whiting sector, NMFS would have to will be included in a public notice sent occurring outside of the salmon season. implement bycatch minimization to all members of the groundfish email Therefore, the estimates provided here measures such as a BAC prior to that group. To sign-up for the groundfish may be an overestimate of the actual sector accessing the reserve. The email group, input your email address number of entities or trips that may be associated impacts would be those and name and then click on the ‘‘sign affected depending on when the salmon described above for the additional up’’ button on the following website: seasons are set and when a closure bycatch minimization tools. https://lp.constantcontactpages.com/su/ could occur. For Washington, there koE8GSV/groundfish. The guide and were 55 unique charter vessels that took Recordkeeping, Reporting, and Other this final rule will also be available on 20,833 bottomfish trips in 2018. In 2018, Compliance Requirements the West Coast Region’s website (see there were 48 charter vessels that took Additional reporting or recordkeeping ADDRESSES) and upon request. an estimated 19,208 angler trips in may be required of the regulated entities Paperwork Reduction Act Collection-of- Oregon. However, this estimate does not under the final action. Cooperatives or Information Requirements include guide boats that do not have an other groups of Pacific whiting vessels official office. In California, there were This final rule contains a new approximately 290 vessels targeting will have new reporting requirements if collection-of-information requirement bottomfish or lingcod, according to they chose to submit an SMP to NMFS subject to review and approval by OMB logbook submissions, that took an for approval. The cooperatives or other under the Paperwork Reduction Act estimated 504,118 angler trips. groups of vessels with an approved SMP (PRA) (OMB Control Number 0648– The economic effects of the final rule will also be required to submit a post- 0794). This rule creates new are described in Section 4.6 of the season report to the Council and NMFS. requirements for the submission of Analysis (see ADDRESSES). The The final rule adds a declaration to the SMPs and post-season reports. The economic effects of the additional suite of available declarations to allow following public reporting burden management tools to minimize ESA- NMFS OLE to sufficiently monitor and estimates for the submission of SMPs listed salmon bycatch will depend on enforce SFFT gear requirements. This and post-season reports under this final the extent and timing of the measure change will have negligible impact on a rule include the time for reviewing that is implemented. It is likely that vessel’s reporting burden. instructions, searching existing data
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sources, gathering and maintaining the the various purposes for which NMFS (13) Non-groundfish trawl gear for data needed, and completing and may implement certain types of GCAs pink shrimp, reviewing the collection information. through routine management measures. (14) Non-groundfish trawl gear for Public reporting burden is estimated to Regulations at § 660.70 further describe ridgeback prawn, average 10 hours per response for the and define coordinates for certain GCAs, (15) Non-groundfish trawl gear for SMP proposal, 3 hours per response for including: Yelloweye Rockfish California halibut, an SMP amendment, 6 hours per Conservation Areas; Cowcod (16) Non-groundfish trawl gear for sea response for an administrative appeal of Conservation Areas; waters encircling cucumber, a disapproved SMP, and 8 hours per the Farallon Islands; and waters (17) Open access longline gear for response for the SMP post-season encircling the Cordell Banks. GCAs also groundfish, report. include depth-based closures bounded (18) Open access Pacific halibut We invite the general public and other by lines approximating depth contours, longline gear, Federal agencies to comment on including Bycatch Reduction Areas or (19) Open access groundfish trap or proposed and continuing information BRAs, or bounded by depth contours pot gear, collections, which helps us assess the and lines of latitude, including, Block (20) Open access Dungeness crab trap impact of our information collection Area Closures or BACs, and Rockfish or pot gear, requirements and minimize the public’s Conservation Areas or RCAs, which may (21) Open access prawn trap or pot reporting burden. Written comments be closed to fishing with particular gear gear, and recommendations for this types. BRA, BAC, and RCA boundaries (22) Open access sheephead trap or information collection should be may change seasonally according to pot gear, submitted at the following website: conservation needs. Regulations at (23) Open access line gear for www.reginfo.gov/public/do/PRAMain. §§ 660.71 through 660.74, and § 660.76 groundfish, Find this particular information define depth-based closure boundary (24) Open access HMS line gear, collection by using the search function lines with latitude/longitude (25) Open access salmon troll gear, and entering the title of the collection, coordinates. Regulations at § 660.11 (26) Open access California Halibut ‘‘Pacific Coast Groundfish Salmon describe commonly used geographic line gear, Bycatch Minimization’’. coordinates that define lines of latitude. (27) Open access Coastal Pelagic Notwithstanding any other provision Fishing prohibitions associated with Species net gear, of the law, no person is required to GCAs are in addition to those associated (28) Other gear, respond to, nor shall any person be with other conservation areas. (29) Tribal trawl, subject to a penalty for failure to comply * * * * * (30) Open access California gillnet with, a collection of information subject ■ 3. Amend § 660.12 by adding complex gear, or to the requirements of the PRA, unless paragraph (a)(19) to read as follows: (31) Gear testing. that collection of information displays a * * * * * currently valid OMB Control Number. § 660.12 General groundfish prohibitions. ■ 5. Amend § 660.50 by revising List of Subjects in 50 CFR Part 660 * * * * * paragraph (h) to read as follows: (a) * * * Fisheries, Fishing, Reporting and (19) Fish for, or take and retain, any § 660.50 Pacific Coast treaty Indian recordkeeping requirements. species of groundfish, during salmon fisheries. Dated: February 10, 2021. bycatch fishery closures described in * * * * * Samuel D. Rauch, III, § 660.60(d)(1)(iv) and (v), or fail to (h) Salmon bycatch. This fishery may Deputy Assistant Administrator for comply with the salmon bycatch be closed through automatic action at Regulatory Programs, National Marine management provisions described in § 660.60(d)(1)(v). Fisheries Service. § 660.60(i). ■ 6. Amend § 660.60 by revising For the reasons set out in the * * * * * paragraphs (c)(3)(i) introductory text, preamble, NMFS amends 50 CFR part ■ 4. Amend § 660.13 by: (c)(3)(i)(C), and (d)(1)(iv) and (v) and 660 as follows: ■ a. Revising paragraph (d)(4)(iv)(A)(10); adding paragraph (i) to read as follows: ■ b. Republishing paragraph PART 660—FISHERIES OFF WEST (d)(4)(iv)(A)(11); § 660.60 Specifications and management measures. COAST STATES ■ c. Revising paragraphs (d)(4)(iv)(A)(12) through (30); and * * * * * ■ 1. The authority citation for part 660 ■ d. Adding paragraph (d)(4)(iv)(A)(31). (c) * * * continues to read as follows: The revisions, republication, and (3) * * * Authority: 16 U.S.C. 1801 et seq., 16 addition read as follows: (i) Depth-based management U.S.C. 773 et seq., and 16 U.S.C. 7001 et seq. measures. Depth-based management ■ 2. Amend § 660.11, in the definition § 660.13 Recordkeeping and reporting. measures, particularly closed areas of ‘‘Conservation area(s)’’, by revising * * * * * known as Groundfish Conservation the introductory text to paragraph (1) to (d) * * * Areas, defined in § 660.11, include read as follows: (4) * * * RCAs, BRAs, and BACs, and may be (iv) * * * implemented in any fishery sector that § 660.11 General definitions. (A) * * * takes groundfish directly or * * * * * (10) Limited entry bottom trawl, incidentally. Depth-based management Conservation area(s) *** shorebased IFQ, not including demersal measures are set using specific (1) Groundfish Conservation Area or trawl or selective flatfish trawl, boundary lines that approximate depth GCA means a conservation area created (11) Limited entry demersal trawl, contours with latitude/longitude or modified and enforced to control shorebased IFQ, waypoints found at §§ 660.70 through catch of groundfish or protected species. (12) Limited entry selective flatfish 660.74 and 660.76. Depth-based Regulations at § 660.60(c)(3) describe trawl, shorebased IFQ, management measures and closed areas
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may be used for the following fishing and marketing patterns; for the off Washington, Oregon and California conservation objectives: To protect and recreational fisheries, to spread the for vessels using midwater trawl gear, rebuild overfished stocks; to prevent the available catch over a large number of consistent with the purposes described overfishing of any groundfish species by anglers; to discourage target fishing in this paragraph (c)(3)(i). minimizing the direct or incidental while allowing small incidental catches * * * * * to be landed; and to allow small catch of that species; or to minimize the (d) * * * incidental harvest of any protected or fisheries to operate outside the normal prohibited species taken in the season. (1) * * * groundfish fishery. Depth-based * * * * * (iv) Close the following groundfish management measures and closed areas (C) Block Area Closures. BACs, as fisheries, not including Pacific Coast may be used for the following economic defined at § 660.111, may be closed or treaty Indian fisheries, when conditions objectives: To extend the fishing season; reopened, in the EEZ off Oregon and for Chinook salmon bycatch described for the commercial fisheries, to California, for vessels using limited in this table and paragraphs (d)(1)(iv)(A) minimize disruption of traditional entry bottom trawl gear, and in the EEZ and (B) of this section are met:
TABLE 1 TO PARAGRAPH (d)(1)(iv)
If Chinook salmon bycatch, as Close: described in § 660.60(i)(2), exceeds: And:
Whiting sector (Pacific whiting IFQ fishery, MS 11,000 fish in the whiting sector ...... (1) A routine management measure specified at Coop Program and/or C/P Coop Program). § 660.60(c) has not been implemented as de- scribed in § 660.60(i)(1) OR (2) The non-whiting sector has caught its 5,500 Chinook salmon by- catch guideline and 3,500 Chinook salmon from the bycatch reserve. Whiting sector (Pacific whiting IFQ fishery, MS 14,500 fish in the whiting sector ...... The non-whiting sector has not accessed the Chi- Coop Program and C/P Coop Program). nook salmon bycatch reserve. Non-whiting sector (midwater trawl, bottom trawl, 5,500 fish in the non-whiting sector ... (1) A routine management measure specified at and fixed gear fisheries under the Shorebased § 660.60(c) has not been implemented as de- IFQ Program, limited entry fixed gear fisheries, scribed in § 660.60(i)(1) OR (2) The whiting sec- open access fisheries, and recreational fisheries tor has caught its 11,000 Chinook salmon subject to this provision as set out in guideline and 3,500 Chinook salmon from the § 660.360(d)). bycatch reserve. Non-whiting sector (midwater trawl, bottom trawl, 9,000 fish in the non-whiting sector ... The whiting sector has not accessed the Chinook and fixed gear fisheries under the Shorebased salmon bycatch reserve. IFQ Program, limited entry fixed gear fisheries, open access fisheries, and recreational fisheries subject to this provision as set out in § 660.360(d)). Non-whiting trawl fisheries (midwater trawl and bot- 8,500 fish in the non-whiting sector. tom trawl fisheries under the Shorebased IFQ Program). All trawl fisheries (whiting sector and non-whiting 19,500 fish in the whiting and non- trawl fisheries). whiting sector.
(A) Consistent with § 660.60(i)(2), the groundfish fishery exceeds 20,000 limited entry fixed gear fisheries, open each component of the whiting sector fish. access fisheries as defined at § 660.11, (Pacific whiting IFQ fishery, MS Coop * * * * * and recreational fisheries subject to this Program and C/P Coop Program) will be (i) Salmon bycatch management. provision as set out in § 660.360(d). The closed when Chinook salmon bycatch Salmon bycatch is managed through whiting sector is the Pacific whiting exceeds 11,000 Chinook salmon if a routine management measures, salmon fishery, as defined in § 660.111, and routine management measure specified bycatch guidelines and a Chinook includes the Pacific Coast treaty Indian at § 660.60(c) has not been implemented salmon bycatch reserve, and fisheries vessels that target whiting, as well as as described in § 660.60(i)(2) for that closures. For purposes of salmon non-tribal vessels that target whiting individual component of the whiting bycatch management, the groundfish participating in the C/P Coop Program, sector. fishery is divided into the whiting the MS Coop Program, and the Pacific sector and non-whiting sector and whiting IFQ fishery. (B) Consistent with § 660.60(i)(2), the includes bycatch of Chinook salmon Chinook salmon closure at 11,000 fish and coho salmon from both non-tribal (1) Routine management measures. does not apply to those whiting sector fisheries and Pacific Coast treaty Indian Routine management measures vessels that are parties to an approved fisheries. The non-whiting sector specified at § 660.60(c) may be Salmon Mitigation Plan, as specified at includes the Pacific Coast treaty Indian implemented to minimize Chinook § 660.113(e), unless the non-whiting vessels that target Pacific coast salmon and/or coho salmon bycatch in sector has caught the entire 3,500 groundfish species other than whiting, the groundfish fishery. These measures Chinook salmon bycatch reserve. as well as non-tribal vessels that target may include BRAs, BACs, or a selective (v) Close all groundfish fisheries, Pacific coast groundfish species other flatfish trawl gear requirement. These including Pacific Coast treaty Indian than whiting in the midwater trawl, measures would not apply to vessels fisheries, if Chinook salmon bycatch in bottom trawl, and fixed gear fisheries fishing in Pacific Coast treaty Indian under the Shorebased IFQ Program, fisheries.
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(i) Non-whiting sector. Routine ■ b. Removing the definition of implemented for vessels that are parties management measures to manage ‘‘Mothership Coop Program or MS Coop to an approved SMP. salmon bycatch in the non-whiting Program’’; and * * * * * sector include: ■ c. Adding a definition for ‘‘Salmon ■ 8. Amend § 660.113 by adding (A) A BAC for bottom trawl or Mitigation Plan (SMP)’’ in alphabetical paragraph (e) to read as follows: midwater trawl as specified at order. § 660.60(c)(3)(i). § 660.113 Trawl fishery—recordkeeping (B) A BRA for midwater trawl as The revision and addition read as and reporting. specified at § 660.60(c)(3)(i). follows: * * * * * (e) Salmon Mitigation Plan (SMP). (C) A selective flatfish trawl gear § 660.111 Trawl fishery—definitions. requirement for bottom trawl. NMFS may approve a SMP for a group * * * * * (ii) Whiting sector. Routine of at least three vessels in the MS Coop Program, C/P Coop Program, or Pacific management measures to manage Block area closures or BACs are a type whiting IFQ fishery. NMFS may salmon bycatch in the whiting sector of groundfish conservation area, defined approve an SMP for more than one include: at § 660.11, bounded on the north and group in a given year. (A) A BAC as specified at south by commonly used geographic coordinates, defined at § 660.11, and on (1) Applicability of further measures § 660.60(c)(3)(i). to manage salmon bycatch. Routine (B) A BRA as specified at the east and west by the EEZ, and boundary lines approximating depth management measures to minimize § 660.60(c)(3)(i). Chinook salmon bycatch as described in contours, defined with latitude and (2) Chinook salmon bycatch § 660.60(i) may be implemented for longitude coordinates at §§ 660.71 guidelines and Chinook salmon bycatch vessels with an approved SMP. reserve. The Chinook salmon bycatch through 660.74 (10 fm through 250 fm), (2) SMP contents. The SMP must guideline for the non-whiting sector is and § 660.76 (700 fm). BACs may be contain, at a minimum, the following— 5,500 fish. The Chinook salmon bycatch implemented or modified as routine (i) SMP name. The name of the SMP. guideline for the whiting sector is management measures, per regulations (ii) Vessels party to the SMP. The 11,000 fish. If a sector exceeds its at § 660.60(c). BACs may be vessel name and USCG vessel Chinook salmon bycatch guideline, it implemented in the EEZ off Oregon and registration number (as given on USCG may access a reserve of 3,500 Chinook California for vessels using limited entry Form 1270) or state registration number, salmon reserve provided action has bottom trawl and/or midwater trawl if no USCG documentation, of each been taken to minimize Chinook salmon gear. BACs may be implemented in the vessel that is party to the SMP. A bycatch as described in paragraph EEZ off Washington shoreward of the minimum of three vessels must be party (i)(2)(i) or (ii) of this section. For boundary line approximating the 250-fm to the SMP. bycatch accounting purposes, all depth contour for midwater trawl (iii) Compliance agreement. A written Chinook salmon bycatch from the vessels. BACs may close areas to statement that all parties to the SMP groundfish fishery, including both non- specific trawl gear types (e.g. closed for agree to voluntarily comply with all tribal and Pacific Coast treaty Indian midwater trawl, bottom trawl, or bottom provisions of the SMP. fisheries, counts towards the applicable trawl unless using selective flatfish (iv) Signatures of those party to SMP. whiting or non-whiting sector bycatch trawl) and/or specific programs within The names and signatures of the owner guideline and the reserve. the trawl fishery (e.g. Pacific whiting or representative for each vessel that is (i) Reserve access for the non-whiting fishery or MS Coop Program). BACs may party to the SMP. (v) Designated SMP representative. sector. The non-whiting sector may only vary in their geographic boundaries and The name, telephone number, mailing access the reserve if a measure duration. Their geographic boundaries, address, and email address of a person described in paragraph (i)(1)(i) of this applicable gear type(s) and/or specific appointed by those party to the SMP section has been implemented. trawl fishery program, and effective dates will be announced in the Federal who is responsible for: (ii) Reserve access for the whiting (A) Serving as the SMP contact person Register. BACs may have a specific sector. Each component of the whiting between NMFS and the Council; sector (Pacific whiting IFQ fishery, MS termination date as described in the (B) Submitting the SMP proposal and Coop Program and C/P Coop Program) Federal Register, or may be in effect any SMP amendments; and may only access the reserve if a measure until modified. BACs that are in effect (C) Submitting the SMP postseason described in paragraph (i)(1)(ii) of this until modified by Council report to the Council and NMFS. section has been implemented for that recommendation and subsequent NMFS (vi) Plan. A description of: component of the whiting fishery. If a action are set out in Tables 1 (North) (A) How parties to the SMP will measure described in paragraph (i)(1)(ii) and 1 (South) of this subpart. adequately monitor and account for the of this section has not been * * * * * catch of Chinook salmon. implemented for that component of the (B) How parties to the SMP will avoid Salmon Mitigation Plan (SMP) means whiting fishery, vessels within that and minimize Chinook salmon bycatch, a voluntary agreement amongst a group component that are parties to an including a description of tools parties of at least three vessels in the MS Coop approved Salmon Mitigation Plan will employ. Tools may include, but Program, C/P Coop Program, or Pacific (SMP), as specified at § 660.113(e), may would not be limited to, information whiting IFQ fishery to manage Chinook access the reserve. sharing, area closures, movement rules, salmon bycatch, approved by NMFS (3) Fisheries closures. Groundfish salmon excluder use, and internal under § 660.113(e). Vessels fishing fisheries may be closed through bycatch guidelines. under an approved SMP would have automatic action at § 660.60(d)(1)(iv) (C) How the SMP is expected to access to the Chinook salmon bycatch and (v). promote reductions in Chinook salmon reserve as described in § 660.60(i)(2). bycatch relative to what would have ■ 7. Amend § 660.111 by: Routine management measures to occurred in absence of the SMP. ■ a. Revising the definition of ‘‘Block minimize Chinook salmon bycatch as (3) Deadline for proposed SMP. A area closures or BACs’’; described in § 660.60(i) may be proposed SMP must be submitted
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between February 1 and March 31 of the amendment to an SMP for any of the will not have access to the Chinook year in which it intends to be in effect following reasons: salmon bycatch reserve unless a to NMFS at: NMFS, West Coast Region, (1) If the proposed SMP fails to meet measure described in § 660.60(i)(1)(ii) ATTN: Fisheries Permit Office, Bldg. 1, any of the requirements of paragraphs has been implemented for that 7600 Sand Point Way NE, Seattle, WA (e)(2) through (4) of this section, component of the whiting fishery. 98115. In 2021, NMFS may consider (2) If a proposed amendment to an (6) SMP postseason report. The proposals received after March 31. In SMP would cause the SMP to no longer designated SMP representative for an 2021, NMFS will announce any changes meet the requirements of paragraphs approved SMP must submit a written to the SMP submission deadline via (e)(2) and (4) of this section, or postseason report to NMFS and the public notice. In 2022 and beyond, (3) If NMFS determines the proposed Council for the year in which the SMP NMFS will not consider any proposals SMP or SMP amendment is not was approved. received after March 31. reasonably expected to reduce Chinook (i) Submission deadline. The SMP (4) Duration. Once approved, the SMP salmon bycatch. postseason report must be received by expires on December 31 of the year in (B) Initial Administrative NMFS and the Council no later than which it was approved. An SMP may Determination (IAD). If, in NMFS’ March 31 of the year following that in not expire mid-year. No party may join review of the proposed SMP or which the SMP was approved. or leave an SMP once it is approved, amendment, NMFS identifies (ii) Information requirements. The except as allowed in paragraph (e)(5)(iii) deficiencies in the proposed SMP that SMP postseason report must contain, at of this section. would require disapproval of the a minimum, the following information: (5) NMFS review of a proposed SMP— proposed SMP or amendment, NMFS (A) Name of the SMP and SMP (i) Approval. The Assistant Regional will notify the applicant in writing. The identification number. Administrator will provide written applicant will be provided one 30-day (B) A comprehensive description of notification of approval to the period to address, in writing, the Chinook salmon bycatch avoidance designated SMP representative if the deficiencies identified by NMFS. measures used in the fishing year in SMP meets the following requirements: Additional information or a revised which the SMP was approved, (A) Contains the information required SMP received by NMFS after the including but not limited to, in paragraph (e)(2) of this section; expiration of the 30-day period information sharing, area closures, (B) Is submitted in compliance with specified by NMFS will not be movement rules, salmon excluder use, the requirements of paragraphs (e)(3) considered for purposes of the review of and internal bycatch guidelines. and (4) of this section; and the proposed SMP or amendment. (C) An evaluation of the effectiveness (C) As determined by NMFS, is NMFS will evaluate any additional of these avoidance measures in reasonably expected to reduce Chinook information submitted by the applicant minimizing Chinook salmon bycatch. salmon bycatch. within the 30-day period. If the (D) A description of any amendments (ii) SMP identification number. If Assistant Regional Administrator to the terms of the SMP that were approved, NMFS will assign an SMP determines the additional information approved by NMFS during the fishing identification number to the approved addresses deficiencies in the proposed year in which the SMP was approved SMP. SMP or amendment, the Assistant and the reasons the amendments to the (iii) Amendments to an SMP. After Regional Administrator will approve the SMP were made. the SMP is approved, the designated proposed SMP or amendment under ■ 9. Amend § 660.130 by revising SMP representative must submit any paragraph (e)(5)(i) or (iii) of this section. paragraphs (e) introductory text, (e)(5) changes to the SMP, including any However, if, after consideration of the introductory text, and (e)(5)(i) and (iii) changes in the vessels party to the SMP, original proposed SMP or amendment, and adding paragraph (g) to read as as an amendment to the SMP for any additional information, or a revised follows: approval by NMFS. The designated SMP SMP submitted during the 30-day representative may submit amendments period, NMFS determines the proposed § 660.130 Trawl fishery—management measures. to an approved SMP to NMFS at any SMP or amendment does not comply time during the year in which the SMP with the requirements of paragraph * * * * * is approved. The amendment must (e)(5)(i) or (iii) of this section, the (e) Groundfish conservation areas include the SMP identification number. Assistant Regional Administrator will (GCAs). GCAs are closed areas, defined An amendment to an approved SMP is issue an IAD to the applicant in writing at § 660.11, and using latitude and effective upon written notification of providing the reasons for disapproving longitude coordinates specified at approval by NMFS to the designated the proposed SMP or amendment. §§ 660.70 through 660.74, and § 660.76. SMP representative. The Assistant (C) Administrative Appeals. An * * * * * Regional Administrator will provide applicant who receives an IAD (5) Block area closures or BACs. written notification of approval to the disapproving a proposed SMP or BACs, defined at § 660.111, are designated SMP representative if the amendment may appeal. The appeal applicable to vessels with groundfish SMP as amended meets the following must be filed in writing within 30 bottom trawl or midwater trawl gear on requirements: calendar days of when NMFS issues the board that is not stowed, per the (A) Contains the information required IAD. The NOAA Fisheries National prohibitions in § 660.112(a)(5). When in in paragraph (e)(2) of this section; Appeals Office will process any appeal. effect, BACs are areas closed to bottom (B) Is submitted in compliance with The regulations and policy of the trawl and/or midwater trawl fishing. A the requirements of paragraph (e)(4) of National Appeals Office will govern the vessel operating, for any purpose other this section; and appeals process. The National Appeals than continuous transiting, in the BAC (C) As determined by NMFS, is Office regulations are specified at 15 must have prohibited trawl gear stowed, reasonably expected to reduce Chinook CFR part 906. as defined at § 660.111. Nothing in these salmon bycatch. (D) Pending appeal. While the appeal Federal regulations supersedes any state (iv) Disapproval—(A) NMFS of an IAD disapproving a proposed SMP regulations that may prohibit trawling Disapproval. NMFS will disapprove a or amendment is pending, proposed shoreward of the fishery management proposed SMP or a proposed parties to the SMP subject to the IAD area, defined at § 660.11. Prohibitions at
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§ 660.112(a)(5) do not apply under any authorized gear type for the area and and season, provided it makes the of the following conditions and when season, and not prohibited by the BAC. appropriate declaration change. the vessel has a valid declaration for the * * * * * * * * * * allowed fishing: (iii) Multiple gears. If a vessel fishes (g) Salmon bycatch. This fishery may (i) Trawl gear. Limited entry midwater in a BAC with an authorized groundfish be closed through automatic action at trawl gear and bottom trawl gear may be trawl gear, it may fish outside the BAC § 660.60(d)(1)(iv) and (v). used within the BAC only when it is an on the same trip using another [FR Doc. 2021–03204 Filed 2–22–21; 8:45 am] authorized trawl gear type for that area BILLING CODE 3510–22–P
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Proposed Rules Federal Register Vol. 86, No. 34
Tuesday, February 23, 2021
This section of the FEDERAL REGISTER Based Net Worth—COVID–19 structure for PCA in section 216 that contains notices to the public of the proposed Regulatory Relief’’ in the transmittal. consists of three principal components: issuance of rules and regulations. The • Mail: Address to Melane Conyers- (1) A framework combining mandatory purpose of these notices is to give interested Ausbrooks, Secretary of the Board, actions prescribed by statute with persons an opportunity to participate in the National Credit Union Administration, discretionary actions developed by the rule making prior to the adoption of the final 1775 Duke Street, Alexandria, Virginia rules. NCUA; (2) an alternative system of PCA 22314–3428. to be developed by the NCUA for credit Public Inspection: You may view all unions defined as ‘‘new;’’ and (3) a risk- NATIONAL CREDIT UNION public comments on the Federal based net worth requirement to apply to ADMINISTRATION eRulemaking Portal at http:// credit unions the NCUA defines as www.regulations.gov as submitted, ‘‘complex.’’ 12 CFR Part 702 except for those we cannot post for The Board initially implemented the technical reasons. The NCUA will not 4 RIN 3133–AF21 required system of PCA in 2000, edit or remove any identifying or primarily in part 702 of the NCUA’s contact information from the public Risk-Based Net Worth—COVID–19 regulations, and most recently made comments submitted. Due to social Regulatory Relief substantial updates to the regulation in distancing measures in effect, the usual October 2015 5 and October 2018.6 The AGENCY: National Credit Union opportunity to inspect paper copies of risk-based net worth requirement for Administration (NCUA). comments in the NCUA’s law library is credit unions meeting the definition of ACTION: Proposed rule. not currently available. After social ‘‘complex’’ was first applied on the distancing measures are relaxed, visitors basis of data in the Call Report reflecting SUMMARY: The NCUA Board (Board) is may make an appointment to review activity in the first quarter of 2001.7 The issuing this proposal to raise the asset paper copies by calling (703) 518–6540 NCUA’s risk-based net worth threshold for defining a credit union as or emailing [email protected]. requirement has been largely unchanged ‘‘complex’’ for purposes of being subject FOR FURTHER INFORMATION CONTACT: since its implementation, with limited to any risk-based net worth requirement Policy and Analysis: Kathryn Metzker, exceptions.8 Currently, the NCUA in the NCUA’s regulations. The Risk Management Division, Office of defines a credit union as complex and proposed rule would amend the Examination and Insurance, at (571) thus subject to the requirement only if NCUA’s regulations to provide that any 438–0073; Legal: Thomas Zells, Staff the credit union has quarter-end assets risk-based net worth requirement will Attorney, Office of General Counsel, at that exceed $50 million and its risk- be applicable only to a federally insured (703) 518–6540; Rachel Ackmann, based net worth requirement exceeds natural-person credit union (credit Senior Staff Attorney, Office of General six percent.9 union) with quarter-end assets that Counsel, at (703) 548–2601; or by mail As described more fully below, while exceed $500 million and a risk-based at: National Credit Union the risk-based net worth requirement net worth requirement that exceeds six Administration, 1775 Duke Street, remains in place, the NCUA has issued percent. The COVID–19 pandemic has Alexandria, Virginia 22314. multiple final rules to implement a created a vital need for financial SUPPLEMENTARY INFORMATION: requirement that utilizes an RBC ratio to institutions, including credit unions, to I. Introduction replace the current requirement. The provide access to responsible credit and II. Legal Authority other member services to support III. The Proposed Rule 4 12 CFR part 702; see also 65 FR 8584 (Feb. 18, consumers. Implementing this IV. Impact of the Proposed Rule 2000) and 65 FR 44950 (July 20, 2000). regulatory change in advance of January V. Regulatory Procedures 5 80 FR 66626 (Oct. 29, 2015). 6 83 FR 55467 (Nov. 6, 2018). 1, 2022, the effective date of the 2015 I. Introduction final risk based capital (RBC) rule issued 7 65 FR 44950 (July 20, 2000). 8 by the NCUA, would provide necessary In 1998, Congress enacted the Credit The NCUA’s risk-based net worth requirement has been largely unchanged since its capital relief to a significant number of Union Membership Access Act 1 implementation, with limited exceptions: Revisions credit unions without substantially (CUMAA). Section 301 of CUMAA were made to the rule in 2003 to amend the risk- decreasing the safety and soundness of added section 216 to the Federal Credit based net worth requirement for member business 2 credit unions or the National Credit Union Act (FCU Act), which required loans, 68 FR 56537 (Oct. 1, 2003); revisions were made to the rule in 2008 to incorporate a change Union Share Insurance Fund (NCUSIF). the Board to adopt by regulation a system of prompt corrective action in the statutory definition of ‘‘net worth,’’ 73 FR DATES: 72688 (Dec. 1, 2008); revisions were made to the Comments must be received on (PCA) to restore the net worth of credit or before March 25, 2021. rule in 2011 to expand the definition of ‘‘low-risk unions that become inadequately assets’’ to include debt instruments on which the ADDRESSES: You may submit written capitalized. The purpose of section 216 payment of principal and interest is comments, identified by RIN 3133– of the FCU Act is to ‘‘resolve the unconditionally guaranteed by the NCUA, 76 FR AF21, by any of the following methods 16234 (Mar. 23, 2011); revisions were made in 2013 problems of [federally] insured credit to exclude credit unions with total assets of $50 (Please send comments by one method unions at the least possible long-term million or less from the definition of ‘‘complex’’ only): loss to the [NCUSIF].’’ 3 To carry out credit union, 78 FR 4033 (Jan. 18, 2013); and • Federal eRulemaking Portal: http:// that purpose, Congress set forth a basic amendments were made in April 2020 to define www.regulations.gov. Follow the loans made by credit unions under the Small Business Administration’s Paycheck Protection instructions for submitting comments. 1 Public Law 105–219, 112 Stat. 913 (1998). Program as ‘‘low-risk assets,’’ 85 FR 23212 (Apr. 27, • Fax: (703) 518–6319. Include 2 12 U.S.C. 1790d. 2020). ‘‘[Your Name]—Comments on Risk- 3 12 U.S.C. 1790d(a)(1). 9 12 CFR 702.103.
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RBC requirement is based on the same 2020.12 Importantly, the 2018 This capital relief would enable credit provisions in the FCU Act, but uses Supplemental Rule also amended the unions to provide better service and different terminology and standards to definition of ‘‘complex’’ credit union, more loans to their members. distinguish it from the current risk- adopted in the 2015 Final Rule for RBC II. Legal Authority based net worth requirement. However, purposes, by increasing the threshold the effective date of the RBC level for coverage from $100 million to As discussed above, in 1998, Congress amendments has been delayed until $500 million. Therefore, only credit enacted CUMAA.16 Section 301 of January 1, 2022, and the rule is unions with over $500 million in assets CUMAA added section 216 to the FCU currently undergoing a holistic review will be subject to the 2015 Final Rule.13 Act,17 which required the Board to as part of that delay. Further, and of These changes provided these covered adopt by regulation a system of PCA to particular relevance to this proposed credit unions and the NCUA with restore the net worth of credit unions rule, the prospective RBC requirement additional time to prepare for the rule’s that become inadequately capitalized.18 applies only if a credit union’s quarter- implementation, and exempted an Section 216(b)(1)(A) requires the Board end total assets exceed $500 million, additional 1,026 credit unions from the to adopt by regulation a system of PCA whereas the current risk-based net RBC requirements of the 2015 Final for credit unions ‘‘consistent with’’ worth requirement applies if a credit Rule without subjecting the NCUSIF to section 216 of the FCU Act and union has quarter-end assets that exceed undue risk. ‘‘comparable to’’ section 38 of the $50 million and its risk-based net worth In December 2019, the Board issued a Federal Deposit Insurance Act (FDI 19 requirement, as calculated under final rule (2019 Supplemental Rule) to Act). Section 216(b)(1)(B) requires that current part 702, exceeds six percent. further delay the effective date of the the Board, in designing the PCA system, As noted, at its October 2015 meeting, 2015 Final Rule an additional two years, also take into account the ‘‘cooperative the Board issued a final rule (2015 Final until January 1, 2022.14 The Board character of credit unions’’ (i.e., credit Rule) to amend part 702 of the NCUA’s issued the 2019 Supplemental Rule to unions are not-for-profit cooperatives current PCA regulations to require that allow the Board more time to that do not issue capital stock, must rely credit unions taking certain risks hold holistically and comprehensively on retained earnings to build net worth, capital commensurate with those evaluate capital standards for credit and have boards of directors that consist 20 risks.10 The RBC provisions of the 2015 unions 15 and provide covered credit primarily of volunteers). Among other Final Rule applied only to credit unions unions and the NCUA with additional things, section 216(c) of the FCU Act with quarter-end total assets exceeding time to prepare for the 2015 Final Rule’s requires the NCUA to use a credit $100 million. The overarching intent of implementation. union’s net worth ratio to determine its the 2015 Final Rule was to reduce the Under the 2019 Supplemental Rule, classification among five ‘‘net worth 21 likelihood that a relatively small the NCUA’s current PCA regulation categories’’ set forth in the FCU Act. number of high-risk outlier credit remains in effect until the 2015 Final Section 216(o) generally defines a credit unions would exhaust their capital and Rule’s amended effective date, January union’s ‘‘net worth’’ as its retained 22 cause large losses to the NCUSIF. Under 1, 2022. The NCUA has enforced, and earnings balance, and a credit union’s the FCU Act, federally insured credit will continue to enforce, the capital ‘‘net worth ratio,’’ as the ratio of its net 23 unions are collectively responsible for standards currently in place and address worth to its total assets. As a credit replenishing losses to the NCUSIF.11 any supervisory concerns through union’s net worth ratio declines, so does The 2015 Final Rule restructures the existing regulatory and supervisory its classification among the five net NCUA’s current PCA regulations and mechanisms. Until that amended worth categories, thus subjecting it to an makes various revisions, including effective date, a credit union that would expanding range of mandatory and amending the agency’s risk-based net be exempted from any future RBC discretionary supervisory actions under 24 worth requirement by replacing it with requirement because it does not have PCA. a new RBC ratio. The Board originally over $500 million in total assets remains Section 216(d)(1) of the FCU Act set the effective date of the 2015 Final subject to the current risk-based net requires that the NCUA’s system of PCA Rule for January 1, 2019 to provide worth requirement if it has over $50 include, in addition to the statutorily credit unions and the NCUA with million in total assets and a risk-based defined net worth ratio requirement applicable to credit unions, ‘‘a risk- sufficient time to make the necessary net worth requirement that exceeds six 25 adjustments—such as systems, percent. The Board now believes that based net worth requirement for processes, and procedures—and to this is an unnecessary restriction and is 16 Public Law 105–219, 112 Stat. 913 (1998). reduce the burden on affected credit proposing to increase the threshold for 17 12 U.S.C. 1790d. unions. defining a complex credit union for 18 The risk-based net worth requirement for credit At its October 2018 meeting, the purposes of the current risk-based net unions meeting the definition of ‘‘complex’’ was Board issued a final rule (2018 worth requirement to $500 million to first applied on the basis of data in the Call Report Supplemental Rule) to delay the match the prospective RBC requirement reflecting activity in the first quarter of 2001. 65 FR 44950 (July 20, 2000). effective date of the 2015 Final Rule for while retaining the requirement that a 19 12 U.S.C. 1790d(b)(1)(A); see also 12 U.S.C. an additional year, moving the effective credit union’s risk-based net worth 1831o (Section 38 of the FDI Act setting forth the date from January 1, 2019 to January 1, requirement also exceeds six percent. PCA requirements for banks). 20 12 U.S.C. 1790d(b)(1)(B). 21 10 80 FR 66626 (Oct. 29, 2015). 12 83 FR 55467 (Nov. 6, 2018). 12 U.S.C. 1790d(c). 22 11 See 12 U.S.C. 1782(c)(2)(A) (The FCU Act 13 The risk-based net worth requirement currently 12 U.S.C. 1790d(o)(2). requires that each federally insured credit union in effect applies to a credit union only if it has 23 12 U.S.C. 1790d(o)(3). pay a Federal share insurance premium equal to a quarter-end assets that exceed $50 million and its 24 12 U.S.C. 1790d(c)–(g); 12 CFR 702.204(a)–(b). percentage of the credit union’s insured shares to risk-based net worth requirement exceeds six 25 For purposes of this rulemaking, the term ‘‘risk- ensure that the NCUSIF has sufficient reserves to percent. based net worth requirement’’ is used in reference pay potential share insurance claims by credit 14 84 FR 68781 (Dec. 17, 2019). to the statutory requirement for the Board to design union members, and to provide assistance in 15 The final rule provided several examples of a capital standard that accounts for variations in the connection with the liquidation or threatened issues the Board would consider during the delay, risk profile of complex credit unions. The term RBC liquidation of federally insured credit unions in including asset securitization, subordinated debt, is used to refer to the specific standards established troubled condition.). and a community bank leverage ratio analog. Continued
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insured credit unions that are complex, credit union to hold excess capital 2018 Supplemental Rule also used a as defined by the Board.’’ 26 The FCU above what is necessary to account for complexity ratio, a ratio of complex Act directs the NCUA to base its risk limits its ability to increase lending assets and liabilities to total assets, to definition of ‘‘complex’’ credit unions or provide necessary services to evaluate the extent to which credit ‘‘on the portfolios of assets and members. Specifically, potential unions are involved in complex liabilities of credit unions.’’ 27 It also consequences of the higher capital activities. The 2018 Supplemental Rule requires the NCUA to design a risk- requirements include: Reduced or noted that of the $497 billion in based net worth requirement to apply to higher-cost lending, limited products, complex assets and liabilities in the such ‘‘complex’’ credit unions.28 higher compliance cost, and increased credit union system, $423 billion (85 In addition to the specific regulatory merger activity. percent)—the majority of complex assets authority provided to the NCUA by the In 2018, the NCUA determined that and liabilities in the credit union above-referenced statutory provisions of increasing the applicability threshold system—are held among credit unions the FCU Act, the FCU Act also grants for RBC to $500 million did not pose with more than $500 million in assets.31 the NCUA broad plenary rulemaking undue risk to the NCUSIF because In general, two-thirds of credit unions authority. credit unions with assets greater than with more than $500 million in total $500 million account for the majority of III. The Proposed Rule assets had complex assets and liabilities industry assets (both total assets and ratios above 30 percent. Only 11 percent The COVID–19 pandemic has created complex assets, as explained below). of credit unions with less than $500 a vital need for financial institutions, Based on September 30, 2020 data, million had complexity ratios above 30 including credit unions, to provide credit unions with assets between $50 percent. access to responsible credit and other million and $500 million account for Using both the revised complexity member services to support consumers. 15.9 percent of industry assets and 33.8 index and the complexity ratio, the 2018 The Board is working with Federal and percent of credit unions. The average Supplemental Rule noted the $500 state regulatory agencies, in addition to asset size of a credit union in this cohort million threshold for defining complex credit unions, to assist credit unions in is $164 million. Conversely, credit credit unions would not represent managing their operations and to unions with assets greater than $500 undue risk to the NCUSIF as facilitate continued assistance to credit million account for 81.6 percent of approximately 76 percent of the assets union members and communities industry assets and only 12.4 percent of held by federally insured credit unions impacted by the coronavirus. As part of total credit unions. Therefore, raising would still be covered. As noted above, these ongoing efforts, the Board is the risk-based net worth requirement credit unions with assets above $500 proposing to raise the asset threshold for threshold to $500 million would still million represent 81.6 percent of defining a credit union as ‘‘complex’’ for cover the majority of assets in the credit industry assets as of September 30, purposes of the current risk-based net union system and not pose undue risk 2020. worth requirement. Under the proposal, to the NCUSIF for the same reasons that The Board believes this change would any risk-based net worth requirement the Board found in the 2018 provide relief to many credit unions and would be applicable to only a credit Supplemental Rule. In the 2015 Final help to maintain confidence in the union with quarter-end assets that Rule and 2018 Supplemental Rule, the system of cooperative credit, consistent exceed $500 million whose risk-based NCUA determined a credit union was with the NCUA’s mission. net worth requirement also exceeds six complex by evaluating whether its IV. Impact of the Proposed Rule percent. This would remain in place portfolios of assets and liabilities were until the effective date of the above- complex based on the products and Increasing the complexity threshold referenced RBC rule. The Board believes services in which such credit unions to $500 million would provide potential that this increase would provide engaged. An asset size threshold was relief to 1,737 credit unions. While all necessary relief to a significant number developed as a proxy measure based on complex credit unions meet their risk- of credit unions and their members a detailed analysis performed by the based net worth requirement as of without substantially increasing the risk NCUA.29 The threshold set forth a clear September 30, 2020, because their net to credit unions or the NCUSIF, demarcation line, above which the worth ratio exceeds their risk-based net consistent with the NCUA’s NCUA determined all credit unions worth requirement, immediate capital responsibility to maintain the safety and engaged in complex activities, and relief can be provided to some of these soundness of the credit union system. where almost all such credit unions credit unions. As shown in Table 1, The NCUA seeks to strike the were involved in multiple complex there are 94 complex credit unions with appropriate balance between providing activities. assets totaling $66 billion which are for the safety and soundness of the The asset threshold adopted in the required to hold capital above 7 percent credit union industry, while not 2015 Final Rule and revised in the 2018 to be well capitalized based on their restricting credit union activities by Supplemental Rule for determining risk-based net worth requirement. Of the requiring a credit union to hold whether a credit union is complex was 94 credit unions, 67 have assets less excessive levels of capital. Requiring a based on a complexity index.30 The than $500 million and would no longer be required to hold more capital to in the 2015 Final Rule to function as criteria for the 29 See the 2015 Final Rule and 2018 remain well capitalized. Additionally, statutory risk-based net worth requirement. The Supplemental Rule for reasons the NCUA believes increasing the complexity threshold term ‘‘risk-based capital ratio’’ is also used by the a single asset-size threshold is appropriate for now rather than when the 2015 Final other Federal banking agencies and the determining whether a credit union is complex for international banking community when referring to purposes of prompt corrective action. See 80 FR Rule goes into effect will not pose the types of risk-based requirements that are 66626 (Oct. 29, 2015) and 83 FR 55467 (Nov. 6, addressed in the 2015 Final Rule. This change in 2018). in the original complexity index so the index more terminology has no substantive effect on the 30 The 2015 Final Rule and 2018 Supplemental accurately reflected ‘‘complexity’’ in credit unions requirements of the FCU Act, and is intended only Rule both used a complexity index, however the and took into account certain regulatory changes to reduce confusion for the reader. original complexity index used in the 2015 Final that were made after the 2015 Final Rule was 26 12 U.S.C. 1790d(d)(1). Rule was amended in the 2018 Supplemental Rule. approved. 27 12 U.S.C. 1790d(d). The 2018 Supplemental Rule used a revised 31 This was based on available data at the time of 28 Id. complexity index that amended six of the indicators the 2018 Supplemental Rule.
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undue risk to the NCUSIF as the 67 credit unions provided relief represent less than 1 percent of industry assets.
TABLE 1—COMPLEX CREDIT UNIONS WITH A RISK BASED NET WORTH REQUIREMENT GREATER THAN 7 PERCENT
Number of Total assets Percent of Asset category credit unions (million) industry assets
Assets >$50M 32 ...... 94 $66.0 3.7 Assets >$500M 33 ...... 27 54.6 3.1 $50M< Assets <$500M ...... 67 11.4 0.6
Therefore, this proposed rule would will not cause any increased burden on section 654 of the Treasury and General provide immediate relief for the 67 credit unions and will not have an Government Appropriations Act, 1999, credit unions that must currently impact on small credit unions. Public Law 105–277, 112 Stat. 2681 manage their capital levels to a risk- Accordingly, the NCUA certifies that the (1998). based net worth requirement above proposed rule will not have a significant List of Subjects in 12 CFR Part 702 seven percent.34 Additionally, it would economic impact on a substantial also provide relief to all credit unions number of small credit unions. Credit, Credit unions, Reporting and with assets between $50 million and recordkeeping requirements. B. Paperwork Reduction Act $500 million, which would be able to By the NCUA Board on January 14, 2021. The Paperwork Reduction Act of 1995 expand their portfolios and simply Melane Conyers-Ausbrooks, manage their capital levels to meet the (PRA) applies to rulemakings in which Secretary of the Board. seven percent leverage requirement to an agency by rule creates a new be well capitalized. paperwork burden on regulated entities For the reasons discussed in the The NCUA invites comments on all or modifies an existing burden (44 preamble, the Board proposes to amend aspects of the proposal.35 U.S.C. 3507(d)). For purposes of the part 702 of chapter VII of title 12 of the PRA, a paperwork burden may take the Code of Federal Regulations as follows: V. Regulatory Procedures form of a reporting, recordkeeping, or a A. Regulatory Flexibility Act (RFA) third-party disclosure requirement, PART 702—CAPITAL ADEQUACY The Regulatory Flexibility Act (RFA) referred to as an information collection. The NCUA may not conduct or sponsor, ■ 1. The authority citation for part 702 generally requires that, in connection continues to read as follows: with a notice of proposed rulemaking, and the respondent is not required to an agency prepare and make available respond to, an information collection Authority: 12 U.S.C. 1766(a), 1790d. unless it displays a valid Office of for public comment an initial regulatory § 702.103 [Amended] flexibility analysis that describes the Management and Budget (OMB) control ■ 2. Amend § 702.103(a) by removing impact of a proposed rule on small number. This proposed rule contains no the words ‘‘fifty million dollars entities. A regulatory flexibility analysis provisions constituting a collection of ($50,000,000)’’ and add in their place is not required, however, if the agency information under the Paperwork ‘‘five hundred million dollars certifies that the rule will not have a Reduction Act of 1995 (44 U.S.C. et ($500,000,000).’’ significant economic impact on a seq.). substantial number of small entities C. Executive Order 13132 [FR Doc. 2021–01400 Filed 2–22–21; 8:45 am] BILLING CODE 7535–01–P (defined for purposes of the RFA to Executive Order 13132 encourages include federally insured credit unions independent regulatory agencies to with assets less than $100 million) and consider the impact of their actions on publishes its certification and a short, state and local interests. The NCUA, an DEPARTMENT OF TRANSPORTATION explanatory statement in the Federal independent regulatory agency as Federal Aviation Administration Register together with the rule. The defined in 44 U.S.C. 3502(5), voluntarily proposed rule would only exempt complies with the Executive order to 14 CFR Part 39 additional credit unions from any risk- adhere to fundamental federalism based net worth requirement in part 702 principles. [Docket No. FAA–2020–0994; Project of the NCUA’s regulations applicable to This proposed rule would not have Identifier AD–2020–00687–T] complex credit unions. As a result, it substantial direct effects on the states, RIN 2120–AA64 on the relationship between the 32 This reflects the current threshold for complex National Government and the states, or credit unions. Airworthiness Directives; Gulfstream 33 This reflects the proposed threshold for on the distribution of power and Aerospace Corporation Airplanes complex credit unions. responsibilities among the various 34 This would reduce the amount of capital they levels of government. The NCUA has AGENCY: Federal Aviation are required to hold to be well capitalized by $82 therefore determined that this proposed Administration (FAA), DOT. million in aggregate, based on September 30, 2020 rule does not constitute a policy that has ACTION: Notice of proposed rulemaking data. 35 Because of the straightforward nature of the federalism implications for purposes of (NPRM). proposed change and the extensive comment period the Executive order. offered on the various RBC rulemakings, the Board SUMMARY: The FAA proposes to adopt a is not providing the usual 60-day comment period. D. Assessment of Federal Regulations new airworthiness directive (AD) for See NCUA Interpretive Ruling and Policy Statement and Policies on Families certain Gulfstream Aerospace (IRPS) 87–2, as amended by IRPS 03–2 and IRPS 15–1. 80 FR 57512 (Sept. 24, 2015), available at The NCUA has determined that this Corporation (Gulfstream) Model GVII– https://www.ncua.gov/files/publications/irps/ proposed rule will not affect family G600 airplanes. This proposed AD was IRPS1987-2.pdf. well-being within the meaning of prompted by a report that a failure mode
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in the data concentration network (DCN) your comments to an address listed DCN software version 10.10.10 had software causes the pitch attitude value under ADDRESSES. Include ‘‘Docket No. already been implemented on Model to freeze on the primary flight display FAA–2020–0994; Project Identifier AD– GVII–G600 airplanes in service. This (PFD) for up to 20 seconds. This 2020–00687–T’’ at the beginning of your airplane has three independent inertial proposed AD would require updating comments. The most helpful comments reference systems (IRSs), identified as the DCN and flight deck master reference a specific portion of the IRS1, IRS2, and IRS3, which are operating system (MOS) software. The proposal, explain the reason for any expected to provide identical pitch data. FAA is proposing this AD to address the recommended change, and include During flight testing, the GVII–G600 unsafe condition on these products. supporting data. The FAA will consider IRS1 was found to indicate a slightly DATES: The FAA must receive comments all comments received by the closing different pitch from IRS2 and IRS3, at on this proposed AD by April 9, 2021. date and may amend this proposal the same actual airplane pitch attitude. ADDRESSES: You may send comments, because of those comments. A DCN embedded function was created Except for Confidential Business using the procedures found in 14 CFR to correct the very minor pitch Information (CBI) as described in the 11.43 and 11.45, by any of the following difference between IRS1, IRS2, and following paragraph, and other methods: IRS3. DCN software version 10.10.10 • Federal eRulemaking Portal: Go to information as described in 14 CFR implemented the new embedded _ https://www.regulations.gov. Follow the 11.35, the FAA will post all comments function which computes a ‘‘PITCH received, without change, to https:// instructions for submitting comments. DELTA correction factor’’ (pitch • Fax: (202) 493–2251. www.regulations.gov, including any difference correction factor) between the • Mail: U.S. Department of personal information you provide. The IRS pitch angles being used by the Transportation, Docket Operations, M– agency will also post a report PFDs. The system calculates pitch 30, West Building Ground Floor, Room summarizing each substantive verbal correction based in part on the IRS1 W12–140, 1200 New Jersey Avenue SE, contact received about this NPRM. pitch angle. If the IRS1 is lost, it causes Washington, DC 20590. Confidential Business Information the embedded function to invalidate the • Hand Delivery: Deliver to Mail ‘‘PITCH_DELTA output.’’ During this CBI is commercial or financial address above between 9 a.m. and 5 failure mode, the pitch attitude value information that is both customarily and freezes on the display for up to 20 p.m., Monday through Friday, except actually treated as private by its owner. seconds, which results in temporarily Federal holidays. Under the Freedom of Information Act For service information identified in incorrect pitch indications. The effect is (FOIA) (5 U.S.C. 552), CBI is exempt this proposed rule, contact Gulfstream evident only if the pitch of the airplane from public disclosure. If your Aerospace Corporation, Technical changes during the 20 second reset comments responsive to this AD contain Publications Dept., P.O. Box 2206, window. After 20 seconds, the system commercial or financial information Savannah, GA 31402; phone: (800) 810– returns to normal. The standby flight that is customarily treated as private, 4853; email: [email protected]; display and heads up display are that you actually treat as private, and website: https://www.gulfstream.com/ unaffected by this failure mode and that is relevant or responsive to this AD, en/customer-support/. You may view continue to display the correct pitch it is important that you clearly designate this service information at the FAA, attitude. the submitted comments as CBI. Please Airworthiness Products Section, mark each page of your submission There is not an alert or annunciation Operational Safety Branch, 901 Locust, containing CBI as ‘‘PROPIN.’’ The FAA that informs the flight crew of a stale Kansas City, Missouri 64106. For will treat such marked submissions as (frozen) pitch display or potentially information on the availability of this confidential under the FOIA, and they misleading flight information. material at the FAA, call (816) 329– will not be placed in the public docket This condition, if not addressed, 4148. of this AD. Submissions containing CBI could result in loss of control of the Examining the AD Docket should be sent to Myles Jalalian, airplane in certain phases of flight Aviation Safety Engineer, Atlanta ACO during instrument meteorological You may examine the AD docket at conditions. https://www.regulations.gov by Branch, FAA, 1701 Columbia Avenue, searching for and locating Docket No. College Park, GA 30337. Any Related Service Information Under 1 FAA–2020–0994; or in person at Docket commentary that the FAA receives CFR Part 51 which is not specifically designated as Operations between 9 a.m. and 5 p.m., The FAA reviewed Gulfstream GVII– Monday through Friday, except Federal CBI will be placed in the public docket for this rulemaking. G600 Aircraft Service Change No. 901, holidays. The AD docket contains this Initial Issue, dated May 12, 2020. This NPRM, any comments received, and Background service document specifies procedures other information. The street address for The FAA received a report that on for installing the MOS software update Docket Operations is listed above. certain Gulfstream Model GVII–G600 part number EB60001034–0106 and FOR FURTHER INFORMATION CONTACT: airplanes a failure mode in the DCN operationally checking the installation. Myles Jalalian, Aviation Safety software causes the pitch attitude value The FAA also reviewed Gulfstream Engineer, Atlanta ACO Branch, FAA, to freeze on the PFD for up to 20 GVII–G600 Aircraft Service Change No. 1701 Columbia Avenue, College Park, seconds. 020, Initial Issue, dated May 12, 2020. GA 30337; phone: (404) 474–5572; fax: During implementation of the DCN This service document specifies (404) 474–5606; email: myles.jalalian@ software update version 10.10.10 for procedures for updating the DCN faa.gov. certain Model GVII–G500 airplane software level to version 10.10.12, SUPPLEMENTARY INFORMATION: configurations (‘‘Block 1’’), it was updating system software in support of discovered the software supplier had the MOS software update, and Comments Invited incorrectly implemented one of operationally checking the installation. The FAA invites you to send any Gulfstream’s design requirements. At This service information is reasonably written relevant data, views, or the time of this discovery on Model available because the interested parties arguments about this proposal. Send GVII–G500 Block 1 configurations, the have access to it through their normal
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course of business or by the means Proposed AD Requirements in This Costs of Compliance identified in the ADDRESSES section. NPRM The FAA estimates that this AD, if FAA’s Determination This proposed AD would require adopted as proposed, would affect 43 The FAA is issuing this NPRM after accomplishing the actions specified in airplanes of U.S. registry. determining the unsafe condition the service information described The FAA estimates the following described previously is likely to exist or previously. costs to comply with this proposed AD: develop in other products of the same type design.
ESTIMATED COSTS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Update DNC software ...... 30 work-hours × $85 per hour = $2,550 ...... $52 $2,602 $111,886 Update MOS software ...... 10 work-hours × $85 per hour = $850 ...... 52 902 38,786
The FAA has included all known (3) Would not have a significant to 20 seconds. The FAA is issuing this AD costs in its cost estimate. According to economic impact, positive or negative, to prevent a stale pitch display or potentially the manufacturer, however, some of the on a substantial number of small entities misleading flight information. The unsafe costs of this proposed AD may be under the criteria of the Regulatory condition, if not addressed, could result in loss of control of the airplane in certain covered under warranty, thereby Flexibility Act. phases of flight during instrument reducing the cost impact on affected List of Subjects in 14 CFR Part 39 meteorological conditions. operators. Air transportation, Aircraft, Aviation (f) Compliance Authority for This Rulemaking safety, Incorporation by reference, Comply with this AD within the Title 49 of the United States Code Safety. compliance times specified, unless already done. specifies the FAA’s authority to issue The Proposed Amendment rules on aviation safety. Subtitle I, (g) Update Software Accordingly, under the authority section 106, describes the authority of Within 24 months after the effective date the FAA Administrator. Subtitle VII: delegated to me by the Administrator, the FAA proposes to amend 14 CFR part of this AD, update the data concentration Aviation Programs, describes in more network and flight deck master operating detail the scope of the Agency’s 39 as follows: system software by using the Modification authority. Instructions, Steps III. A through I, in PART 39—AIRWORTHINESS Gulfstream GVII–G600 Aircraft Service The FAA is proposing this rulemaking DIRECTIVES under the authority described in Change No. 901, Initial Issue, dated May 12, 2020, concurrently with the Modification Subtitle VII, Part A, Subpart III, Section ■ 1. The authority citation for part 39 Instructions, Steps III. A through D, in 44701: General requirements. Under continues to read as follows: Gulfstream GVII–G600 Aircraft Service that section, Congress charges the FAA Authority: 49 U.S.C. 106(g), 40113, 44701. Change No. 020, Initial Issue, dated May 12, with promoting safe flight of civil 2020. aircraft in air commerce by prescribing § 39.13 [Amended] (h) Alternative Methods of Compliance regulations for practices, methods, and ■ 2. The FAA amends § 39.13 by adding (AMOCs) procedures the Administrator finds the following new airworthiness necessary for safety in air commerce. directive: (1) The Manager, Atlanta ACO Branch, This regulation is within the scope of FAA, has the authority to approve AMOCs Gulfstream Aerospace Corporation: Docket for this AD, if requested using the procedures that authority because it addresses an No. FAA–2020–0994; Project Identifier found in 14 CFR 39.19. In accordance with unsafe condition that is likely to exist or AD–2020–00687–T. 14 CFR 39.19, send your request to your develop on products identified in this (a) Comments Due Date principal inspector or local Flight Standards rulemaking action. District Office, as appropriate. If sending The FAA must receive comments on this information directly to the manager of the Regulatory Findings airworthiness directive (AD) by April 9, certification office, send it to the attention of The FAA determined that this 2021. the person identified in Related Information. proposed AD would not have federalism (b) Affected ADs (2) Before using any approved AMOC, notify your appropriate principal inspector, implications under Executive Order None. 13132. This proposed AD would not or lacking a principal inspector, the manager (c) Applicability of the local flight standards district office/ have a substantial direct effect on the certificate holding district office. States, on the relationship between the This AD applies to Gulfstream Aerospace Corporation Model GVII–G600 airplanes, (i) Related Information national government and the States, or serial numbers 73001 through 73043, on the distribution of power and certificated in any category. (1) For more information about this AD, responsibilities among the various contact Myles Jalalian, Aviation Safety levels of government. (d) Subject Engineer, Atlanta ACO Branch, FAA, 1701 For the reasons discussed above, I Joint Aircraft System Component Code Columbia Avenue, College Park, GA 30337; certify this proposed regulation: 3400, Navigation System. phone: (404) 474–5572; fax: (404) 474–5606; email: [email protected]. (1) Is not a ‘‘significant regulatory (e) Unsafe Condition (2) For service information identified in action’’ under Executive Order 12866, This AD was prompted by reports of this AD, contact Gulfstream Aerospace (2) Would not affect intrastate software causing pitch attitude value freezing Corporation, Technical Publications Dept., aviation in Alaska, and on the Primary Flight Display (PFD) for up P.O. Box 2206, Savannah, GA 31402; phone:
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(800) 810–4853; email: pubs@ W12 140, 1200 New Jersey Avenue SE, agency will also post a report gulfstream.com; website: https:// Washington, DC 20590. summarizing each substantive verbal www.gulfstream.com/en/customer-support/. • Hand Delivery: Deliver to Mail contact received about this NPRM. You may view this referenced service address above between 9 a.m. and 5 information at the FAA, Airworthiness Confidential Business Information p.m., Monday through Friday, except Products Section, Operational Safety Branch, CBI is commercial or financial 901 Locust, Kansas City, Missouri 64106. For Federal holidays. information on the availability of this For service information identified in information that is both customarily and material at the FAA, call (816) 329–4148. this NPRM, contact Rolls-Royce plc, actually treated as private by its owner. Under the Freedom of Information Act Issued on January 29, 2021. Corporate Communications, P.O. Box 31, Derby, DE24 8BJ, United Kingdom; (FOIA) (5 U.S.C. 552), CBI is exempt Gaetano A. Sciortino, phone: +44 (0)1332 242424; fax: +44 from public disclosure. If your Deputy Director for Strategic Initiatives, (0)1332 249936; email: https:// comments responsive to this NPRM Compliance & Airworthiness Division, contain commercial or financial Aircraft Certification Service. www.rolls-royce.com/contact-us/civil- aerospace.aspx; website: https:// information that is customarily treated [FR Doc. 2021–03483 Filed 2–22–21; 8:45 am] www.rolls-royce.com/contact-us.aspx. as private, that you actually treat as BILLING CODE 4910–13–P You may view this service information private, and that is relevant or at the FAA, Airworthiness Products responsive to this NPRM, it is important that you clearly designate the submitted DEPARTMENT OF TRANSPORTATION Section, Operational Safety Branch, 1200 District Avenue, Burlington, MA comments as CBI. Please mark each Federal Aviation Administration 01803. For information on the page of your submission containing CBI availability of this material at the FAA, as ‘‘PROPIN.’’ The FAA will treat such 14 CFR Part 39 call (781) 238–7759. marked submissions as confidential under the FOIA, and they will not be [Docket No. FAA–2021–0022; Project Examining the AD Docket placed in the public docket of this Identifier MCAI–2020–00395–E] You may examine the AD docket at NPRM. Submissions containing CBI RIN 2120–AA64 https://www.regulations.gov by should be sent to Scott Stevenson, searching for and locating Docket No. Aviation Safety Engineer, ECO Branch, Airworthiness Directives; Rolls-Royce FAA–2021–0022; or in person at Docket FAA, 1200 District Avenue, Burlington, Deutschland Ltd & Co KG (Type Operations between 9 a.m. and 5 p.m., MA 01803. Any commentary that the Certificate Previously Held by Rolls- Monday through Friday, except Federal FAA receives which is not specifically Royce plc) Turbofan Engines holidays. The AD docket contains this designated as CBI will be placed in the NPRM, the mandatory continuing public docket for this rulemaking. AGENCY: Federal Aviation Administration (FAA), DOT. airworthiness information (MCAI), any Background comments received, and other ACTION: Notice of proposed rulemaking information. The street address for The European Union Aviation Safety (NPRM). Docket Operations is listed above. Agency (EASA), which is the Technical Agent for the Member States of the SUMMARY: The FAA proposes to adopt a FOR FURTHER INFORMATION CONTACT: European Community, has issued EASA new airworthiness directive (AD) for all Scott Stevenson, Aviation Safety AD 2020–0066, dated March 23, 2020 Rolls-Royce Deutschland Ltd & Co KG Engineer, ECO Branch, FAA, 1200 (referred to after this as ‘‘the MCAI’’), to (RRD) Trent XWB–75, Trent XWB–79, District Avenue, Burlington, MA 01803; address the unsafe condition on these Trent XWB–79B, Trent XWB–84, and phone: (781) 238–7132; fax: (781) 238– products. The MCAI states: Trent XWB–97 model turbofan engines. 7199; email: [email protected]. The Airworthiness Limitations Section This proposed AD was prompted by the SUPPLEMENTARY INFORMATION: manufacturer revising the time limits instructions for Trent XWB engines, which Comments Invited are approved by EASA, are defined and manual (TLM) to incorporate repairs to published in TLM TRENTXWB–K0680– the low-pressure compressor (LPC) The FAA invites you to send any TIME0–01. These instructions have been blades and introduce a new fan blade written relevant data, views, or identified as mandatory for continued inspection. This proposed AD would arguments about this proposal. Send airworthiness. require revisions to the airworthiness your comments to an address listed Failure to accomplish these instructions limitations section (ALS) of the Rolls- under ADDRESSES. Include ‘‘Docket No. could result in an unsafe condition. Royce (RR) Trent XWB TLM and the FAA–2021–0022; Project Identifier Rolls-Royce recently revised the TLM, operator’s existing approved aircraft introducing new and/or more restrictive MCAI–2020–00395–E’’ at the beginning instructions. maintenance program (AMP). The FAA of your comments. The most helpful For the reason described above, this is proposing this AD to address the comments reference a specific portion of [EASA] AD requires accomplishment of the unsafe condition on these products. the proposal, explain the reason for any instructions specified in the TLM, as defined DATES: The FAA must receive comments recommended change, and include in this AD. on this proposed AD by April 9, 2021. supporting data. The FAA will consider You may obtain further information ADDRESSES: You may send comments, all comments received by the closing by examining the MCAI in the AD using the procedures found in 14 CFR date and may amend this proposal docket at https://www.regulations.gov 11.43 and 11.45, by any of the following because of those comments. by searching for and locating Docket No. methods: Except for Confidential Business FAA–2021–0022. • Federal eRulemaking Portal: Go to Information (CBI) as described in the https://www.regulations.gov. Follow the following paragraph, and other FAA’s Determination instructions for submitting comments. information as described in 14 CFR This product has been approved by • Fax: (202) 493–2251. 11.35, the FAA will post all comments EASA and is approved for operation in • Mail: U.S. Department of received, without change, to https:// the United States. Pursuant to our Transportation, Docket Operations, M– www.regulations.gov, including any bilateral agreement with the European 30, West Building Ground Floor, Room personal information you provide. The Community, EASA has notified the FAA
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of the unsafe condition described in the April 1, 2020, of the Rolls-Royce Trent each component before exceeding the MCAI and service information. The XWB TLM TRENTXWB–K0680–TIME0– applicable life limit and that each FAA is issuing this NPRM because the 01. These two sections of the TLM mandatory inspection is accomplished agency evaluated all the relevant specify inspection intervals, within the thresholds and intervals, as information provided by EASA and differentiated by engine model, for specified in the latest revision of the determined the unsafe condition critical rotating parts. TLM. This proposed AD would not described previously is likely to exist or Proposed AD Requirements in This mandate these actions because the develop in other products of the same NPRM manufacturer did not revise the life type design. This proposed AD would require limit for any components with its Related Service Information revisions to the ALS of the RR Trent revision to the TLM. XWB TLM, as applicable to each engine Costs of Compliance The FAA reviewed Rolls-Royce model, and to the operator’s existing Airworthiness Limitations (Mandatory approved AMP, to include new or more The FAA estimates that this AD, if Inspections), TRENTXWB–A–05–20– restrictive sections of the applicable RR adopted as proposed, would affect 22 01–00A01–030A–D, Revision 013, dated Trent XWB TLM for each affected engines installed on airplanes of U.S. September 1, 2019, of the Rolls-Royce engine model. registry. Trent XWB TLM TRENTXWB–K0680– TIME0–01, and Rolls-Royce Differences Between This Proposed AD The FAA estimates the following Airworthiness Limitations (Mandatory and the MCAI or Service Information costs to comply with this proposed AD: Inspections), TRENTXWB–B–05–20– EASA AD 2020–0066, dated March 01–00A01–030A–D, Revision 005, dated 23, 2020, requires that operators replace
ESTIMATED COSTS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Revise the ALS of the RR Trent XWB TLM 1 work-hour × $85 per hour = $85 ...... $0 $85 $1,870 and the operator’s existing approved AMP.
Authority for This Rulemaking For the reasons discussed above, I (a) Comments Due Date certify this proposed regulation: The FAA must receive comments on this Title 49 of the United States Code (1) Is not a ‘‘significant regulatory airworthiness directive (AD) by April 9, specifies the FAA’s authority to issue action’’ under Executive Order 12866, 2021. rules on aviation safety. Subtitle I, (2) Would not affect intrastate (b) Affected ADs section 106, describes the authority of aviation in Alaska, and the FAA Administrator. Subtitle VII: (3) Would not have a significant None. Aviation Programs, describes in more economic impact, positive or negative, (c) Applicability detail the scope of the Agency’s on a substantial number of small entities This AD applies to Rolls-Royce authority. under the criteria of the Regulatory Deutschland Ltd & Co KG (RRD) (Type The FAA is issuing this rulemaking Flexibility Act. Certificate previously held by Rolls-Royce plc) Trent XWB–75, Trent XWB–79, Trent under the authority described in List of Subjects in 14 CFR Part 39 Subtitle VII, Part A, Subpart III, Section XWB–79B, Trent XWB–84, and Trent XWB– 97 model turbofan engines. 44701: General requirements. Under Air transportation, Aircraft, Aviation that section, Congress charges the FAA safety, Incorporation by reference, (d) Subject with promoting safe flight of civil Safety. Joint Aircraft System Component (JASC) aircraft in air commerce by prescribing The Proposed Amendment Code 7200, Engine Turbine/Turboprop. regulations for practices, methods, and (e) Unsafe Condition procedures the Administrator finds Accordingly, under the authority delegated to me by the Administrator, This AD was prompted by the necessary for safety in air commerce. manufacturer revising the time limits manual This regulation is within the scope of the FAA proposes to amend 14 CFR part 39 as follows: (TLM) to incorporate repairs to the low- that authority because it addresses an pressure compressor (LPC) blades and unsafe condition that is likely to exist or PART 39—AIRWORTHINESS introduce a new fan blade inspection. The develop on products identified in this DIRECTIVES FAA is issuing this AD to prevent the failure rulemaking action. of critical rotating parts. The unsafe ■ 1. The authority citation for part 39 condition, if not addressed, could result in Regulatory Findings failure of one or more engines, loss of thrust continues to read as follows: control, and loss of the airplane. The FAA determined that this Authority: 49 U.S.C. 106(g), 40113, 44701. proposed AD would not have federalism (f) Compliance implications under Executive Order § 39.13 [Amended] Comply with this AD within the 13132. This proposed AD would not ■ 2. The FAA amends § 39.13 by adding compliance times specified, unless already have a substantial direct effect on the the following new airworthiness done. States, on the relationship between the directive: (g) Required Actions national Government and the States, or Rolls-Royce Deutschland Ltd & Co KG (Type Within 120 days after the effective date of on the distribution of power and Certificate previously held by Rolls- this AD, revise the Rolls-Royce (RR) Trent responsibilities among the various Royce plc): Docket No. FAA–2021–0022; XWB TLM, as applicable to each engine levels of government. Project Identifier MCAI–2020–00395–E. model, and the operator’s existing approved
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aircraft maintenance program (AMP) by (1) For Trent XWB–75, Trent XWB–79, (g)(1) of this AD to the airworthiness incorporating the following: Trent XWB–79B, and Trent XWB–84 model limitations section (ALS) of RR Trent XWB turbofan engines, add Figure 1 to paragraph TLM TRENTXWB–K0680–TIME0–01.
(2) For Trent XWB–97 model turbofan this AD to the ALS of RR Trent XWB TLM engines, add Figure 2 to paragraph (g)(2) of TRENTXWB–K0680–TIME0–01.
Note 1 to paragraph (g): Figure 1 to (j) Related Information Issued on January 29, 2021. Paragraph (g)(1) and Figure 2 to Paragraph (1) For more information about this AD, Gaetano A. Sciortino, (g)(2) contain language from the original contact Scott Stevenson, Aviation Safety Deputy Director for Strategic Initiatives, equipment manufacturer’s TLM. Engineer, ECO Branch, FAA, 1200 District Compliance & Airworthiness Division, Aircraft Certification Service. (h) Definition Avenue, Burlington, MA 01803; phone: (781) 238–7132; fax: (781) 238–7199; email: [FR Doc. 2021–02225 Filed 2–22–21; 8:45 am] For the purpose of this AD, the operator’s [email protected]. BILLING CODE 4910–13–P existing approved AMP is defined as the (2) Refer to European Union Aviation basis for which the operator or the owner Safety Agency AD 2020–0066, dated March ensures the continuing airworthiness of each DEPARTMENT OF TRANSPORTATION operated airplane. 23, 2020, for more information. You may examine the EASA AD in the AD docket at (i) Alternative Methods of Compliance https://www.regulations.gov by searching for Federal Aviation Administration (AMOCs) and locating it in Docket No. FAA–2021– (1) The Manager, ECO Branch, FAA, has 0022. 14 CFR Part 71 the authority to approve AMOCs for this AD, (3) For service information identified in [Docket No. FAA–2021–0008; Airspace if requested using the procedures found in 14 this AD, contact Rolls-Royce plc, Corporate Docket No. 20–AWP–50] CFR 39.19. In accordance with 14 CFR 39.19, Communications, P.O. Box 31, Derby, United send your request to your principal inspector Kingdom, DE24 8BJ; phone: +44 (0)1332 RIN 2120–AA66 or local Flight Standards District Office, as 242424; fax: +44 (0)1332 249936; email: Proposed Amendment of Class D and appropriate. If sending information directly https://www.rolls-royce.com/contact-us/civil- Revocation of Class E Airspace; Gila to the manager of the ECO Branch, send it to aerospace.aspx; website: https://www.rolls- Bend, AZ the attention of the person identified in royce.com/contact-us.aspx. You may view paragraph Related Information. You may this referenced service information at the email your request to: ANE-AD-AMOC@ AGENCY: Federal Aviation FAA, Airworthiness Products Section, faa.gov. Administration (FAA), DOT. Operational Safety Branch, 1200 District (2) Before using any approved AMOC, ACTION: Notice of proposed rulemaking Avenue, Burlington, MA 01803. For notify your appropriate principal inspector, (NPRM). or lacking a principal inspector, the manager information on the availability of this of the local flight standards district office/ material at the FAA, call (781) 238–7759. SUMMARY: This action proposes to certificate holding district office. amend the Class D airspace and revoke
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the Class E airspace extending upward prescribing regulations to assign the use Aviation Administration, Air Traffic from 700 feet above the surface at Gila of airspace necessary to ensure the Organization, Central Service Center, Bend AF Aux Airport, Gila Bend, AZ. safety of aircraft and the efficient use of Operations Support Group, 10101 The FAA is proposing this action as the airspace. This regulation is within the Hillwood Parkway, Fort Worth, TX result of a biennial review of the scope of that authority as it would 76177. airspace. The geographic coordinates of amend the Class D airspace and revoke the airport would be updated to the Class E airspace extending upward Availability and Summary of coincide with the FAA’s aeronautical from 700 feet above the surface at Gila Documents for Incorporation by database. Bend AF Aux Airport, Gila Bend, AZ, to Reference This document proposes to amend DATES: Comments must be received on support instrument flight rule or before April 9, 2021. operations at this airport. FAA Order 7400.11E, Airspace Designations and Reporting Points, ADDRESSES: Send comments on this Comments Invited dated July 21, 2020, and effective proposal to the U.S. Department of Interested parties are invited to September 15, 2020. FAA Order Transportation, Docket Operations, participate in this proposed rulemaking 7400.11E is publicly available as listed West Building Ground Floor, Room by submitting such written data, views, in the ADDRESSES section of this W12–140, 1200 New Jersey Avenue SE, or arguments, as they may desire. document. FAA Order 7400.11E lists Washington, DC 20590; telephone (202) Comments that provide the factual basis Class A, B, C, D, and E airspace areas, 366–9826, or (800) 647–5527. You must supporting the views and suggestions air traffic service routes, and reporting identify FAA Docket No. FAA–2021– presented are particularly helpful in points. 0008/Airspace Docket No. 20–AWP–50, developing reasoned regulatory at the beginning of your comments. You decisions on the proposal. Comments The Proposal may also submit comments through the are specifically invited on the overall The FAA is proposing an amendment internet at https://www.regulations.gov. regulatory, aeronautical, economic, to 14 CFR part 71 by: You may review the public docket environmental, and energy-related Amending the Class D airspace at Gila containing the proposal, any comments aspects of the proposal. Bend AF Aux Airport, Gila Bend, AZ, received, and any final disposition in Communications should identify both by updating the geographic coordinates person in the Dockets Office between docket numbers and be submitted in of the airport to coincide with the FAA’s 9:00 a.m. and 5:00 p.m., Monday triplicate to the address listed above. aeronautical database; and replacing the through Friday, except federal holidays. Commenters wishing the FAA to outdated term ‘‘Airport/Facility FAA Order 7400.11E, Airspace acknowledge receipt of their comments Directory’’ with ‘‘Chart Supplement’’; Designations and Reporting Points, and on this notice must submit with those And revoking the Class E airspace subsequent amendments can be viewed _ comments a self-addressed, stamped extending upward from 700 feet above online at https://www.faa.gov/air postcard on which the following the surface to at Gila Bend AF Aux traffic/publications/. For further statement is made: ‘‘Comments to airport as it is no longer required. information, you can contact the Docket No. FAA–2021–0008/Airspace This action is the result of a biennial Airspace Policy Group, Federal Aviation Docket No. 20–AWP–50.’’ The postcard review of the airspace. Administration, 800 Independence will be date/time stamped and returned Class D and Class E airspace Avenue SW, Washington, DC 20591; to the commenter. designations are published in paragraph telephone: (202) 267–8783. The Order is All communications received before 5000 and 6005 of FAA Order 7400.11E, also available for inspection at the the specified closing date for comments dated July 21, 2020, and effective National Archives and Records will be considered before taking action September 15, 2020, which is Administration (NARA). For on the proposed rule. The proposal incorporated by reference in 14 CFR information on the availability of FAA contained in this notice may be changed 71.1. The Class D and E airspace Order 7400.11E at NARA, email in light of the comments received. A designations listed in this document [email protected] or go to https:// report summarizing each substantive will be published subsequently in the www.archives.gov/federal-register/cfr/ public contact with FAA personnel Order. ibr-locations.html. concerned with this rulemaking will be FAA Order 7400.11, Airspace FOR FURTHER INFORMATION CONTACT: filed in the docket. Designations and Reporting Points, is Jeffrey Claypool, Federal Aviation published yearly and effective on Administration, Operations Support Availability of NPRMs September 15. Group, Central Service Center, 10101 An electronic copy of this document Hillwood Parkway, Fort Worth, TX may be downloaded through the Regulatory Notices and Analyses 76177; telephone (817) 222–5711. internet at https://www.regulations.gov. The FAA has determined that this SUPPLEMENTARY INFORMATION: Recently published rulemaking regulation only involves an established documents can also be accessed through body of technical regulations for which Authority for This Rulemaking the FAA’s web page at https:// frequent and routine amendments are The FAA’s authority to issue rules www.faa.gov/air_traffic/publications/ necessary to keep them operationally regarding aviation safety is found in airspace_amendments/. current, is non-controversial and Title 49 of the United States Code. You may review the public docket unlikely to result in adverse or negative Subtitle I, Section 106 describes the containing the proposal, any comments comments. It, therefore: (1) Is not a authority of the FAA Administrator. received, and any final disposition in ‘‘significant regulatory action’’ under Subtitle VII, Aviation Programs, person in the Dockets Office (see the Executive Order 12866; (2) is not a describes in more detail the scope of the ADDRESSES section for the address and ‘‘significant rule’’ under DOT agency’s authority. This rulemaking is phone number) between 9:00 a.m. and Regulatory Policies and Procedures (44 promulgated under the authority 5:00 p.m., Monday through Friday, FR 11034; February 26, 1979); and (3) described in Subtitle VII, Part A, except federal holidays. An informal does not warrant preparation of a Subpart I, Section 40103. Under that docket may also be examined during regulatory evaluation as the anticipated section, the FAA is charged with normal business hours at the Federal impact is so minimal. Since this is a
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routine matter that will only affect air AWP AZ E5 Gila Bend, AZ [Removed] www.archives.gov/federal-register/cfr/ traffic procedures and air navigation, it ibr-locations.html. Issued in Fort Worth, Texas, on January 27, is certified that this rule, when 2021. FOR FURTHER INFORMATION CONTACT: promulgated, would not have a Martin A. Skinner, Richard Roberts, Federal Aviation significant economic impact on a Manager, Operations Support Group, ATO Administration, Western Service Center, substantial number of small entities Central Service Center. Operations Support Group, 2200 S under the criteria of the Regulatory [FR Doc. 2021–02046 Filed 2–22–21; 8:45 am] 216th Street, Des Moines, WA 98198; Flexibility Act. BILLING CODE 4910–13–P telephone (206) 231–2245. Environmental Review SUPPLEMENTARY INFORMATION: Authority for This Rulemaking This proposal will be subject to an DEPARTMENT OF TRANSPORTATION environmental analysis in accordance The FAA’s authority to issue rules with FAA Order 1050.1F, Federal Aviation Administration regarding aviation safety is found in ‘‘Environmental Impacts: Policies and Title 49 of the United States Code. 14 CFR Part 71 Procedures’’ prior to any FAA final Subtitle I, Section 106 describes the regulatory action. [Docket No. FAA–2021–0004; Airspace authority of the FAA Administrator. Docket No. 20–AAL–55] Subtitle VII, Aviation Programs, List of Subjects in 14 CFR Part 71 describes in more detail the scope of the RIN 2120–AA66 agency’s authority. This rulemaking is Airspace, Incorporation by reference, promulgated under the authority Navigation (air). Proposed Establishment of Class E Airspace; Crooked Creek, AK described in Subtitle VII, Part A, The Proposed Amendment Subpart I, Section 40103. Under that AGENCY: Federal Aviation section, the FAA is charged with Accordingly, pursuant to the Administration (FAA), DOT. prescribing regulations to assign the use authority delegated to me, the Federal ACTION: Notice of proposed rulemaking of airspace necessary to ensure the Aviation Administration proposes to (NPRM). safety of aircraft and the efficient use of amend 14 CFR part 71 as follows: airspace. This regulation is within the SUMMARY: This action proposes to scope of that authority as it would PART 71—DESIGNATION OF CLASS A, establish Class E airspace extending establish Class E airspace extending B, C, D, AND E AIRSPACE AREAS; AIR upward from 700 feet above the surface upward from 700 feet above the surface TRAFFIC SERVICE ROUTES; AND of the earth at Crooked Creek Airport, of the earth to support IFR operations at REPORTING POINTS Crooked Creek, AK. This action would Crooked Creek Airport, Crooked Creek, accommodate new area navigation AK. ■ (RNAV) procedures and ensure the 1. The authority citation for 14 CFR Comments Invited part 71 continues to read as follows: safety and management of instrument flight rule (IFR) operations within the Interested parties are invited to Authority: 49 U.S.C. 106(f), 106(g); 40103, National Airspace System. participate in this proposed rulemaking 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, DATES: Comments must be received on by submitting such written data, views, 1959–1963 Comp., p. 389. or before April 9, 2021. or arguments, as they may desire. § 71.1 [Amended] ADDRESSES: Send comments on this Comments that provide the factual basis proposal to the U.S. Department of supporting the views and suggestions ■ 2. The incorporation by reference in Transportation, Docket Operations, 1200 presented are particularly helpful in 14 CFR 71.1 of FAA Order 7400.11D, New Jersey Avenue SE, West Building developing reasoned regulatory Airspace Designations and Reporting Ground Floor, Room W12–140, decisions on the proposal. Comments Points, dated August 8, 2019, and Washington, DC 20590; telephone: 1– are specifically invited on the overall effective September 15, 2019, is 800–647–5527, or (202) 366–9826. You regulatory, aeronautical, economic, amended as follows: must identify FAA Docket No. FAA– environmental, and energy-related Paragraph 5000 Class D Airspace. 2021–0004; Airspace Docket No. 20– aspects of the proposal. AAL–55, at the beginning of your Communications should identify both * * * * * comments. You may also submit docket numbers and be submitted in AWP AZ D Gila Bend, AZ [Amended] comments through the internet at triplicate to the address listed above. Gila Bend AF Aux Airport, AZ https://www.regulations.gov. Persons wishing the FAA to (Lat. 32°53′16″ N, long. 112°43′11″ W) FAA Order 7400.11E, Airspace acknowledge receipt of their comments Designations and Reporting Points, and on this notice must submit with those That airspace extending upward from the subsequent amendments can be viewed comments a self-addressed, stamped surface up to and including 3,900 feet MSL online at https://www.faa.gov/air_ postcard on which the following within a 4.2-mile radius of Gila Bend AF Aux traffic/publications/. For further statement is made: ‘‘Comments to Airport, excluding that airspace within information, you can contact the Docket No. FAA–2021–0004; Airspace Restricted Area R–2305. This Class D Airspace Policy Group, Federal Aviation Docket No. 20–AAL–55’’. The postcard airspace area is effective during the specific Administration, 800 Independence will be date/time stamped and returned dates and times established in advance by a Avenue SW, Washington, DC 20591; to the commenter. Notice to Airmen. The effective date and time will thereafter be continuously published in telephone: (202) 267–8783. The Order is All communications received before the Chart Supplement. also available for inspection at the the specified closing date for comments National Archives and Records will be considered before taking action Paragraph 6005 Class E Airspace Areas Administration (NARA). For on the proposed rule. The proposal Extending Upward From 700 Feet or More information on the availability of FAA contained in this notice may be changed Above the Surface of the Earth. Order 7400.11E at NARA, email: in light of the comments received. A * * * * * [email protected], or go to https:// report summarizing each substantive
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public contact with FAA personnel listed in this document will be Paragraph 6005 Class E Airspace Areas concerned with this rulemaking will be published subsequently in the Order. Extending Upward From 700 Feet or More filed in the docket. FAA Order 7400.11, Airspace Above the Surface of the Earth. Designations and Reporting Points, is * * * * * Availability of NPRMs published yearly and effective on AAL AK E5 Crooked Creek, AK (NEW) An electronic copy of this document September 15. Crooked Creek Airport, AK may be downloaded through the Regulatory Notices and Analyses (Lat. 61°52′4″ N, long. 158°8′6″ W) internet at https://www.regulations.gov. The FAA has determined that this That airspace extending upward from 700 Recently published rulemaking feet above the surface within a 2-mile radius documents can also be accessed through regulation only involves an established of Crooked Creek Airport, and that airspace the FAA’s web page at https:// body of technical regulations for which within 2-miles each side of the 332° bearing www.faa.gov/air_traffic/publications/ frequent and routine amendments are extending from the 2-mile radius to 8.5-miles airspace_amendments/. necessary to keep them operationally northwest of the airport excluding that You may review the public docket current, is non-controversial and airspace within the Stony B MOA. containing the proposal, any comments unlikely to result in adverse or negative Issued in Seattle, Washington, on January received, and any final disposition in comments. It, therefore: (1) Is not a 29, 2021. person in the Dockets Office (see the ‘‘significant regulatory action’’ under Byron Chew, ADDRESSES section for the address and Executive Order 12866; (2) is not a Acting Group Manager, Operations Support phone number) between 9:00 a.m. and ‘‘significant rule’’ under DOT Group, Western Service Center. 5:00 p.m., Monday through Friday, Regulatory Policies and Procedures (44 [FR Doc. 2021–02324 Filed 2–22–21; 8:45 am] FR 11034; February 26, 1979); and (3) except federal holidays. An informal BILLING CODE 4910–13–P docket may also be examined during does not warrant preparation of a normal business hours at the Northwest regulatory evaluation as the anticipated Mountain Regional Office of the Federal impact is so minimal. Since this is a DEPARTMENT OF TRANSPORTATION Aviation Administration, Air Traffic routine matter that will only affect air Organization, Western Service Center, traffic procedures and air navigation, it Federal Aviation Administration Operations Support Group, 2200 S. is certified that this rule, when 216th Street, Des Moines, WA 98198. promulgated, would not have a 14 CFR Part 71 significant economic impact on a Availability and Summary of [Docket No. FAA–2021–0035; Airspace substantial number of small entities Docket No. 21–AGL–11] Documents for Incorporation by under the criteria of the Regulatory Reference Flexibility Act. RIN 2120–AA66 This document proposes to amend Environmental Review Proposed Establishment and FAA Order 7400.11E, Airspace Revocation of Class E Airspace; North Designations and Reporting Points, This proposal will be subject to an Dakota, ND dated July 21, 2020, and effective environmental analysis in accordance September 15, 2020. FAA Order with FAA Order 1050.1F, AGENCY: Federal Aviation 7400.11E is publicly available as listed ‘‘Environmental Impacts: Policies and Administration (FAA), DOT. Procedures’’ prior to any FAA final in the ADDRESSES section of this ACTION: Notice of proposed rulemaking document. FAA Order 7400.11E lists regulatory action. (NPRM). Class A, B, C, D, and E airspace areas, List of Subjects in 14 CFR Part 71 air traffic service routes, and reporting SUMMARY: This action proposes to points. Airspace, Incorporation by reference, establish an enroute domestic airspace Navigation (air). area over the State of North Dakota and The Proposal The Proposed Amendment remove the enroute domestic airspace The FAA is proposing an amendment areas at Harvey and Linton, ND. The to 14 CFR part 71 by establishing Class Accordingly, pursuant to the FAA is proposing this action at the E airspace extending upward from 700 authority delegated to me, the Federal request of Salt Lake Air Route Traffic feet above the surface of the earth at Aviation Administration proposes to Control Center (ARTCC) and Crooked Creek Airport, Crooked Creek, amend 14 CFR part 71 as follows: Minneapolis ARTCC to improve air traffic control services and support AK. PART 71—DESIGNATION OF CLASS A, instrument flight rule (IFR) operations The Class E airspace would be B, C, D, AND E AIRSPACE AREAS; AIR over the state. established within a 2 mile radius of the TRAFFIC SERVICE ROUTES; AND airport, excluding that area within the REPORTING POINTS DATES: Comments must be received on Stony B Military Operations Area, and or before April 9, 2021. that airspace within 2 miles each side of ■ 1. The authority citation for 14 CFR ADDRESSES: Send comments on this the 332° bearing extending from the 2- Part 71 continues to read as follows: proposal to the U.S. Department of mile radius to 8.5 miles northwest of the Authority: 49 U.S.C. 106(f), 106(g), 40103, Transportation, Docket Operations, airport. This airspace would protect 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, West Building Ground Floor, Room aircraft using the RNAV approach to 1959–1963 Comp., p. 389. W12–140, 1200 New Jersey Avenue SE, runway 14 and departures until Washington, DC 20590; telephone (202) reaching 1,200 feet AGL. § 71.1 [Amended] 366–9826, or (800) 647–5527. You must Class E airspace designations are ■ 2. The incorporation by reference in identify FAA Docket No. FAA–2021– published in paragraph 6005 of FAA 14 CFR 71.1 of FAA Order 7400.11E, 0035/Airspace Docket No. 21–AGL–11, Order 7400.11E, dated July 21, 2020, Airspace Designations and Reporting at the beginning of your comments. You and effective September 15, 2020, which Points, dated July 21, 2020, and may also submit comments through the is incorporated by reference in 14 CFR effective September 15, 2020, is internet at https://www.regulations.gov. 71.1. The Class E airspace designations amended as follows: You may review the public docket
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containing the proposal, any comments decisions on the proposal. Comments The Proposal received, and any final disposition in are specifically invited on the overall The FAA is proposing an amendment person in the Dockets Office between regulatory, aeronautical, economic, to 14 CFR part 71 by: 9:00 a.m. and 5:00 p.m., Monday environmental, and energy-related Establishing enroute domestic through Friday, except federal holidays. aspects of the proposal. airspace area extending upward from FAA Order 7400.11E, Airspace Communications should identify both 1,200 feet above the surface over the Designations and Reporting Points, and docket numbers and be submitted in State of North Dakota; subsequent amendments can be viewed triplicate to the address listed above. _ Removing the enroute domestic online at https://www.faa.gov/air Commenters wishing the FAA to airspace area at Harvey Municipal traffic/publications/. For further acknowledge receipt of their comments Airport, Harvey, ND, and Linton information, you can contact the on this notice must submit with those Municipal Airport, Linton, ND, as they Airspace Policy Group, Federal Aviation comments a self-addressed, stamped would be redundant with the Administration, 800 Independence postcard on which the following establishment of the enroute domestic Avenue SW, Washington, DC 20591; statement is made: ‘‘Comments to airspace area over the state. Docket No. FAA–2020–0035/Airspace telephone: (202) 267–8783. The Order is This action is being requested by Salt Docket No. 21–AGL–11.’’ The postcard also available for inspection at the Lake ARTCC and Minneapolis ARTCC will be date/time stamped and returned National Archives and Records to improve air traffic services and to the commenter. Administration (NARA). For support IFR operations over the state. information on the availability of FAA All communications received before Class E airspace designations are Order 7400.11E at NARA, email: the specified closing date for comments published in paragraph 6006 of FAA [email protected] or go to https:// will be considered before taking action Order 7400.11E, dated July 21, 2020, www.archives.gov/federal-register/cfr/ on the proposed rule. The proposal and effective September 15, 2020, which ibr-locations.html. contained in this notice may be changed is incorporated by reference in 14 CFR FOR FURTHER INFORMATION CONTACT: in light of the comments received. A 71.1. The Class E airspace designations Jeffrey Claypool, Federal Aviation report summarizing each substantive listed in this document will be Administration, Operations Support public contact with FAA personnel published subsequently in the Order. Group, Central Service Center, 10101 concerned with this rulemaking will be FAA Order 7400.11, Airspace Hillwood Parkway, Fort Worth, TX filed in the docket. Designations and Reporting Points, is 76177; telephone (817) 222–5711. Availability of NPRMs published yearly and effective on SUPPLEMENTARY INFORMATION: September 15. An electronic copy of this document Authority for This Rulemaking may be downloaded through the Regulatory Notices and Analyses The FAA’s authority to issue rules internet at https://www.regulations.gov. The FAA has determined that this regarding aviation safety is found in Recently published rulemaking regulation only involves an established Title 49 of the United States Code. documents can also be accessed through body of technical regulations for which Subtitle I, Section 106 describes the the FAA’s web page at https:// frequent and routine amendments are _ authority of the FAA Administrator. www.faa.gov/air traffic/publications/ necessary to keep them operationally _ Subtitle VII, Aviation Programs, airspace amendments/. current, is non-controversial and describes in more detail the scope of the You may review the public docket unlikely to result in adverse or negative agency’s authority. This rulemaking is containing the proposal, any comments comments. It, therefore: (1) Is not a promulgated under the authority received, and any final disposition in ‘‘significant regulatory action’’ under described in Subtitle VII, Part A, person in the Dockets Office (see the Executive Order 12866; (2) is not a Subpart I, Section 40103. Under that ADDRESSES section for the address and ‘‘significant rule’’ under DOT section, the FAA is charged with phone number) between 9:00 a.m. and Regulatory Policies and Procedures (44 prescribing regulations to assign the use 5:00 p.m., Monday through Friday, FR 11034; February 26, 1979); and (3) of airspace necessary to ensure the except federal holidays. An informal does not warrant preparation of a safety of aircraft and the efficient use of docket may also be examined during regulatory evaluation as the anticipated airspace. This regulation is within the normal business hours at the Federal impact is so minimal. Since this is a scope of that authority as it would Aviation Administration, Air Traffic routine matter that will only affect air establish enroute domestic airspace area Organization, Central Service Center, traffic procedures and air navigation, it over the State of North Dakota and Operations Support Group, 10101 is certified that this rule, when remove the enroute domestic airspace Hillwood Parkway, Fort Worth, TX promulgated, would not have a areas at Harvey Municipal Airport, 76177. significant economic impact on a Harvey, ND, and Linton Municipal Availability and Summary of substantial number of small entities Airport, Linton, ND, which would Documents for Incorporation by under the criteria of the Regulatory become redundant, to improve air traffic Reference Flexibility Act. services and support IFR operations over the state. This document proposes to amend Environmental Review FAA Order 7400.11E, Airspace This proposal will be subject to an Comments Invited Designations and Reporting Points, environmental analysis in accordance Interested parties are invited to dated July 21, 2020, and effective with FAA Order 1050.1F, participate in this proposed rulemaking September 15, 2020. FAA Order ‘‘Environmental Impacts: Policies and by submitting such written data, views, 7400.11E is publicly available as listed Procedures’’ prior to any FAA final or arguments, as they may desire. in the ADDRESSES section of this regulatory action. Comments that provide the factual basis document. FAA Order 7400.11E lists supporting the views and suggestions Class A, B, C, D, and E airspace areas, List of Subjects in 14 CFR Part 71 presented are particularly helpful in air traffic service routes, and reporting Airspace, Incorporation by reference, developing reasoned regulatory points. Navigation (air).
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The Proposed Amendment caused by the decommissioning of the of airspace necessary to ensure the Accordingly, pursuant to the Texoma VHF omnidirectional range safety of aircraft and the efficient use of authority delegated to me, the Federal (VOR) navigation aids as part of the airspace. This regulation is within the Aviation Administration proposes to VOR Minimum Operational Network scope of that authority as it would amend 14 CFR part 71 as follows: (MON) Program. The name and amend the Class E airspace extending geographical coordinates of the airport upward from 700 feet above the surface PART 71—DESIGNATION OF CLASS A, would also be updated to coincide with at Durant Regional Airport-Eaker Field, B, C, D, AND E AIRSPACE AREAS; AIR the FAA’s aeronautical database. Durant, OK, to support instrument flight TRAFFIC SERVICE ROUTES; AND DATES: Comments must be received on rule operations at this airport. REPORTING POINTS or before April 9, 2021. Comments Invited ADDRESSES: Send comments on this Interested parties are invited to ■ 1. The authority citation for 14 CFR proposal to the U.S. Department of participate in this proposed rulemaking part 71 continues to read as follows: Transportation, Docket Operations, by submitting such written data, views, Authority: 49 U.S.C. 106(f), 106(g); 40103, West Building Ground Floor, Room or arguments, as they may desire. 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, W12–140, 1200 New Jersey Avenue SE, 1959–1963 Comp., p. 389. Comments that provide the factual basis Washington, DC 20590; telephone (202) supporting the views and suggestions 366–9826, or (800) 647–5527. You must § 71.1 [Amended] presented are particularly helpful in identify FAA Docket No. FAA–2021– ■ developing reasoned regulatory 2. The incorporation by reference in 0001/Airspace Docket No. 21–ASW–2, 14 CFR 71.1 of FAA Order 7400.11E, decisions on the proposal. Comments at the beginning of your comments. You are specifically invited on the overall Airspace Designations and Reporting may also submit comments through the Points, dated July 21, 2020, and regulatory, aeronautical, economic, internet at https://www.regulations.gov. environmental, and energy-related effective September 15, 2020, is You may review the public docket amended as follows: aspects of the proposal. containing the proposal, any comments Communications should identify both Paragraph 6006 En Route Domestic received, and any final disposition in docket numbers and be submitted in Airspace Areas. person in the Dockets Office between triplicate to the address listed above. * * * * * 9:00 a.m. and 5:00 p.m., Monday Commenters wishing the FAA to through Friday, except federal holidays. AGL ND E6 Harvey, ND [Remove] acknowledge receipt of their comments FAA Order 7400.11E, Airspace on this notice must submit with those AGL ND E6 Linton, ND [Remove] Designations and Reporting Points, and comments a self-addressed, stamped * * * * * subsequent amendments can be viewed postcard on which the following online at https://www.faa.gov/air_ AGL ND E6 North Dakota, ND [Establish] statement is made: ‘‘Comments to traffic/publications/. For further Docket No. FAA–2021–0001/Airspace That airspace extending upward from information, you can contact the Docket No. 21–ASW–2.’’ The postcard 1,200 feet above the surface within the Airspace Policy Group, Federal Aviation boundary of the State of North Dakota. will be date/time stamped and returned Administration, 800 Independence to the commenter. Issued in Fort Worth, Texas, on February Avenue SW, Washington, DC 20591; All communications received before 17, 2021. telephone: (202) 267–8783. The Order is the specified closing date for comments Martin A. Skinner, also available for inspection at the will be considered before taking action Acting Manager, Operations Support Group, National Archives and Records on the proposed rule. The proposal ATO Central Service Center. Administration (NARA). For contained in this notice may be changed [FR Doc. 2021–03519 Filed 2–22–21; 8:45 am] information on the availability of FAA in light of the comments received. A BILLING CODE 4910–13–P Order 7400.11E at NARA, email report summarizing each substantive [email protected] or go to https:// public contact with FAA personnel www.archives.gov/federal-register/cfr/ concerned with this rulemaking will be DEPARTMENT OF TRANSPORTATION ibr-locations.html. filed in the docket. FOR FURTHER INFORMATION CONTACT: Federal Aviation Administration Jeffrey Claypool, Federal Aviation Availability of NPRMs Administration, Operations Support An electronic copy of this document 14 CFR Part 71 Group, Central Service Center, 10101 may be downloaded through the [Docket No. FAA–2021–0001; Airspace Hillwood Parkway, Fort Worth, TX internet at https://www.regulations.gov. Docket No. 21–ASW–2] 76177; telephone (817) 222–5711. Recently published rulemaking SUPPLEMENTARY INFORMATION: documents can also be accessed through RIN 2120–AA66 the FAA’s web page at https:// Authority for This Rulemaking www.faa.gov/air_traffic/publications/ Proposed Amendment of Class E _ Airspace; Durant, OK The FAA’s authority to issue rules airspace amendments/. regarding aviation safety is found in You may review the public docket AGENCY: Federal Aviation Title 49 of the United States Code. containing the proposal, any comments Administration (FAA), DOT. Subtitle I, Section 106 describes the received, and any final disposition in ACTION: Notice of proposed rulemaking authority of the FAA Administrator. person in the Dockets Office (see the (NPRM). Subtitle VII, Aviation Programs, ADDRESSES section for the address and describes in more detail the scope of the phone number) between 9:00 a.m. and SUMMARY: This action proposes to agency’s authority. This rulemaking is 5:00 p.m., Monday through Friday, amend the Class E airspace extending promulgated under the authority except federal holidays. An informal upward from 700 feet above the surface described in Subtitle VII, Part A, docket may also be examined during at Durant Regional Airport-Eaker Field, Subpart I, Section 40103. Under that normal business hours at the Federal Durant, OK. The FAA is proposing this section, the FAA is charged with Aviation Administration, Air Traffic action as the result of an airspace review prescribing regulations to assign the use Organization, Central Service Center,
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Operations Support Group, 10101 does not warrant preparation of a DEPARTMENT OF TRANSPORTATION Hillwood Parkway, Fort Worth, TX regulatory evaluation as the anticipated 76177. impact is so minimal. Since this is a Federal Aviation Administration routine matter that will only affect air Availability and Summary of traffic procedures and air navigation, it 14 CFR Part 71 Documents for Incorporation by is certified that this rule, when Reference [Docket No. FAA–2020–1188; Airspace promulgated, would not have a Docket No. 20–ANE–10] This document proposes to amend significant economic impact on a FAA Order 7400.11E, Airspace substantial number of small entities RIN 2120–AA66 Designations and Reporting Points, under the criteria of the Regulatory Proposed Amendment of Class D and dated July 21, 2020, and effective Flexibility Act. September 15, 2020. FAA Order Class E Airspace, and Proposed 7400.11E is publicly available as listed Environmental Review Establishment of Class E Airspace; Worcester, MA in the ADDRESSES section of this This proposal will be subject to an document. FAA Order 7400.11E lists environmental analysis in accordance AGENCY: Federal Aviation Class A, B, C, D, and E airspace areas, with FAA Order 1050.1F, Administration (FAA), DOT. air traffic service routes, and reporting ‘‘Environmental Impacts: Policies and ACTION: Notice of proposed rulemaking points. Procedures’’ prior to any FAA final (NPRM). The Proposal regulatory action. SUMMARY: This action proposes to The FAA is proposing an amendment List of Subjects in 14 CFR Part 71 amend Class D airspace, Class E surface to 14 CFR part 71 by amending the Class airspace, and Class E airspace extending E airspace extending upward from 700 Airspace, Incorporation by reference, upward from 700 feet above the surface feet above the surface to within a 6.6- Navigation (air). for Worcester Regional Airport, mile (decreased from a 6.9-mile) radius The Proposed Amendment Worcester, MA, as an airspace of Durant Regional Airport-Eaker Field, evaluation of the area determined Durant, OK; updating the name Accordingly, pursuant to the additional airspace is necessary. Also, (previously Eaker Field) and geographic authority delegated to me, the Federal this action proposes to establish Class E coordinates of the airport to coincide Aviation Administration proposes to airspace extending upward from 700 with the FAA’s aeronautical database; amend 14 CFR part 71 as follows: feet above the surface for UMass and removing the city associated with Memorial Medical Center-University the airport in the header of the airspace PART 71—DESIGNATION OF CLASS A, Campus Heliport, to accommodate new legal description to comply with B, C, D, AND E AIRSPACE AREAS; AIR area navigation (RNAV) global changes to FAA Order 7400.2M, TRAFFIC SERVICE ROUTES; AND positioning system (GPS) standard Procedures for Handling Airspace REPORTING POINTS instrument approach procedures Matters. (SIAPs) serving this heliport. Controlled This action is the result of airspace ■ 1. The authority citation for 14 CFR airspace is necessary for the safety and reviews caused by the decommissioning part 71 continues to read as follows: management of instrument flight rules of the Texoma VOR, which provided Authority: 49 U.S.C. 106(f), 106(g); 40103, (IFR) operations in the area. navigation information for the 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, DATES: Comments must be received on instrument procedures these airports, as 1959–1963 Comp., p. 389. or before April 9, 2021. part of the VOR MON Program. Class E airspace designations are § 71.1 [Amended] ADDRESSES: Send comments on this proposal to: The U.S. Department of published in paragraph 6005 of FAA ■ 2. The incorporation by reference in Transportation, Docket Operations, 1200 Order 7400.11E, dated July 21, 2020, 14 CFR 71.1 of FAA Order 7400.11D, and effective September 15, 2020, which New Jersey Avenue SE, West Building Airspace Designations and Reporting Ground Floor, Room W12–140, is incorporated by reference in 14 CFR Points, dated August 8, 2019, and 71.1. The Class E airspace designations Washington, DC 20590–0001; effective September 15, 2019, is Telephone: (800) 647–5527, or (202) listed in this document will be amended as follows: published subsequently in the Order. 366–9826. You must identify the Docket FAA Order 7400.11, Airspace Paragraph 6005 Class E Airspace Areas No. FAA–2020–1188; Airspace Docket Designations and Reporting Points, is Extending Upward From 700 Feet or More No. 20–ANE–10, at the beginning of published yearly and effective on Above the Surface of the Earth. your comments. You may also submit September 15. * * * * * comments through the internet at https://www.regulations.gov. ASW OK E5 Durant, OK [Amended] Regulatory Notices and Analyses FAA Order 7400.11E Airspace The FAA has determined that this Durant Regional Airport-Eaker Field, OK Designations and Reporting Points, and ° ′ ″ ° ′ ″ regulation only involves an established (Lat. 33 56 23 N, long. 96 23 42 W) subsequent amendments can be viewed body of technical regulations for which That airspace extending upward from 700 online at https://www.faa.gov/air_ frequent and routine amendments are feet above the surface within a 6.6-mile traffic/publications/. For further necessary to keep them operationally radius of Durant Regional Airport-Eaker information, you can contact the Field. current, is non-controversial and Airspace Policy Group, Federal Aviation unlikely to result in adverse or negative Issued in Fort Worth, Texas, on January 27, Administration, 800 Independence comments. It, therefore: (1) Is not a 2021. Avenue SW, Washington, DC 20591; ‘‘significant regulatory action’’ under Martin A. Skinner, Telephone: (202) 267–8783. The Order Executive Order 12866; (2) is not a Manager, Operations Support Group, ATO is also available for inspection at the ‘‘significant rule’’ under DOT Central Service Center. National Archives and Records Regulatory Policies and Procedures (44 [FR Doc. 2021–02045 Filed 2–22–21; 8:45 am] Administration (NARA). For FR 11034; February 26, 1979); and (3) BILLING CODE 4910–13–P information on the availability of FAA
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Order 7400.11E at NARA, email All communications received before (from 6.7 miles). This action would also [email protected] or go to https:// the specified closing date for comments update the airport’s name. In addition, www.archives.gov/federal-register/cfr/ will be considered before taking action the FAA proposes to establish Class E ibr-locations.html. on the proposed rule. The proposal airspace extending upward from 700 FOR FURTHER INFORMATION CONTACT: John contained in this document may be feet above the surface for UMass Fornito, Operations Support Group, changed in light of the comments Memorial Medical Center-University Eastern Service Center, Federal Aviation received. All comments submitted will Campus Heliport, Worcester, MA, Administration, 1701 Columbia Avenue, be available for examination in the providing the controlled airspace College Park, GA 30337; Telephone public docket both before and after the required to support the new RNAV (404) 305–6364. comment closing date. A report (GPS) standard instrument approach summarizing each substantive public SUPPLEMENTARY INFORMATION: procedures for IFR operations at the contact with FAA personnel concerned heliport. This action would also replace Authority for This Rulemaking with this rulemaking will be filed in the the outdated term Airport/Facility The FAA’s authority to issue rules docket. Directory with the term Chart regarding aviation safety is found in Availability of NPRMs Supplement in the legal description of associated Class D and Class E airspace. Title 49 of the United States Code. An electronic copy of this document Subtitle I, Section 106 describes the Class D and E airspace designations may be downloaded through the are published in Paragraphs 5000, 6002, authority of the FAA Administrator. internet at https://www.regulations.gov. Subtitle VII, Aviation Programs, and 6005, respectively of FAA Order Recently published rulemaking 7400.11E, dated July 21, 2020, and describes in more detail the scope of the documents can also be accessed through agency’s authority. This rulemaking is effective September 15, 2020, which is the FAA’s web page at https:// incorporated by reference in 14 CFR promulgated under the authority _ www.faa.gov/air traffic/publications/ 71.1. The Class E airspace designations described in Subtitle VII, Part A, airspace_amendments/. Subpart I, Section 40103. Under that listed in this document will be You may review the public docket published subsequently in the Order. section, the FAA is charged with containing the proposal, any comments prescribing regulations to assign the use FAA Order 7400.11, Airspace received and any final disposition in Designations and Reporting Points, is of airspace necessary to ensure the person in the Dockets Office (see the safety of aircraft and the efficient use of published yearly and effective on ADDRESSES section for address and September 15. airspace. This regulation is within the phone number) between 9:00 a.m. and scope of that authority, as it would 5:00 p.m., Monday through Friday, Regulatory Notices and Analyses amend Class D and Class E airspace, and except federal holidays. An informal The FAA has determined that this establish Class E airspace in Worcester, docket may also be examined between proposed regulation only involves an MA, to support IFR operations in the 8:00 a.m. and 4:30 p.m., Monday established body of technical area. through Friday, except federal holidays regulations for which frequent and Comments Invited at the office of the Eastern Service routine amendments are necessary to Center, Federal Aviation keep them operationally current. It, Interested persons are invited to Administration, Room 350, 1701 therefore: (1) Is not a ‘‘significant comment on this proposed rulemaking Columbia Avenue, College Park, GA regulatory action’’ under Executive by submitting such written data, views, 30337. Order 12866; (2) is not a ‘‘significant or arguments, as they may desire. rule’’ under DOT Regulatory Policies Comments that provide the factual basis Availability and Summary of and Procedures (44 FR 11034; February supporting the views and suggestions Documents for Incorporation by 26, 1979); and (3) does not warrant presented are particularly helpful in Reference preparation of a Regulatory Evaluation developing reasoned regulatory This document proposes to amend as the anticipated impact is so minimal. decisions on the proposal. Comments FAA Order 7400.11E, Airspace Since this is a routine matter that will are specifically invited on the overall Designations and Reporting Points, only affect air traffic procedures and air regulatory, aeronautical, economic, dated July 21, 2020, and effective navigation, it is certified that this environmental, and energy-related September 15, 2020. FAA Order proposed rule, when promulgated, will aspects of the proposal. 7400.11E is publicly available as listed not have a significant economic impact Communications should identify both in the ADDRESSES section of this on a substantial number of small entities docket numbers (Docket No. FAA– document. FAA Order 7400.11E lists under the criteria of the Regulatory 2020–1188 and Airspace Docket No. 20– Class A, B, C, D, and E airspace areas, Flexibility Act. ANE–10) and be submitted in triplicate air traffic service routes, and reporting to DOT Docket Operations (see points. Environmental Review ADDRESSES section for the address and The Proposal This proposal will be subject to an phone number). You may also submit environmental analysis in accordance comments through the internet at The FAA proposes an amendment to with FAA Order 1050.1F, https://www.regulations.gov. 14 CFR part 71 to amend Class D and ‘‘Environmental Impacts: Policies and Persons wishing the FAA to Class E surface airspace, for Worcester Procedures’’, prior to any FAA final acknowledge receipt of their comments Regional Airport (formerly Worcester regulatory action. on this action must submit with those Municipal Airport), Worcester, MA. An comments a self-addressed stamped airspace evaluation of the area Lists of Subjects in 14 CFR Part 71 postcard on which the following determined the Class D and Class E Airspace, Incorporation by reference, statement is made: ‘‘Comments to FAA surface area radii required an increase to Navigation (air). Docket No. FAA–2020–1188; Airspace 5.1 miles (from 4.2 miles). Also, the Docket No. 20–ANE–10.’’ The postcard airport’s Class E airspace extending The Proposed Amendment will be date/time stamped and returned upward from 700 feet above the surface In consideration of the foregoing, the to the commenter. would be increased to a 7.6-mile radius Federal Aviation Administration
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proposes to amend 14 CFR part 71 as Issued in College Park, Georgia, on Telephone: (202) 267–8783. The Order follows: February 2, 2021. is also available for inspection at the Andreese C. Davis, National Archives and Records PART 71—DESIGNATION OF CLASS A, Manager, Airspace & Procedures Team South, Administration (NARA). For B, C, D, AND E AIRSPACE AREAS; AIR Eastern Service Center, Air Traffic information on the availability of FAA TRAFFIC SERVICE ROUTES; AND Organization. Order 7400.11E at NARA, email REPORTING POINTS [FR Doc. 2021–02480 Filed 2–22–21; 8:45 am] [email protected] or go to https:// BILLING CODE 4910–13–P www.archives.gov/federal-register/cfr/ ■ 1. The authority citation for part 71 ibr-locations.html. continues to read as follows: FOR FURTHER INFORMATION CONTACT: John Authority: 49 U.S.C. 106(f), 106(g); 40103, DEPARTMENT OF TRANSPORTATION Fornito, Operations Support Group, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959–1963 Comp., p. 389. Federal Aviation Administration Eastern Service Center, Federal Aviation Administration, 1701 Columbia Avenue, § 71.1 [Amended] 14 CFR Part 71 College Park, GA 30337; Telephone ■ 2. The incorporation by reference in (404) 305–6364. 14 CFR 71.1 of Federal Aviation [Docket No. FAA–2020–1202; Airspace SUPPLEMENTARY INFORMATION: Administration Order 7400.11E, Docket No. 20–ANE–12] Authority for This Rulemaking Airspace Designations and Reporting RIN 2120–AA66 Points, dated July 21, 2020, and The FAA’s authority to issue rules effective September 15, 2020, is Proposed Establishment of Class E regarding aviation safety is found in amended as follows: Airspace; Taunton, MA Title 49 of the United States Code. Subtitle I, Section 106 describes the Paragraph 5000 Class D Airspace. AGENCY: Federal Aviation authority of the FAA Administrator. * * * * * Administration (FAA), DOT. Subtitle VII, Aviation Programs, ANE MA D Worcester, MA [Amended] ACTION: Notice of proposed rulemaking describes in more detail the scope of the Worcester Regional Airport, MA (NPRM). agency’s authority. This rulemaking is (Lat. 42°16′02″ N, long. 71°52′32″ W) SUMMARY: This action proposes to promulgated under the authority Spencer Airport, MA described in Subtitle VII, Part A, ° ′ ″ ° ′ ″ establish Class E airspace extending (Lat. 42 17 26 N, long. 71 57 53 W) Subpart I, Section 40103. Under that That airspace extending upward from the upward from 700 feet above the surface for Morton Hospital Heliport, Taunton, section, the FAA is charged with surface to and including 3,500 feet MSL prescribing regulations to assign the use within a 5.1-mile radius of Worcester MA, to accommodate new area Regional Airport, excluding that airspace navigation (RNAV) global positioning of airspace necessary to ensure the from the surface up to but not including system (GPS) standard instrument safety of aircraft and the efficient use of 1,900 feet MSL within a 1-mile radius of the approach procedures (SIAPs) serving airspace. This regulation is within the Spencer Airport. This Class D airspace area this heliport. Controlled airspace is scope of that authority, as it would is effective during the specific dates and necessary for the safety and establish and amend Class E airspace in times established in advance by a Notice to management of instrument flight rules Taunton, MA, to support IFR operations Airmen. The effective date and time will in the area. thereafter be continuously published in the (IFR) operations in the area. This action Chart Supplement. would also update the name and Comments Invited geographic coordinates of Taunton Paragraph 6002 Class E Surface Airspace. Interested persons are invited to Municipal Airport-King Field (formerly comment on this proposed rulemaking * * * * * Taunton Municipal Airport), Taunton, by submitting such written data, views, ANE MA E2 Worcester, MA [Amended] MA. or arguments, as they may desire. Worcester Regional Airport, MA DATES: Comments must be received on ° ′ ″ ° ′ ″ Comments that provide the factual basis (Lat. 42 16 02 N, long. 71 52 32 W) or before April 9, 2021. supporting the views and suggestions That airspace extending upward from the ADDRESSES: Send comments on this presented are particularly helpful in surface within a 5.1-mile radius of Worcester Regional Airport. This Class E airspace area proposal to: The U.S. Department of developing reasoned regulatory is effective during the specific dates and Transportation, Docket Operations, 1200 decisions on the proposal. Comments times established in advance by a Notice to New Jersey Avenue SE, West Building are specifically invited on the overall Airmen. The effective date and time will Ground Floor, Room W12–140, regulatory, aeronautical, economic, thereafter be continuously published in the Washington, DC 20590–0001; environmental, and energy-related Chart Supplement. Telephone: (800) 647–5527, or (202) aspects of the proposal. Paragraph 6005 Class E Airspace Areas 366–9826. You must identify the Docket Communications should identify both Extending Upward From 700 Feet or More No. FAA–2020–1202; Airspace Docket docket numbers (Docket No. FAA– Above the Surface of the Earth. No. 20–ANE–12, at the beginning of 2020–1202 and Airspace Docket No. 20– * * * * * your comments. You may also submit ANE–12) and be submitted in triplicate comments through the internet at to DOT Docket Operations (see ANE MA E5 Worcester, MA [Amended] https://www.regulations.gov. ADDRESSES section for the address and Worcester Regional Airport, MA FAA Order 7400.11E Airspace phone number). You may also submit ° ′ ″ ° ′ ″ (Lat. 42 16 02 N, long. 71 52 32 W) Designations and Reporting Points, and comments through the internet at UMass Memorial Medical Center-University subsequent amendments can be viewed https://www.regulations.gov. Campus Heliport _ (Lat. 42°16′30″ N, long. 71°45′36″ W) online at https://www.faa.gov/air Persons wishing the FAA to traffic/publications/. For further acknowledge receipt of their comments That airspace extending upward from 700 feet above the surface within a 7.6-mile information, you can contact the on this action must submit with those radius of Worcester Regional Airport, and Airspace Policy Group, Federal Aviation comments a self-addressed stamped within a 6-mile radius of UMass Memorial Administration, 800 Independence postcard on which the following Medical Center-University Campus Heliport. Avenue SW, Washington, DC 20591; statement is made: ‘‘Comments to FAA
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Docket No. FAA–2020–1202; Airspace procedures (SIAPs) serving this heliport. PART 71—DESIGNATION OF CLASS A, Docket No. 20–ANE–12.’’ The postcard In addition, the FAA proposes to amend B, C, D, AND E AIRSPACE AREAS; AIR will be date/time stamped and returned Class E airspace extending upward from TRAFFIC SERVICE ROUTES; AND to the commenter. 700 feet above the surface by updating REPORTING POINTS All communications received before the name and geographic coordinates of the specified closing date for comments Taunton Municipal Airport-King Field, ■ 1. The authority citation for part 71 will be considered before taking action Taunton, MA. continues to read as follows: on the proposed rule. The proposal Authority: 49 U.S.C. 106(f), 106(g); 40103, contained in this document may be This action would also eliminate unnecessary verbiage in the airport’s 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, changed in light of the comments 1959–1963 Comp., p. 389. received. All comments submitted will description, as Class E airspace is be available for examination in the shared equally between FAA facilities. § 71.1 [Amended] public docket both before and after the Class E airspace designations are ■ 2. The incorporation by reference in comment closing date. A report published in Paragraph 6005, of FAA 14 CFR 71.1 of Federal Aviation summarizing each substantive public Order 7400.11E, dated July 21, 2020, Administration Order 7400.11E, contact with FAA personnel concerned and effective September 15, 2020, which Airspace Designations and Reporting with this rulemaking will be filed in the is incorporated by reference in 14 CFR Points, dated July 21, 2020, and docket. 71.1. The Class E airspace designations effective September 15, 2020, is amended as follows: Availability of NPRMs listed in this document will be published subsequently in the Order. Paragraph 6005 Class E Airspace Areas An electronic copy of this document FAA Order 7400.11, Airspace Extending Upward From 700 Feet or More may be downloaded through the Above the Surface of the Earth. internet at https://www.regulations.gov. Designations and Reporting Points, is * * * * * Recently published rulemaking published yearly and effective on documents can also be accessed through September 15. ANE MA E5 Taunton, MA [Amended] the FAA’s web page at https:// Regulatory Notices and Analyses Taunton Municipal Airport-King Field, MA www.faa.gov/air_traffic/publications/ (Lat. 41°52′28″ N, long. 71°0′59″ W) airspace_amendments/. The FAA has determined that this Morton Hospital Heliport You may review the public docket proposed regulation only involves an (Lat. 41°54′21″ N, long. 71°5′429″ W) containing the proposal, any comments established body of technical That airspace extending upward from 700 received and any final disposition in regulations for which frequent and feet above the surface within a 7.3-mile person in the Dockets Office (see the routine amendments are necessary to radius of Taunton Municipal Airport-King ADDRESSES section for address and Field and within a 6-mile radius of Morton keep them operationally current. It, Hospital Heliport. phone number) between 9:00 a.m. and therefore: (1) Is not a ‘‘significant 5:00 p.m., Monday through Friday, regulatory action’’ under Executive Issued in College Park, Georgia, on, except federal holidays. An informal Order 12866; (2) is not a ‘‘significant February 2, 2021. docket may also be examined between rule’’ under DOT Regulatory Policies Andreese C. Davis, 8:00 a.m. and 4:30 p.m., Monday and Procedures (44 FR 11034; February Manager, Airspace & Procedures Team South, through Friday, except federal holidays 26, 1979); and (3) does not warrant Eastern Service Center, Air Traffic Organization. at the office of the Eastern Service preparation of a Regulatory Evaluation Center, Federal Aviation as the anticipated impact is so minimal. [FR Doc. 2021–02456 Filed 2–22–21; 8:45 am] Administration, Room 350, 1701 Since this is a routine matter that will BILLING CODE 4910–13–P Columbia Avenue, College Park, GA only affect air traffic procedures and air 30337. navigation, it is certified that this DEPARTMENT OF TRANSPORTATION Availability and Summary of proposed rule, when promulgated, will Documents for Incorporation by not have a significant economic impact Federal Aviation Administration Reference on a substantial number of small entities This document proposes to amend under the criteria of the Regulatory 14 CFR Part 71 FAA Order 7400.11E, Airspace Flexibility Act. [Docket No. FAA–2021–0002; Airspace Designations and Reporting Points, Environmental Review dated July 21, 2020, and effective Docket No. 21–ASW–3] September 15, 2020. FAA Order This proposal will be subject to an RIN 2120–AA66 7400.11E is publicly available as listed environmental analysis in accordance in the ADDRESSES section of this with FAA Order 1050.1F, Proposed Revocation of Class E document. FAA Order 7400.11E lists ‘‘Environmental Impacts: Policies and Airspace; Mineola, TX Class A, B, C, D, and E airspace areas, Procedures,’’ prior to any FAA final air traffic service routes, and reporting regulatory action. AGENCY: Federal Aviation points. Administration (FAA), DOT. Lists of Subjects in 14 CFR Part 71 The Proposal ACTION: Notice of proposed rulemaking (NPRM). The FAA proposes an amendment to Airspace, Incorporation by reference, 14 CFR part 71 to establish Class E Navigation (air). SUMMARY: This action proposes to airspace extending upward from 700 The Proposed Amendment revoke the Class E airspace extending feet above the surface for Morton upward from 700 feet above the surface Hospital Heliport, Taunton, MA, to In consideration of the foregoing, the at Mineola Wisener Field, Mineola, TX. accommodate new area navigation Federal Aviation Administration The FAA is proposing this action as the (RNAV) global positioning system (GPS) proposes to amend 14 CFR part 71 as result of the cancellation of the standard instrument approach follows: instrument procedures at this airport.
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DATES: Comments must be received on due to the cancellation of the Availability and Summary of or before April 9, 2021. instrument procedures at this airport. Documents for Incorporation by Reference ADDRESSES: Send comments on this Comments Invited proposal to the U.S. Department of This document proposes to amend Transportation, Docket Operations, Interested parties are invited to FAA Order 7400.11E, Airspace West Building Ground Floor, Room participate in this proposed rulemaking Designations and Reporting Points, W12–140, 1200 New Jersey Avenue SE, by submitting such written data, views, dated July 21, 2020, and effective Washington, DC 20590; telephone (202) or arguments, as they may desire. September 15, 2020. FAA Order 366–9826, or (800) 647–5527. You must Comments that provide the factual basis 7400.11E is publicly available as listed identify FAA Docket No. FAA–2021– supporting the views and suggestions in the ADDRESSES section of this 0002/Airspace Docket No. 21–ASW–3, presented are particularly helpful in document. FAA Order 7400.11E lists at the beginning of your comments. You developing reasoned regulatory Class A, B, C, D, and E airspace areas, air traffic service routes, and reporting may also submit comments through the decisions on the proposal. Comments points. internet at https://www.regulations.gov. are specifically invited on the overall You may review the public docket regulatory, aeronautical, economic, The Proposal containing the proposal, any comments environmental, and energy-related received, and any final disposition in The FAA is proposing an amendment aspects of the proposal. person in the Dockets Office between to 14 CFR part 71 by revoking the Class Communications should identify both 9:00 a.m. and 5:00 p.m., Monday E airspace extending upward from 700 through Friday, except federal holidays. docket numbers and be submitted in feet above the surface to at Mineola triplicate to the address listed above. Wisener Field, Mineola, TX; and FAA Order 7400.11E, Airspace Commenters wishing the FAA to updating the city in the header of the Designations and Reporting Points, and acknowledge receipt of their comments airspace legal description from Mineola, subsequent amendments can be viewed _ on this notice must submit with those TX, to Mineola/Quitman, TX, to online at https://www.faa.gov/air coincide with the FAA’s aeronautical traffic/publications/. For further comments a self-addressed, stamped postcard on which the following database for Wood County Airport- information, you can contact the Collins Field, Mineola/Quitman, TX. Airspace Policy Group, Federal Aviation statement is made: ‘‘Comments to Docket No. FAA–2021–0002/Airspace This action is the result of the Administration, 800 Independence cancellation of the instrument Docket No. 21–ASW–3.’’ The postcard Avenue SW, Washington, DC 20591; procedures at Mineola Wisener Field, will be date/time stamped and returned telephone: (202) 267–8783. The Order is Mineola, TX. also available for inspection at the to the commenter. Class E airspace designations are National Archives and Records All communications received before published in paragraph 6005 of FAA Administration (NARA). For the specified closing date for comments Order 7400.11E, dated July 21, 2020, information on the availability of FAA will be considered before taking action and effective September 15, 2020, which Order 7400.11E at NARA, email on the proposed rule. The proposal is incorporated by reference in 14 CFR [email protected] or go to https:// contained in this notice may be changed 71.1. The Class E airspace designations www.archives.gov/federal-register/cfr/ in light of the comments received. A listed in this document will be ibr-locations.html. report summarizing each substantive published subsequently in the Order. FOR FURTHER INFORMATION CONTACT: public contact with FAA personnel FAA Order 7400.11, Airspace Jeffrey Claypool, Federal Aviation concerned with this rulemaking will be Designations and Reporting Points, is Administration, Operations Support filed in the docket. published yearly and effective on Group, Central Service Center, 10101 September 15. Availability of NPRMs Hillwood Parkway, Fort Worth, TX Regulatory Notices and Analyses 76177; telephone (817) 222–5711. An electronic copy of this document The FAA has determined that this SUPPLEMENTARY INFORMATION: may be downloaded through the regulation only involves an established Authority for This Rulemaking internet at https://www.regulations.gov. body of technical regulations for which Recently published rulemaking frequent and routine amendments are The FAA’s authority to issue rules documents can also be accessed through necessary to keep them operationally regarding aviation safety is found in the FAA’s web page at https:// current, is non-controversial and Title 49 of the United States Code. www.faa.gov/air_traffic/publications/ unlikely to result in adverse or negative Subtitle I, Section 106 describes the airspace_amendments/. comments. It, therefore: (1) Is not a authority of the FAA Administrator. ‘‘significant regulatory action’’ under You may review the public docket Subtitle VII, Aviation Programs, Executive Order 12866; (2) is not a describes in more detail the scope of the containing the proposal, any comments ‘‘significant rule’’ under DOT agency’s authority. This rulemaking is received, and any final disposition in Regulatory Policies and Procedures (44 promulgated under the authority person in the Dockets Office (see the FR 11034; February 26, 1979); and (3) described in Subtitle VII, Part A, ADDRESSES section for the address and does not warrant preparation of a Subpart I, Section 40103. Under that phone number) between 9:00 a.m. and regulatory evaluation as the anticipated section, the FAA is charged with 5:00 p.m., Monday through Friday, impact is so minimal. Since this is a prescribing regulations to assign the use except federal holidays. An informal routine matter that will only affect air of airspace necessary to ensure the docket may also be examined during traffic procedures and air navigation, it safety of aircraft and the efficient use of normal business hours at the Federal is certified that this rule, when airspace. This regulation is within the Aviation Administration, Air Traffic promulgated, would not have a scope of that authority as it would Organization, Central Service Center, significant economic impact on a revoke the Class E airspace extending Operations Support Group, 10101 substantial number of small entities upward from 700 feet above the surface Hillwood Parkway, Fort Worth, TX under the criteria of the Regulatory at Mineola Wisener Field, Mineola, TX, 76177. Flexibility Act.
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Environmental Review DEPARTMENT OF TRANSPORTATION Hillwood Parkway, Fort Worth, TX 76177; telephone (817) 222–5711. This proposal will be subject to an Federal Aviation Administration SUPPLEMENTARY INFORMATION: environmental analysis in accordance with FAA Order 1050.1F, 14 CFR Part 71 Authority for This Rulemaking ‘‘Environmental Impacts: Policies and [Docket No. FAA–2021–0055; Airspace The FAA’s authority to issue rules Procedures’’ prior to any FAA final Docket No. 21–ASW–4] regarding aviation safety is found in regulatory action. Title 49 of the United States Code. RIN 2120–AA66 Subtitle I, Section 106 describes the List of Subjects in 14 CFR Part 71 authority of the FAA Administrator. Proposed Amendment of Class E Subtitle VII, Aviation Programs, Airspace, Incorporation by reference, Airspace; Hebbronville, TX Navigation (air). describes in more detail the scope of the AGENCY: Federal Aviation agency’s authority. This rulemaking is The Proposed Amendment Administration (FAA), DOT. promulgated under the authority described in Subtitle VII, Part A, Accordingly, pursuant to the ACTION: Notice of proposed rulemaking (NPRM). Subpart I, Section 40103. Under that authority delegated to me, the Federal section, the FAA is charged with Aviation Administration proposes to SUMMARY: This action proposes to prescribing regulations to assign the use amend 14 CFR part 71 as follows: amend the Class E airspace extending of airspace necessary to ensure the upward from 700 feet above the surface safety of aircraft and the efficient use of PART 71—DESIGNATION OF CLASS A, at Jim Hogg County Airport, airspace. This regulation is within the B, C, D, AND E AIRSPACE AREAS; AIR Hebbronville, TX. The FAA is proposing scope of that authority as it would TRAFFIC SERVICE ROUTES; AND this action as the result of an airspace amend the Class E airspace extending REPORTING POINTS review due to the decommissioning of upward from 700 feet above the surface the Hebbronville non-directional beacon at Jim Hogg County Airport, ■ 1. The authority citation for 14 CFR (NDB). Hebbronville, TX, to support instrument part 71 continues to read as follows: DATES: Comments must be received on flight rule operations at this airport. Authority: 49 U.S.C. 106(f), 106(g); 40103, or before April 9, 2021. Comments Invited 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, ADDRESSES: Send comments on this Interested parties are invited to 1959–1963 Comp., p. 389. proposal to the U.S. Department of participate in this proposed rulemaking Transportation, Docket Operations, § 71.1 [Amended] by submitting such written data, views, West Building Ground Floor, Room or arguments, as they may desire. ■ 2. The incorporation by reference in W12–140, 1200 New Jersey Avenue SE, Comments that provide the factual basis 14 CFR 71.1 of FAA Order 7400.11D, Washington, DC 20590; telephone (202) supporting the views and suggestions Airspace Designations and Reporting 366–9826, or (800) 647–5527. You must presented are particularly helpful in Points, dated August 8, 2019, and identify FAA Docket No. FAA–2021– developing reasoned regulatory effective September 15, 2019, is 0055/Airspace Docket No. 21–ASW–4, decisions on the proposal. Comments at the beginning of your comments. You amended as follows: are specifically invited on the overall may also submit comments through the regulatory, aeronautical, economic, Paragraph 6005 Class E Airspace Areas internet at https://www.regulations.gov. environmental, and energy-related Extending Upward From 700 Feet or More You may review the public docket aspects of the proposal. Above the Surface of the Earth. containing the proposal, any comments Communications should identify both * * * * * received, and any final disposition in docket numbers and be submitted in person in the Dockets Office between triplicate to the address listed above. ASW TX E5 Mineola/Quitman, TX 9:00 a.m. and 5:00 p.m., Monday [Amended] Commenters wishing the FAA to through Friday, except federal holidays. acknowledge receipt of their comments Wood County Airport-Collins Field, TX FAA Order 7400.11E, Airspace (Lat. 32°44′32″ N long. 95°29′47″ W) on this notice must submit with those Designations and Reporting Points, and comments a self-addressed, stamped That airspace extending upward from 700 subsequent amendments can be viewed _ postcard on which the following feet above the surface within a 6.4-mile online at https://www.faa.gov/air statement is made: ‘‘Comments to radius of Wood County Airport-Collins Field, traffic/publications/. For further Docket No. FAA–2021–0055/Airspace and within 3.8 miles east and 5.7 miles west information, you can contact the Docket No. 21–ASW–4.’’ The postcard of the 182° bearing from the Wood County Airspace Policy Group, Federal Aviation will be date/time stamped and returned Airport-Collins Field extending from the 6.4- Administration, 800 Independence to the commenter. mile radius of Wood County Airport-Collins Avenue SW, Washington, DC 20591; All communications received before Field to 21.3 miles south of Wood County telephone: (202) 267–8783. The Order is the specified closing date for comments Airport-Collins Field. also available for inspection at the will be considered before taking action National Archives and Records Issued in Fort Worth, Texas, on January 27, on the proposed rule. The proposal Administration (NARA). For 2021. contained in this notice may be changed information on the availability of FAA Martin A. Skinner, in light of the comments received. A Order 7400.11E at NARA, email report summarizing each substantive Manager, Operations Support Group, ATO [email protected] or go to https:// Central Service Center. public contact with FAA personnel www.archives.gov/federal-register/cfr/ concerned with this rulemaking will be [FR Doc. 2021–02047 Filed 2–22–21; 8:45 am] ibr-locations.html. filed in the docket. BILLING CODE 4910–13–P FOR FURTHER INFORMATION CONTACT: Jeffrey Claypool, Federal Aviation Availability of NPRMs Administration, Operations Support An electronic copy of this document Group, Central Service Center, 10101 may be downloaded through the
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internet at https://www.regulations.gov. Regulatory Notices and Analyses (Lat. 27°20′58″ N, long. 98°44′13″ W) Recently published rulemaking O.S. Wyatt Airport, TX The FAA has determined that this ° ′ ″ ° ′ ″ documents can also be accessed through (Lat. 27 25 18 N, long. 98 36 16 W) regulation only involves an established That airspace extending upward from 700 the FAA’s web page at https:// body of technical regulations for which www.faa.gov/air_traffic/publications/ feet above the surface within a 6.5-mile _ frequent and routine amendments are radius of Jim Hogg County Airport, and airspace amendments/. necessary to keep them operationally within a 6.5-mile radius of O.S. Wyatt You may review the public docket current, is non-controversial and Airport. containing the proposal, any comments unlikely to result in adverse or negative Issued in Fort Worth, Texas, on February received, and any final disposition in comments. It, therefore: (1) Is not a 17, 2021. person in the Dockets Office (see the ‘‘significant regulatory action’’ under Martin A. Skinner, ADDRESSES section for the address and Executive Order 12866; (2) is not a Acting Manager, Operations Support Group, phone number) between 9:00 a.m. and ‘‘significant rule’’ under DOT ATO Central Service Center. 5:00 p.m., Monday through Friday, Regulatory Policies and Procedures (44 [FR Doc. 2021–03520 Filed 2–22–21; 8:45 am] except federal holidays. An informal FR 11034; February 26, 1979); and (3) BILLING CODE 4910–13–P docket may also be examined during does not warrant preparation of a normal business hours at the Federal regulatory evaluation as the anticipated Aviation Administration, Air Traffic impact is so minimal. Since this is a DEPARTMENT OF TRANSPORTATION Organization, Central Service Center, routine matter that will only affect air Operations Support Group, 10101 traffic procedures and air navigation, it Federal Aviation Administration Hillwood Parkway, Fort Worth, TX is certified that this rule, when 76177. promulgated, would not have a 14 CFR Part 71 Availability and Summary of significant economic impact on a [Docket No. FAA–2021–0033; Airspace Documents for Incorporation by substantial number of small entities Docket No. 21–AEA–1] Reference under the criteria of the Regulatory Flexibility Act. RIN 2120–AA66 This document proposes to amend FAA Order 7400.11E, Airspace Environmental Review Proposed Amendment of Class E Designations and Reporting Points, This proposal will be subject to an Airspace; Wellsville, NY dated July 21, 2020, and effective environmental analysis in accordance AGENCY: Federal Aviation September 15, 2020. FAA Order with FAA Order 1050.1F, Administration (FAA), DOT. 7400.11E is publicly available as listed ‘‘Environmental Impacts: Policies and ACTION: Notice of proposed rulemaking in the ADDRESSES section of this Procedures’’ prior to any FAA final (NPRM). document. FAA Order 7400.11E lists regulatory action. Class A, B, C, D, and E airspace areas, SUMMARY: This action proposes to air traffic service routes, and reporting List of Subjects in 14 CFR Part 71 amend the Class E airspace extending points. Airspace, Incorporation by reference, upward from 700 feet above the surface Navigation (air). at Wellsville Municipal Airport/ The Proposal Tarantine Field, Wellsville, NY. The The Proposed Amendment The FAA is proposing an amendment FAA is proposing this action as the to Title 14 Code of Federal Regulations Accordingly, pursuant to the result of an airspace review caused by (14 CFR) part 71 by amending the Class authority delegated to me, the Federal the decommissioning of the Wellsville E airspace extending upward from 700 Aviation Administration proposes to VHF omnidirectional range (VOR) feet above the surface at Jim Hogg amend 14 CFR part 71 as follows: navigation aids as part of the VOR County Airport, Hebbronville, TX, by Minimum Operational Network (MON) removing the Hebbronville NDB and PART 71—DESIGNATION OF CLASS A, Program. The name and geographical associated extension from the airspace B, C, D, AND E AIRSPACE AREAS; AIR coordinates of the airport would also be legal description; and removing the TRAFFIC SERVICE ROUTES; AND updated to coincide with the FAA’s cities associated with the airports to REPORTING POINTS aeronautical database. comply with changes to FAA Order ■ 1. The authority citation for 14 CFR DATES: Comments must be received on 7400.2M, Procedures for Handling part 71 continues to read as follows: or before April 9, 2021. Airspace Matters. ADDRESSES: Send comments on this This action is the result of an airspace Authority: 49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, proposal to the U.S. Department of review due to the decommissioning of 1959–1963 Comp., p. 389. Transportation, Docket Operations, the Hebbronville NDB which provided West Building Ground Floor, Room navigation information for the § 71.1 [Amended] W12–140, 1200 New Jersey Avenue SE, instrument procedures at this airport. ■ 2. The incorporation by reference in Washington, DC 20590; telephone (202) Class E airspace designations are 14 CFR 71.1 of FAA Order 7400.11D, 366–9826, or (800) 647–5527. You must published in paragraph 6005 of FAA Airspace Designations and Reporting identify FAA Docket No. FAA–2021– Order 7400.11E, dated July 21, 2020, Points, dated August 8, 2019, and 0033/Airspace Docket No. 21–AEA–1, at and effective September 15, 2020, which effective September 15, 2019, is the beginning of your comments. You is incorporated by reference in 14 CFR amended as follows: may also submit comments through the 71.1. The Class E airspace designations Paragraph 6005 Class E Airspace Areas internet at https://www.regulations.gov. listed in this document will be Extending Upward From 700 Feet or More You may review the public docket published subsequently in the Order. Above the Surface of the Earth. containing the proposal, any comments FAA Order 7400.11, Airspace * * * * * received, and any final disposition in Designations and Reporting Points, is person in the Dockets Office between published yearly and effective on ASW TX E5 Hebbronville, TX [Amended] 9:00 a.m. and 5:00 p.m., Monday September 15. Jim Hogg County Airport, TX through Friday, except federal holidays.
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FAA Order 7400.11E, Airspace Commenters wishing the FAA to removing the Wellsville VORTAC and Designations and Reporting Points, and acknowledge receipt of their comments associated extension from the airspace subsequent amendments can be viewed on this notice must submit with those legal description; removing the HALOS online at https://www.faa.gov/air_ comments a self-addressed, stamped NDB and extension east of the airport traffic/publications/. For further postcard on which the following from the airspace legal description as information, you can contact the statement is made: ‘‘Comments to they are no longer required; adding an Airspace Policy Group, Federal Aviation Docket No. FAA–2021–0033/Airspace extension 2 miles each side of the 269° Administration, 800 Independence Docket No. 21–AEA–1.’’ The postcard bearing from the airport extending from Avenue SW, Washington, DC 20591; will be date/time stamped and returned the 8.6 mile radius to 8.9 miles west of telephone: (202) 267–8783. The Order is to the commenter. the airport; updating the name also available for inspection at the All communications received before (previously Wellsville Municipal/ National Archives and Records the specified closing date for comments Tarantine Field Airport, Wellsville, NY) Administration (NARA). For will be considered before taking action and geographic coordinates of the information on the availability of FAA on the proposed rule. The proposal airport to coincide with the FAA’s Order 7400.11E at NARA, email contained in this notice may be changed aeronautical database; and removing the [email protected] or go to https:// in light of the comments received. A city associated with the airport in the www.archives.gov/federal-register/cfr/ report summarizing each substantive header of the airspace legal description ibr-locations.html. public contact with FAA personnel to comply with changes to FAA Order FOR FURTHER INFORMATION CONTACT: concerned with this rulemaking will be 7400.2M, Procedures for Handling Jeffrey Claypool, Federal Aviation filed in the docket. Airspace Matters. This action is the result of airspace Administration, Operations Support Availability of NPRMs Group, Central Service Center, 10101 reviews caused by the decommissioning An electronic copy of this document Hillwood Parkway, Fort Worth, TX of the Wellsville VOR, which provided may be downloaded through the 76177; telephone (817) 222–5711. navigation information for the internet at https://www.regulations.gov. instrument procedures these airports, as SUPPLEMENTARY INFORMATION: Recently published rulemaking part of the VOR MON Program. Authority for This Rulemaking documents can also be accessed through Class E airspace designations are the FAA’s web page at https:// published in paragraph 6005 of FAA The FAA’s authority to issue rules www.faa.gov/air_traffic/publications/ Order 7400.11E, dated July 21, 2020, regarding aviation safety is found in airspace_amendments/. and effective September 15, 2020, which Title 49 of the United States Code. You may review the public docket is incorporated by reference in 14 CFR Subtitle I, Section 106 describes the containing the proposal, any comments 71.1. The Class E airspace designations authority of the FAA Administrator. received, and any final disposition in listed in this document will be Subtitle VII, Aviation Programs, person in the Dockets Office (see the published subsequently in the Order. describes in more detail the scope of the ADDRESSES section for the address and FAA Order 7400.11, Airspace agency’s authority. This rulemaking is phone number) between 9:00 a.m. and Designations and Reporting Points, is promulgated under the authority 5:00 p.m., Monday through Friday, published yearly and effective on described in Subtitle VII, Part A, except federal holidays. An informal September 15. Subpart I, Section 40103. Under that docket may also be examined during Regulatory Notices and Analyses section, the FAA is charged with normal business hours at the Federal prescribing regulations to assign the use Aviation Administration, Air Traffic The FAA has determined that this of airspace necessary to ensure the Organization, Central Service Center, regulation only involves an established safety of aircraft and the efficient use of Operations Support Group, 10101 body of technical regulations for which airspace. This regulation is within the Hillwood Parkway, Fort Worth, TX frequent and routine amendments are scope of that authority as it would 76177. necessary to keep them operationally amend the Class E airspace extending current, is non-controversial and upward from 700 feet above the surface Availability and Summary of unlikely to result in adverse or negative at Wellsville Municipal Airport/ Documents for Incorporation by comments. It, therefore: (1) Is not a Tarantine Field, Wellsville, NY, to Reference ‘‘significant regulatory action’’ under support instrument flight rule This document proposes to amend Executive Order 12866; (2) is not a operations at this airport. FAA Order 7400.11E, Airspace ‘‘significant rule’’ under DOT Comments Invited Designations and Reporting Points, Regulatory Policies and Procedures (44 dated July 21, 2020, and effective FR 11034; February 26, 1979); and (3) Interested parties are invited to September 15, 2020. FAA Order does not warrant preparation of a participate in this proposed rulemaking 7400.11E is publicly available as listed regulatory evaluation as the anticipated by submitting such written data, views, in the ADDRESSES section of this impact is so minimal. Since this is a or arguments, as they may desire. document. FAA Order 7400.11E lists routine matter that will only affect air Comments that provide the factual basis Class A, B, C, D, and E airspace areas, traffic procedures and air navigation, it supporting the views and suggestions air traffic service routes, and reporting is certified that this rule, when presented are particularly helpful in points. promulgated, would not have a developing reasoned regulatory significant economic impact on a The Proposal decisions on the proposal. Comments substantial number of small entities are specifically invited on the overall The FAA is proposing an amendment under the criteria of the Regulatory regulatory, aeronautical, economic, to 14 CFR part 71 by amending the Class Flexibility Act. environmental, and energy-related E airspace extending upward from 700 aspects of the proposal. feet above the surface to within a 8.6- Environmental Review Communications should identify both mile (increased from a 7.9-mile) radius This proposal will be subject to an docket numbers and be submitted in of Wellsville Municipal Airport/ environmental analysis in accordance triplicate to the address listed above. Tarantine Field, Wellsville, NY; with FAA Order 1050.1F,
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‘‘Environmental Impacts: Policies and DEPARTMENT OF HOMELAND of the Code of Federal Regulations (CFR) Procedures’’ prior to any FAA final SECURITY section 100.801 for events occurring regulatory action. within the Sector Ohio Valley area of Coast Guard responsibility within the Coast Guard’s List of Subjects in 14 CFR Part 71 Eighth District. 33 CFR Part 100 This proposed rule would update the Airspace, Incorporation by reference, list of annually recurring special local Navigation (air). [Docket Number USCG–2021–0013] regulations under 33 CFR 100.801, The Proposed Amendment RIN 1625–AA08 Table 1, for annual special local regulations in the Sector Ohio Valley’s Accordingly, pursuant to the Special Local Regulations; Sector Ohio Area of Responsibillity (AOR). The authority delegated to me, the Federal Valley Annual and Recurring Special Coast Guard will address all comments Aviation Administration proposes to Local Regulations through response via the rulemaking amend 14 CFR part 71 as follows: process, including additional revisions AGENCY: Coast Guard, DHS. to this regulatory section. Additionally, PART 71—DESIGNATION OF CLASS A, ACTION: Notice of proposed rulemaking. the public would be informed of these B, C, D, AND E AIRSPACE AREAS; AIR recurring events through local means SUMMARY: The Coast Guard proposes TRAFFIC SERVICE ROUTES; AND and planned by the local communities. amending and updating its special local REPORTING POINTS The current list of annual and regulations for recurring marine recurring special local regulations parades, regattas, and other events that ■ occurring in Sector Ohio Valley’s AOR 1. The authority citation for 14 CFR take place in the Coast Guard Sector part 71 continues to read as follows: is published in 33 CFR 100.801, Table Ohio Valley area of responsibility 1 titled ‘‘Ohio Valley Annual and Authority: 49 U.S.C. 106(f), 106(g); 40103, (AOR). This proposed notice would Reoccuring Marine Events.’’ The most 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, update the current list of recurring recent list was created June 8, 2020 via 1959–1963 Comp., p. 389. special local with revisions, additions, 85 FR 34994. and removals of events that no longer The Coast Guard’s authority for § 71.1 [Amended] take place in the Sector Ohio Valley establishing a special local regulation is ■ 2. The incorporation by reference in AOR. We invite your comments on this contained in 46 U.S.C. 70041(a). The 14 CFR 71.1 of FAA Order 7400.11D, proposed rulemaking. Coast Guard proposes to amend and Airspace Designations and Reporting DATES: Comments and related material update the special local regulations in Points, dated August 8, 2019, and must be received by the Coast Guard on 33 CFR 100.801, Table 1, to include the effective September 15, 2019, is or before March 25, 2021. most up to date list of recurring special amended as follows: ADDRESSES: You may submit comments local regulations for events held on or identified by docket number USCG– around the navigable waters within Paragraph 6005 Class E Airspace Areas 2021–0013 using the Federal Sector Ohio Valley’s AOR. These events Extending Upward From 700 Feet or More would include marine parades, boat Above the Surface of the Earth. eRulemaking Portal at https:// www.regulations.gov. See the ‘‘Public races, swim events, and other marine * * * * * Participation and Request for related events. The current list under 33 CFR 100.801, Table 1, requires AEA NY E5 Wellsville, NY [Amended] Comments’’ portion of the SUPPLEMENTARY INFORMATION section for amendment to provide new information Wellsville Municipal Airport/Tarantine further instructions on submitting on existing special local regulations, Field, NY add new special local regulations ° ′ ″ ° ′ ″ comments. (Lat. 42 06 34 N long. 77 59 24 W) expected to recur annually or That airspace extending upward from 700 FOR FURTHER INFORMATION CONTACT: If biannually, and to remove special local feet above the surface within an 8.6-mile you have questions about this proposed regulations that no longer occur. Issuing radius of Wellsville Municipal Airport/ rulemaking, call or email Petty Officer individual regulations for each new Tarantine Field, and within 2 miles each side Christopher Roble, Sector Ohio Valley, special local regulation, amendment, or of the 269° bearing from the airport extending U.S. Coast Guard; telephone (502)-779– removal of an existing special local from the 8.6-mile radius to 8.9 miles west of 5336, email [email protected]. regulation creates unnecessary the airport. SUPPLEMENTARY INFORMATION: administrative costs and burdens. This Issued in Fort Worth, Texas, on January 27, I. Table of Abbreviations single proposed rulemaking will 2021. considerably reduce administrative CFR Code of Federal Regulations Martin A. Skinner, overhead and provide the public with COTP Captain of the Port Sector Ohio notice through publication in the Manager, Operations Support Group,ATO Valley Federal Register of recurring special Central Service Center. DHS Department of Homeland Security local regulations in the AOR. [FR Doc. 2021–02048 Filed 2–22–21; 8:45 am] E.O. Executive order FR Federal Register BILLING CODE 4910–13–P III. Discussion of Proposed Rule NPRM Notice of proposed rulemaking Pub. L. Public Law Part 100 of 33 CFR. contains § Section regulations describing regattas and U.S.C. United States Code marine parades conducted on U.S. navigable waters in order to ensure the II. Background, Purpose, and Legal safety of life in the regulated areas. Basis Section 100.801 provides the The Captain of the Port Sector Ohio regulations applicable to events taking Valley (COTP) proposes to update the place in the Eighth Coast Guard District current list of recurring special local and also provides a table listing each regulations found in Table 1 of Title 33 event and special local regulations. This
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section requires amendment from time titled ‘‘Ohio Valley Annual and Table 1 of § 100.801 for Sector Ohio to time to properly reflect the recurring Reoccuring Marine Events.’’ Valley, as follows: special local regulations. This proposed This proposed rule would add 1 new rule would update § 100.801, Table 1 recurring special local regulation to
Date Event/sponsor Ohio Valley location Regulated area
57. 3 days—One weekend in the Owensboro HydroFair ...... Owensboro, KY ...... Ohio River, Mile 794.0–760.0 (Kentucky). month of August.
The effect of this proposed rule would the COTP or a designated representative the Paperwork Reduction Act of 1995 be to restrict general navigation during to enter the restricted areas. (44 U.S.C. 3501–3520). these events. Vessels intending to transit B. Impact on Small Entities D. Federalism and Indian Tribal the designated waterways during Governments effective periods of the special local The Regulatory Flexibility Act of regulations would only be allowed to 1980, 5 U.S.C. 601–612, as amended, A rule has implications for federalism transit the area when the COTP or or requires Federal agencies to consider under Executive Order 13132 designated representative, has deemed it the potential impact of regulations on (Federalism), if it has a substantial would safe to do so or at the completion small entities during rulemaking. The direct effect on the States, on the of the event. term ‘‘small entities’’ comprises small relationship between the National Government and the States, or on the IV. Regulatory Analyses businesses, not-for-profit organizations that are independently owned and distribution of power and We developed this proposed rule after operated and are not dominant in their responsibilities among the various considering numerous statutes and fields, and governmental jurisdictions levels of government. We have analyzed Executive orders related to rulemaking. with populations of less than 50,000. this proposed rule under that Order and Below we summarize our analyses The Coast Guard certifies under 5 U.S.C. have determined that it is consistent based on a number of these statutes and 605(b) that this proposed rule would not with the fundamental federalism Executive orders, and we discuss First have a significant economic impact on principles and preemption requirements Amendment rights of protestors. a substantial number of small entities. described in Executive Order 13132. A. Regulatory Planning and Review While some owners or operators of Also, this proposed rule would not have tribal implications under Executive Orders 12866 and 13563 vessels intending to transit the regulated area may be small entities, for reasons Executive Order 13175 (Consultation direct agencies to assess the costs and and Coordination with Indian Tribal benefits of available regulatory stated in section IV.A. above, this proposed rule would not have a Governments) because it would not alternatives and, if regulation is have a substantial direct effect on one or necessary, to select regulatory significant economic impact on any owner or operator because they are more Indian tribes, on the relationship approaches that maximize net benefits. between the Federal Government and This NPRM has not been designated a limited in scope and will be in effect for short periods of time. Indian tribes, or on the distribution of ‘‘significant regulatory action,’’ under power and responsibilities between the If you think that your business, Executive Order 12866. Accordingly, Federal Government and Indian tribes. organization, or governmental the NPRM has not been reviewed by the If you believe this proposed rule has jurisdiction qualifies as a small entity Office of Management and Budget implications for federalism or Indian and that this rule would have a (OMB). tribes, please call or email the person significant economic impact on it, The Coast Guard expects the listed in the FOR FURTHER INFORMATION please submit a comment (see economic impact of this proposed rule CONTACT section. to be minimal, therefore a full regulatory ADDRESSES) explaining why you think it evaluation is unnecessary. This qualifies and how and to what degree E. Unfunded Mandates Reform Act proposed rule would establishe special this rule would economically affect it. The Unfunded Mandates Reform Act local regulations limiting access to Under section 213(a) of the Small of 1995 (2 U.S.C. 1531–1538) requires certain areas described in 33 CFR Business Regulatory Enforcement Federal agencies to assess the effects of 100.801, Table 1. The effect of this Fairness Act of 1996 (Pub. L. 104–121), their discretionary regulatory actions. In proposed rulemaking would not be we want to assist small entities in particular, the Act addresses actions significant because these special local understanding this proposed rule. If the that may result in the expenditure by a regulations are limited in scope and rule would affect your small business, State, local, or tribal government, in the duration. Additionally, the public organization, or governmental aggregate, or by the private sector of would be given advance notification jurisdiction and you have questions $100,000,000 (adjusted for inflation) or through local forms of notice, the concerning its provisions or options for more in any one year. Though this Federal Register, and/or Notices of compliance, please call or email the proposed rule would not result in such Enforcement. Thus, the public would be person listed in the FOR FURTHER an expenditure, we do discuss the able to plan their operations and INFORMATION CONTACT section. The Coast effects of this rule elsewhere in this activities around enforcement times of Guard will not retaliate against small preamble. the special local regulations. Broadcast entities that question or complain about Notices to Mariners, Local Notices to this proposed rule or any policy or F. Environment Mariners, and Safety Marine action of the Coast Guard. We have analyzed this proposed rule Information Broadcasts would also under Department of Homeland C. Collection of Information inform the community of these special Security Directive 023–01, Rev. 1, local regulations. Vessel traffic would be This proposed rule would not call for associated implementing instructions, permitted to request permission from a new collection of information under and Environmental Planning
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COMDTINST 5090.1 (series), which V. Public Participation and Request for Documents mentioned in this NPRM guide the Coast Guard in complying Comments as being available in the docket, and all with the National Environmental Policy We view public participation as public comments, will be in our online Act of 1969 (42 U.S.C. 4321–4370f), and essential to effective rulemaking, and docket at https://www.regulations.gov have made a preliminary determination will consider all comments and material and can be viewed by following that that this action is one of a category of received during the comment period. website’s instructions. Additionally, if actions that would not individually or Your comment can help shape the you go to the online docket and sign up cumulatively have a significant effect on outcome of this rulemaking. If you for email alerts, you will be notified the human environment. Normally such submit a comment, please include the when comments are posted or a final actions are categorically excluded from docket number for this rulemaking, rule is published. further review under paragraph L61 of indicate the specific section of this List of Subjects in 33 CFR Part 100 Appendix A, Table 1 of DHS Instruction document to which each comment Manual 023–01–001–01, Rev. 1. of the applies, and provide a reason for each Marine safety, Navigation (water), Instruction because it involves suggestion or recommendation. Reporting and recordkeeping establishment of special local We encourage you to submit requirements, Waterways. regulations related to marine event comments through the Federal For the reasons discussed in the permits for marine parades, regattas, eRulemaking Portal at https:// preamble, the Coast Guard is proposing and other marine events. We seek any www.regulations.gov. If your material to amend 33 CFR part 100 as follows: comments or information that may lead cannot be submitted using https:// to the discovery of a significant www.regulations.gov, call or email the PART 100—SAFETY OF LIFE ON environmental impact from this person in the FOR FURTHER INFORMATION NAVIGABLE WATERS proposed rule. CONTACT section of this document for alternate instructions. G. Protest Activities ■ 1. The authority citation for part 100 We accept anonymous comments. All continues to read as follows: The Coast Guard respects the First comments received will be posted Amendment rights of protesters. without change to https:// Authority: 46 U.S.C. 70041; 33 CFR 1.05– Protesters are asked to call or email the www.regulations.gov and will include 1. person listed in the FOR FURTHER any personal information you have ■ 2. In § 100.801, revise Table 1 to read INFORMATION CONTACT section to provided. For more about privacy and as follows: coordinate protest activities so that your submissions in response to this message can be received without document, see DHS’s eRulemaking § 100.801 Annual Marine Events in the jeopardizing the safety or security of System of Records notice (85 FR 14226, Eighth Coast Guard District. people, places, or vessels. March 11, 2020). * * * * *
TABLE 1 TO § 100.801—SECTOR OHIO VALLEY ANNUAL AND RECURRING MARINE EVENTS
Date Event/sponsor Ohio Valley location Regulated area
1. 3 days—Second or third week- Oak Ridge Rowing Association/ Oak Ridge, TN ...... Clinch River, Mile 48.5–52.0 (Tennessee). end in March. Cardinal Invitational. 2. 1 day—Third weekend in Vanderbilt Rowing/Vanderbilt In- Nashville, TN ...... Cumberland River, Mile 188.0–192.7 (Ten- March. vite. nessee). 3. 2 days—Fourth weekend in Oak Ridge Rowing Association/ Oak Ridge, TN ...... Clinch River, Mile 48.5–52.0 (Tennessee). March. Atomic City Turn and Burn. 4. 3 days—One weekend in April Big 10 Invitational Regatta ...... Oak Ridge, TN ...... Clinch River, Mile 48.5–52.0 (Tennessee). 5. 1 day—One weekend in April Lindamood Cup ...... Marietta, OH ...... Muskingum River, Mile 0.5–1.5 (Ohio). 6. 3 days—Third weekend in Oak Ridge Rowing Association/ Oak Ridge, TN ...... Clinch River, Mile 48.5–52.0 (Tennessee). April. SIRA Regatta. 7. 2 days—Third Friday and Sat- Thunder Over Louisville ...... Louisville, KY ...... Ohio River, Mile 597.0–604.0 (Kentucky). urday in April. 8. 1 day—During the last week of Great Steamboat Race ...... Louisville, KY ...... Ohio River, Mile 595.0–605.3 (Kentucky). April or first week of May. 9. 3 days—Fourth weekend in Oak Ridge Rowing Association/ Oak Ridge, TN ...... Clinch River, Mile 48.5–52.0 (Tennessee). April. Dogwood Junior Regatta. 10. 3 days—Second weekend in Vanderbilt Rowing/ACRA Henley Nashville, TN ...... Cumberland River, Mile 188.0–194.0 (Ten- May. nessee). 11. 3 days—Second weekend in Oak Ridge Rowing Association/ Oak Ridge, TN ...... Clinch River, Mile 48.5–52.0 (Tennessee). May. Big 12 Championships. 12. 3 days—Third weekend in Oak Ridge Rowing Association/ Oak Ridge, TN ...... Clinch River, Mile 48.5–52.0 (Tennessee). May. Dogwood Masters. 13. 1 day—Third weekend in World Triathlon Corporation/ Chattanooga, TN ...... Tennessee River, Mile 462.7–467.5 (Ten- May. IRONMAN 70.3. nessee). 14. 1 day—During the last week- Mayor’s Hike, Bike and Paddle Louisville, KY ...... Ohio River, Mile 601.0–604.5 (Kentucky). end in May or on Memorial Day. 15. 1 day—The last week in May Chickamauga Dam Swim ...... Chattanooga, TN ...... Tennessee River, Mile 470.0–473.0 (Ten- nessee). 16. 2 days—Last weekend in Visit Knoxville/Racing on the Knoxville, TN ...... Tennessee River, Mile 647.0–648.0 (Ten- May or first weekend in June. Tennessee. nessee). 17. 2 days—Last weekend in Outdoor Chattanooga/Chat- Chattanooga, TN ...... Tennessee River, Mile 454.0–468.0 (Ten- May or one weekend in June. tanooga Swim Festival. nessee).
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TABLE 1 TO § 100.801—SECTOR OHIO VALLEY ANNUAL AND RECURRING MARINE EVENTS—Continued
Date Event/sponsor Ohio Valley location Regulated area
18. 2 days—First weekend of Thunder on the Bay/KDBA ...... Pisgah Bay, KY ...... Tennessee River, Mile 30.0 (Kentucky). June. 19. 1 day—First weekend in June Visit Knoxville/Knoxville Power- Knoxville, TN ...... Tennessee River, Mile 646.4–649.0 (Ten- boat Classic. nessee). 20. 1 day—One weekend in June Tri-Louisville ...... Louisville, KY ...... Ohio River, Mile 600.5–604.0 (Kentucky). 21. 2 days—One weekend in New Martinsville Vintage Re- New Martinsville, WV Ohio River Mile 127.5–128.5 (West Virginia). June. gatta. 22. 3 days—One of the last three Lawrenceburg Regatta/Whiskey Lawrenceburg, IN ...... Ohio River, Mile 491.0–497.0 (Indiana). weekends in June. City Regatta. 23. 3 days—One of the last three Hadi Shrine/Evansville Shriners Evansville, IN ...... Ohio River, Mile 790.0–796.0 (Indiana). weekends in June. Festival. 24. 3 days—Third weekend in TM Thunder LLC/Thunder on Nashville, TN ...... Cumberland River, Mile 189.6–192.3 (Ten- June. the Cumberland. nessee). 25. 1 day—Third or fourth week- Greater Morgantown Convention Morgantown, WV ...... Monongahela River, Mile 101.0–102.0 (West Vir- end in June. and Visitors Bureau/Moun- ginia). taineer Triathlon. 26. 1 day—Fourth weekend in Team Magic/Chattanooga Wa- Chattanooga, TN ...... Tennessee River, Mile 462.7–466.0 (Ten- June. terfront Triathlon. nessee). 27. 1 day—One day in June ...... Guntersville Lake Hydrofest ...... Guntersville, AL ...... Tennessee River south of mile 357.0 in Browns Creek, starting at the AL–69 Bridge, 34°21′38″ N, 86°20′36″ W, to 34°21′14″ N, 86°19′4″ W, to the TVA power lines, 34°20′9″ N, 86°21′7″ W, to 34°19′37″ N, 86°20′13″ W, extending from bank to bank within the creek. (Ala- bama). 28. 3 days—The last weekend in Madison Regatta ...... Madison, IN ...... Ohio River, Mile 554.0–561.0 (Indiana). June or one of the first two weekends in July. 29. 1 day—During the first week Evansville Freedom Celebration/ Evansville, IN ...... Ohio River, Mile 790.0–797.0 (Indiana). of July. 4th of July Freedom Celebra- tion. 30. First weekend in July ...... Eddyville Creek Marina/Thunder Eddyville, KY ...... Cumberland River, Mile 46.0–47.0 (Kentucky). Over Eddy Bay. 31. 2 days—One of the first two Thunder on the Bay/KDBA ...... Pisgah Bay, KY ...... Tennessee River, Mile 30.0 (Kentucky). weekends in July. 32. 1 day—Second weekend in Bradley Dean/Renaissance Man Florence, AL ...... Tennessee River, Mile 254.0–258.0 (Alabama). July. Triathlon. 33. 1 day—Third or fourth Sun- Tucson Racing/Cincinnati Cincinnati, OH ...... Ohio River, Mile 468.3–471.2 (Ohio). day of July. Triathlon. 34. 2 days—One of the last three Dare to Care/KFC Mayor’s Cup Louisville, KY ...... Ohio River, Mile 600.0–605.0 (Kentucky). weekends in July. Paddle Sports Races/Voya- geur Canoe World Champion- ships. 35. 2 days—Last two weeks in Friends of the Riverfront Inc./ Pittsburgh, PA ...... Allegheny River, Mile 0.0–1.5 (Pennsylvania). July or first three weeks of Au- Pittsburgh Triathlon and Ad- gust. venture Races. 36. 1 day—Fourth weekend in Team Magic/Music City Nashville, TN ...... Cumberland River, Mile 189.7–192.3 (Ten- July. Triathlon. nessee). 37. 1 day—Last weekend in July Maysville Paddlefest ...... Maysville, KY ...... Ohio River, Mile 408–409 (Kentucky). 38. 2 days—One weekend in Huntington Classic Regatta ...... Huntington, WV ...... Ohio River, Mile 307.3–309.3 (West Virginia). July. 39. 2 days—One weekend in Marietta Riverfront Roar Regatta Marietta, OH ...... Ohio River, Mile 171.6–172.6 (Ohio). July. 40. 1 day—Last weekend in July HealthyTriState.org/St. Marys Tri Huntington, WV ...... Ohio River, Mile 305.1–308.3 (West Virginia). or first weekend in August. State Kayathalon. 41. 1 day—first Sunday in August Above the Fold Events/ Ashland City, TN ...... Cumberland River, Mile 157.0–159.5 (Ten- Riverbluff Triathlon. nessee). 42. 3 days—First week of August EQT Pittsburgh Three Rivers Pittsburgh, PA ...... Allegheny River mile 0.0–1.0, Ohio River mile Regatta. 0.0–0.8, Monongahela River mile 0.5 (Penn- sylvania). 43. 2 days—First weekend of Au- Thunder on the Bay/KDBA ...... Pisgah Bay, KY ...... Tennessee River, Mile 30.0 (Kentucky). gust. 44. 1 day—First or second week- Riverbluff Triathlon ...... Ashland City, TN ...... Cumberland River, Mile 157.0–159.0 (Ten- end in August. nessee). 45. 1 day—One of the first two Green Umbrella/Ohio River Cincinnati, OH ...... Ohio River, Mile 458.5–476.4 (Ohio and Ken- weekends in August. Paddlefest. tucky). 46. 2 days—Third full weekend Ohio County Tourism/Rising Rising Sun, IN ...... Ohio River, Mile 504.0–508.0 (Indiana and Ken- (Saturday and Sunday) in Au- Sun Boat Races. tucky). gust. 47. 3 days—Second or Third Kittanning Riverbration Boat Kittanning, PA ...... Allegheny River mile 42.0–46.0 (Pennsylvania). weekend in August. Races.
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TABLE 1 TO § 100.801—SECTOR OHIO VALLEY ANNUAL AND RECURRING MARINE EVENTS—Continued
Date Event/sponsor Ohio Valley location Regulated area
48. 3 days—One of the last two Thunder on the Green ...... Livermore, KY ...... Green River, Mile 69.0–72.5 (Kentucky). weekends in August. 49. 1 day—Fourth weekend in Team Rocket Tri-Club/ Huntsville, AL ...... Tennessee River, Mile 332.2–335.5 (Alabama). August. Rocketman Triathlon. 50. 1 day—Last weekend in Au- Tennessee Clean Water Net- Knoxville, TN ...... Tennessee River, Mile 646.3–648.7 (Ten- gust. work/Downtown Dragon Boat nessee). Races. 51. 3 days—One weekend in Au- Pro Water Cross Champion- Charleston, WV ...... Kanawha River, Mile 56.7–57.6 (West Virginia). gust. ships. 52. 2 days—One weekend in Au- POWERBOAT NATIONALS— Ravenswood, WV ...... Ohio River, Mile 220.5–221.5 (West Virginia). gust. Ravenswood Regatta. 53. 2 days—One weekend in Au- Powerboat Nationals-Parkers- Parkersburg, WV ...... Ohio River Mile 183.5–285.5 (West Virginia). gust. burg Regatta/Parkersburg Homecoming. 54. 1 day—One weekend in Au- YMCA River Swim ...... Charleston, WV ...... Kanawha River, Mile 58.3–61.8 (West Virginia). gust. 55. 3 days—One weekend in Au- Grand Prix of Louisville ...... Louisville, KY ...... Ohio River, Mile 601.0–605.0 (Kentucky). gust. 56. 3 days—One weekend in Au- Evansville HydroFest ...... Evansville, IN ...... Ohio River, Mile 790.5–794.0 (Indiana). gust. 57. 3 days—One weekend in the Owensboro HydroFair ...... Owensboro, KY ...... Ohio River, Mile 794.0–760.0 (Kentucky). month of August.. 58. 1 day—First or second week- SUP3Rivers The Southside Out- Pittsburgh, PA ...... Monongahela River mile 0.0–3.09 Allegheny end of September. side. River mile 0.0–0.6 (Pennsylvania). 59. 1 day—First weekend in Sep- Mayor’s Hike, Bike and Paddle Louisville, KY ...... Ohio River, Mile 601.0–610.0 (Kentucky). tember or on Labor Day. 60. 2 days—Sunday before Cincinnati Bell, WEBN, and Cincinnati, OH ...... Ohio River, Mile 463.0–477.0 (Kentucky and Labor Day and Labor Day. Proctor and Gamble/Riverfest. Ohio) and Licking River Mile 0.0–3.0 (Ken- tucky). 61. 2 days—Labor Day weekend Wheeling Vintage Race Boat Wheeling, WV ...... Ohio River, Mile 90.4–91.5 (West Virginia). Association Ohio/Wheeling Vintage Regatta. 62. 3 days- The weekend of Portsmouth Boat Race/Break- Portsmouth, OH ...... Ohio River, Mile 355.5- 356.8 (Ohio). Labor Day. water Powerboat Association. 63. 2 days—One of the first three Louisville Dragon Boat Festival Louisville, KY ...... Ohio River, Mile 602.0–604.5 (Kentucky). weekends in September. 64. 1 day—One of the first three Cumberland River Compact/ Nashville, TN ...... Cumberland River, Mile 189.7–192.1 (Ten- weekends in September. Cumberland River Dragon nessee). Boat Festival. 65. 2 days—One of the first three State Dock/Cumberland Poker Jamestown, KY ...... Lake Cumberland (Kentucky). weekends in September. Run. 66. 3 days—One of the first three Fleur de Lis Regatta ...... Louisville, KY ...... Ohio River, Mile 600.0–605.0 (Kentucky). weekends in September. 67. 1 day—Second weekend in City of Clarksville/Clarksville Clarksville, TN ...... Cumberland River, Mile 125.0–126.0 (Ten- September. Riverfest Cardboard Boat Re- nessee). gatta. 68. 1 day—One Sunday in Sep- Ohio River Sternwheel Festival Marietta, OH ...... Ohio River, Mile 170.5–172.5 (Ohio). tember. Committee Sternwheel race reenactment. 69. 1 Day—One weekend in Parkesburg Paddle Fest ...... Parkersburg, WV ...... Ohio River, Mile 184.3–188 (West Virginia). September. 70. 1 day—One weekend in Sep- Shoals Dragon Boat Festival ..... Florence, AL ...... Tennessee River, Mile 255.0–257.0 (Alabama). tember. 71. 2 days—One of the last three Madison Vintage Thunder ...... Madison, IN ...... Ohio River, Mile 556.5–559.5 (Indiana). weekends in September. 72. 1 day—Third Sunday in Sep- Team Rocket Tri Club/Swim Huntsville, AL ...... Tennessee River, Mile 332.3–338.0 (Alabama). tember. Hobbs Island. 73. 1 day—Fourth or fifth week- Knoxville Open Water Swim- Knoxville, TN ...... Tennessee River, Mile 641.0–648.0 (Ten- end in September. mers/Bridges to Bluffs. nessee). 74. 1 day—Fourth or fifth Sunday Green Umbrella/Great Ohio Cincinnati, OH ...... Ohio River, Mile 468.8–471.2 (Ohio and Ken- in September. River Swim. tucky). 75 1 day—One of the last two Ohio River Open Water Swim ... Prospect, KY ...... Ohio River, Mile 587.0–591.0 (Kentucky). weekends in September. 76. 2 days—One of the last three Captain Quarters Regatta ...... Louisville, KY ...... Ohio River, Mile 594.0–598.0 (Kentucky). weekends in September or the first weekend in October. 77. 3 days—One of the last three Owensboro Air Show ...... Owensboro, KY ...... Ohio River, Mile 754.0–760.0 (Kentucky). weekends in September or one of the first two weekends in October. 78. 1 day—Last weekend in Sep- World Triathlon Corporation/ Chattanooga, TN ...... Tennessee River, Mile 462.7–467.5 (Ten- tember. IRONMAN Chattanooga. nessee).
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TABLE 1 TO § 100.801—SECTOR OHIO VALLEY ANNUAL AND RECURRING MARINE EVENTS—Continued
Date Event/sponsor Ohio Valley location Regulated area
79. 3 days—Last weekend of New Martinsville Records and New Martinsville, WV Ohio River, Mile 128–129 (West Virginia). September and/or first week- Regatta Challenge Committee. end in October. 80. 2 days—First weekend of Oc- Three Rivers Rowing Associa- Pittsburgh, PA ...... Allegheny River mile 0.0–5.0 (Pennsylvania). tober. tion/Head of the Ohio Regatta. 81. 1 day—First or second week- Lookout Rowing Club/Chat- Chattanooga, TN ...... Tennessee River, Mile 463.0–468.0 (Ten- end in October. tanooga Head Race. nessee). 82. 3 days—First or Second Vanderbilt Rowing/Music City Nashville, TN ...... Cumberland River, Mile 189.5–196.0 (Ten- weekend in October. Head Race. nessee). 83. 2 days—First or second week Head of the Ohio Rowing Race Pittsburgh, PA ...... Allegheny River, Mile 0.0–3.0 (Pennsylvania). of October. 84. 2 days—One of the first three Norton Healthcare/Ironman Louisville, KY ...... Ohio River, Mile 600.5–605.5 (Kentucky). weekends in October. Triathlon. 85. 2 days—Two days in October Secret City Head Race Regatta Oak Ridge, TN ...... Clinch River, Mile 49.0–54.0 (Tennessee). 86. 3 days—First weekend in No- Atlanta Rowing Club/Head of Chattanooga, TN ...... Tennessee River, Mile 463.0–468.0 (Ten- vember. the Hooch Rowing Regatta. nessee). 87. 1 day—One weekend in No- Charleston Lighted Boat Parade Charleston, WV ...... Kanawha River, Mile 54.3–60.3 (West Virginia). vember or December.
* * * * * numbered years; public proposal and • Electronically: Go to the Federal Dated: Feburary 2, 2021. review processes take place during the eRulemaking Portal: http:// A.M. Beach, preceding year. The Board also www.regulations.gov and search for addresses customary and traditional use FWS–R7–SM–2020–0077, which is the Captain, U.S. Coast Guard, Captain of the Port Sector Ohio Valley. determinations during the applicable docket number for this rulemaking. cycle. When final, the resulting • By hard copy: U.S. mail or hand- [FR Doc. 2021–02646 Filed 2–22–21; 8:45 am] rulemaking will replace the existing delivery to: USFWS, Office of BILLING CODE 9110–04–P subsistence wildlife taking regulations. Subsistence Management, 1011 East This proposed rule could also amend Tudor Road, MS 121, Attn: Theo the general regulations on subsistence Matuskowitz, Anchorage, AK 99503– DEPARTMENT OF AGRICULTURE taking of fish and wildlife. 6199, or hand delivery to the Designated Federal Official attending any of the Forest Service DATES: Public meetings: The Federal Subsistence Regional Advisory Councils Federal Subsistence Regional Advisory Council public meetings. See 36 CFR Part 242 (Councils) will hold public meetings to receive comments and make proposals SUPPLEMENTARY INFORMATION for additional information on locations of DEPARTMENT OF THE INTERIOR to change this proposed rule February 9 through March 18, 2021, and will hold the public meetings. We will post all comments on http:// another round of public meetings to Fish and Wildlife Service www.regulations.gov. This generally discuss and receive comments on the means that we will post any personal proposals, and make recommendations 50 CFR Part 100 information you provide us (see the on the proposals to the Federal Public Review Process section below for [Docket No. FWS–R7–SM–2020–0077; Subsistence Board, on several dates more information). FXRS12610700000 FF07J00000 201] between September 27 and November 4, FOR FURTHER INFORMATION CONTACT: RIN 1018–BF10 2021. The Board will discuss and evaluate proposed regulatory changes Chair, Federal Subsistence Board, c/o Subsistence Management Regulations during a public meeting in Anchorage, U.S. Fish and Wildlife Service, for Public Lands in Alaska—2022–23 AK, in April 2022. See SUPPLEMENTARY Attention: Sue Detwiler, Assistant and 2023–24 Subsistence Taking of INFORMATION for specific information on Regional Director, Office of Subsistence Wildlife Regulations dates and locations of the public Management; (907) 786–3888 or meetings. [email protected]. For questions AGENCY: Forest Service, Agriculture; specific to National Forest System Public comments: Comments and Fish and Wildlife Service, Interior. lands, contact Wayne Owen, Director proposals to change this proposed rule Wildlife, Fisheries, Ecology, Watershed, ACTION: Proposed rule. must be received or postmarked by May & Subsistence, U.S. Department of 24, 2021. SUMMARY: This proposed rule would Agriculture (USDA), Forest Service, establish regulations for hunting and ADDRESSES: Public meetings: The Alaska Region; (907) 586–7916 or trapping seasons, harvest limits, and Federal Subsistence Board and the [email protected]. methods and means related to taking of Federal Subsistence Regional Advisory SUPPLEMENTARY INFORMATION: wildlife for subsistence uses during the Councils’ public meetings are held at 2022–2023 and 2023–2024 regulatory various locations in Alaska. See Background years. The Federal Subsistence Board SUPPLEMENTARY INFORMATION for specific Under Title VIII of the Alaska (Board) is on a schedule of completing information on dates and locations of National Interest Lands Conservation the process of revising subsistence the public meetings. Act (ANILCA) (16 U.S.C. 3111–3126), taking of wildlife regulations in even- Public comments: You may submit the Secretary of the Interior and the numbered years and subsistence taking comments by one of the following Secretary of Agriculture (hereafter of fish and shellfish regulations in odd- methods: referred to as ‘‘the Secretaries’’) jointly
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implement the Federal Subsistence The Program regulations contain considered rural and which species are Management Program (hereafter referred subparts as follows: Subpart A, General harvested in those areas as part of a to as ‘‘the Program’’). The Program Provisions; Subpart B, Program ‘‘customary and traditional use’’ for provides a preference for take of fish Structure; Subpart C, Board subsistence purposes. Subpart D sets and wildlife resources for subsistence Determinations; and Subpart D, forth specific harvest seasons and limits. uses on Federal public lands and waters Subsistence Taking of Fish and Wildlife. In administering the Program, the in Alaska. Only Alaska residents of Consistent with subpart B of these Secretaries divided Alaska into 10 areas identified as rural are eligible to regulations, the Secretaries established a subsistence resource regions, each of participate in the Program. The Federal Subsistence Board to administer which is represented by a Federal Secretaries published temporary the Program. The Board comprises: Subsistence Regional Advisory Council. regulations to carry out the Program in • A Chair appointed by the Secretary The Councils provide a forum for rural the Federal Register on June 29, 1990 of the Interior with concurrence of the residents with personal knowledge of (55 FR 27114), and final regulations on Secretary of Agriculture; local conditions and resource May 29, 1992 (57 FR 22940). Program • The Alaska Regional Director, U.S. requirements to have a meaningful role officials have subsequently amended Fish and Wildlife Service; in the subsistence management of fish these regulations a number of times. • The Alaska Regional Director, and wildlife on Federal public lands in Because the Program is a joint effort National Park Service; Alaska. The Council members represent between the Departments of the Interior • The Alaska State Director, Bureau varied geographical, cultural, and user and Agriculture, these regulations are of Land Management; located in two titles of the Code of • The Alaska Regional Director, interests within each region. Federal Regulations (CFR): The Bureau of Indian Affairs; Public Review Process—Comments, Agriculture regulations are at title 36, • The Alaska Regional Forester, Proposals, and Public Meetings ‘‘Parks, Forests, and Public Property,’’ USDA Forest Service; and and the Interior regulations are at title • Two public members appointed by The Federal Subsistence Regional 50, ‘‘Wildlife and Fisheries,’’ at 36 CFR the Secretary of the Interior with Advisory Councils will have a 242.1 through 242.28 and 50 CFR 100.1 concurrence of the Secretary of substantial role in reviewing this through 100.28, respectively. Agriculture. proposed rule and making Consequently, to indicate that identical Through the Board, these agencies recommendations for the final rule. The changes are proposed for regulations in and public members participate in the Federal Subsistence Board, through the both titles 36 and 50, in this document development of regulations for subparts Councils, will hold public meetings on we will present references to specific C and D. Subpart C sets forth important this proposed rule at the following sections of the CFR as shown in the Board determinations regarding program locations in Alaska, on the following following example: § l.24. eligibility, i.e., which areas of Alaska are dates:
Region 1—Southeast Regional Council ...... Juneau ...... March 16, 2021. Region 2—Southcentral Regional Council ...... Cordova ...... February 24, 2021. Region 3—Kodiak/Aleutians Regional Council ...... Kodiak ...... March 3, 2021. Region 4—Bristol Bay Regional Council ...... Naknek ...... February 9, 2021. Region 5—Yukon–Kuskokwim Delta Regional Council ...... Bethel ...... March 3, 2021. Region 6—Western Interior Regional Council ...... Fairbanks ...... February 17, 2021. Region 7—Seward Peninsula Regional Council ...... Nome ...... March 11, 2021. Region 8—Northwest Arctic Regional Council ...... Kotzebure ...... February 18, 2021. Region 9—Eastern Interior Regional Council ...... Fairbanks ...... March 4, 2021. Region 10—North Slope Regional Council ...... Utqiagvik ...... February 22, 2021.
During April 2021, the written public comments will be accepted on receive comments on specific proposals proposals to change the regulations at the distributed proposals during a and to develop recommendations to the subpart D, take of wildlife, and subpart second 30-day public comment period. Board at the following locations in C, customary and traditional use The Board, through the Councils, will Alaska, on the following dates: determinations, will be compiled and hold a second series of public meetings distributed for public review. Written in August through November 2021, to
Region 1—Southeast Regional Council ...... Craig ...... October 19, 2021. Region 2—Southcentral Regional Council ...... Anchorage ...... October 13, 2021. Region 3—Kodiak/Aleutians Regional Council ...... Unalaska ...... September 27, 2021. Region 4—Bristol Bay Regional Council ...... Dillingham ...... October 27, 2021. Region 5—Yukon–Kuskokwim Delta Regional Council ...... Bethel ...... October 6, 2021. Region 6—Western Interior Regional Council ...... Anchorage ...... October 13, 2021. Region 7—Seward Peninsula Regional Council ...... Nome ...... October 26, 2021. Region 8—Northwest Arctic Regional Council ...... Kotzebue ...... November 1, 2021. Region 9—Eastern Interior Regional Council ...... Fairbanks ...... October 7, 2021. Region 10—North Slope Regional Council ...... Utqiagvik ...... November 3, 2021.
A notice will be published of specific and postings to social media and the length of each Council meeting, but dates, times, and meeting locations in program website at https://www.doi.gov/ typically the meetings are scheduled to local and statewide newspapers prior to subsistence/regions. Locations and dates last 2 days. Occasionally a Council will both series of meetings, in addition, this may change based on weather or local lack information necessary during a information will be shared on local circumstances. The amount of work on scheduled meeting to make a radio and television announcements each Council’s agenda determines the recommendation to the Board or to
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provide comments on other matters proposal is distributed for public delegated authority by the Secretaries affecting subsistence in the region. If review, no additional changes may be are committed to honoring the unique this situation occurs, the Council may made as part of the original submission. government-to-government political announce on the record a later During the April 2022 meeting, the relationship that exists between the teleconference to address the specific Board may defer review and action on Federal Government and federally issue when the requested information or some proposals to allow time for recognized Indian Tribes (Tribes) as data is available; please note that any cooperative planning efforts, or to listed in 82 FR 4915 (January 17, 2017). follow-up teleconference would be an acquire additional needed information. Consultation with Alaska Native exception and must be approved, in The Board may elect to defer taking corporations is based on Public Law advance, by the Assistant Regional action on any given proposal if the 108–199, div. H, Sec. 161, Jan. 23, 2004, Director for the Office of Subsistence workload of staff, Councils, or the Board 118 Stat. 452, as amended by Public Management. These teleconferences are becomes excessive. These deferrals may Law 108–447, div. H, title V, Sec. 518, open to the public, along with be based on recommendations by the Dec. 8, 2004, 118 Stat. 3267, which opportunities for public comment; the affected Council(s) or staff members, or provides that: ‘‘The Director of the date and time will be announced during on the basis of the Board’s intention to Office of Management and Budget and the scheduled meeting, and that same do least harm to the subsistence user all Federal agencies shall hereafter information will be announced through and the resource involved. A proponent consult with Alaska Native corporations news releases and local radio, of a proposal may withdraw the on the same basis as Indian tribes under television, and social media ads. proposal provided it has not been Executive Order No. 13175.’’ The Board will discuss and evaluate considered, and a recommendation has The Alaska National Interest Lands proposed changes to the subsistence not been made, by a Council. The Board Conservation Act does not provide management regulations during a public may consider and act on alternatives specific rights to Tribes for the meeting scheduled to be held in that address the intent of a proposal subsistence taking of wildlife, fish, and Anchorage, Alaska, in April 2022. The while differing in approach. shellfish. However, because Tribal Federal Subsistence Regional Advisory You may submit written comments members are affected by subsistence Council Chairs, or their designated and materials concerning this proposed fishing, hunting, and trapping representatives, will present their rule by one of the methods listed in regulations, the Secretaries, through the respective Councils’ recommendations ADDRESSES. If you submit a comment via Board, will provide federally recognized at the Board meeting. Additional oral http://www.regulations.gov, your entire Tribes and Alaska Native corporations testimony may be provided on specific comment, including any personal an opportunity to consult on this proposals before the Board at that time. identifying information, will be posted proposed rule. At that public meeting, the Board will on the website. If you submit a The Board will engage in outreach deliberate and take final action on hardcopy comment that includes efforts for this proposed rule, including proposals received that request changes personal identifying information, you a notification letter, to ensure that to this proposed rule. may request at the top of your document Tribes and Alaska Native corporations Proposals to the Board to modify the that we withhold this information from are advised of the mechanisms by which general fish and wildlife regulations, public review. However, we cannot they can participate. The Board wildlife harvest regulations, and guarantee that we will be able to do so. provides a variety of opportunities for customary and traditional use We will post all hardcopy comments on consultation: proposing changes to the determinations must include the http://www.regulations.gov. existing rule; commenting on proposed following information: Comments and materials we receive, changes to the existing rule; engaging in a. Name, address, and telephone as well as supporting documentation we dialogue at the Regional Council number of the requestor; used in preparing this proposed rule, meetings; engaging in dialogue at the b. Each section and/or paragraph will be available for public inspection Board’s meetings; and providing input designation in this proposed rule for on http://www.regulations.gov at Docket in person, by mail, email, or phone at which changes are suggested, if No. FWS–R7–SM–2020–0077, or by any time during the rulemaking process. applicable; appointment, between 8 a.m. and 3 The Board will commit to efficiently c. A description of the regulatory p.m., Monday through Friday, except and adequately providing an change(s) desired; Federal holidays, at: USFWS, Office of opportunity to Tribes and Alaska Native d. A statement explaining why each Subsistence Management, 1011 East corporations for consultation in regard change is necessary; Tudor Road, Anchorage, AK 99503. to subsistence rulemaking. e. Proposed wording changes; and The Board will consider Tribes’ and f. Any additional information that you Reasonable Accommodations Alaska Native corporations’ believe will help the Board in The Federal Subsistence Board is information, input, and evaluating the proposed change. committed to providing access to these recommendations, and address their The Board immediately rejects meetings for all participants. Please concerns as much as practicable. proposals that fail to include the above direct all requests for sign language Developing the 2022–23 and 2023–24 information, or proposals that are interpreting services, closed captioning, Wildlife Seasons and Harvest Limit beyond the scope of authorities in or other accommodation needs to Caron Proposed Regulations § l.24, subpart C (the regulations McKee, 907–786–3880, subsistence@ governing customary and traditional use fws.gov, or 800–877–8339 (TTY), seven In titles 36 and 50 of the CFR, the determinations), and §§ l.25 and l.26 business days prior to the meeting you subparts C and D regulations are subject of subpart D (the general and specific would like to attend. to periodic review and revision. The regulations governing the subsistence Board currently completes the process take of wildlife). If a proposal needs Tribal Consultation and Comment of revising subsistence take of wildlife clarification, prior to being distributed As expressed in Executive Order regulations in even-numbered years and for public review, the proponent may be 13175, ‘‘Consultation and Coordination fish and shellfish regulations in odd- contacted, and the proposal could be with Indian Tribal Governments,’’ the numbered years; public proposal and revised based on their input. Once a Federal officials that have been review processes take place during the
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preceding year. The Board also A 1997 environmental assessment Regulatory Planning and Review addresses customary and traditional use dealt with the expansion of Federal (Executive Order 12866) determinations during the applicable jurisdiction over fisheries and is cycle. available at the office listed under FOR Executive Order 12866 provides that The current subsistence program FURTHER INFORMATION CONTACT. The the Office of Information and Regulatory regulations form the starting point for Secretary of the Interior, with Affairs (OIRA) in the Office of consideration during each new concurrence of the Secretary of Management and Budget will review all rulemaking cycle. Consequently, in this Agriculture, determined that expansion significant rules. OIRA has determined rulemaking action pertaining to wildlife, of Federal jurisdiction does not that this proposed rule is not significant. the Board will consider proposals to constitute a major Federal action Executive Order 13563 reaffirms the revise the regulations in any of the significantly affecting the human principles of E.O. 12866 while calling following sections of titles 36 and 50 of environment and, therefore, signed a for improvements in the nation’s the CFR: Finding of No Significant Impact. regulatory system to promote • § l.24: customary and traditional predictability, to reduce uncertainty, use determinations; Section 810 of ANILCA and to use the best, most innovative, • l § .25: general provisions An ANILCA section 810 analysis was and least burdensome tools for governing the subsistence take of completed as part of the FEIS process on achieving regulatory ends. The wildlife, fish, and shellfish; and the Federal Subsistence Management executive order directs agencies to • § l.26: specific provisions Program. The intent of all Federal consider regulatory approaches that governing the subsistence take of subsistence regulations is to accord reduce burdens and maintain flexibility wildlife. and freedom of choice for the public As such, the text of the proposed subsistence uses of fish and wildlife on where these approaches are relevant, 2022–24 subparts C and D subsistence public lands a priority over the taking feasible, and consistent with regulatory regulations in titles 36 and 50 is the of fish and wildlife on such lands for objectives. E.O. 13563 emphasizes combined text of previously issued rules other purposes, unless restriction is further that regulations must be based that revised these sections of the necessary to conserve healthy fish and on the best available science and that regulations. The following Federal wildlife populations. The final section the rulemaking process must allow for Register citations show when these CFR 810 analysis determination appeared in public participation and an open sections were last revised. Therefore, the April 6, 1992, ROD and concluded exchange of ideas. We have developed the regulations established by these two that the Federal Subsistence this proposed rule in a manner final rules constitute the text of this Management Program, under proposed rule: Alternative IV with an annual process consistent with these requirements. The text of the proposed amendments for setting subsistence regulations, may Regulatory Flexibility Act to 36 CFR 242.24 and 242.26 and 50 have some local impacts on subsistence CFR 100.24 and 100.26 is the final rule uses, but will not likely restrict The Regulatory Flexibility Act of 1980 for the 2020–2022 regulatory period for subsistence uses significantly. (5 U.S.C. 601 et seq.) requires wildlife (85 FR 74796; November 23, During the subsequent environmental preparation of flexibility analyses for 2020). assessment process for extending rules that will have a significant The text of the proposed amendments fisheries jurisdiction, an evaluation of economic impact on a substantial to 36 CFR 242.25 and 50 CFR 100.25 is the effects of the subsistence program number of small entities, which include the final rule for the 2018–20 regulatory regulations was conducted in small businesses, organizations, or period for wildlife (83 FR 50758; accordance with section 810. That governmental jurisdictions. In general, October 9, 2018). evaluation also supported the the resources to be harvested under this These regulations will remain in Secretaries’ determination that the proposed rule are already being effect until subsequent Board action regulations will not reach the ‘‘may harvested and consumed by the local changes elements as a result of the significantly restrict’’ threshold that harvester and do not result in an public review process outlined above in would require notice and hearings additional dollar benefit to the this document and a final rule is under ANILCA section 810(a). economy. However, we estimate that published. two million pounds of meat are Paperwork Reduction Act (PRA) Compliance With Statutory and harvested by subsistence users annually Regulatory Authorities This proposed rule does not contain and, if given an estimated dollar value any new collections of information that of $3.00 per pound, this amount would National Environmental Policy Act require Office of Management and equate to about $6 million in food value A Draft Environmental Impact Budget (OMB) approval under the PRA statewide. Based upon the amounts and Statement that described four (44 U.S.C. 3501 et seq.). OMB has values cited above, the Departments alternatives for developing a Federal reviewed and approved the collections certify that this rulemaking will not Subsistence Management Program was of information associated with the have a significant economic impact on distributed for public comment on subsistence regulations at 36 CFR part a substantial number of small entities October 7, 1991. The Final 242 and 50 CFR part 100, and assigned within the meaning of the Regulatory Environmental Impact Statement (FEIS) OMB Control Number 1018–0075 Flexibility Act. was published on February 28, 1992. (expires January 31, 2021, and, in Executive Order 13771 The Record of Decision (ROD) on accordance with 5 CFR 1320.10, the Subsistence Management for Federal Service may continue to sponsor the This proposed rule is not an Public Lands in Alaska was signed April collection while the renewal is pending Executive Order (E.O.) 13771 6, 1992. The selected alternative in the at OMB). We may not conduct or (‘‘Reducing Regulation and Controlling FEIS (Alternative IV) defined the sponsor and you are not required to Regulatory Costs’’) (82 FR 9339, administrative framework of an annual respond to a collection of information February 3, 2017) regulatory action regulatory cycle for subsistence unless it displays a currently valid OMB because this proposed rule is not regulations. control number. significant under E.O. 12866.
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Small Business Regulatory Enforcement 108–199, div. H, Sec. 161, Jan. 23, 2004, 242 and 50 CFR part 100 for the 2022– Fairness Act 118 Stat. 452, as amended by Public 23 and 2023–24 regulatory years: Under the Small Business Regulatory Law 108–447, div. H, title V, Sec. 518, The text of the proposed amendments Enforcement Fairness Act (5 U.S.C. 801 Dec. 8, 2004, 118 Stat. 3267, which to 36 CFR 242.24 and 242.26 and 50 et seq.), this proposed rule is not a major provides that: ‘‘The Director of the CFR 100.24 and 100.26 is the final rule rule. It will not have an effect on the Office of Management and Budget and for the 2020–2022 regulatory period for economy of $100 million or more, will all Federal agencies shall hereafter wildlife (85 FR 74796; November 23, not cause a major increase in costs or consult with Alaska Native corporations 2020). prices for consumers, and will not have on the same basis as Indian tribes under The text of the proposed amendments significant adverse effects on Executive Order No. 13175.’’ to 36 CFR 242.25 and 50 CFR 100.25 is competition, employment, investment, The Secretaries, through the Board, the final rule for the 2018–20 regulatory productivity, innovation, or the ability will provide a variety of opportunities period for wildlife (83 FR 50758; of U.S.-based enterprises to compete for consultation: commenting on October 9, 2018). with foreign-based enterprises. proposed changes to the existing rule; Sue Detwiler, engaging in dialogue at the Regional Executive Order 12630 Assistant Regional Director, U.S. Fish and Council meetings; engaging in dialogue Wildlife Service. Title VIII of ANILCA requires the at the Board’s meetings; and providing Wayne Owen, Secretaries to administer a subsistence input in person, by mail, email, or priority on public lands. The scope of phone at any time during the Director, Wildlife, Fisheries, Ecology, Watershed, & Subsistence, Alaska Region, this program is limited by definition to rulemaking process. USDA—Forest Service. certain public lands. Likewise, these Executive Order 13211 [FR Doc. 2021–03407 Filed 2–22–21; 8:45 am] proposed regulations have no potential takings of private property implications This Executive order requires BILLING CODE 4333–15–P 3411–15–P as defined by Executive Order 12630. agencies to prepare Statements of Energy Effects when undertaking certain Unfunded Mandates Reform Act actions. However, this proposed rule is ENVIRONMENTAL PROTECTION The Secretaries have determined and not a significant regulatory action under AGENCY certify pursuant to the Unfunded E.O. 13211, affecting energy supply, 40 CFR Part 52 Mandates Reform Act, 2 U.S.C. 1502 et distribution, or use, and no Statement of seq., that this rulemaking will not Energy Effects is required. [EPA–R09–OAR–2020–0352; FRL–10016– impose a cost of $100 million or more 75–Region 9] in any given year on local or State Drafting Information governments or private entities. The Theo Matuskowitz drafted this Approval of Arizona State implementation of this rule is by proposed rule under the guidance of Implementation Plan Revisions; Federal agencies and there is no cost Sue Detwiler of the Office of Maricopa County Air Quality imposed on any State or local entities or Subsistence Management, Alaska Department; Stationary Source tribal governments. Regional Office, U.S. Fish and Wildlife Permits; New Source Review Executive Order 12988 Service, Anchorage, Alaska. Additional AGENCY: Environmental Protection assistance was provided by: Agency (EPA). The Secretaries have determined that • Chris McKee, Alaska State Office, ACTION: Proposed rule. these regulations meet the applicable Bureau of Land Management; standards provided in sections 3(a) and • Joshua Ream, Alaska Regional SUMMARY: The Environmental Protection 3(b)(2) of Executive Order 12988, Office, National Park Service; Agency (EPA) is proposing action on regarding civil justice reform. • Dr. Glenn Chen, Alaska Regional revisions to the Maricopa County Air Executive Order 13132 Office, Bureau of Indian Affairs; Quality Department (MCAQD) portion • Carol Damberg, Alaska Regional of the state implementation plan (SIP) In accordance with Executive Order Office, U.S. Fish and Wildlife Service; for the State of Arizona. We are 13132, this proposed rule does not have and proposing full approval of seven sufficient federalism implications to • MCAQD rules for the Department’s New warrant the preparation of a Federalism Deyna Kuntzsch, Alaska Regional Source Review (NSR) preconstruction Assessment. Title VIII of ANILCA Office, USDA—Forest Service. permitting program for new and precludes the State from exercising List of Subjects modified stationary sources of air subsistence management authority over pollution. We are taking comments on fish and wildlife resources on Federal 36 CFR Part 242 this proposed rule and plan to follow lands unless it meets certain Administrative practice and with a final action. requirements. procedure, Alaska, Fish, National forests, Public lands, Reporting and DATES: Written comments must be Executive Order 13175 recordkeeping requirements, Wildlife. received on or before March 25, 2021. The Alaska National Interest Lands ADDRESSES: Submit your comments, Conservation Act, Title VIII, does not 50 CFR Part 100 identified by Docket ID No. EPA–R09– provide specific rights to tribes for the Administrative practice and OAR–2020–0352 at https:// subsistence taking of wildlife, fish, and procedure, Alaska, Fish, National www.regulations.gov, or via email to shellfish. However, the Secretaries, forests, Public lands, Reporting and [email protected]. For comments through the Board, will provide recordkeeping requirements, Wildlife. submitted at Regulations.gov, follow the federally recognized Tribes and Alaska online instructions for submitting Native corporations an opportunity to Proposed Regulation Promulgation comments. Once submitted, comments consult on this proposed rule. For the reasons set out in the cannot be removed or edited from Consultations with Alaska Native preamble, the Federal Subsistence Regulations.gov. For either manner of corporations are based on Public Law Board proposes to amend 36 CFR part submission, the EPA may publish any
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comment received to its public docket. Francisco, California 94105. By phone at (iv) The initials or words EPA, we, us or Do not submit electronically any (415) 947–4156, or by email at our mean or refer to the United States information you consider to be [email protected]. Environmental Protection Agency. (v) The word or initials MCAQD or Confidential Business Information (CBI) SUPPLEMENTARY INFORMATION: Department mean or refer to the Maricopa or other information whose disclosure is Throughout this document, ‘‘we’’, ‘‘us’’, County Air Quality Department, the agency restricted by statute. Multimedia and ‘‘our’’ refer to the EPA. with jurisdiction over stationary sources submissions (audio, video, etc.) must be Table of Contents within Maricopa County, Arizona. accompanied by a written comment. (vi) The initials NAAQS mean or refer to The written comment is considered the I. The State’s Submittal the National Ambient Air Quality Standards. official comment and should include A. What rules did the State submit? (vii) The initials NSR mean or refer to New discussion of all points you wish to B. Are there other versions of these rules? Source Review. C. What is the purpose of the submitted (viii) The initials NNSR mean or refer to make. The EPA will generally not rule revisions? consider comments or comment nonattainment New Source Review. II. The EPA’s Evaluation (ix) The initials PSD mean or refer to contents located outside of the primary A. What is the background for today’s Prevention of Significant Deterioration. submission (i.e. on the web, cloud, or proposal? (x) The initials SIP means or refer to State other file sharing system). For B. How is the EPA evaluating the rules? Implementation Plan. additional submission methods, or if C. Do the rules meet the evaluation (xi) The word State means or refers to the you need assistance in a language other criteria? State of Arizona. than English, or if you are a person with III. Proposed Action and Public Comment (xii) The word TSD means or refers to the IV. Incorporation by Reference Technical Support Document. disabilities who needs a reasonable V. Statutory and Executive Order Reviews accommodation at no cost to you, please I. The State’s Submittal contact the person identified in the FOR Definitions FURTHER INFORMATION CONTACT section. For the purpose of this document, we A. What rules did the State submit? For the full EPA public comment policy, are giving meaning to certain words or On December 20, 2019, the ADEQ information about CBI or multimedia initials as follows: submitted the revised rules in Table 1 submissions, and general guidance on (i) The initials ADEQ mean or refer to the to the EPA as a revision to the Maricopa making effective comments, please visit Arizona Department of Environmental County portion of the Arizona SIP. The https://www2.epa.gov/dockets/ Quality. ADEQ is the governor’s designee for commenting-epa-dockets. (ii) The word or initials CAA or Act mean or refer to the Clean Air Act, unless the submitting official revisions of the FOR FURTHER INFORMATION CONTACT: context indicates otherwise. Arizona SIP to the EPA. These rules Shaheerah Kelly, EPA Region IX, 75 (iii) The initials CFR mean or refer to Code constitute the MCAQD’s air quality Hawthorne Street (AIR–3–1), San of Federal Regulations. preconstruction NSR permit program.
TABLE 1—MCAQD SUBMITTED RULES
Adoption or Regulation & Rule No. Rule title amendment Submitted date
Regulation I, Rule 100 ...... General Provisions; General Provisions and Definitions ...... 12/11/2019 12/20/2019 Regulation II, Rule 200 ...... Permits and Fees; Permit Requirements ...... 12/11/2019 12/20/2019 Regulation II, Rule 210 1 ...... Permits and Fees; Title V Permit Provisions ...... 12/11/2019 12/20/2019 Regulation II, Rule 220 ...... Permits and Fees; Non-Title V Permit Provisions ...... 12/11/2019 12/20/2019 Regulation II, Rule 230 ...... Permits and Fees; General Permits ...... 12/11/2019 12/20/2019 Regulation II, Rule 240 ...... Permits and Fees; Federal Major New Source Review ...... 12/11/2019 12/20/2019 Regulation II, Rule 241 ...... Permits and Fees; Minor New Source Review ...... 12/11/2019 12/20/2019
On June 20, 2020, the MCAQD’s Rules of the Arizona SIP. (See 84 FR 13543 sources under the MCAQD’s 100, 200, 210, 220, 230, 240, and 241 (April 5, 2019), and 84 FR 18392 (May jurisdiction. were deemed complete by operation of 1, 2019).) Our detailed analysis for the The rules listed in Table 1 will law in accordance with 40 CFR part 51, April 5, 2019 final SIP action is replace the existing SIP-approved NSR Appendix V. provided in the May 17, 2018 Technical program rules listed in Table 2, in their B. Are there other versions of these Support Document (TSD) and March 18, entirety. The MCAQD made several rules? 2019 Response to Comments. revisions to its NSR program, including On April 5, 2019, the EPA finalized The existing SIP-approved NSR revisions for addressing the rule full approval of MCAQD Rules 210, 220, program for new or modified stationary deficiencies identified by the EPA in 240, and 241, and conditional approval sources in Maricopa County consists of our final conditional approval on April of Rules 100 and 200, as amended on the rules identified in Table 2. 5, 2019. The EPA’s action on this SIP February 3, 2016 and September 7, Collectively, these rules establish the submittal will update the Maricopa 2016, into the Maricopa County portion NSR permit requirements for stationary County portion of the Arizona SIP.
1 Rule 210 also contains requirements to address V purposes at this time. We will evaluate Rule 210 40 CFR part 70 following receipt of an official part the CAA title V requirements for operating permit for compliance with the requirements of title V of 70 program submittal from Maricopa County programs, but we are not evaluating the rule for title the Act and the EPA’s implementing regulations in containing this rule.
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TABLE 2—MCAQD’S CURRENT SIP-APPROVED RULES
Federal Regulation & rule No. Rule title State SIP Register effective date approval date citation
Regulation I, Rule 2, No. 11 ‘‘Alteration General Provisions; Definitions ...... June 23, 1980 ...... June 18, 1982 ...... 47 FR 26382 or Modification’’. Regulation I, Rule 2, No. 27 ‘‘Dust’’ ...... General Provisions; Definitions ...... June 23, 1980 ...... April 12, 1982 ...... 47 FR 15579 Regulation I, Rule 2, No. 29 ‘‘Emission’’ General Provisions; Definitions ...... June 23, 1980 ...... April 12, 1982 ...... 47 FR 15579 Regulation I, Rule 2, No. 34 ‘‘Existing General Provisions; Definitions ...... June 23, 1980 ...... April 12, 1982 ...... 47 FR 15579 Source Performance Standards’’. Regulation I, Rule 2, No. 37 ‘‘Fly Ash’’ .. General Provisions; Definitions ...... June 23, 1980 ...... April 12, 1982 ...... 47 FR 15579 Regulation I, Rule 2, No. 39 ‘‘Fuel’’ ...... General Provisions; Definitions ...... June 23, 1980 ...... April 12, 1982 ...... 47 FR 15579 Regulation I, Rule 2, No. 42 ‘‘Fume’’ ..... General Provisions; Definitions ...... June 23, 1980 ...... April 12, 1982 ...... 47 FR 15579 Regulation I, Rule 2, No. 55 ‘‘Motor Ve- General Provisions; Definitions ...... June 23, 1980 ...... April 12, 1982 ...... 47 FR 15579 hicle’’. Regulation I, Rule 2, No. 59 ‘‘Non-Point General Provisions; Definitions ...... June 23, 1980 ...... April 12, 1982 ...... 47 FR 15579 Source’’. Regulation I, Rule 2, No. 60 ‘‘Odors’’ .... General Provisions; Definitions ...... June 23, 1980 ...... April 12, 1982 ...... 47 FR 15579 Regulation I, Rule 2, No. 64 ‘‘Organic General Provisions; Definitions ...... June 23, 1980 ...... April 12, 1982 ...... 47 FR 15579 Solvent’’. Regulation I, Rule 2, No. 70 ‘‘Plume’’ .... General Provisions; Definitions ...... June 23, 1980 ...... April 12, 1982 ...... 47 FR 15579 Regulation I, Rule 2, No. 80 ‘‘Smoke’’ ... General Provisions; Definitions ...... June 23, 1980 ...... April 12, 1982 ...... 47 FR 15579 Regulation I, Rule 2, No. 91 ‘‘Vapor’’ .... General Provisions; Definitions ...... June 23, 1980 ...... April 12, 1982 ...... 47 FR 15579 Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 52 ‘‘Dust’’). taining an Installation Permit. Vacated; restored 56 FR 3219 on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 56 ‘‘Emission’’). taining an Installation Permit. Vacated; restored 56 FR 3219 on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 63 ‘‘Existing taining an Installation Permit. Vacated; restored 56 FR 3219 Source Performance Standards’’). on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 70 ‘‘Fuel’’). taining an Installation Permit. Vacated; restored 56 FR 3219 on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 71 ‘‘Fuel Burn- taining an Installation Permit. Vacated; restored 56 FR 3219 ing Equipment’’). on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 74 ‘‘Fume’’). taining an Installation Permit. Vacated; restored 56 FR 3219 on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 103 ‘‘Motor taining an Installation Permit. Vacated; restored 56 FR 3219 Vehicle’’). on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 114 ‘‘Non- taining an Installation Permit. Vacated; restored 56 FR 3219 Point Source’’). on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 122 taining an Installation Permit. Vacated; restored 56 FR 3219 ‘‘Photochemically Reactive Solvent’’). on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 123 ‘‘Plume’’). taining an Installation Permit. Vacated; restored 56 FR 3219 on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 128 ‘‘Process’’). taining an Installation Permit. Vacated; restored 56 FR 3219 on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 129 ‘‘Process taining an Installation Permit. Vacated; restored 56 FR 3219 Source’’). on January 29, 1991.
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TABLE 2—MCAQD’S CURRENT SIP-APPROVED RULES—Continued
Federal Regulation & rule No. Rule title State SIP Register effective date approval date citation
Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 150 ‘‘Smoke’’). taining an Installation Permit. Vacated; restored 56 FR 3219 on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 151 ‘‘Soot’’) 2. taining an Installation Permit. Vacated; restored 56 FR 3219 on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 160 ‘‘Supple- taining an Installation Permit. Vacated; restored 56 FR 3219 mentary Control System (SCS)’’). on January 29, 1991. Rule 21, Section D.1 (AZ R9–3–101, Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; Paragraph 166 ‘‘Vapor’’). taining an Installation Permit. Vacated; restored 56 FR 3219 on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 167 ‘‘Vapor taining an Installation Permit. Vacated; restored 56 FR 3219 Pressure’’). on January 29, 1991. Regulation II, Rule 21, Section D.1 (AZ Permits and Fees; Procedures for Ob- October 25, 1982 ... August 10, 1988; 53 FR 30224; R9–3–101, Paragraph 168 ‘‘Visible taining an Installation Permit. Vacated; restored 56 FR 3219 Emissions’’). on January 29, 1991. Regulation I, Rule 100 (except Sections General Provisions; General Provisions February 3, 2016 ... April 5, 2019 ...... 84 FR 13543 200.24, 200.73, 200.104(c)). and Definitions. Regulation II, Rule 200 ...... Permits and Fees; Permit Requirements February 3, 2016 ... April 5, 2019 ...... 84 FR 13543 Regulation II, Rule 210 ...... Permits and Fees; Title V Permit Provi- February 3, 2016 ... April 5, 2019 ...... 84 FR 13543 sions. Regulation II, Rule 220 ...... Permits and Fees; Non-Title V Permit February 3, 2016 ... April 5, 2019 ...... 84 FR 13543 Provisions. Regulation II, Rule 240 (except Section Permits and Fees; Federal Major New February 3, 2016 ... April 5, 2019 ...... 84 FR 13543 305). Source Review (NSR). Regulation II, Rule 241 ...... Permits and Fees; Minor New Source February 3, 2016 ... April 5, 2019 ...... 84 FR 13543 Review (NSR).
C. What is the purpose of the submitted (NOX), particulate matter less than 2.5 II. The EPA’s Evaluation rule revisions? micrometers (PM ), and carbon 2.5 A. What is the background for today’s Section 110(a) of the CAA requires monoxide (CO) NAAQS. Maricopa proposal? states to submit regulations that include County is also designated attainment and/or unclassifiable for all ozone On April 5, 2019, the EPA finalized a pre-construction permit program for full approval of Rules 210, 220, 240, and new or modified stationary sources of NAAQS outside of the Phoenix-Mesa area, and the particulate matter less than 241, and conditional approval of Rules pollutants, including a permit program 100 and 200, into the Arizona SIP. 84 10 micrometers (PM10) NAAQS for the as required by sections 110(a)(2) of the FR 13543.3 We finalized conditional CAA, and parts C and D of title I of the Maricopa County area outside of the Phoenix Planning Area. approval of Rules 100 and 200 because CAA. we determined that, while they mostly The purpose of the MCAQD’s NSR The Phoenix-Mesa, AZ area of satisfied the statutory and regulatory submittal, which includes Rules 100, Maricopa County is designated as a requirements of CAA section 200, 210, 220, 230, 240, and 241, is to Moderate nonattainment area for the 110(a)(2)(C) and part D of title I of the implement the County’s preconstruction 2008 ozone NAAQS and as a Marginal Act, the rules also contained permit program for new and modified nonattainment area for the 2015 ozone deficiencies that prevented full minor sources, and new and modified NAAQS. Additionally, the Phoenix approval. The December 20, 2019 major stationary sources for areas Planning Area of Maricopa County is Submittal was submitted within one designated attainment and/or designated as a Serious nonattainment year of the April 5, 2019 final action, in unclassifiable for the National Ambient area for the 1987 24-hour PM10 NAAQS. accordance with the requirements of Air Quality Standards (NAAQS), or See 40 CFR 81.303. CAA section 110(k)(4). nonattainment for at least one NAAQS. We present our evaluation under the The MCAQD made several revisions Maricopa County is designated CAA and the EPA’s implementing to Rules 100 and 200 to address the attainment and/or unclassifiable for all regulations applicable to SIP submittals deficiencies identified by the EPA, as sulfur dioxide (SO ), nitrogen dioxide 2 and NSR permit programs in general well as minor revisions to Rules 210, terms below. We provide a more 220, 240, and 241 to address EPA 2 The correct citation for the definition of ‘‘Soot’’ detailed analysis in our TSD, which is is Rule 21, Section D.1 (AZ R9–3–101, Paragraph 3 On May 1, 2019, the EPA published a final rule 151), and not Paragraph 152 which was in the April available in the docket for this proposed to correct an error in the regulatory text for the 5, 2019 final action. action. April 5, 2019 action. (See 84 FR 18392.)
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recommendations. The MCAQD also Part D of title I of the Act contains the provisions in Rules 100 and 240; (4) adopted new Rule 230. These revisions general requirements for areas deleted rule provisions; and (5) other are discussed in the TSD, which can be designated nonattainment for a NAAQS general revisions. These revisions are found in the docket for this rule. (section 172), referred to as discussed below, and in greater detail in nonattainment NSR (NNSR), including the TSD for this rulemaking action. B. How is the EPA evaluating the rules? preconstruction permit requirements for Corrections to Deficiencies Identified in new major sources and major The EPA has reviewed the MCAQD the Conditional Approval of Rules 100 modifications proposing to construct in rules listed in Table 1 for compliance and 200 with the CAA’s general requirements for nonattainment areas (section 173). 40 SIPs in CAA section 110(a)(2), for the CFR 51.165 sets forth the EPA’s On April 5, 2019, the EPA finalized PSD program in part C of title I (section regulatory requirements for SIP- conditional approval of Rules 100 and 165), and for the nonattainment NSR approval of a nonattainment NSR permit 200, as amended on February 3, 2016, programs in part D of title I (sections program. because we determined that, while they 172 and 173). The EPA also evaluated The protection of visibility mostly satisfy the statutory and the rules for compliance with the CAA requirements that apply to NSR regulatory requirements of CAA section requirements for SIP revisions in CAA programs are contained in 40 CFR 110(a)(2)(C) and part D of title I of the sections 110(l) and 193. In addition, the 51.307. This provision requires that Act, the rules also contained EPA evaluated the submitted rules for certain actions be taken in consultation deficiencies that prevented full consistency with the regulatory with the local Federal Land Manager if approval. (See 84 FR 13543.) As part of provisions of 40 CFR part 51, subpart I a new major source or major the conditional approval, the MCAQD (Review of New Sources and modification may have an impact on and the ADEQ committed to address the Modifications) (i.e., 40 CFR 51.160– visibility in any mandatory Federal deficiencies by providing the EPA with 51.166) and 40 CFR 51.307. Class I Area. a SIP revision within one year of the April 5, 2019 final action. The Sections 110(a)(2) and 110(l) of the Section 110(l) of the Act prohibits the December 20, 2019 Submittal addresses Act require that each SIP or revision to EPA from approving any SIP revisions that would interfere with any applicable these deficiencies as follows: a SIP submitted by a state must be requirement concerning attainment and 1. The EPA determined that the adopted after reasonable notice and reasonable further progress (RFP) or any definition of ‘‘Good Engineering public hearing. In addition, section 110 other applicable requirement of the Practice (GEP) Stack Height’’ in Rule of the Act requires that SIP rules be CAA. Section 193 of the Act, which 200, Section 201 was inconsistent with enforceable. only applies in nonattainment areas, the definition for this term provided in Section 110(a)(2)(C) of the Act prohibits the modification of a SIP- 40 CFR 51.100(ii), and therefore requires each SIP to include a program approved control requirement in effect deficient. to regulate the modification and before November 15, 1990, in any To address this deficiency the construction of any stationary source manner unless the modification insures MCAQD deleted (1) the definition of within the areas covered by the SIP as equivalent or greater emission GEP stack height in Rule 200, Section necessary to assure attainment and reductions of such air pollutant. 201; and (2) the stack height procedures maintenance of the NAAQS. The EPA’s Our TSD, which can be found in the in Rule 240, Section 302.5 (Application regulations at 40 CFR 51.160–51.164 docket for this rule, contains a more Completeness) and Section 306 (Stack provide general programmatic detailed discussion of the approval Height and Dispersion Techniques). The requirements to implement this criteria. MCAQD also revised Rule 200, Section statutory mandate commonly referred to 314 (Stack Height Provisions) to add a as the ‘‘general’’ or ‘‘minor’’ NSR C. Do the rules meet the evaluation reference to 40 CFR 51.100 for program. These NSR program criteria? determining GEP stack height. These regulations impose requirements for The EPA has reviewed the submitted revisions correct the deficiency. approval of state and local programs rules in accordance with the rule 2. The EPA determined that the that are more general in nature as evaluation criteria described above. MCAQD must provide a basis under 40 compared to the specific statutory and With respect to procedural CFR 51.160(e) to demonstrate that regulatory requirements for NSR requirements, CAA sections 110(a)(2) regulation of the equipment (i.e., permitting programs under parts C and and 110(l) require that revisions to a SIP agricultural equipment used in normal D of title I of the Act. be adopted by the state after reasonable farm operations) exempted in Rule 200, Part C of title I of the Act, and the notice and public hearing. Based on our Section 305.1.c is not needed for the implementing regulations at 40 CFR review of the public process MCAQD’s program to meet federal NSR 51.166, contain the requirements for documentation included in the requirements for attainment and states to establish preconstruction December 20, 2019 Submittal, we find maintenance of the NAAQS or review permitting programs for the prevention that the MCAQD has provided sufficient for compliance with the control strategy. of significant deterioration of air quality evidence of public notice, and an To address this deficiency the (PSD) in areas designated as attainment opportunity for comment and a public MCAQD deleted the exemption in Rule and/or unclassifiable for the NAAQS. hearing prior to adoption and submittal 200, Section 305.1.c, and replaced it The PSD program requirements under of these rules to the EPA. with a revised exemption in new part C apply to major stationary sources With respect to substantive Section 305.2(i), which applies to and major modifications, as those terms requirements, we have reviewed the fugitive emissions from agricultural are defined in 40 CFR 51.166, at revisions to the submitted rules in equipment used in normal farm stationary sources located within accordance with the evaluation criteria operations. The revised rule provides attainment and/or unclassifiable areas. discussed above. These revisions that agricultural equipment used in The PSD requirements apply to all included (1) rule changes that address normal farm operations does not regulated NSR pollutants, except those the deficiencies related to the include equipment that would pollutants for which an area has been conditional approval of Rules 100 and otherwise require a permit under title V designated as nonattainment. 200; (2) new Rule 230; (3) new rule of the Act, or equipment that is subject
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to a standard under 40 CFR parts 60, 61 adequate justifications for removing the Section 403. These revisions are or 63. The revised exemption is following definitions from Regulation I, consistent with the CAA and the EPA’s consistent with Arizona State law in the Rule 2, and Regulation II, Rule 21, implementing regulations in 40 CFR Arizona Revised Statutes (ARS) 49– Section D.1, of the SIP: ‘‘Alternation or 51.160–51.164. 480(A), 49–425, and 49–426(B) and with Modification’’, ‘‘Begin Actual The MCAQD also added new PSD the ADEQ regulations in the Arizona Construction’’, ‘‘Dust’’, ‘‘Emission’’, program provisions in Rule 240. Section Administrative Code (AAC) R18–2– ‘‘Existing Source Performance 305.2 of Rule 240 requires all new and 302(C). These revisions correct the Standards’’, ‘‘Fly Ash’’, ‘‘Fuel’’, ‘‘Fuel modified sources to meet specific deficiency. Burning Equipment’’, ‘‘Fume’’, ‘‘Motor provisions of 40 CFR 52.21, as 3. The EPA determined that Rule 200, Vehicle’’, ‘‘Non-Point Source’’, ‘‘Odors’’, incorporated by reference. Currently, Section 403.2 did not ensure the ‘‘Organic Solvent’’, ‘‘Photochemically the MCAQD implements a federal PSD continuity of the NSR terms and Reactive Solvent’’, ‘‘Plume’’, ‘‘Process’’, permit program pursuant to a delegation conditions when a Title V or Non-Title ‘‘Process Source’’, ‘‘Smoke’’, ‘‘Soot’’, agreement under 40 CFR 52.21(u), V permit expired and was therefore ‘‘Supplementary Control System (SCS)’’, which allows the MCAQD to issue PSD deficient. The MCAQD added Rule 200, ‘‘Vapor’’, ‘‘Vapor Pressure’’, and permits, and to modify and extend Section 403.2(c), which states ‘‘The ‘‘Visible Emissions’’. In general, the existing PSD permits. Normally, terms and conditions of installation MCAQD’s justifications for removing following SIP approval of a federal PSD permits issued before September 1, these definitions are because (a) the permit program, any existing PSD 1993, or in permits or permit revisions definition has been replaced by a new delegation agreement would be issued under Rule 210 or Rule 220 of definition in Rule 100, Section 200, (b) terminated. However, because the these rules and authorizing the there are no references to the defined MCAQD is prohibited under state law construction or modification of a term in the MCAQD’s regulations, (c) from regulating GHG emissions, upon stationary source, remain federal the definition does not support any SIP SIP approval of Rule 240, the EPA will applicable requirements unless rules, (d) the definition is outdated and/ terminate the existing PSD delegation modified or revoked by the Control or substantively the same as a definition agreement and enter a new PSD Officer.’’ This provision is the same as that was incorporated by reference in delegation agreement limited to the the ADEQ’s AAC R18–2–303(B). This Rule 240, or (e) the definition is a issuance of PSD permits that regulate revision corrects the deficiency. common term for which the MCAQD GHG emissions. This will allow the 4. The EPA determined that will use the dictionary definition of the MCAQD to continue issuing complete references to Appendix G (Incorporated term. The EPA finds that the removal of PSD permits for all sources under its Materials) in certain provisions in Rules these definitions is acceptable. jurisdiction. These changes are 100 and 200 were deficient because consistent with part C of title I of the Appendix G was neither included in the New Rule 230 CAA and the EPA’s implementing existing SIP nor was it submitted by the Rule 230 is a new rule for General regulations at 40 CFR 51.166. MCAQD for EPA-approval in the SIP. Permits. It allows the issuance of The MCAQD removed references to General permits for a facility class that Deleted Rule Provisions Appendix G, and instead cited the contains a large number of sources that The MCAQD deleted certain appropriate federal regulations in the are similar in nature, have substantially redundant PSD-related definitions from code of federal regulations in the Rule similar emissions, and would be subject Rule 100, as they are now incorporated 100 definitions of ‘‘AP–42’’, ‘‘Non- to the same or substantially similar by reference in Rule 240, Section 200. Precursor Compound’’, ‘‘Reference requirements governing operations, The EPA finds these deletions from Rule Material’’, and in Rule 100, Section 503 emissions, monitoring, reporting, or 100 acceptable. (Emission Statements Required as recordkeeping. The owner or operator of The MCAQD deleted the following Stated in the Act), and Rule 200, Section a new or modified source is also rule provisions because they are 314 (Stack Height Provisions). These required to comply with the applicable addressed in other rule provisions: (1) revisions correct the deficiency. NSR requirements. As explained in the The definition of ‘‘GEP Stack Height’’ 5. The EPA determined that TSD for this rulemaking, Rule 230 is from Rule 200, the stack height references to the Arizona Testing consistent with the CAA and the EPA’s procedures from Rule 240, Section Manual (ATM) in Rules 100 and 200 implementing regulations in 40 CFR 302.5, and the stack height and were deficient because they relied on 51.160–51.164. dispersion technique provisions from provisions that were not SIP-approved, Rule 240, Section 306; (2) the and because the ATM is significantly New Provisions in Rules 100 and 240 exemptions for trivial activities, food out of date and not appropriate to be The MCAQD added the following new processing equipment, general relied upon as the sole basis for testing definitions to Rule 100: ‘‘Begin Actual combustion equipment, surface coating procedures. The MCAQD removed these Construction’’, ‘‘Dust’’, ‘‘Emission’’, and printing equipment, solvent references from the Rule 100 definition ‘‘Fuel’’, ‘‘Fume’’, ‘‘Gasoline’’, cleaning equipment, internal of ‘‘Reference Method’’, and from Rule ‘‘Greenhouse Gases (GHGs)’’, ‘‘Minor combustion equipment, laboratories and 200, Section 408 (Testing Procedures). NSR Modification Threshold’’, pilot plants, storage and distribution, The MCAQD retained the Rule 100 ‘‘Modification’’, ‘‘Motor Vehicle’’, ‘‘Non- and miscellaneous activities from Rule definition of ‘‘Arizona Testing Manual’’, Road Internal Combustion (IC) Engine’’, 200, Section 305; (3) the Minor NSR which is the same as the ADEQ’s AAC ‘‘Off-Specification Used Oil’’, ‘‘On- Transition rule provision from Rule 200, R18–2–101(17). These revisions correct Specification Used Oil’’, ‘‘Organic Section 313; (4) the emissions the deficiency. Solvent’’, ‘‘Plume’’, ‘‘Process’’, thresholds of 0.5 tons per year (tpy) of 6. The EPA determined that certain ‘‘Regulated Air Pollutant’’, ‘‘Seasonal hazardous air pollutants, and 2 tpy of definitions that the MCAQD proposed Source’’, ‘‘Smoke’’, ‘‘Soot’’, ‘‘Used Oil’’, any regulated air pollutant from Rule be removed from the approved SIP ‘‘Vapor’’, ‘‘Visible Emissions’’, and 200, Section 305; (5) provisions could not be removed without further ‘‘Year.’’ The MCAQD also added concerning obtaining a permit prior to justification. In its December 20, 2019 ‘‘Compliance Schedule for Newly renting or leasing a portable source from Submittal, the MCAQD provided Amended Rule Provisions’’ in Rule 100, Rule 200, Section 410.3; (6) certain
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procedures for changes that do not submissions, the EPA’s role is to ENVIRONMENTAL PROTECTION require a Non-Title V Permit from Rule approve state choices, provided that AGENCY 220, Section 404.3.e.; (7) the they meet the applicable criteria of the requirements for holding a public Clean Air Act. Accordingly, this action 40 CFR Part 63 hearing from Rule 241, Section 310; and merely approves state law as meeting [EPA–HQ–OAR–2020–0560; EPA–HQ–OAR– (8) the source obligation provision from federal requirements and does not 2020–0535; EPA–HQ–OAR–2020–0572; Rule 241, Section 315. These impose additional requirements beyond EPA–HQ–OAR–2020–0148; EPA–HQ–OAR– requirements were moved to other rules those imposed by state law. For that 2020–0505; EPA–HQ–OAR–2020–0532; FRL–10020–46–OAR] or are already addressed in existing reason, this action: rules. The EPA finds these revisions • Is not a significant regulatory action RIN 2060–AU59; 2060–AU65; 2060–AU57; acceptable. 2060–AU67; 2060–AU66; 2060–AU64 subject to review by the Office of Other General Rule Revisions Management and Budget under National Emission Standards for The MCAQD made several other Executive Orders 12866 (58 FR 51735, Hazardous Air Pollutants: Mercury Cell minor wording and administrative October 4, 1993) and 13563 (76 FR 3821, Chlor-Alkali Plants, Primary changes to Rules 100, 200, 210, 220, January 21, 2011); Magnesium Refining, Flexible 240, and 241. As discussed further in • Does not impose an information Polyurethane Foam Fabrication our TSD, these rule revisions are collection burden under the provisions Operations, Refractory Products acceptable. of the Paperwork Reduction Act (44 Manufacturing, Carbon Black We are proposing to fully approve Production, and Cyanide Chemicals U.S.C. 3501 et seq.); Rules 100, 200, 210, 220, 230, 240 and Manufacturing Residual Risk and 241 as part of the MCAQD’s general and • Is certified as not having a Technology Reviews; Extension of NSR permitting programs because we significant economic impact on a Comment Periods have determined that these rules satisfy substantial number of small entities the substantive statutory and regulatory under the Regulatory Flexibility Act (5 AGENCY: Environmental Protection requirements of section 110(a)(2)(C) of U.S.C. 601 et seq.); Agency (EPA). the Act, parts C and D of title I of the • ACTION: Proposed rules; extension of Does not contain any unfunded public comment periods. Act, 40 CFR 51.160–51.166, and 40 CFR mandate or significantly or uniquely 51.307. Our TSD for this rulemaking affect small governments, as described SUMMARY: The U.S. Environmental contains a more detailed evaluation. in the Unfunded Mandates Reform Act Protection Agency (EPA) is exending III. Proposed Action and Public of 1995 (Pub. L. 104–4); comment periods for proposed rules titled ‘‘National Emission Standards for Comment • Does not have federalism Hazardous Air Pollutants: Mercury Cell As authorized in section 110(k)(3) of implications as specified in Executive Chlor-Alkali Plants Residual Risk and the Act, the EPA proposes to fully Order 13132 (64 FR 43255, August 10, Technology Review’’ and ‘‘National approve the MCAQD Rules 100, 200, 1999); Emission Standards for Hazardous Air 210, 220, 230, 240, and 241, because Pollutants: Primary Magesium Refining they fulfill all relevant requirements. List of Subjects in 40 CFR Part 52 Residual Risk and Technology Review,’’ We are accepting comments from the Air pollution control, Environmental published on January 8, 2021, ‘‘National public on this proposal until March 25, protection, Incorporation by reference, Emission Standards for Hazardous Air 2021. If we finalize this action as Intergovernmental relations, New source Pollutants: Flexible Foam Fabrication proposed, our action would be codified Operations Residual Risk and through revisions to 40 CFR 52.120 review, Ozone, Particulate matter, Technology Review and Flexible (Identification of plan). Reporting and recordkeeping requirements, Volatile organic Polyurethane Foam Production and IV. Incorporation by Reference compounds. Fabrication Area Source Technology Review,’’ published on January 11, In this rule, the EPA is proposing to Authority: 42 U.S.C. 7401 et seq. include in a final EPA rule regulatory 2021, ‘‘National Emission Standards for text that includes incorporation by Dated: February 5, 2021. Hazardous Air Pollutants: Refractory reference. In accordance with Deborah Jordan, Products Manufacturing Residual Risk requirements of 1 CFR 51.5, the EPA is Acting Regional Administrator, Region IX. and Technology Review’’ and ‘‘National proposing to incorporate by reference [FR Doc. 2021–02908 Filed 2–22–21; 8:45 am] Emission Standards for Hazardous Air Pollutants: Carbon Black Production the MCAQD rules listed in Table 1 of BILLING CODE 6560–50–P this notice. The EPA has made, and will Residual Risk and Technology Review,’’ continue to make, these documents published January 14, 2021, and generally available electronically ‘‘National Emission Standards for through www.regulations.gov and at the Hazardous Air Pollutants: Cyanide EPA Region IX Office (see the FOR Chemicals Manufacturing Residual Risk FURTHER INFORMATION CONTACT section of and Technology Review,’’ published on this preamble for more information). January 15, 2021, to allow additional time for stakeholders to review and V. Statutory and Executive Order comment on the proposals. Reviews DATES: The public comment periods for Under the Clean Air Act, the the proposed rules published in the Administrator is required to approve a Federal Register on January 8, 2021 (86 SIP submission that complies with the FR 1362 and 86 FR 1390), originally provisions of the Act and applicable ending February 22, 2021, are being federal regulations. 42 U.S.C. 7410(k); extended. Written comments may now 40 CFR 52.02(a). Thus, in reviewing SIP be received on or before March 24, 2021.
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The public comment period for the you wish to make. The EPA will Submitting CBI. Do not submit proposed rule published in the Federal generally not consider comments or information containing CBI to the EPA Register on January 11, 2021 (86 FR comment contents located outside of the through https://www.regulations.gov/ or 1868), originally ending February 25, primary submission (i.e., on the Web, email. Clearly mark the part or all of the 2021, is being extended. Written cloud, or other file sharing system). For information that you claim to be CBI. comments may now be received on or additional submission methods, the full For CBI information on any digital before March 29, 2021. EPA public comment policy, storage media that you mail to the EPA, The public comment period for the information about CBI or multimedia mark the outside of the digital storage proposed rules published in the Federal submissions, and general guidance on media as CBI and then identify Register on January 14, 2021 (86 FR making effective comments, please visit electronically within the digital storage 3079 and 86 FR 3054) and January 15, https://www.epa.gov/dockets/ media the specific information that is 2021 (86 FR 3906), originally ending commenting-epa-dockets. claimed as CBI. In addition to one March 1, 2021, are being extended. The https://www.regulations.gov/ complete version of the comments that Written comments may now be received website allows you to submit your includes information claimed as CBI, on or before March 31, 2021. comment anonymously, which means you must submit a copy of the the EPA will not know your identity or ADDRESSES: Comments. Submit your comments that does not contain the comments, identified by the Docket ID contact information unless you provide information claimed as CBI directly to Number corresponding to the proposed it in the body of your comment. If you the public docket through the send an email comment directly to the rule on which you are commenting procedures outlined in Instructions EPA without going through https:// (EPA–HQ–OAR–2020–0560; EPA–HQ– above. If you submit any digital storage www.regulations.gov/, your email OAR–2020–0535; EPA–HQ–OAR–2020– media that does not contain CBI, mark address will be automatically captured 0572; EPA–HQ–OAR–2020–0148560; the outside of the digital storage media and included as part of the comment EPA–HQ–OAR–2020–0505; or EPA– clearly that it does not contain CBI. that is placed in the public docket and HQ–OAR–2020–0532) by any of the Information not marked as CBI will be made available on the internet. If you following methods: included in the public docket and the submit an electronic comment, the EPA • Federal eRulemaking Portal: EPA’s electronic public docket without recommends that you include your https://www.regulations.gov/ (our prior notice. Information marked as CBI name and other contact information in preferred method). Follow the online will not be disclosed except in the body of your comment and with any accordance with procedures set forth in instructions for submitting comments. digital storage media you submit. If the • Email: [email protected]. 40 Code of Federal Regulations part 2. EPA cannot read your comment due to Send or deliver information identified Include the appropriate Docket ID No. technical difficulties and cannot contact in the subject line of the message. as CBI only to the following address: • you for clarification, the EPA may not OAQPS Document Control Officer Fax: (202) 566–9744. Include the be able to consider your comment. appropriate Docket ID No. on the fax (C404–02), OAQPS, U.S. Environmental Electronic files should not include Protection Agency, Research Triangle cover page. special characters or any form of • Mail: U.S. Environmental Park, North Carolina 27711, Attention encryption and be free of any defects or {Include the appropriate Docket ID No. Protection Agency, EPA Docket Center, viruses. For additional information Include the appropriate Docket ID No. based on the rule you are commenting about the EPA’s public docket, visit the on}. based on the rule you are commenting EPA’s Docket Center homepage at FOR FURTHER INFORMATION CONTACT: on, Mail Code 28221T, 1200 https://www.epa.gov/dockets. For Pennsylvania Avenue NW, Washington, Out of an abundance of caution for questions about this proposed action, DC 20460. members of the public and our staff, the contact Brian Shrager, Sector Policies • Hand/Courier Delivery (by EPA Docket Center and Reading Room and Programs Division (D205–02), scheduled appointment only): EPA are closed to the public, with limited Office of Air Quality Planning and Docket Center, Room 3334, WJC West exceptions, to reduce the risk of Standards, U.S. Environmental Building, 1301 Constitution Avenue transmitting COVID–19. Our Docket Protection Agency, Research Triangle NW, Washington, DC 20460. The Docket Center staff will continue to provide Park, North Carolina 27711; telephone Center’s hours of operation are 8:30 remote customer service via email, number: (919) 541–7689; fax number: a.m.–4:30 p.m., Eastern Standard Time, phone, and webform. We encourage the (919) 541–4991; and email address: Monday through Friday (except federal public to submit comments via https:// [email protected]. holidays). www.regulations.gov/ or email, as there SUPPLEMENTARY INFORMATION: On Instructions: All submissions received may be a delay in processing mail and January 8, 2021, the U.S. Environmental must include the Docket ID No. for the faxes. For further information on EPA Protection Agency (EPA) proposed a rulemaking on which you are Docket Center services and the current rule titled ‘‘National Emission commenting. The EPA’s policy is that status, please visit us online at https:// Standards for Hazardous Air Pollutants: all comments received may be posted www.epa.gov/dockets. Hand deliveries Mercury Cell Chlor-Alkali Plants without change to https:// or couriers will be received by Residual Risk and Technology Review,’’ www.regulations.gov/, including any scheduled appointment only. For and a rule titled ‘‘National Emission personal information provided, unless further information and updates on EPA Standards for Hazardous Air Pollutants: the comment includes information Docket Center services, please visit us Primary Magesium Refining Residual claimed to be confidential business online at https://www.epa.gov/dockets. Risk and Technology Review.’’ The EPA information (CBI) or other information The EPA continues to carefully and is extending the comment period on whose disclosure is restricted by statue. continuously monitor information from these proposed rules that currently Multimedia submissions (audio, the Centers for Disease Control and closes on February 22, 2021. The video, etc.) must be accompanied by a Prevention, local area health comment periods will remain open until written comment. The written comment departments, and our federal partners so March 24, 2021, to allow additional is considered the official comment and that we can respond rapidly as time for stakeholders to review and should include discussion of all points conditions change regarding COVID–19. comment on the proposals. On January
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11, 2021, the EPA proposed a rule titled responds to a petition for amendment to restricted by statute. Certain other ‘‘National Emission Standards for exclude (or ‘‘delist’’) up to 1,450 cubic material, such as copyrighted material, Hazardous Air Pollutants: Flexible yards per year of K006 chromic oxide will be publicly available only in hard Foam Fabrication Operations Residual solids from the list of federal hazardous copy. Risk and Technology Review and wastes when disposed of in an on-site You can view and copy the delisting Flexible Polyurethane Foam Production surface impoundment in lieu of disposal petition and associated publicly and Fabrication Area Source in a Subtitle D Landfill. The Agency is available docket materials either Technology Review.’’ The EPA is proposing to grant the petition based on through www.regulations.gov at: EPA, extending the comment period on this an evaluation of waste-specific Region 6, 1201 Elm Street, Suite 500, proposed rule that currently closes on information provided by the petitioner. Dallas, Texas 75270. The EPA facility is February 25, 2021. The comment period DATES: Comments on this proposed open from 8:30 a.m. to 4:30 p.m., will remain open until March 29, 2021, amendment must be received by March Monday through Friday, excluding to allow additional time for stakeholders 25, 2021. Federal holidays and facility closures to review and comment on the proposal. ADDRESSES: Submit your comments by due to COVID–19. We recommend that On January 14, 2021, the EPA proposed one of the following methods: you telephone Harry Shah, at (214) 665– a rule titled ‘‘National Emission • Federal eRulemaking Portal: 6457, before visiting the Region 6 office. Standards for Hazardous Air Pollutants: https://www.regulations.gov. Follow the Interested persons wanting to examine Refractory Products Manufacturing on-line instructions for submitting these documents should make an Residual Risk and Technology Review,’’ comments. appointment with the office. and a rule titled ‘‘National Emission • Email: [email protected]. FOR FURTHER INFORMATION CONTACT: Standards for Hazardous Air Pollutants: Instructions: EPA must receive your Harry Shah, (214) 665–6457, Carbon Black Production Residual Risk comments by March 25, 2021. Direct [email protected]. Out of an and Technology Review,’’ and on your comments to Docket ID Number abundance of caution for members of January 15, 2021, the EPA proposed a EPA–R06–RCRA–2020–0379. The EPA’s the public and our staff, the EPA Region rule titled ‘‘National Emission policy is that all comments received 6 office will be closed to the public to Standards for Hazardous Air Pollutants: will be included in the public docket reduce the risk of transmitting COVID– Cyanide Chemicals Manufacturing without change and may be made 19. We encourage the public to submit Residual Risk and Technology Review.’’ available online at https:// comments via https:// The EPA is extending the comment www.regulations.gov, including any www.regulations.gov, as there will be a periods on these proposed rules that personal information provided, unless delay in processing mail and no courier currently closes on March 1, 2021. The the comment includes information or hand deliveries will be accepted. comment periods will remain open until claimed to be Confidential Business Please call or email the contact listed March 31, 2021, to allow additional Information (CBI), or other information above if you need alternative access to time for stakeholders to review and whose disclosure is restricted by statute. material indexed but not provided in comment on the proposals. Do not submit information that you the docket. To allow for additional time for consider to be CBI or otherwise SUPPLEMENTARY INFORMATION: stakeholders to provide comments, the protected through https:// EPA has decided to extend the public Table of Contents www.regulations.gov, or email. The comment periods as indicated in the Federal regulations.gov website is an I. Overview Information DATES section of this document. ‘‘anonymous access’’ system, which II. Background Dated: February 16, 2021. means EPA will not know your identity A. What laws and regulations give EPA the authority to delist waste? Panagiotis Tsirigotis, or contact information unless you B. What is currently delisted at the Director, Office of Air Quality Planning and provide it in the body of your comment. Petitioner’s Corpus Christi, TX facility? Standards. If you send an email comment directly C. What does Petitioner request in its [FR Doc. 2021–03374 Filed 2–19–21; 8:45 am] to EPA without going through petition for amendment? BILLING CODE 6560–50–P regulations.gov, your email address will III. Disposition of the Petition Amendment be automatically captured and included A. What information did the Petitioner as part of the comment that is placed in submit to support its petition for amendment? ENVIRONMENTAL PROTECTION the public docket and made available on AGENCY B. What factors did EPA consider in the internet. If you submit an electronic deciding whether to grant a delisting comment, EPA recommends that you 40 CFR Part 261 petition? include your name and other contact C. How did EPA evaluate the risk of [EPA–R06–RCRA–2020–0379; FRL–10017– information in the body of your delisting this waste? 28—Region 6] comment with any CD you submit. If D. What did EPA conclude? EPA cannot read your comment due to IV. Conditions for Exclusion Hazardous Waste Management A. How will the Petitioner manage the technical difficulties and cannot contact waste if it is delisted? System; Identification and Listing of you for clarification, EPA may not be Hazardous Waste B. What are the maximum allowable able to consider your comment. concentrations of hazardous constituents AGENCY: Environmental Protection Electronic files should avoid the use of in the waste? Agency (EPA). special characters, any form of C. How frequently must the Petitioner test the waste? ACTION: Proposed amendment. encryption and be free of any defects or viruses. D. What data must the Petitioner submit? SUMMARY: The Environmental Protection Docket: The index to the docket for E. What happens if the Petitioner fails to Agency (EPA) is proposing to modify an this action is available electronically at meet the conditions of the exclusion? F. What must the Petitioner do if the exclusion from the lists of hazardous www.regulations.gov. Although listed in process changes? waste previously granted to American the index, some information is not V. When would the EPA finalize the Chrome and Chemical (Petitioner), in publicly available, e.g., CBI or other proposed delisting amendment? Corpus Christi, Texas. This action information whose disclosure is VI. How would this action affect the States?
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VII. Statutory and Executive Order Reviews generated at its facility do not meet any generated from the current wastewater I. Overview Information of the criteria for which the wastes were treatment process. Currently, the listed. The criteria which we use to list Petitioner discharges the wastewater The EPA is proposing to grant an wastes are found in 40 CFR 261.11. An through Outfall 201, into an on-site amendment to the petition submitted by explanation of how these criteria apply storage tank. The discharge is permitted American Chrome and Chemical to a particular waste is contained in the by Texas Commission on Environmental (Petitioner), in Corpus Christi, Texas to background document for that listed Quality (TCEQ) through a Texas exclude (or ‘‘delist’’) up to 1,450 cubic waste. Pollution Discharges Elimination yards per year of K006 chromic oxide In addition to the criteria that we System (TPDES) Permit No. 003490 solids from the list of federal hazardous considered when we originally listed (EPA NPDES Permit No. TX0004685). waste set forth in 40 Code of Federal the waste, we are also required by the In support of its petition, the Regulations CFR 261.32. The Petitioner provisions of 40 CFR 260.22(a)(2) to Petitioner submitted sufficient claims that the petitioned waste do not consider any other factors (including information to EPA to allow us to meet the criteria for which the EPA additional constituents), if there is a determine that the waste was not listed it, and that there are no additional reasonable basis to believe that these hazardous based upon the criteria for constituents or factors which could factors could cause the waste to be which it was listed and that no other cause the waste to be hazardous. The hazardous. hazardous constituents were present in original delisting petition was submitted In a delisting petition, the petitioner the waste at levels of regulatory to EPA in April 17, 2002 and made final must demonstrate that the waste does concern. on September 21, 2004. Full facility not exhibit any of the hazardous waste A full description of these wastes and descriptions and information are characteristics defined in Subpart C of the Agency’s evaluation of the 2002 provided in the proposed rulemaking 40 CFR part 261 (i.e., ignitability, petition are contained in the Proposed (68 FR 64834, November 17, 2003). corrosivity, reactivity, and toxicity), and Rule and Request for Comments Based on our review described in must present sufficient information for published in the Federal Register on Section III, we propose to approve the EPA to determine whether the waste November 17, 2003 (68 FR 64834). amendment, and allow the delisted contains any other constituents at After evaluating public comment on waste to be disposed in the on-site hazardous levels the Proposed Rule, we published a final surface impoundment in addition to an A generator remains obligated under decision in the Federal Register on off-site Subtitle D landfill. RCRA to confirm that its waste remains September 21, 2004, (69 FR 56357) to non-hazardous based on the hazardous II. Background exclude the Petitioner’s dewatered waste characteristics defined in Subpart chromic oxide sludge derived from the A. What laws and regulations give EPA C of 40 CFR part 261 even if EPA has treatment of EPA Hazardous Waste No. the authority to delist waste? delisted its waste. K006 from the list of hazardous wastes We also define residues from the found in 40 CFR 261.31. EPA published amended lists of treatment, storage, or disposal of listed hazardous wastes from non-specific and EPA’s final decision in 2004 was hazardous wastes and mixtures conditioned on the disposal of the specific sources on January 16, 1981, as containing listed hazardous wastes as part of its final and interim final material in an off-site Subtitle C landfill hazardous wastes. (See 40 CFR at an annual waste volume generation of regulations implementing Section 3001 261.3(a)(2)(iv) and (c)(2)(i), referred to as of RCRA. These lists have been 1,450 cubic yards of K006 dewatered the ‘‘mixture’’ and ‘‘derived-from’’ rules, sludge. Any additional waste volume in amended several times and are found at respectively.) These wastes are also 40 CFR 261.31 and 261.32. excess of this limit generated by eligible for exclusion but remain Petitioner in a calendar year was to have We list these wastes as hazardous hazardous wastes until delisted. because: (1) They typically and been managed as hazardous waste. The frequently exhibit one or more of the B. What is currently delisted at the waste could not be managed in any characteristics of hazardous wastes Petitioner’s Corpus Christi, TX facility? other waste unit. identified in Subpart C of 40 CFR part On April 17, 2002, American Chrome C. What does Petitioner request in its 261 (i.e., ignitability, corrosivity, and Chemical petitioned the EPA to petition for amendment? reactivity, and toxicity), or (2) they meet exclude from the list of hazardous waste the criteria for listing contained in 40 In an effort to reduce disposal costs contained in Sec. 261.32, the dewatered and the administrative burdens of waste CFR 261.11(a)(2) or (3). sludge generated from its facility located Individual waste streams may vary, tracking, notification, and recording in Corpus Christi, Texas. The waste, the requirements, Petitioner petitioned EPA however, depending on raw materials, EPA Hazardous Waste No. K006, falls industrial processes, and other factors. on December 3, 2019 for an amendment under the classification of listed waste to its September 21, 2004 final Thus, while a waste that is described in because of the ‘‘derived-from’’ rule in these regulations generally is hazardous, exclusion. In its petition, Petitioner Sec. 261.3. requested to add the disposal scenario a specific waste from an individual Specifically, in its petition, the of surface impoundment as a facility meeting the listing description Petitioner requested that the EPA grant management option for the chromic may not be. an exclusion for 1,450 cubic yards per oxide wastes. The volume of waste is set For this reason, 40 CFR 260.20 and year of dewatered sludge resulting from at a maximum annual generation of 260.22 provide an exclusion procedure its process of manufacturing chromic 1,450 cubic yards. which allows a person to demonstrate oxide. The resulting waste is listed, in that a specific listed waste from a accordance with the ‘‘derived-from’’ III. Disposition of Petition Amendment particular generating facility should not rule. be regulated as a hazardous waste, and The Petitioner’s wastewater sludge A. What information did the Petitioner should, therefore, be delisted. contains approximately 11% solids. The submit to support its petition for According to 40 CFR 260.22(a)(1), in petitioned waste is only the dewatered amendment? order to have these wastes excluded a portion of the sludge, not the entire The exclusion which we granted to petitioner must first show that wastes sludge (solids and wastewater) that is the Petitioner on September 21, 2004, is
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a conditional exclusion. No more than In order to support its Petition for K006 sludge were used as input in the 1,450 cubic yards of waste per year can Amendment, the Petitioner submitted model to determine if it would meet the be disposed of in an off-site Subtitle D four new samples of the waste material hazardous waste criteria for which it Landfill. Disposal in the on-site Surface and the disposal scenario of the surface was listed. The maximum total and Impoundment #3 (Texas Notice of impoundment was modeled using the leachate concentrations for the Registration Waste Unit 22) was not Delisting Risk Assessment Software. inorganic constituents which were approved. The worst-case scenario of the found in the analytical data provided by constituents’ concentrations for the Petitioner are presented in Table 1.
TABLE 1—MAXIMUM TOTAL AND TCLP CONCENTRATIONS
Maximum Maximum total TCLP Chemical name concentration concentration (mg/kg) (mg/l)
Arsenic ...... 9.54 <0.005 Barium ...... 20.8 0.034 Chromium ...... 350,836 0.563 Thallium ...... <6.72 <0.05 Zinc ...... 136 0.020
B. What factors did EPA consider in 40 CFR 261.3(a)(2)(iv) and (c)(2)(i), waste particles and volatile emissions to deciding whether to grant a delisting called the ‘‘mixture’’ and ‘‘derived- air from the surface of an open landfill, petition? from’’ rules, respectively. Mixture and DRAS considers routes of exposure of derived-from wastes are also eligible for inhalation of volatile constituents, In reviewing this petition, we exclusion but remain hazardous until inhalation of particles, and air considered the original listing criteria excluded. deposition of particles on residential and the additional factors required by soil and subsequent ingestion of the the Hazardous and Solid Waste C. How did the EPA evaluate the risk of contaminated soil by a child. The Amendments of 1984 (HSWA). See delisting this waste? technical support document and the section 222 of HSWA, 42 U.S.C. 6921(f), For this delisting determination, we user’s guide to DRAS are available at and 40 CFR 260.22(d)(2) through (4). We evaluated the risk that the waste would https://www.epa.gov/hw/hazardous- evaluated the petitioned wastes against be disposed of as a non-hazardous waste waste-delisting-risk-assessment- the listing criteria and factors cited in in a surface impoundment. We software-dras. § 261.11(a)(2) and (3). considered transport of waste In addition to the criteria in 40 CFR constituents through groundwater, D. What did EPA conclude? 260.22(a), 261.11(a)(2) and (3), 42 U.S.C. surface water and air. We evaluated The Petitioner does not believe that 6921(f), and in the background Petitioner’s analysis of petitioned waste the petitioned waste meets the criteria documents for the listed wastes, EPA using the DRAS software to predict the of K006 for which the EPA listed it. The also considered any factors (including concentration of hazardous constituents Petitioner also believes no additional additional constituents) other than those that might be released from the constituents or factors could cause the for which we listed the waste if these petitioned waste and to determine if the waste to be hazardous. The Petitioner additional factors could cause the waste waste would pose a threat to human also believes that disposal in the on-site to be hazardous. health and the environment. The DRAS surface impoundment will not adversely Our proposed decision to grant the software and associated documentation impact human health and the amendment to the 2004 petition to can be found at www.epa.gov/hw/ environment. The EPA’s review of this delist the waste from Petitioner’s facility hazardous-waste-delisting-risk- petition included consideration of the in Corpus Christi, Texas is based on our assessment-software-dras. original listing criteria, and the evaluation of the wastes for factors or To predict the potential for release to additional factors required by the criteria which could cause the waste to groundwater from landfilled wastes and Hazardous and Solid Waste be hazardous. These factors included: subsequent routes of exposure to a Amendments of 1984 (HSWA). See (1) Whether the waste is considered receptor, the DRAS uses dilution section 3001(f) of RCRA, 42 U.S.C. acutely toxic; (2) the toxicity of the attenuation factors derived from the 6921(f), and 40 CFR 260.22 (d)(1) constituents; (3) the concentration of the EPA’s Composite Model for leachate through (4) (hereinafter all sectional constituents in the waste; (4) the migration with Transformation references are to 40 CFR unless tendency of the constituents to migrate Products. From a release to ground otherwise indicated). In making the and to bioaccumulate; (5) the water, the DRAS considers routes of initial delisting determination, the EPA persistence in the environment of any exposure to a human receptor through evaluated the petitioned waste against constituents once released from the ingestion of contaminated groundwater, the listing criteria and factors cited in waste; (6) plausible and specific types of inhalation from groundwater while § 261.11(a)(2) and (3). Based on this management of the petitioned waste; (7) showering and dermal contact from review, the EPA agrees with the the quantity of waste produced; and (8) groundwater while bathing. Petitioner that the petitioned waste is waste variability. From a release to surface water by nonhazardous with respect to the The EPA must also consider as erosion of waste from an open landfill original listing criteria. (If the EPA had hazardous wastes mixtures containing into storm water run-off, DRAS found, based on this review, that the listed hazardous wastes and wastes evaluates the exposure to a human waste remained hazardous based on the derived from treating, storing, or receptor by fish ingestion and ingestion factors for which the waste was disposing of listed hazardous waste. See of drinking water. From a release of originally listed, the EPA would have
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proposed to deny the petition.) The EPA compliance with the delisting compliance with the exclusion criteria evaluated the waste with respect to parameters. If compliance with the must continue to be managed as other factors or criteria to assess delisting parameters is demonstrated hazardous.’’ whether there is a reasonable basis to with analytical testing for thirty days, If the verification testing of the waste believe that such additional factors the Petitioner may decrease its sampling does not demonstrate compliance with could cause the waste to be hazardous. frequency for this exclusion to quarterly the delisting concentrations described The EPA considered whether the waste sampling reporting on the delisting in section IV.C above, or other data is acutely toxic, the concentration of the exclusion. This does not supercede the (including but not limited to leachate constituents in the waste, their tendency discharge permit requirements, it gives data or groundwater monitoring data to migrate and to bioaccumulate, their only requirements for the submission of from the final land disposal facility) persistence in the environment once delisted waste related data. If two relevant to the delisted waste indicates released from the waste, plausible and consecutive quarterly delisting reports that any constituent is at a specific types of management of the show compliance with the delisting concentration in waste above specified petitioned waste, the quantities of waste parameters, the Petitioner may request delisting verification concentrations in generated, and waste variability. The to move to annual sampling for the Table 5, the Petitioner must notify the EPA believes that the petitioned waste purposes of the delisting. The annual Agency within 10 days, or such later does not meet the listing criteria and sampling report shall include the date as the EPA may agree to in writing, thus should not be a listed waste. The volume of chromic oxide solids after receiving the final verification EPA’s proposed decision to delist waste disposed of in the surface impoundment testing results from the laboratory or of from Petitioner’s facility is based on the as well as an annual testing event data. first possessing or being made aware of information submitted in support of this The petitioner should monitor and other relevant data. The EPA may rule, including descriptions of the report increasing trends of constituents require the Petitioner to conduct wastes and analytical data from the which will affect the overall compliance additional verification sampling to Corpus Christi, Texas facility. with the discharge permit. better define the particular volume of Thirty days after disposal in the on- wastes within the affected unit that does IV. Conditions for Exclusion site surface impoundment begins, not fully satisfy delisting criteria. For A. How will the Petitioner manage the wastewater samples should be taken at any volume of wastes for which the waste if it is delisted? Outfall 101 as prescribed by the corresponding representative sample(s) discharge permit issued by the Texas do not reflect full compliance with If the petitioned wastes are delisted as Commission on Environmental Quality delisting exclusion levels, the exclusion proposed, the Petitioner must dispose of (TCEQ) through a Texas Pollution by its terms does not apply, and the them in a Subtitle D landfill which is Discharge Elimination System (TPDES) waste must be managed as hazardous. permitted, licensed, or registered by a Permit No. 003490 (EPA NPDES Permit EPA has the authority under RCRA state to manage industrial waste or in No. TX0004685). Discharge from Outfall and the Administrative Procedures Act, the on-site surface impoundment. 101 is intermittent to control freeboard. 5 U.S.C. 551 (1978) et seq. to reopen a B. What are the maximum allowable At a minimum, an annual sampling delisting decision if we receive new concentrations of hazardous event should be conducted at Outfall information indicating that the constituents in the waste? 101. A summary of the Outfall 101 conditions of this exclusion have been discharge data shall be included in the violated or are otherwise not being met. EPA notes that in multiple instances annual report. the maximum allowable total F. What must the Petitioner do if the constituent concentrations provided by D. What data must the Petitioner process changes? the DRAS model exceed 100% of the submit? Any process changes or additions waste—these DRAS results are an The Petitioner must submit the data implemented at Petitioner’s facility artifact of the risk calculations that do obtained through verification testing to which would significantly impact the not have physical meaning. In instances U.S. EPA Region 6, Office of Land, constituent concentrations of the waste where DRAS predicts a maximum Chemicals and Redevelopment, 1201 must be reported to EPA in accordance constituent greater than 100 percent of Elm Street, Suite 500, M/C 6LCR–RP, with Condition VI. of the exclusion the waste (that is, greater than 1,000,000 Dallas, Texas 75270–2102. within 10 language. mg/kg or mg/L, respectively, for total days after receiving the final results V. When would the EPA finalize the and TCLP concentrations), the EPA is from the laboratory. These results may proposed delisting exclusion? not proposing to require the Petitioners be submitted electronically to Harry to perform sampling and analysis for Shah, [email protected]. The HSWA specifically requires EPA to that constituent and sampling type (total Petitioner must make those records provide notice and an opportunity for or TCLP). available for inspection. All data must comment before granting or denying a be accompanied by a signed copy of the final exclusion. Thus, EPA will not C. How frequently must the Petitioner make a final decision or grant an test the waste? certification statement in 40 CFR 260.22(i)(12). exclusion until it has addressed all The testing approach for introduction timely public comments on today’s of this waste stream will be conducted E. What happens if the Petitioner fails proposal, including any at public in a graduated approach. During the first to meet the conditions of the exclusion? hearings. Upon receipt and thirty days of sending the delisted waste If this Petitioner violates the terms consideration of all comments, EPA will to the surface impoundment, The and conditions established in the publish its final determination as a final Petitioner will collect slurry samples exclusion, the Agency may start rule. Since this rule would reduce the from the influent to the surface procedures to withdraw the exclusion. existing requirements for persons impoundment to determine compliance Additionally, the terms of the exclusion generating hazardous wastes, the with the delisting parameters. The provide that ‘‘[a]ny waste volume for regulated community does not need a Petitioner will prepare a monthly report which representative composite six-month period to come into to determine if the delisted waste in sampling does not reflect full compliance in accordance with
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section 3010 of RCRA as amended by et seq.) because it only applies to a J. National Technology Transfer and HSWA. particular facility. Advancement Act VI. How would this action affect the D. Regulatory Flexibility Act This proposed action does not involve states? technical standards as described by the Because this rule is of particular National Technology Transfer and Because EPA is proposing to issue applicability relating to a particular Advancement Act of 1995 (15 U.S.C. this exclusion under the federal RCRA facility, it is not subject to the regulatory 272 note). delisting regulations, only states subject flexibility provision of the Regulatory to federal RCRA delisting provisions Flexibility Act (5 U.S.C. 601 et seq.). K. Executive Order 12898: Federal will be affected. This exclusion may not Actions To Address Environmental E. Unfunded Mandates Reform Act be effective in states which have Justice in Minority Populations and received authorization from the EPA to This proposed action does not contain Low-Income Populations make their own delisting decisions. any unfunded mandate as described in The EPA believes that this proposed RCRA allows states to impose more the Unfunded Mandates Reform Act (2 action does not have disproportionately stringent regulatory requirements under U.S.C. 1531–1538) and does not high and adverse human health or section 3009 of RCRA. These more significantly or uniquely affect small environmental effects on minority stringent requirements may include a governments. The action imposes no populations, low-income populations, provision that prohibits a federally new enforceable duty on any state, and/or indigenous peoples. The EPA issued exclusion from taking effect in local, or tribal governments or the has determined that this proposed the state. We urge petitioners to contact private sector. action will not have disproportionately the state regulatory authority to F. Executive Order 13132: Federalism high and adverse human health or establish the status of their wastes under environmental effects on minority or the state law. This proposed action does not have low-income populations because it does EPA has also authorized some states federalism implications. It will not have not affect the level of protection to administer a delisting program in substantial direct effects on the states, provided to human health or the place of the federal program, that is, to on the relationship between the national environment. The Agency’s risk make state delisting decisions. government and the states, or on the assessment, as described in section III.E Therefore, this exclusion does not apply distribution of power and above, did not identify risks from in those states. If the Petitioner manages responsibilities among the various management of this material in an the wastes in any state with delisting levels of government. authorized, solid waste landfill (e.g., authorization, the Petitioner must obtain G. Executive Order 13175: Consultation RCRA Subtitle D landfill, commercial/ delisting authorization or other and Coordination With Indian Tribal industrial solid waste landfill, etc.) or determination from the receiving state Governments the on-site surface impoundment. before it can manage the waste as Therefore, the EPA believes that any This proposed action does not have nonhazardous in that state. populations in proximity of the landfills tribal implications as specified in used by this facility or the Corpus VII. Statutory and Executive Order Executive Order 13175. This proposed Christi facility should not be adversely Reviews action applies only to a particular affected by common waste management facility on non-tribal land. Thus, Additional information about these practices for this delisted waste. statutes and Executive Orders can be Executive Order 13175 does not apply found at http://www2.epa.gov/laws- to this action. L. Congressional Review Act regulations/laws-and-executive-orders. H. Executive Order 13045: Protection of This proposed action is exempt from A. Executive Order 12866: Regulatory Children From Environmental Health the Congressional Review Act (5 U.S.C. Planning and Review and Executive Risks and Safety Risks 801 et seq.) because it is a rule of particular applicability. Order 13563: Improving Regulation and This proposed action is not subject to Regulatory Review Executive Order 13045 because it is not List of Subjects in 40 CFR Part 261 This proposed action is exempt from economically significant as defined in Environmental protection, Hazardous review by the Office of Management and Executive Order 12866, and because the waste, Recycling, and Reporting and Budget because it is a rule of particular EPA does not believe the environmental recordkeeping requirements. health or safety risks addressed by this applicability, not general applicability. Dated: January 13, 2021. The proposed action approves a action present a disproportionate risk to Ronald D. Crossland, delisting petition under RCRA for the children. This proposed action’s health Director, Land, Chemicals and petitioned waste at a particular facility. and risk assessments using the Agency’s Delisting Risk Assessment Software Redevelopment Division, Region 6. B. Executive Order 13771: Reducing (DRAS), which considers health and For the reasons set out in the Regulations and Controlling Regulatory safety risks to children, are described in preamble, the EPA proposes to amend Costs section III.E above. The technical 40 CFR part 261 as follows: This proposed action is not an support document and the user’s guide Executive Order 13771 regulatory action for DRAS are included in the docket. PART 261—IDENTIFICATION AND because actions such as approval of LISTING OF HAZARDOUS WASTE I. Executive Order 13211: Actions delisting petitions under RCRA are Concerning Regulations That ■ 1. The authority citation for part 261 exempted under Executive Order 12866. Significantly Affect Energy Supply, continues to read as follows: C. Paperwork Reduction Act Distribution or Use Authority: 42 U.S.C. 6905, 6912(a), 6921, This proposed action does not impose This proposed action is not subject to 6922, 6924(y) and 6938. an information collection burden under Executive Order 13211, because it is not ■ 2. Amend Appendix IX to Part 261 by the provisions of the Paperwork a significant regulatory action under revising the entry for ‘‘American Reduction Act of 1995 (44 U.S.C. 3501 Executive Order 12866. Chrome and Chemical—Corpus Christi,
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TX’’ to Table 2—Wastes Excluded From Appendix IX to Part 261—Wastes Specific Sources to read as follows: Excluded Under §§ 260.20 and 260.22 * * * * *
TABLE 2—WASTES EXCLUDED FROM SPECIFIC SOURCES
Facility Address Waste description
American Chrome and Corpus Christi, Texas Slurry (the EPA Hazardous Waste No. K006) generated at a maximum generation of 1,450 Chemical (ACC). cubic yards on a dry weight basis per calendar year after (effective date of final rule) and disposed in an on-site surface impoundment. ACC must implement a verification program that meets the following Paragraphs: (1) Delisting Levels: All leachable constituent concentrations must not exceed the following levels. The petitioner must use the method specified in 40 CFR 261.24 to measure con- stituents in the waste leachate (mg/L). Slurry leachate: Arsenic-0.0377; Barium-100.0; Chromium-5.0; Thallium-0.355; Zinc-1130.0. Chromium may not exceed 400,000 mg/kg. (2) Waste Holding and Handling: (A) If the delisted material causes violations of the Discharge permit, ACC must dis- continue disposing of the chromic oxide solids in the impoundment and dispose of it in accordance with the delisting exclusion issued September 21, 2004, until they have completed verification testing described in Paragraph (3), as appropriate, and valid analyses show that paragraph (1) is satisfied. (B) Levels of constituents measured in the samples of the slurry that do not exceed the levels set forth in Paragraph (1) are non-hazardous. ACC can manage and dispose the non-hazardous slurry according to all applicable solid waste regulations. (C) If constituent levels in a sample exceed any of the delisting levels set in Paragraph (1), ACC must retreat the batches of waste used to generate the representative sam- ple until it meets the levels. ACC must repeat the analyses of the treated waste. (D) If the facility does not treat the waste or retreat it until it meets the delisting levels in Paragraph (1), ACC must manage and dispose the waste generated under Subtitle C of RCRA. (E) ACC must maintain a record of the actual volume of the slurry to be disposed in the on-site impoundment according to the requirements in Paragraph (5). (3) Verification Testing Requirements: ACC must perform sample collection and analyses, in- cluding quality control procedures, according to appropriate methods such as those found in SW–846 or other reliable sources (with the exception of analyses requiring the use of SW–846 methods incorporated by reference in 40 CFR 260.11, which must be used with- out substitution). (A) During the first thirty days of sending the slurry to the surface impoundment, ACC will collect slurry samples from the influent to the surface impoundment to determine compliance with the delisting levels in Paragraph (1). (B) Thirty days after disposal in the on-site surface impoundment begins, ACC will take samples of the wastewater from Outfall 101 as prescribed by the discharge permit issued by the Texas Commission on Environmental Quality (TCEQ) through a Texas Pollution Discharge Elimination System (TPDES) Permit No. 003490 (EPA NPDES Permit No. TX0004685). Wastewater samples will be analyzed for the constituents in the TPDES Permit 003490 and in Paragraph (1). Discharge from Outfall 101 is inter- mittent. At a minimum, an annual sampling event for the constituents listed in Para- graph (1), will be conducted at Outfall 101. (C) ACC may decrease its sampling frequency for this exclusion to quarterly sampling reporting on the delisting exclusion after compliance with the delisting levels in Para- graph (1) is demonstrated with analytical testing for thirty days. This does not supercede the discharge permit requirements, it gives only requirements for the sub- mission of delisted waste related data. (D) If two consecutive quarterly delisting reports show no exceedances of the delisting levels in Paragraph (1), ACC may request to move to annual sampling for the pur- poses of the delisting. The annual sampling report shall include the volume of chromic oxide solids disposed of in the surface impoundment as well as an annual testing data for Outfall 101. (E) ACC should monitor and report increasing trends of constituents which will affect the overall compliance with the discharge permit. ACC shall analyze the verification sam- ples according to the constituent list specified in Paragraph (1) and submit the analyt- ical results to EPA within 10 days of receiving the analytical results. If the EPA deter- mines that the data collected under this Paragraph do not support the data provided for the petition, the exclusion will not cover the generated wastes. The EPA will notify ACC the decision in writing within two weeks of receiving this information. (4) Changes in Operating Conditions: If ACC significantly changes the process described in its petition or starts any processes that may or could affect the composition or type of waste generated as established under Paragraph (1) (by illustration, but not limitation, changes in equipment or operating conditions of the treatment process), they must notify the EPA in writing; they may no longer handle the wastes generated from the new process as nonhazardous until the test results of the wastes meet the delisting levels set in Para- graph (1) and they have received written approval to do so from the EPA.
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TABLE 2—WASTES EXCLUDED FROM SPECIFIC SOURCES—Continued
Facility Address Waste description
(5) Data Submittals: ACC must submit the information described below. If ACC fails to submit the required data within the specified time or maintain the required records on-site for the specified time, the EPA, at its discretion, will consider this sufficient basis to reopen the ex- clusion as described in Paragraph 6. ACC must: A. Submit the data obtained through Paragraph 3 to the Chief, RCRA Permits & Solid Waste Section, Mail Code, (6LCR–RP) US EPA Region 6,1201 Elm Street, Suite 500, Dallas, TX 75270 within the time specified. Data may be submitted via email to the technical contact for the delisting program. B. Compile records of operating conditions and analytical data from Paragraph (3), sum- marized, and maintained on-site for a minimum of five years. C. Furnish these records and data when the EPA or the State of Texas request them for inspection. D. Send along with all data a signed copy of the following certification statement, to at- test to the truth and accuracy of the data submitted: ‘‘Under civil and criminal penalty of law for the making or submission of false or fraudulent statements or representa- tions (pursuant to the applicable provisions of the Federal Code, which include, but may not be limited to, 18 U.S.C. 1001 and 42 U.S.C. 6928), I certify that the informa- tion contained in or accompanying this document is true, accurate and complete. As to the (those) identified section(s) of this document for which I cannot personally verify its (their) truth and accuracy, I certify as the company official having supervisory responsi- bility for the persons who, acting under my direct instructions, made the verification that this information is true, accurate and complete. If any of this information is deter- mined by the EPA in its sole discretion to be false, inaccurate or incomplete, and upon conveyance of this fact to the company, I recognize and agree that this exclusion of waste will be void as if it never had effect or to the extent directed by the EPA and that the company will be liable for any actions taken in contravention of the company’s RCRA and CERCLA obligations premised upon the company’s reliance on the void exclusion.’’ (6) Reopener: (A) If, anytime after disposal of the delisted waste, ACC possesses or is otherwise made aware of any environmental data (including but not limited to leachate data or ground water monitoring data) or any other data relevant to the delisted waste indicating that any constituent identified for the delisting verification testing is at level higher than the delisting level allowed by the Division Director in granting the petition, then the facility must report the data, in writing, to the Division Director within 10 days of first pos- sessing or being made aware of that data. (B) If the verification testing of the waste does not meet the delisting requirements in Paragraph 1, ACC must report the data, in writing, to the Division Director within 10 days of first possessing or being made aware of that data. (C) If ACC fails to submit the information described in paragraphs (5), (6)(A) or (6)(B) or if any other information is received from any source, the Division Director will make a preliminary determination as to whether the reported information requires Agency ac- tion to protect human health or the environment. Further action may include sus- pending, or revoking the exclusion, or other appropriate response necessary to protect human health and the environment. (D) If the Division Director determines that the reported information does require Agency action, the Division Director will notify the facility in writing of the actions the Division Director believes are necessary to protect human health and the environment. The no- tice shall include a statement of the proposed action and a statement providing the fa- cility with an opportunity to present information as to why the proposed Agency action is not necessary. The facility shall have 10 days from the date of the Division Direc- tor’s notice to present such information. (E) Following the receipt of information from the facility described in paragraph (6)(D) or (if no information is presented under paragraph (6)(D)) the initial receipt of information described in paragraphs (5), (6)(A) or (6)(B), the Division Director will issue a final writ- ten determination describing the Agency actions that are necessary to protect human health or the environment. Any required action described in the Division Director’s de- termination shall become effective immediately, unless the Division Director provides otherwise. (7) Notification Requirements: ACC must do the following before transporting the delisted waste: Failure to provide this notification will result in a violation of the delisting petition and a possible revocation of the decision. (A) Provide a one-time written notification to any State Regulatory Agency to which or through which they will transport the delisted waste described above for disposal, 60 days before beginning such activities. If ACC transports the excluded waste to or man- ages the waste in any state with delisting authorization, ACC must obtain delisting au- thorization from that state before it can manage the waste as nonhazardous in the state. (B) Update the one-time written notification if they ship the delisted waste to a different disposal facility.
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TABLE 2—WASTES EXCLUDED FROM SPECIFIC SOURCES—Continued
Facility Address Waste description
(C) Failure to provide the notification will result in a violation of the delisting variance and a possible revocation of the exclusion.
*******
* * * * * number EPA–HQ–OPPT–2020–0493, Register document of January 11, 2021 [FR Doc. 2021–02939 Filed 2–22–21; 8:45 am] through the Federal eRulemaking Portal (86 FR 1890) (FR–10018–40), for 30 BILLING CODE 6560–50–P at http://www.regulations.gov. Follow days, from February 25, 2021 to March the online instructions for submitting 27, 2021. In that document, EPA comments. Do not submit electronically proposed updates and adjustments to ENVIRONMENTAL PROTECTION any information you consider to be the 2018 fees rule established under the AGENCY Confidential Business Information (CBI) Toxic Substances Control Act (TSCA). or other information whose disclosure is More information on EPA’s proposal 40 CFR Part 700 restricted by statute. can be found in the Federal Register [EPA–HQ–OPPT–2020–0493; FRL–10020– Please note that due to the public document of January 11, 2021 (86 FR 69] health emergency the EPA Docket 1890) (FR–10018–40). Center (EPA/DC) and Reading Room RIN 2070–AK64 An extension of the comment period was closed to public visitors on March was requested by stakeholders to allow Fees for the Administration of the 31, 2020. Our EPA/DC staff will interested parties additional time to Toxic Substances Control Act (TSCA); continue to provide customer service thoroughly review and analyze how the Extension of Comment Period via email, phone, and webform. For proposed fees will impact parties further information on EPA/DC services, potentially subject to the proposed AGENCY: Environmental Protection docket contact information and the updated TSCA fees and fee categories Agency (EPA). current status of the EPA/DC and for fiscal years 2022, 2023 and 2024 ACTION: Proposed rule; extension of Reading Room, please visit https:// discussed in the proposed rule. EPA comment period. www.epa.gov/dockets. agrees that an extension of the comment FOR FURTHER INFORMATION CONTACT: period is warranted. SUMMARY: In the Federal Register of For technical information contact: To submit comments, or access the January 11, 2021, the Environmental Marc Edmonds, Existing Chemicals Risk docket, please follow the detailed Protection Agency (EPA) proposed Management Division, Office of instructions provided under ADDRESSES. updates and adjustments to the 2018 Pollution Prevention and Toxics, If you have questions, consult the fees rule established under the Toxic Environmental Protection Agency, 1200 technical persons listed under FOR Substances Control Act (TSCA). This Pennsylvania Ave. NW, Washington, DC FURTHER INFORMATION CONTACT. document extends the comment period 20460–0001; telephone number: (202) for 30 days from February 25, 2021 to 566–0758; email address: List of Subjects 40 CFR Part 700 March 27, 2021. [email protected]. DATES: The comment period for the For general information contact: The Chemicals, Environmental protection, proposed rule published at 86 FR 1890 TSCA-Hotline, ABVI-Goodwill, 422 Hazardous substances, Reporting and on January 11, 2021, is extended. South Clinton Ave., Rochester, NY recordkeeping requirements, User fees. Comments, identified by docket 14620; telephone number: (202) 554– Dated: February 16, 2021. identification (ID) number EPA–HQ– 1404; email address: TSCA-Hotline@ Richard Keigwin, OPPT–2020–0493, must be received on epa.gov. Acting Deputy Assistant Administrator, Office or before March 27, 2021. SUPPLEMENTARY INFORMATION: This of Chemical Safety and Pollution Prevention. ADDRESSES: Submit your comments, document extends the public comment [FR Doc. 2021–03554 Filed 2–22–21; 8:45 am] identified by docket identification (ID) period established in the Federal BILLING CODE 6560–50–P
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Notices Federal Register Vol. 86, No. 34
Tuesday, February 23, 2021
This section of the FEDERAL REGISTER SUPPLEMENTARY INFORMATION: mandated by the Agriculture contains documents other than rules or Title: Hemp Acreage and Production Improvement Act of 2018 (2018 Farm proposed rules that are applicable to the Survey. Bill). In addition the data will be public. Notices of hearings and investigations, OMB Control Number: 0535–NEW. collected under the authority of Title 7 committee meetings, agency decisions and Type of Request: Intent to seek U.S.C. 2204(a). Individually identifiable rulings, delegations of authority, filing of petitions and applications and agency approval to create a new information data collected under this authority are statements of organization and functions are collection for a period of three years. governed by Section 1770 of the Food examples of documents appearing in this Abstract: The 2018 Farm Bill requires Security Act of 1985 as amended, 7 section. USDA to promulgate regulations and U.S.C. 2276, which requires USDA to guidelines to establish and administer a afford strict confidentiality to non- program for the production of hemp in aggregated data provided by DEPARTMENT OF AGRICULTURE the United States. respondents. This Notice is submitted in As defined in the 2018 Farm Bill, the accordance with the Paperwork National Agricultural Statistics Service term ‘‘hemp’’ means the plant species Reduction Act of 1995, Public Law 104– Cannabis sativa L. and any part of that 13 (44 U.S.C. 3501, et seq.), and Office Notice of Intent To Request To plant, including the seeds thereof and of Management and Budget regulations Conduct a New Information Collection all derivatives, extracts, cannabinoids, at 5 CFR part 1320. AGENCY: National Agricultural Statistics isomers, acids, salts, and salts of NASS also complies with OMB Service, USDA. isomers, whether growing or not, with a Implementation Guidance, ACTION: Notice and request for delta-9 tetrahydrocannabinol ‘‘Implementation Guidance for Title V comments. concentration of not more than 0.3 of the E-Government Act, Confidential percent on a dry weight basis. Delta-9 Information Protection and Statistical SUMMARY: In accordance with the tetrahydrocannabinol, or THC, is the Efficiency Act of 2002 (CIPSEA),’’ Paperwork Reduction Act of 1995, this primary intoxicating component of Federal Register, Vol. 72, No. 115, June notice announces the intention of the cannabis. Cannabis with a THC level 15, 2007, p. 33362. National Agricultural Statistics Service exceeding 0.3 percent is considered Estimate of Burden: Public reporting (NASS) to seek approval to conduct a marijuana, which remains classified as burden for this collection of information new information collection to gather a schedule I controlled substance is estimated to average 15 minutes per data related to the production of hemp. regulated by the Drug Enforcement response. NASS plans to mail out DATES: Comments on this notice must be Administration (DEA) under the publicity materials with the received by April 26, 2021 to be assured Controlled Substances Act (CSA). Under questionnaires to inform producers of of consideration. the Agricultural Act of 2014 (2014 Farm the importance of this survey. NASS ADDRESSES: You may submit comments, Bill), Public Law 113–79, State will also use multiple mailings and identified by docket number 0535– departments of agriculture and internet data collection tools, followed NEW, by any of the following methods: institutions of higher education were up with phone and limited personal • Email: [email protected]. permitted to produce hemp as part of a enumeration of non-respondents to Include docket number above in the pilot program for research purposes. increase response rates and to minimize subject line of the message. The authority for hemp production data collection costs. NASS is currently • E-fax: (855) 838–6382. provided in the 2014 Farm Bill was building a listing of potential hemp • Mail: Mail any paper, disk, or CD– extended by the 2018 Farm Bill, which producers. From initial findings the ROM submissions to: David Hancock, was signed into law on December 20, target population is not expected to NASS Clearance Officer, U.S. 2018. exceed 20,000. Department of Agriculture, Room 5336 Hemp is a commodity that can be Respondents: Farmers and Ranchers. South Building, 1400 Independence used for numerous industrial and Estimated Number of Respondents: Avenue SW, Washington, DC 20250– horticultural purposes including fabric, 20,000. 2024. paper, construction materials, food Estimated Total Annual Burden on • Hand Delivery/Courier: Hand products, cosmetics, production of Respondents: 6,700 hours. deliver to: David Hancock, NASS cannabinoids (such as cannabidiol or Comments: Comments are invited on: Clearance Officer, U.S. Department of CBD), and other products. (a) Whether the proposed collection of Agriculture, Room 5336 South Building, In determining the type of data that information is necessary for the proper 1400 Independence Avenue SW, would need to be collected and the performance of the functions of the Washington, DC 20250–2024. frequency of the data collections, NASS agency, including whether the FOR FURTHER INFORMATION CONTACT: management attended a joint meeting information will have practical utility; Kevin L. Barnes, Associate with representatives from the USDA’s (b) the accuracy of the agency’s estimate Administrator, National Agricultural Economic Research Service (ERS), Farm of the burden of the proposed collection Statistics Service, U.S. Department of Service Agency (FSA), Risk of information, including the validity of Agriculture, (202) 720–2707. Copies of Management Agency (RMA), the methodology and assumptions used; this information collection and related Agricultural Marketing Service (AMS), (c) ways to enhance the quality, utility, instructions can be obtained without and the Office of the Secretary. and clarity of the information to be charge from David Hancock, NASS— Authority: The data will be collected collected; and (d) ways to minimize the OMB Clearance Officer, at (202) 690– under the authority of the Domestic burden of the collection of information 2388 or at [email protected]. Hemp Production Program, which is on those who are to respond, through
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the use of appropriate automated, For more information, call Yvette December 11, 2019 covering 26 electronic, mechanical, technological, or Springer at (202) 482–2813. producers and/or exporters.2 We other forms of information technology selected NSC and Tokyo Steel as Yvette Springer, collection methods. mandatory respondents.3 On April 24, All responses to this notice will Committee Liaison Officer. 2020, Commerce exercised its discretion become a matter of public record and be [FR Doc. 2021–03684 Filed 2–22–21; 8:45 am] to uniformly toll all statutory deadlines summarized in the request for OMB BILLING CODE 3510–JT–P for antidumping and countervailing approval. duty administrative reviews by 50 days.4 On July 21, 2020, Commerce Signed at Washington, DC, February 16, DEPARTMENT OF COMMERCE 2021. further tolled all statutory deadlines for Kevin L. Barnes, International Trade Administration antidumping and countervailing duty Associate Administrator. administrative reviews by another 60 [A–588–874] 5 [FR Doc. 2021–03608 Filed 2–22–21; 8:45 am] days. On October 13, 2020, we extended the deadline for the BILLING CODE 3410–20–P Certain Hot-Rolled Steel Flat Products preliminary results of this review by an From Japan: Preliminary Results of additional 120 days, in accordance with Antidumping Duty Administrative section 751(a)(3)(A) of the Act and 19 DEPARTMENT OF COMMERCE Review and Preliminary Determination CFR 351.213(h)(2), resulting in a of No Shipments; 2018–2019 Bureau of Industry and Security deadline of February 17, 2021 for these 6 AGENCY: Enforcement and Compliance, preliminary results. For a detailed Regulations and Procedures Technical International Trade Administration, description of the events that followed Advisory Committee; Notice of Meeting Department of Commerce. the initiation of this review, see the Preliminary Decision Memorandum.7 The Regulations and Procedures SUMMARY: The Department of Commerce Technical Advisory Committee will (Commerce) preliminarily determines Scope of the Order meet March 9, 2021, at 10:00 a.m., that Nippon Steel Corporation (NSC) The merchandise covered by the Eastern Standard Time, via remote and Tokyo Steel Manufacturing Co., Ltd. Order is hot-rolled steel from Japan. For teleconference. The Committee advises (Tokyo Steel), producers and exporters a complete description of the scope of the Office of the Assistant Secretary for of hot-rolled steel flat products (hot- the Order, see the Preliminary Decision Export Administration on rolled steel) from Japan, sold subject Memorandum.8 implementation of the Export merchandise in the United States at Administration Regulations (EAR) and prices below normal value during the Methodology provides for continuing review to period of review (POR) October 1, 2018 Commerce is conducting this update the EAR as needed. through September 30, 2019. In administrative review in accordance addition, Commerce preliminarily with section 751(a) of the Act. Agenda determines that Honda Trading Canada, Constructed export price and export Public Session Inc. (Honda), Panasonic Corporation price were calculated in accordance (Panasonic), and Mitsui & CO., Ltd. 1. Opening remarks by the Chairman with section 772 of the Act. Normal 2. Opening remarks by the Bureau of (Mitsui) had no shipments during the value is calculated in accordance with Industry and Security POR. We invite interested parties to section 773 of the Act. For a full 3. Presentation of papers or comments comment on these preliminary results. description of the methodology by the Public DATES: Applicable February 23, 2021. underlying our conclusions, see the 4. Regulations Update FOR FURTHER INFORMATION CONTACT: Preliminary Decision Memorandum. A 5. Working Group Reports Myrna Lobo or Jack Zhao, AD/CVD 6. Automated Export System Update Operations, Office VII, Enforcement and 2 See Initiation of Antidumping and Compliance, International Trade Countervailing Duty Administrative Reviews, 84 FR Closed Session 67712 (December 11, 2019) (Initiation Notice). Administration, U.S. Department of 7. Discussion of matters determined to 3 See Memorandum ‘‘Respondent Selection for Commerce, 1401 Constitution Avenue the 2018–2019 Antidumping Duty Administrative be exempt from the provisions NW, Washington, DC 20230; telephone: Review of Certain Hot-Rolled Steel Flat Products relating to public meetings found in (202) 482–2371 or (202) 482–1396, from Japan,’’ dated May 1, 2020. 5 U.S.C. app. 2 §§ 10(a)(1) and respectively. 4 See Memorandum to the Record from Jeffrey I. 10(a)(3). Kessler, Assistant Secretary, Enforcement and SUPPLEMENTARY INFORMATION: Compliance, ‘‘Tolling of Deadlines for Antidumping The open session will be accessible and Countervailing Duty Administrative Reviews in via teleconference to participants on a Background Response to Operational Adjustments Due to first come, first serve basis. To join the Commerce is conducting an COVID–19,’’ dated April 24, 2020. 5 See Memorandum to the Record from Jeffrey I. conference, submit inquiries to Ms. administrative review of the Yvette Springer at Yvette.Springer@ Kessler, Assistant Secretary, Enforcement and antidumping duty order on hot-rolled Compliance, ‘‘Tolling of Deadlines for Antidumping bis.doc.gov, no later than March 2, 2021. steel from Japan in accordance with and Countervailing Duty Administrative Reviews,’’ To the extent that time permits, section 751(a)(1)(B) of Tariff Act of dated July 21, 2020. members of the public may present oral 6 See Memorandum, ‘‘Certain Hot-Rolled Steel 1930, as amended (the Act).1 Commerce statements to the Committee. The public Flat Products from Japan: Extension of Deadline for initiated this administrative review on Preliminary Results of Antidumping Duty may submit written statements at any Administrative Review—2018–2019,’’ dated time before or after the meeting. 1 See Certain Hot-Rolled Steel Flat Products from October 13, 2020. However, to facilitate the distribution of Australia, Brazil, Japan, the Republic of Korea, the 7 See Memorandum, ‘‘Decision Memorandum for public presentation materials to the Netherlands, the Republic of Turkey, and the the Preliminary Results of the Antidumping Duty Committee members, the Committee United Kingdom: Amended Final Affirmative Administrative Review: Certain Hot-Rolled Steel Antidumping Determinations for Australia, the Flat Products from Japan; 2018–2019,’’ dated suggests that presenters forward the Republic of Korea, and the Republic of Turkey and concurrently with, and hereby adopted by, this public presentation materials prior to Antidumping Duty Orders, 81 FR 67962 (October 3, notice (Preliminary Decision Memorandum). the meeting to Ms. Springer via email. 2016) (Order). 8 Id.
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list of topics discussed in the examination in an administrative review Weighted- Preliminary Decision Memorandum is pursuant to section 777A(c)(2) of the average attached as an appendix to this notice. Act. Generally, Commerce looks to Exporter/producer dumping margin The Preliminary Decision Memorandum section 735(c)(5) of the Act, which (percent) is a public document and is on file provides instructions for calculating the electronically via Enforcement and all-others rate in a market economy Nippon Steel Corporation/Nippon Compliance’s Antidumping and investigation, for guidance when Steel Nisshin Co., Ltd./Nippon 12 Countervailing Duty Centralized calculating the rate for companies Steel Trading Corporation ... 11.70 Electronic Service System (ACCESS). Tokyo Steel Manufacturing Co., which were not selected for individual Ltd ...... 6.80 Access to ACCESS is available to examination in an administrative registered users at http:// review. Under section 735(c)(5)(A) of Review-Specific Average Rate Applicable access.trade.gov. In addition, a complete the Act, the all-others rate is normally to the Following Companies 13 version of the Preliminary Decision ‘‘an amount equal to the weighted Memorandum can be accessed directly Hanwa Co., Ltd ...... 10.95 on the internet at http:// average of the estimated weighted- Higuchi Manufacturing America, enforcement.trade.gov/frn/index.html. average dumping margins established LLC ...... 10.95 A list of the topics discussed in the for exporters and producers Higuchi Seisakusho Co., Ltd ...... 10.95 Preliminary Decision Memorandum is individually investigated, excluding any Hitachi Metals, Ltd ...... 10.95 zero or de minimis margins, and any JFE Steel Corporation/JFE Shoji attached as an appendix to this notice. Trade Corporation 14 ...... 10.95 The signed Preliminary Decision margins determined entirely {on the } JFE Shoji Trade America ...... 10.95 Memorandum and the electronic basis of facts available .’’ Kanematsu Corporation ...... 10.95 versions of the Preliminary Decision In this review, we have preliminarily Kobe Steel, Ltd ...... 10.95 Memorandum are identical in content. calculated weighted-average dumping Metal One Corporation ...... 10.95 margins for NSC and Tokyo Steel that Miyama Industry Co., Ltd ...... 10.95 Preliminary Determination of No Nakagawa Special Steel Inc ...... 10.95 Shipments are not zero, de minimis, or determined Nippon Steel & Sumikin Logis- entirely on the basis of facts available. Among the companies under review, tics Co., Ltd ...... 10.95 Accordingly, Commerce preliminarily Honda, Panasonic and Mitsui each Okaya & Co. Ltd ...... 10.95 has assigned to companies not Saint-Gobain K.K ...... 10.95 properly filed a statement reporting that Shinsho Corporation ...... 10.95 it had made no shipments of subject individually examined a margin of 10.95 percent, which is the weighted Sumitomo Corporation ...... 10.95 merchandise to the United States during Suzukaku Corporation ...... 10.95 the POR. Commerce issued an average (using the publicly-ranged U.S. Toyota Tsusho Corporation instruction to the U.S. Customs and value) of NSC’s and Tokyo Steel’s Nagoya ...... 10.95 Border Protection (CBP) asking for any calculated weighted-average dumping entry activity regarding Honda, margins.11 Assessment Rates Panasonic and Mitsui, and is awaiting Preliminary Results Upon completion of the 9 CBP’s response. Based on the administrative review, Commerce shall certifications submitted by Honda, We preliminarily determine the determine, and CBP shall assess, Panasonic and Mitsui, and our analysis following weighted-average dumping antidumping duties on all appropriate of CBP information currently on the margins for the period October 1, 2018 entries. For any individually examined record, we preliminarily determine that through September 30, 2019: respondent whose weighted-average Honda, Panasonic and Mitusi had no dumping margin is not zero or de 10 shipments during the POR. Consistent 11 See Memorandum, ‘‘Review-Specific Average minimis (i.e., less than 0.5 percent) in with its practice, Commerce finds that it Rate for Non-Examined Companies,’’ dated the final results of this review and the is not appropriate to preliminarily concurrently with this memorandum. respondent reported reliable entered 12 Commerce found in a changed circumstances rescind the review with respect to values, we will calculate importer- Honda, Panasonic and Mitsui, but rather review that NSC, Nippon Steel Nisshin Co., Ltd. (Nippon Nisshin), and Nippon Steel Trading specific ad valorem assessment rates for to complete the review and issue Corporation (NSTC) are affiliated companies that the merchandise based on the ratio of appropriate instructions to CBP based should be treated as a single entity and as the the total amount of dumping calculated on the final results of this review. successor-in-interest to Nippon Steel & Sumitomo Metal Corporation (NSSMC), Nisshin Steel Co., Ltd. for the examined sales made during the Rate for Non-Examined Companies (Nisshin Steel), and Nippon Steel & Sumikin POR to each importer and the total Bussan Corporation (NSSBC), respectively. See The statute and Commerce’s entered value of those same sales, in Certain Hot-Rolled Steel Flat Products from Japan: accordance with 19 CFR 351.212(b)(1). regulations do not address the Notice of Final Results of Antidumping Duty establishment of a rate to be applied to Changed Circumstances Review, 84 FR 46713 If the respondent has not reported companies not selected for individual (September 5, 2019). reliable entered values, we will 13 examination when Commerce limits its This rate is based on the rates for the calculate a per-unit assessment rate for respondents that were selected for individual each importer by dividing the total review, excluding rates that are zero, de minimis, 9 See No Shipment Inquiry to CBP, dated or based entirely on facts available. See section amount of dumping calculated for the February 3 and 8, 2021. 735(c)(5)(A) of the Act. See Memorandum ‘‘Review- examined sales made to that importer by 10 See Honda’s Letter, ‘‘Administrative Review of Specific Average Rate for Non-Examined the total sales quantity associated with Certain Hot-Rolled Steel Flat Products from Japan: Companies,’’ dated concurrently with this those transactions. Where an importer- Honda Trading Canada, Inc.’s No Shipment memorandum. specific ad valorem assessment rate is Certification,’’ dated December 20, 2018; see also 14 We collapsed JFE Shoji Trade Corporation with Panasonic’s Letter, ‘‘Administrative Review of JFE Steel Corporation in the underlying zero or de minimis in the final results Certain Hot-Rolled Steel Flat Products from Japan: investigation. See Certain Hot-Rolled Steel Flat of review, we will instruct CBP to Panasonic Corporation No Shipment Certification,’’ Products from Japan: Preliminary Determination of liquidate the appropriate entries dated January 8, 2020; and Mitsui’s Letter, Sales at Less than Fair Value and Postponement of without regard to antidumping duties in ‘‘Antidumping Administrative Review of Certain Final Determination, 81 FR 15222 (March 22, 2016), Hot-Rolled Steel Flat Products from Japan: Mitsui and accompanying Preliminary Decision accordance with 19 CFR 351.106(c)(2). If No Shipment Certification,’’ dated January 9, 2020. Memorandum at 8–9. a respondent’s weighted-average
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dumping margin is zero or de minimis but the manufacturer is, then the cash the issues raised in any case or rebuttal in the final results of review, we will deposit rate will be the rate established briefs, no later than 120 days after the instruct CBP not to assess duties on any for the most recent segment for the date of publication of this notice, unless of its entries in accordance with the manufacturer of the merchandise; and extended.24 Final Modification for Reviews, i.e., (4) the cash deposit rate for all other Notification to Importers ‘‘{w}here the weighted-average margin manufacturers or exporters will of dumping for the exporter is continue to be 5.58 percent, the all- This notice serves as a preliminary determined to be zero or de minimis, no others rate established in the less-than- reminder to importers of their antidumping duties will be assessed.’’ 15 fair-value investigation.17 These deposit responsibility under 19 CFR For entries of subject merchandise requirements, when imposed, shall 351.402(f)(2) to file a certificate during the POR produced by NSC and remain in effect until further notice. regarding the reimbursement of Tokyo Steel for which the producer did antidumping duties prior to liquidation not know its merchandise was destined Disclosure and Public Comment of the relevant entries during this POR. for the United States, or for any We intend to disclose the calculations Failure to comply with this requirement respondent for which we have a final performed for these preliminary results could result in Commerce’s determination of no shipments, we will of review to interested parties within presumption that reimbursement of instruct CBP to liquidate unreviewed five days of the date of publication of antidumping duties occurred and the entries at the all-others rate if there is no this notice in accordance with 19 CFR subsequent assessment of double rate for the intermediate company (or 351.224(b). Pursuant to 19 CFR antidumping duties. companies) involved in the 351.309(c), interested parties may Notification to Interested Parties transaction.16 submit case briefs no later than 30 days Commerce intends to issue after the date of publication of this We are issuing and publishing these assessment instructions to CBP no notice. Rebuttal briefs, the content of results in accordance with sections earlier than 35 days after the date of which is limited to issues raised in the 751(a)(1) and 777(i)(1) of the Act. publication of the final results of this case briefs, may be filed no later than Dated: February 17, 2021. review in the Federal Register. If a seven days after the date for filing case Christian Marsh, timely summons is filed at the U.S. briefs.18 Parties who submit case briefs Acting Assistant Secretary for Enforcement Court of International Trade, the or rebuttal briefs in this proceeding are and Compliance. assessment instructions will direct CBP encouraged to submit with each Appendix not to liquidate relevant entries until the argument: (1) A statement of the issue; time for parties to file a request for a (2) a brief summary of the argument; List of Topics Discussed in the Preliminary statutory injunction has expired (i.e., and (3) a table of authorities.19 Case and Decision Memorandum within 90 days of publication). rebuttal briefs should be filed using I. Summary ACCESS 20 and must be served on II. Background Cash Deposit Requirements interested parties.21 Executive III. Scope of the Order The following deposit requirements summaries should be limited to five IV. Preliminary Determination of No will be effective upon publication of the pages total, including footnotes. Shipments notice of final results of this V. Use of Facts Available and Adverse Facts Pursuant to 19 CFR 351.310(c), Available administrative review for all shipments interested parties who wish to request a VI. Rates for Non-Examined Companies of the subject merchandise entered, or hearing must submit a written request to VII. Discussion of the Methodology withdrawn from warehouse, for the Assistant Secretary for Enforcement VIII. Currency Conversion consumption on or after the date of and Compliance, filed electronically via IX. Recommendation publication, as provided by section Commerce’s electronic records system, [FR Doc. 2021–03648 Filed 2–22–21; 8:45 am] 751(a)(2)(C) of the Act: (1) The cash ACCESS. An electronically filed request BILLING CODE 3510–DS–P deposit rate for each specific company must be received successfully in its listed above will be that established in entirety by 5:00 p.m. Eastern Time the final results of this review, except if within 30 days of the date of publication DEPARTMENT OF COMMERCE the rate is less than 0.50 percent, and of this notice.22 Requests should therefore de minimis within the contain: (1) The party’s name, address International Trade Administration meaning of 19 CFR 351.106(c)(1), in and telephone number; (2) the number [A–580–878, A–580–881, C–580–879, C–580– which case the cash deposit rate will be of participants; and (3) a list of issues 882] zero; (2) for previously investigated parties intend to discuss. If a request for companies not participating in this a hearing is made, Commerce intends to Certain Cold-Rolled Steel Flat Products review, the cash deposit will continue hold the hearing at a date and time to and Certain Corrosion-Resistant Steel to be the company-specific rate be determined.23 Parties should confirm Products From the Republic of Korea: published for the most recently the date, time, and location of the Final Results of Antidumping and completed segment of this proceeding in hearing two days before the scheduled Countervailing Duty Changed which the company participated; (3) if date. Circumstances Reviews the exporter is not a firm covered in this Commerce intends to issue the final AGENCY: review, or the underlying investigation, Enforcement and Compliance, results of this administrative review, International Trade Administration, including the results of its analysis of 15 See Antidumping Proceedings: Calculation of Department of Commerce. SUMMARY the Weighted-Average Dumping Margin and 17 See Order. : The Department of Commerce Assessment Rate in Certain Antidumping 18 See 19 CFR 351.309(d). (Commerce) continues to find that that Proceedings; Final Modification, 77 FR 8101, 8102 19 KG Dongbu Steel Co., Ltd. (KG Dongbu (February 14, 2012) (Final Modification for See 19 CFR 351.309(c)(2) and (d)(2). Reviews). 20 See generally 19 CFR 351.303. Steel) is the successor-in-interest to 16 See Antidumping and Countervailing Duty 21 See 19 CFR 351.303(f). Proceedings: Assessment of Antidumping Duties, 68 22 See 19 CFR 351.310(c). 24 See section 751(a)(3)(A) of the Act; and 19 CFR FR 23954 (May 6, 2003). 23 See 19 CFR 351.310(d). 351.213(h).
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Dongbu Steel Co., Ltd. (Dongbu Steel) this determination, we find it International Trade Administration, and Dongbu Incheon Steel Co., Ltd. appropriate to apply to KG Dongbu Steel U.S. Department of Commerce, 1401 (Dongbu Incheon) for purposes of AD cash deposits requirements and Constitution Avenue NW, Washington, determining antidumping duty (AD) liabilities at the rates currently in effect DC 20230; telephone: (202) 482–2805. cash deposits and liabilities pursuant to for Dongbu Steel/Dongbu Incheon. For SUPPLEMENTARY INFORMATION: the AD orders on certain cold-rolled CVD purposes, we continue to find that steel flat products (cold-rolled steel) and changes in ownership and management Background certain corrosion-resistant steel were significant and, thus, that it is not On January 17, 2020, Commerce products (CORE) from the Republic of appropriate to apply the CVD cash initiated this administrative review of Korea (Korea). Additionally, Commerce deposit requirements and liabilities the antidumping duty order on certain continues to find KG Dongbu Steel is currently in effect for Dongbu Steel/ hot-rolled steel flat products (hot-rolled not the successor-in-interest to Dongbu Dongbu Incheon to KG Dongbu Steel. steel) from Australia in accordance with Steel and Dongbu Incheon for purposes Commerce will instruct U.S. Customs section 751(a) of the Tariff Act of 1930, of countervailing duty (CVD) cash and Border Protection to suspend as amended (the Act).1 This review deposits and liabilities pursuant to the liquidation of all shipments of subject covers one producer/exporter of subject CVD orders on cold-rolled steel and merchandise produced or exported by merchandise, the collapsed entity, CORE, because there was a significant KG Dongbu Steel and entered, or BlueScope Steel (AIS) Pty Ltd., change in ownership and operations withdrawn from warehouse, for BlueScope Steel Ltd., and BlueScope that could have affected the nature and consumption on or after the publication Steel Distribution Pty Ltd. (collectively, extent of the countervailable subsidies date of this notice in the Federal BlueScope). On April 24, 2020, attributable to KG Dongbu Steel. Register at the current antidumping Commerce exercised its discretion to DATES: Applicable February 23, 2021. duty cash-deposit rate on cold-rolled toll all deadlines for administrative steel and CORE in effect for Dongbu reviews by 50 days, resulting in a FOR FURTHER INFORMATION CONTACT: Steel/Dongbu Incheon. This cash revised deadline for these preliminary Joshua A. DeMoss, AD/CVD Operations, deposit requirement shall remain in results.2 On July 21, 2020, Commerce Office VI, Enforcement and Compliance, effect until further notice. again tolled all deadlines in International Trade Administration, administrative reviews by an additional U.S. Department of Commerce, 1401 Notification to Interested Parties 60 days.3 Additionally, Commerce Constitution Avenue NW, Washington, This notice is published in exercised its discretion to extend the DC 20230; telephone: (202) 482–3362. accordance with sections 751(b)(1) and deadline for the preliminary results SUPPLEMENTARY INFORMATION: 777(i)(1) of the Act and 19 CFR until February 17, 2021.4 Background 351.216(b), 351.221(b) and 351.221(c)(3). Scope of the Order On January 5, 2021, Commerce 5 Dated: February 17, 2021. The products covered by this Order published the Preliminary Results of the are certain hot-rolled, flat-rolled steel Christian Marsh, changed circumstances reviews (CCRs) products. For a full description of the of the AD and CVD orders on cold- Acting Assistant Secretary for Enforcement scope, see the Preliminary Decision and Compliance. rolled steel and CORE from Korea.1 In Memorandum.6 the Preliminary Results, interested [FR Doc. 2021–03619 Filed 2–22–21; 8:45 am] parties were provided an opportunity to BILLING CODE 3510–DS–P Methodology comment and request a public hearing Commerce is conducting this review regarding our preliminary findings. We in accordance with section 751(a) of the received no comments from interested DEPARTMENT OF COMMERCE Act. Constructed export price is parties, nor was a public hearing International Trade Administration requested. 1 See Initiation of Antidumping and [A–602–809] Countervailing Duty Administrative Reviews, 85 FR Scope of the Orders 3014 (January 17, 2020) (Initiation Notice). Certain Hot-Rolled Steel Flat Products 2 See Memorandum, ‘‘Tolling of Deadlines for The products covered by these CCRs Antidumping and Countervailing Duty are cold-rolled steel and CORE from From Australia: Preliminary Results of Administrative Reviews in Response to Operational Korea. For full descriptions of the scope Antidumping Duty Administrative Adjustments Due to COVID–19,’’ dated April 24, of the orders, see the Preliminary Review and Intent To Rescind Review, 2020. Results and accompanying Preliminary in Part; 2018–2019 3 See Memorandum, ‘‘Tolling of Deadlines for Antidumping and Countervailing Duty Decision Memorandum. AGENCY: Enforcement and Compliance, Administrative Reviews,’’ dated July 21, 2020. Final Results of the Changed International Trade Administration, 4 See Memorandum, ‘‘Certain Hot-Rolled Steel Department of Commerce. Flat Products from Australia: Extension of Deadline Circumstances Reviews for Preliminary Results of Antidumping Duty For the reasons stated in the SUMMARY: The Department of Commerce Administrative Review; 2018–2019,’’ dated (Commerce) preliminarily finds that the September 21, 2020. Preliminary Results, and because we 5 See Certain Hot-Rolled Steel Flat Products from received no comments from interested producer/exporter subject to this review made sales of subject merchandise at Australia, Brazil, Japan, the Republic of Korea, the parties, Commerce continues to find Netherlands, the Republic of Turkey, and the that KG Dongbu Steel is the successor- less than normal value during the United Kingdom: Amended Final Affirmative in-interest to Dongbu Steel and Dongbu period of review (POR), October 1, 2018, Antidumping Determinations for Australia, the through September 30, 2019. We invite Republic of Korea, and the Republic of Turkey and Incheon for AD purposes. As a result of Antidumping Duty Orders, 81 FR 67962 (October 3, interested parties to comment on these 2016) (Order). 1 See Certain Cold-Rolled Steel Flat Products and preliminary results. 6 See Memorandum, ‘‘Decision Memorandum for Certain Corrosion-Resistant Steel Products from the DATES: Applicable February 23, 2021. the Preliminary Results of Antidumping Duty Republic of Korea: Final Results of Antidumping FOR FURTHER INFORMATION CONTACT: Administrative Review: Hot Rolled Steel Flat Duty and Countervailing Duty Changed Products from Australia: 2018–2019,’’ dated Circumstances Reviews, 86 FR 287 (January 5, 2021) Allison Hollander, AD/CVD Operations, concurrently with, and hereby adopted by, this (Preliminary Results). Office I, Enforcement and Compliance, notice (Preliminary Decision Memorandum).
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calculated in accordance with section not later than seven days after the date value of those same sales in accordance 772 of the Act. Normal value is for filing case briefs.8 Commerce with 19 CFR 351.212(b)(1).13 If calculated in accordance with section modified certain of its requirements for BlueScope’s weighted-average dumping 773 of the Act. serving documents containing business margin or an importer-specific For a full description of the proprietary information until further assessment rate is zero or de minimis, in methodology underlying these notice.9 Parties who submit case briefs the final results of review, we will preliminary results, see the Preliminary or rebuttal briefs in this proceeding are instruct CBP to liquidate the appropriate Decision Memorandum. The encouraged to submit with each entries without regard to antidumping Preliminary Decision Memorandum is a argument: (1) A statement of the issue, duties.14 The final results of this public document and is made available (2) a brief summary of the argument, administrative review shall be the basis to the public via Enforcement and and (3) a table of authorities.10 Case and for the assessment of antidumping Compliance’s Antidumping and rebuttal briefs should be filed using duties on entries of merchandise Countervailing Duty Centralized ACCESS 11 and must be served on covered by the final results of this Electronic Service System (ACCESS). interested parties.12 Executive review and for future deposits of ACCESS is available to registered users summaries should be limited to five estimated duties, where applicable.15 at https://access.trade.gov. In addition, a pages total, including footnotes. For entries of subject merchandise complete version of the Preliminary Pursuant to 19 CFR 351.310(c), during the POR produced by BlueScope Decision Memorandum is available at interested parties who wish to request a for which it did not know that the http://enforcement.trade.gov/frn/. A list hearing must submit a written request to merchandise was destined to the United of the topics included in the the Assistant Secretary for Enforcement States, we will instruct CBP to liquidate Preliminary Decision Memorandum is and Compliance, filed electronically via unreviewed entries at the all-others rate included as an appendix to this notice. ACCESS. Requests should contain: (1) if there is no rate for the intermediate The party’s name, address and company(ies) involved in the Intent To Rescind Review in Part telephone number; (2) the number of transaction.16 In the Initiation Notice, Commerce participants; and (3) a list of issues to be Commerce intends to issue inadvertently included as subject to the discussed. Issues raised in the hearing assessment instructions to CBP no review a U.S. company, i.e., AJU Steel will be limited to those raised in the earlier than 35 days after the date of USA Inc., for which a review should not respective case briefs. An electronically publication of the final results of this have been initiated. As such, Commerce filed hearing request must be received review in the Federal Register. If a intends to rescind the review with successfully in its entirety by timely summons is filed at the U.S. respect to AJU Steel USA Inc. After the Commerce’s electronic records system, Court of International Trade, the completion of the final results of review, ACCESS, by 5:00 p.m. Eastern Time assessment instructions will direct CBP Commerce intends to instruct CBP to within 30 days after the date of not to liquidate relevant entries until the assess antidumping duties on any publication of this notice. time for parties to file a request for a suspended entries of hot-rolled steel Commerce intends to issue the final statutory injunction has expired (i.e., from AJU Steel USA Inc. at the rate results of this administrative review, within 90 days of publication). equal to the cash deposit rate of including the results of its analysis of Cash Deposit Requirements estimated antidumping duties required the issues raised in any written briefs, at the time of entry, or withdrawal from not later than 120 days after the date of The following cash deposit warehouse for consumption. publication of this notice, pursuant to requirements will be effective upon publication in the Federal Register of Preliminary Results of Review section 751(a)(3)(A) of the Act and 19 CFR 351.213(h)(1). the notice of final results of We preliminarily determine that the administrative review for all shipments following weighted-average dumping Assessment Rates of hot-rolled steel from Australia margin exists for the period October 1, Upon completion of the final results, entered, or withdrawn from warehouse, 2018, through September 30, 2019: Commerce shall determine, and for consumption on or after the date of Customs and Border Protection (CBP) publication as provided by section Weighted- shall assess, antidumping duties on all 751(a)(2)(C) of the Act: (1) The cash average deposit rate for BlueScope will be equal Exporter/producer dumping appropriate entries. If BlueScope’s margin weighted-average dumping margin is to the weighted-average dumping (percent) above de minimis in the final results of margin established in the final results of this review, we will calculate an this administrative review; (2) for BlueScope Steel (AIS) Pty Ltd, importer-specific assessment rate on the merchandise exported by a company not BlueScope Steel Ltd., and basis of the ratio of the total amount of covered in this review but covered in a BlueScope Steel Distribution prior segment of the proceeding, the Pty Ltd ...... 7.96 dumping calculated for each importer’s examined sales and the total entered cash deposit rate will continue to be the company-specific rate published in the Disclosure and Public Comment 8 See 19 CFR 351.309(d); see also Temporary Rule completed segment for the most recent We intend to disclose the calculations Modifying AD/CVD Service Requirements Due to period; (3) if the exporter is not a firm performed to parties within five days COVID–19, 85 FR 17006, 17007 (March 26, 2020) (‘‘To provide adequate time for release of case briefs 13 See Antidumping Proceedings: Calculation of after public announcement of the via ACCESS, E&C intends to schedule the due date 7 the Weighted-Average Dumping Margin and preliminary results. Pursuant to 19 CFR for all rebuttal briefs to be 7 days after case briefs Assessment Rate in Certain Antidumping 351.309(c), interested parties may are filed (while these modifications remain in Proceedings: Final Modification, 77 FR 8101, 8103 submit case briefs no later than 30 days effect).’’). (February 14, 2012). after the date of publication of this 9 See Temporary Rule Modifying AD/CVD Service 14 Id. at 8102–03; see also 19 CFR 351.106(c)(2). Requirements Due to COVID–19; Extension of 15 notice. Rebuttal briefs, limited to issues See section 751(a)(2)(C) of the Act. Effective Period, 85 FR 41363 (July 10, 2020). 16 For a full discussion of this practice, see raised in the case briefs, may be filed 10 See 19 CFR 351.309(c)(2) and (d)(2). Antidumping and Countervailing Duty Proceedings: 11 See generally 19 CFR 351.303. Assessment of Antidumping Duties, 68 FR 23954 7 See 19 CFR 351.224(b). 12 See 19 CFR 351.303(f). (May 6, 2003).
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covered in this review or the original through September 30, 2019. Interested electronically via Enforcement and investigation but the producer is, then parties are invited to comment on this Compliance’s Antidumping and the cash deposit rate will be the rate preliminary rescission. Countervailing Duty Centralized established in the completed segment DATES: Applicable February 23, 2021. Electronic Service System (ACCESS). for the most recent period for the FOR FURTHER INFORMATION CONTACT: ACCESS is available to registered users producer of the merchandise; (4) the Krisha Hill, AD/CVD Operations, Office at https://access.trade.gov. In addition, a cash deposit rate for all other producers IV, Enforcement and Compliance, complete version of the Preliminary or exporters will continue to be 29.58 International Trade Administration, Decision Memorandum can be accessed percent, the all-others rate established U.S. Department of Commerce, 1401 directly at http://enforcement.trade.gov/ in the less-than-fair-value investigation. Constitution Avenue NW, Washington, frn/. The signed and electronic versions These cash deposit requirements, when DC 20230; telephone: (202) 482–4037. of the Preliminary Decision imposed, shall remain in effect until SUPPLEMENTARY INFORMATION: Memorandum are identical in content. further notice. Background Preliminary Rescission of the Notification to Importers On December 11, 2019, Commerce Antidumping Duty Administrative This notice also serves as a published a notice of initiation of the Review preliminary reminder to importers of 2018—2019 administrative review of the their responsibility under 19 CFR As discussed in the Preliminary antidumping duty (AD) order on 351.402(f)(2) to file a certificate Decision Memorandum, Commerce electrolytic manganese dioxide (EMD) regarding the reimbursement of preliminarily finds that DCL, and its from the People’s Republic of China antidumping duties prior to liquidation U.S. affiliates, did not sell subject (China) with respect to one company, of the relevant entries during this POR. merchandise to unaffiliated U.S. Duracell (China) Limited (DCL).1 Failure to comply with this requirement Commerce subsequently issued an AD customers during the POR and could could result in Commerce’s questionnaire, and supplemental not trace the POR entry of EMD, which presumption that reimbursement of questionnaires, to DCL and received was used to manufacture batteries in the antidumping duties occurred and the timely responses thereto. For additional United States, to particular battery sales subsequent assessment of doubled 3 background, see the Preliminary to unaffiliated U.S. customers. antidumping duties. Decision Memorandum.2 Therefore, we are preliminarily Notification to Interested Parties rescinding this review, in accordance Scope of the Order with 19 CFR 351.213(d)(3). We are issuing and publishing these The merchandise covered by the order results in accordance with sections Public Comment includes all manganese dioxide (MnO2) 751(a)(1) and 777(i)(1) of the Act, and 19 that has been manufactured in an CFR 351.221. Interested parties are invited to electrolysis process, whether in powder, comment on the preliminary results of Dated: February 16, 2021. chip, or plate form. Excluded from the this review. Pursuant to 19 CFR Christian Marsh, scope are natural manganese dioxide 351.309(c)(1)(ii), interested parties may Acting Assistant Secretary for Enforcement (NMD) and chemical manganese dioxide submit case briefs no later than 30 days and Compliance. (CMD). The merchandise subject to the after the date of publication of this Appendix—List of Topics Discussed in order is classified in the Harmonized notice in the Federal Register. Rebuttal Tariff Schedule of the United States the Preliminary Decision Memorandum briefs, limited to issues raised in the (HTSUS) at subheading 2820.10.00.00. case briefs, may be filed no later than I. Summary While the HTSUS subheading is seven days after the deadline for filing II. Background provided for convenience and customs case briefs.4 III. Scope of the Order purposes, the written description of the Parties who submit case or IV. Discussion of the Methodology scope of the order is dispositive. rebuttal briefs are requested to submit V. Currency Conversion with each brief: (1) A statement of the VI. Recommendation Methodology issue, (2) a brief summary of the [FR Doc. 2021–03618 Filed 2–22–21; 8:45 am] Commerce is conducting this review argument, and (3) a table of authorities.5 BILLING CODE 3510–DS–P in accordance with section 751(a)(1)(B) Executive summaries should be limited and (2) of the Tariff Act of 1930, as to five pages total, including footnotes.6 amended (the Act). For a full All submissions, with limited DEPARTMENT OF COMMERCE description of the methodology exceptions, must be filed electronically 7 International Trade Administration underlying our decision, see the using ACCESS. Electronically filed Preliminary Decision Memorandum. A documents must be received [A–570–919] list of the sections in the Preliminary successfully in their entirety by Decision Memorandum is attached in Commerce’s electronic records system, Electrolytic Manganese Dioxide From the appendix to this notice. The ACCESS, by 5 p.m. Eastern Time (ET) the People’s Republic of China: Preliminary Decision Memorandum is a on the due date. Note that Commerce Preliminary Rescission of the public document and is on file Antidumping Duty Administrative has temporarily modified certain of its requirements for serving documents Review; 2018–2019 1 See Initiation of Antidumping and Countervailing Duty Administrative Reviews, 84 FR AGENCY: Enforcement and Compliance, 3 67712 (December 11, 2019). See Preliminary Decision Memorandum. 4 International Trade Administration, 2 See Memorandum, ‘‘Decision Memorandum for See Temporary Rule Modifying AD/CVD Service Department of Commerce. the Preliminary Results of the 2018–2019 Requirements Due to COVID–19; Extension of Effective Period, 85 FR 41363 (July 10, 2020) SUMMARY: The Department of Commerce Antidumping Duty Administrative Review of Electrolytic Manganese Dioxide from the People’s (Temporary Rule). (Commerce) is preliminarily rescinding Republic of China,’’ dated concurrently with, and 5 See 19 CFR 351.309(c)(2) and (d)(2). this administrative review. The period hereby adopted by, this notice (Preliminary 6 Id. of review (POR) is October 1, 2018, Decision Memorandum). 7 See 19 CFR 351.303.
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containing business proprietary Court of International Trade, the DEPARTMENT OF COMMERCE information, until further notice.8 assessment instructions will direct CBP Pursuant to 19 CFR 351.310(c), any not to liquidate relevant entries until the International Trade Administration interested party may request a hearing time for parties to file a request for a [A–533–899, A–821–829] within 30 days of the date of publication statutory injunction has expired (i.e., of this notice in the Federal Register. If within 90 days of publication). Granular Polytetrafluoroethylene Resin a hearing is requested, Commerce will From India and the Russian notify interested parties of the hearing Cash Deposit Requirements Federation: Initiation of Less-Than- date and time. Interested parties who Fair-Value Investigations wish to request a hearing must submit If Commerce proceeds to a final a written request to the Assistant rescission of this administrative review, AGENCY: Enforcement and Compliance, Secretary for Enforcement and DCL’s cash deposit rate will continue to International Trade Administration, Compliance, filed electronically via be the China-wide entity rate of 149.92 Department of Commerce. ACCESS within 30 days after the date of percent. If Commerce does not proceed DATES: Applicable February 16, 2021. publication of this notice in the Federal to a final rescission of this FOR FURTHER INFORMATION CONTACT: administrative review, but calculates a Register. Hearing requests should Sergio Balbontin at (202) 482–6478 contain: (1) The requestor company’s dumping margin for DCL, Commerce (India) or Jaron Moore at (202) 482–3640 name, address, and telephone number; will instruct CBP to collect a cash (the Russian Federation (Russia)); AD/ (2) the number of hearing participants deposit upon publication of the final CVD Operations, Enforcement and from the company; and (3) a list of the results of review in the Federal Compliance, International Trade issues the company will discuss in the Register, equal to the dumping margin Administration, U.S. Department of hearing. Issues raised in the hearing will calculated for DCL. Commerce, 1401 Constitution Avenue be limited to issues covered in the case NW, Washington, DC 20230. and rebuttal briefs. Notification to Importers Unless otherwise extended, SUPPLEMENTARY INFORMATION: This notice serves as a preliminary Commerce intends to issue the final The Petitions results of this review, which will reminder to importers of their include the results of its analysis of responsibility under 19 CFR On January 27, 2021, the Department issues raised in any case and rebuttal 351.402(f)(2) to file a certificate of Commerce (Commerce) received briefs, no later than 120 days after the regarding the reimbursement of antidumping duty (AD) petitions date these preliminary results of review antidumping duties prior to liquidation concerning imports of granular are published in the Federal Register, of the relevant entries during this polytetrafluoroethylene (PTFE) resin pursuant to section 751(a)(3)(A) of the review period. Failure to comply with from India and Russia, filed in proper Act. this requirement could result in form on behalf of Daikin America, Inc. Commerce’s presumption that (the petitioner), a domestic producer of Assessment Rates 1 reimbursement of antidumping duties granular PTFE resin. The Petitions were accompanied by countervailing If Commerce proceeds to a final occurred and the subsequent assessment duty (CVD) petitions concerning rescission of this administrative review, of doubled antidumping duties. any suspended entries of subject imports of granular PTFE resin from merchandise from DCL will be Notification to Interested Parties India and Russia.2 liquidated at the rate at which they On January 29 and February 1, 2021, entered, which was the China-wide We are issuing and publishing these Commerce requested supplemental entity rate (i.e., 149.92 percent). If results in accordance with sections information pertaining to certain aspects Commerce does not proceed to a final 751(a)(1) and 777(i)(1) of the Act. of the Petitions.3 The petitioner filed rescission of this administrative review, Dated: February 16, 2021. responses to these requests on February 2 and 3, 2021.4 pursuant to section 751(a)(2)(A) of the Christian Marsh, Act and 19 CFR 351.212(b)(1), Commerce will calculate importer- Acting Assistant Secretary for Enforcement 1 See Petitioner’s Letter, ‘‘Petitions for the and Compliance. Imposition of Antidumping and Countervailing specific (or customer-specific) Duties: Granular Polytetrafluoroethylene Resin from assessment rates based on the final Appendix India and Russia,’’ dated January 27, 2021 (the results of this review. However, Petitions). pursuant to Commerce’s practice in List of Sections in the Preliminary Decision 2 Id. Memorandum non-market economy cases, if 3 See Commerce’s Letters, ‘‘Petitions for the Commerce does not proceed to a final I. Summary Imposition of Antidumping and Countervailing II. Background Duties on Imports of Granular rescission of this administrative review, Polytetrafluoroethylene (PTFE) Resin from India for POR entries of EMD not related to III. Scope of the Order and Russia: Supplemental Questions,’’ dated sales reported in DCL’s U.S. sales IV. Preliminary Rescission of the Review January 29, 2021; ‘‘Petition for the Imposition of V. Recommendation Antidumping Duties on Imports of Granular database, Commerce will instruct U.S. Polytetrafluoroethylene (PTFE) Resin from India: Customs and Border Protection (CBP) to [FR Doc. 2021–03620 Filed 2–22–21; 8:45 am] Supplemental Questions,’’ dated February 1, 2021; liquidate such entries at the China-wide BILLING CODE 3510–DS–P and ‘‘Petition for the Imposition of Antidumping entity rate. Duties on Imports of Granular Commerce intends to issue Polytetrafluoroethylene (PTFE) Resin from Russia: Supplemental Questions,’’ dated February 1, 2021. assessment instructions to CBP no 4 See Petitioner’s Letters, ‘‘Granular earlier than 35 days after the date of Polytetrafluoroethylene Resin from India and publication of the final results of this Russia: Response to General Issues Questionnaire,’’ review in the Federal Register. If a dated February 2, 2021 (General Issues Supplement); ‘‘Granular Polytetrafluoroethylene timely summons is filed at the U.S. Resin from India: Response to Supplemental Questionnaire,’’ dated February 3, 2021 (India AD 8 See Temporary Rule. Supplement); and ‘‘Granular
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In accordance with section 732(b) of described in the appendix to this notice, proprietary information, until further the Tariff Act of 1930, as amended (the reflects this revision. notice.11 Act), the petitioner alleges that imports As discussed in the Preamble to Comments on Product Characteristics of granular PTFE resin from India and Commerce’s regulations, we are setting Russia are being, or are likely to be, sold aside a period of time for interested Commerce is providing interested in the United States at less than fair parties to raise issues regarding product parties an opportunity to comment on value (LTFV) within the meaning of coverage (i.e., scope).8 Commerce will the appropriate physical characteristics section 731 of the Act, and that imports consider all comments received from of granular PTFE resin to be reported in of such products are materially injuring, interested parties and, if necessary, will response to Commerce’s AD or threatening material injury to, the consult with interested parties prior to questionnaires. This information will be granular PTFE resin industry in the the issuance of the preliminary used to identify the key physical United States. Consistent with section determinations. If scope comments characteristics of the subject 732(b)(1) of the Act, the Petitions are include factual information,9 all such merchandise in order to report the accompanied by information reasonably factual information should be limited to relevant costs of production accurately, available to the petitioner supporting its public information. To facilitate as well as to develop appropriate allegations. preparation of its questionnaires, product-comparison criteria. Commerce finds that the petitioner Commerce requests that all interested Interested parties may provide any filed the Petitions on behalf of the parties submit such comments by 5:00 information or comments that they feel domestic industry, because the p.m. Eastern Time (ET) on March 8, are relevant to the development of an petitioner is an interested party, as 2021, which is 20 calendar days from accurate list of physical characteristics. defined in section 771(9)(C) of the Act. the signature date of this notice. Any Specifically, they may provide Commerce also finds that the petitioner rebuttal comments, which may include comments as to which characteristics demonstrated sufficient industry factual information, must be filed by are appropriate to use as: (1) General support for the initiation of the 5:00 p.m. ET on March 18, 2021, which product characteristics; and (2) product 5 requested AD investigations. is 10 calendar days from the initial comparison criteria. We note that it is Periods of Investigation comment deadline. not always appropriate to use all Commerce requests that any factual product characteristics as product Because the Petitions were filed on comparison criteria. We base product January 27, 2021, the period of information that parties consider relevant to the scope of the comparison criteria on meaningful investigation (POI) for the India and commercial differences among products. Russia AD investigations is January 1, investigations be submitted during this period. However, if a party subsequently In other words, although there may be 2020, through December 31, 2020, some physical product characteristics pursuant to 19 CFR 351.204(b)(1). finds that additional factual information pertaining to the scope of the utilized by manufacturers to describe Scope of the Investigations investigations may be relevant, the party granular PTFE resin, it may be that only a select few product characteristics take The product covered by these may contact Commerce and request into account commercially meaningful investigations is granular PTFE resin permission to submit the additional physical characteristics. In addition, from India and Russia. For a full information. All such submissions must interested parties may comment on the description of the scope of these be filed on the records of the concurrent order in which the physical investigations, see the appendix to this AD and CVD investigations. characteristics should be used in notice. Filing Requirements matching products. Generally, Comments on the Scope of the All submissions to Commerce must be Commerce attempts to list the most Investigations filed electronically using Enforcement important physical characteristics first On February 4 and 9, 2021, Commerce and Compliance’s Antidumping Duty and the least important characteristics requested information from the and Countervailing Duty Centralized last. petitioner regarding the proposed scope Electronic Service System (ACCESS), In order to consider the suggestions of to ensure that the scope language in the unless an exception applies.10 An interested parties in developing and Petitions is an accurate reflection of the electronically filed document must be issuing the AD questionnaires, all products for which the domestic received successfully in its entirety by product characteristics comments must industry is seeking relief.6 On February the time and date it is due. Note that be filed by 5:00 p.m. ET on March 8, 9, 2021, the petitioner revised the Commerce has temporarily modified 2021, which is 20 calendar days from scope.7 The description of merchandise certain of its requirements for serving the signature date of this notice. Any covered by these investigations, as documents containing business rebuttal comments must be filed by 5:00 p.m. ET on March 18, 2021. All comments and submissions to Polytetrafluoroethylene Resin from Russia: 8 See Antidumping Duties; Countervailing Duties, Submission of Answers to Supplemental Final Rule, 62 FR 27296, 27323 (May 19, 1997) Commerce must be filed electronically Questions,’’ dated February 3, 2021 (Russia AD (Preamble). using ACCESS, as explained above, on Supplement). 9 See 19 CFR 351.102(b)(21) (defining ‘‘factual the record of each of the AD 5 See infra, section on ‘‘Determination of Industry information’’). investigations. Support for the Petitions.’’ 10 See Antidumping and Countervailing Duty 6 See Memoranda, ‘‘Petitions for the Imposition of Proceedings: Electronic Filing Procedures; Determination of Industry Support for Antidumping and Countervailing Duties on Imports Administrative Protective Order Procedures, 76 FR the Petitions of Granular Polytetrafluoroethylene Resin from 39263 (July 6, 2011); see also Enforcement and India and Russia: Phone Call with Counsel to the Compliance; Change of Electronic Filing System Section 732(b)(1) of the Act requires Petitioner,’’ dated February 4, 2021; and ‘‘Petitions Name, 79 FR 69046 (November 20, 2014) for details that a petition be filed on behalf of the for the Imposition of Antidumping and of Commerce’s electronic filing requirements, Countervailing Duties on Imports of Granular effective August 5, 2011. Information on help using domestic industry. Section 732(c)(4)(A) Polytetrafluoroethylene Resin from India and ACCESS can be found at https://access.trade.gov/ Russia: Phone Call with Counsel to the Petitioner,’’ help.aspx and a handbook can be found at https:// 11 See Temporary Rule Modifying AD/CVD dated February 9, 2021 (Scope Call Memorandum). access.trade.gov/help/Handbook_on_Electronic_ Service Requirements Due to COVID–19; Extension 7 See Scope Call Memorandum at 1–2. Filing_Procedures.pdf. of Effective Period, 85 FR 41363 (July 10, 2020).
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of the Act provides that a petition meets distinct from the scope of the required to take further action in order this requirement if the domestic investigations.14 Based on our analysis to evaluate industry support (e.g., producers or workers who support the of the information submitted on the polling).21 Second, the domestic petition account for: (i) At least 25 record, we have determined that producers (or workers) have met the percent of the total production of the granular PTFE resin, as defined in the statutory criteria for industry support domestic like product; and (ii) more scope, constitutes a single domestic like under section 732(c)(4)(A)(i) of the Act than 50 percent of the production of the product, and we have analyzed industry because the domestic producers (or domestic like product produced by that support in terms of that domestic like workers) who support the Petitions portion of the industry expressing product.15 account for at least 25 percent of the support for, or opposition to, the In determining whether the petitioner total production of the domestic like petition. Moreover, section 732(c)(4)(D) has standing under section 732(c)(4)(A) product.22 Finally, the domestic of the Act provides that, if the petition of the Act, we considered the industry producers (or workers) have met the does not establish support of domestic support data contained in the Petitions statutory criteria for industry support producers or workers accounting for with reference to the domestic like under section 732(c)(4)(A)(ii) of the Act more than 50 percent of the total product as defined in the ‘‘Scope of the because the domestic producers (or production of the domestic like product, Investigations,’’ in the appendix to this workers) who support the Petitions Commerce shall: (i) Poll the industry or notice. To establish industry support, account for more than 50 percent of the rely on other information in order to the petitioner provided its own 2020 production of the domestic like product determine if there is support for the production of the domestic like produced by that portion of the industry petition, as required by subparagraph product.16 Additionally, the petitioner expressing support for, or opposition to, (A); or (ii) determine industry support provided a letter of support from The the Petitions.23 Accordingly, Commerce using a statistically valid sampling Chemours Company FC LLC determines that the Petitions were filed method to poll the ‘‘industry.’’ (Chemours), stating its support for the on behalf of the domestic industry Section 771(4)(A) of the Act defines Petitions and providing its own within the meaning of section 732(b)(1) the ‘‘industry’’ as the producers as a production of the domestic like product of the Act.24 17 whole of a domestic like product. Thus, in 2020. The petitioner identifies itself Allegations and Evidence of Material to determine whether a petition has the and Chemours as the companies Injury and Causation requisite industry support, the statute constituting the U.S. granular PTFE resin industry and states that there are directs Commerce to look to producers The petitioner alleges that the U.S. no other known producers of granular and workers who produce the domestic industry producing the domestic like PTFE resin in the United States; like product. The International Trade product is being materially injured, or is therefore, the Petitions are supported by Commission (ITC), which is responsible threatened with material injury, by 100 percent of the U.S. industry.18 We for determining whether ‘‘the domestic reason of the imports of the subject relied on the data provided by the industry’’ has been injured, must also merchandise sold at LTFV. In addition, petitioner for purposes of measuring determine what constitutes a domestic 19 the petitioner alleges that subject like product in order to define the industry support. Our review of the data provided in the imports exceed the negligibility industry. While both Commerce and the Petitions, the General Issues threshold provided for under section ITC must apply the same statutory 25 Supplement, and other information 771(24)(A) of the Act. definition regarding the domestic like readily available to Commerce indicates The petitioner contends that the product,12 they do so for different that the petitioner has established industry’s injured condition is purposes and pursuant to a separate and industry support for the Petitions.20 illustrated by significant and increasing distinct authority. In addition, First, the Petitions established support volume and market share of subject Commerce’s determination is subject to from domestic producers (or workers) imports; lost sales and revenues; limitations of time and information. accounting for more than 50 percent of underselling and price depression and/ Although this may result in different the total production of the domestic like or suppression; and declines in definitions of the like product, such product and, as such, Commerce is not production, U.S. commercial shipments, differences do not render the decision of and financial performance.26 We 13 either agency contrary to law. 14 See Volume I of the Petitions at I–11 through assessed the allegations and supporting Section 771(10) of the Act defines the I–19. evidence regarding material injury, domestic like product as ‘‘a product 15 For a discussion of the domestic like product threat of material injury, causation, as which is like, or in the absence of like, analysis as applied to these cases and information well as negligibility, and we have most similar in characteristics and uses regarding industry support, see Antidumping Duty Investigation Initiation Checklists: Granular determined that these allegations are with, the article subject to an Polytetrafluoroethylene Resin from India and properly supported by adequate investigation under this title.’’ Thus, the Russia (Country-Specific AD Initiation Checklists) evidence, and meet the statutory reference point from which the at Attachment II, Analysis of Industry Support for requirements for initiation.27 domestic like product analysis begins is the Antidumping and Countervailing Duty Petitions Covering Granular Polytetrafluoroethylene Resin ‘‘the article subject to an investigation’’ from India and Russia (Attachment II). These 21 Id.; see also section 732(c)(4)(D) of the Act. (i.e., the class or kind of merchandise to checklists are dated concurrently with this notice 22 See Attachment II of the Country-Specific AD be investigated, which normally will be and on file electronically via ACCESS. Initiation Checklists. the scope as defined in the petition). 16 See Volume I of the Petitions at I–2 through I– 23 Id. With regard to the domestic like 3 and Exhibit I–1; see also General issues 24 Id. Supplement at 2 and Exhibit Supp I–1. 25 See Volume I of the Petitions at I–23 and product, the petitioner does not offer a 17 See Volume I of the Petitions at I–2 through I– Exhibit I–27. definition of the domestic like product 3 and Exhibit I–4. 26 See Volume I of the Petitions at I–26 through 18 Id. at I–2 through I–3 and Exhibit I–1. I–38 and Exhibits I–27, I–29 through I–35; see also 12 See section 771(10) of the Act. 19 Id. at I–2 through I–3 and Exhibits I–1 and I– General Issues Supplement at Exhibit Supp. I–1. 13 See USEC, Inc. v. United States, 132 F. Supp. 4; see also General Issues Supplement at 2 and 27 See Country-Specific AD Initiation Checklists 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. Exhibit Supp I–1. at Attachment III, Analysis of Allegations and v. United States, 688 F. Supp. 639, 644 (CIT 1988), 20 See Attachment II of the Country-Specific AD Evidence of Material Injury and Causation for the aff’d 865 F. 2d 240 (Fed. Cir. 1989)). Initiation Checklists. Antidumping and Countervailing Duty Petitions
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Allegations of Sales at LTFV 19 CFR 351.205(b)(1), unless postponed, information as support.34 We currently The following is a description of the we will make our preliminary know of no additional producers/ allegations of sales at LTFV upon which determinations no later than 140 days exporters of granular PTFE resin from Commerce based its decision to initiate after the date of this initiation. Russia. Accordingly, Commerce intends to examine all known producers/ AD investigations of imports of granular Respondent Selection PTFE resin from India and Russia. The exporters (i.e., Halopolymer OJSC). We sources of data for the deductions and India invite interested parties to comment on this issue. Such comments may include adjustments relating to U.S. price and In the Petition, the petitioner named normal value (NV) are discussed in factual information within the meaning eight companies in India as producers/ of 19 CFR 351.102(b)(21). Parties greater detail in the Country-Specific exporters of granular PTFE resin.32 AD Initiation Checklists. wishing to comment must do so within Following standard practice in AD three business days of the publication of U.S. Price investigations involving market this notice in the Federal Register. For India and Russia, the petitioner economy countries, in the event Comments must be filed electronically based export price (EP) on the average Commerce determines that the number using ACCESS. An electronically-filed unit values (AUVs) of publicly available of exporters or producers in any document must be received successfully import data for granular PTFE resin individual case is large such that in its entirety by Commerce’s electronic from India and Russia during the POI Commerce cannot individually examine records system, ACCESS, by 5 p.m. ET and made certain adjustments to U.S. each company based upon its resources, on the specified deadline. Because we price to calculate a net ex-factory U.S. where appropriate, Commerce intends intend to examine all known producers/ price.28 to select mandatory respondents in that exporters, if no comments are received case based on U.S. Customs and Border or if comments received further support Normal Value 29 Protection (CBP) data for U.S. imports the existence of this sole producer/ For India and Russia, the petitioner under the appropriate Harmonized exporter in Russia, we do not intend to based NV on home market price quotes Tariff Schedule of the United States conduct respondent selection and will obtained through market research for numbers listed in the ‘‘Scope of the proceed to issuing the initial granular PTFE resin produced in and Investigations,’’ in the appendix. antidumping questionnaire to the sold, or offered for sale, in each country On February 12, 2021, Commerce company identified. However, if within the applicable time period.30 released CBP data for U.S. imports of comments are received which create a granular PTFE resin from India under Fair Value Comparisons need for a respondent selection process, Administrative Protective Order (APO) we intend to finalize our decisions Based on the data provided by the to all parties with access to information regarding respondent selection within petitioner, there is reason to believe that protected by APO and indicated that 20 days of publication of this notice. imports of granular PTFE resin from interested parties wishing to comment India and Russia are being, or are likely on the CBP data and/or respondent Distribution of Copies of the Petitions to be, sold in the United States at LTFV. selection must do so within three In accordance with section Based on comparisons of EP to NV in business days of the publication date of 732(b)(3)(A) of the Act and 19 CFR accordance with sections 772 and 773 of the notice of initiation of these 351.202(f), copies of the public version the Act, the estimated dumping margins investigations.33 Comments must be of the Petitions have been provided to for granular PTFE resin for both filed electronically using ACCESS. An the governments of India and Russia via countries covered by this initiation are electronically filed document must be ACCESS. To the extent practicable, we as follows: (1) India—37.71 to 391.83 received successfully in its entirety by will attempt to provide a copy of the percent; and (2) Russia—67.32 ACCESS no later than 5:00 p.m. ET by public version of the Petitions to each percent.31 the specified deadline. Commerce will exporter named in the Petitions, as Initiation of LTFV Investigations not accept rebuttal comments regarding provided under 19 CFR 351.203(c)(2). the CBP data or respondent selection. ITC Notification Based upon the examination of the We intend to select respondents within Petitions and supplemental responses, 20 days of publication of this notice. Commerce will notify the ITC of its we find that they meet the requirements Interested parties must submit initiation, as required by section 732(d) of section 732 of the Act. Therefore, we of the Act. are initiating AD investigations to applications for disclosure under APO determine whether imports of granular in accordance with 19 CFR 351.305(b). Preliminary Determinations by the ITC Instructions for filing such applications PTFE resin from India and Russia are The ITC will preliminarily determine, being, or are likely to be, sold in the may be found on Commerce’s website at http://enforcement.trade.gov/apo. within 45 days after the date on which United States at LTFV. In accordance the Petitions were filed, whether there with section 733(b)(1)(A) of the Act and Russia is a reasonable indication that subject imports are materially injuring or In the Petition, the petitioner named Covering Granular Polytetrafluoroethylene Resin threatening material injury to a U.S. from India and Russia (Attachment III). only one company as a producer/ industry.35 A negative ITC 28 See Country-Specific AD Initiation Checklists. exporter of granular PTFE resin in 29 determination for any country will In accordance with section 773(b)(2) of the Act, Russia, Halopolymer OJSC, and result in the investigation being for the India and Russia investigations, Commerce provided independent, third-party will request information necessary to calculate the terminated with respect to that constructed value (CV) and cost of production country.36 Otherwise, these AD (COP) to determine whether there are reasonable 32 See Volume I of the Petitions at I–20 and grounds to believe or suspect that sales of the Exhibit I–26. foreign like product have been made at prices that 33 See Memorandum, ‘‘Countervailing Duty and 34 See Volume I of the Petitions at I–20 and represent less than the COP of the product. Antidumping Duty Petitions on Granular Exhibits I–3 and I–26; see also General Issues 30 See Country-Specific AD Initiation Checklists. Polytetrafluoroethylene Resin from India: Release of Supplement at 1–2. 31 See Country-Specific AD Initiation Checklists Customs Data from U.S. Customs and Border 35 See section 733(a) of the Act. for details of these margin calculations. Protection,’’ dated February 12, 2021. 36 Id.
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investigations will proceed according to factual information with enough time to Notification to Interested Parties statutory and regulatory time limits. consider the submission. Thus, should an interested party wish to submit a Interested parties must submit Submission of Factual Information PMS allegation and supporting new applications for disclosure under APO Factual information is defined in 19 factual information pursuant to section in accordance with 19 CFR 351.305. CFR 351.102(b)(21) as: (i) Evidence 773(e) of the Act, it must do so no later Parties wishing to participate in these submitted in response to questionnaires; than 20 days after submission of a investigations should ensure that they (ii) evidence submitted in support of respondent’s initial section D meet the requirements of 19 CFR allegations; (iii) publicly available questionnaire response. 351.103(d) (e.g., by filing the required information to value factors under 19 letter of appearance). CFR 351.408(c) or to measure the Extensions of Time Limits adequacy of remuneration under 19 CFR This notice is issued and published Parties may request an extension of 351.511(a)(2); (iv) evidence placed on pursuant to sections 732(c)(2) and 777(i) time limits before the expiration of a the record by Commerce; and (v) of the Act, and 19 CFR 351.203(c). time limit established under 19 CFR evidence other than factual information 351.301, or as otherwise specified by Dated: February 16, 2021. described in (i)–(iv). Section 351.301(b) Commerce. In general, an extension Christian Marsh, of Commerce’s regulations requires any request will be considered untimely if it Acting Assistant Secretary for Enforcement party, when submitting factual is filed after the expiration of the time and Compliance. information, to specify under which limit established under 19 CFR 351.301. subsection of 19 CFR 351.102(b)(21) the Appendix information is being submitted 37 and, if For submissions that are due from Scope of the Investigations the information is submitted to rebut, multiple parties simultaneously, an clarify, or correct factual information extension request will be considered The product covered by these already on the record, to provide an untimely if it is filed after 10:00 a.m. ET investigations is granular explanation identifying the information on the due date. Under certain polytetrafluoroethylene (PTFE) resin. already on the record that the factual circumstances, Commerce may elect to Granular PTFE resin is covered by the scope information seeks to rebut, clarify, or specify a different time limit by which of these investigations whether filled or correct.38 Time limits for the extension requests will be considered unfilled, whether or not modified, and submission of factual information are untimely for submissions which are due whether or not containing co-polymer, addressed in 19 CFR 351.301, which from multiple parties simultaneously. In additives, pigments, or other materials. Also provides specific time limits based on such a case, Commerce will inform included is PTFE wet raw polymer. The the type of factual information being parties in a letter or memorandum of the chemical formula for granular PTFE resin is submitted. Interested parties should deadline (including a specified time) by C2F4, and the Chemical Abstracts Service review the regulations prior to which extension requests must be filed (CAS) Registry number is 9002–84–0. submitting factual information in these to be considered timely. An extension Subject merchandise includes material investigations. request must be made in a separate, matching the above description that has been stand-alone submission; Commerce will finished, packaged, or otherwise processed in Particular Market Situation Allegation grant untimely filed requests for the a third country, including by filling, Section 773(e) of the Act addresses extension of time limits only in limited modifying, compounding, packaging with the concept of particular market cases where we determine, based on 19 another product, or performing any other situation (PMS) for purposes of CV, CFR 351.302, that extraordinary finishing, packaging, or processing that stating that ‘‘if a particular market circumstances exist. Parties should would not otherwise remove the situation exists such that the cost of review Extension of Time Limits; Final merchandise from the scope of the materials and fabrication or other Rule, 78 FR 57790 (September 20, 2013), investigations if performed in the country of processing of any kind does not available at http://www.gpo.gov/fdsys/ manufacture of the granular PTFE resin. accurately reflect the cost of production pkg/FR-2013-09-20/html/2013- The product covered by these investigations does not include dispersion or in the ordinary course of trade, the 22853.htm, prior to submitting factual coagulated dispersion (also known as fine administering authority may use information in these investigations. powder) PTFE. another calculation methodology under Certification Requirements PTFE further processed into micropowder, this subtitle or any other calculation having particle size typically ranging from 1 Any party submitting factual methodology.’’ When an interested to 25 microns, and a melt-flow rate no less information in an AD or CVD party submits a PMS allegation pursuant than 0.1 gram/10 minutes, is excluded from to section 773(e) of the Act, Commerce proceeding must certify to the accuracy the scope of these investigations. 39 will respond to such a submission and completeness of that information. Granular PTFE resin is classified in the consistent with 19 CFR 351.301(c)(2)(v). Parties must use the certification Harmonized Tariff Schedule of the United If Commerce finds that a PMS exists formats provided in 19 CFR States (HTSUS) under subheading 40 under section 773(e) of the Act, then it 351.303(g). Commerce intends to 3904.61.0010. Subject merchandise may also will modify its dumping calculations reject factual submissions if the be classified under HTSUS subheading appropriately. submitting party does not comply with 3904.69.5000. Although the HTSUS Neither section 773(e) of the Act, nor the applicable certification subheadings and CAS Number are provided 19 CFR 351.301(c)(2)(v), set a deadline requirements. for convenience and customs purposes, the for the submission of PMS allegations written description of the scope is and supporting factual information. 39 See section 782(b) of the Act. dispositive. However, in order to administer section 40 See Certification of Factual Information to [FR Doc. 2021–03621 Filed 2–22–21; 8:45 am] 773(e) of the Act, Commerce must Import Administration During Antidumping and receive PMS allegations and supporting Countervailing Duty Proceedings, 78 FR 42678 (July BILLING CODE 3510–DS–P 17, 2013) (Final Rule). Answers to frequently asked questions regarding the Final Rule are available at 37 See 19 CFR 351.301(b). http://enforcement.trade.gov/tlei/notices/factual_ 38 See 19 CFR 351.301(b)(2). info_final_rule_FAQ_07172013.pdf.
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DEPARTMENT OF COMMERCE In accordance with section 702(b)(1) scope.7 The description of merchandise of the Tariff Act of 1930, as amended covered by these investigations, as International Trade Administration (the Act), the petitioner alleges that the described in the appendix to this notice, [C–533–900, C–821–830] Government of India (GOI) and the reflects this revision. Government of Russia (GOR) are As discussed in the Preamble to Granular Polytetrafluoroethylene Resin providing countervailable subsidies, Commerce’s regulations, we are setting From India and the Russian within the meaning of sections 701 and aside a period for interested parties to Federation: Initiation of Countervailing 771(5) of the Act, to producers of raise issues regarding product coverage Duty Investigations granular PTFE resin in India and Russia, (i.e., scope).8 Commerce will consider and that imports of such products are all comments received from interested AGENCY: Enforcement and Compliance, materially injuring, or threatening parties and, if necessary, will consult International Trade Administration, material injury to, the domestic industry with interested parties prior to the Department of Commerce. producing granular PTFE resin in the issuance of the preliminary DATES: Applicable February 16, 2021. United States. Consistent with section determinations. If scope comments FOR FURTHER INFORMATION CONTACT: 702(b)(1) of the Act and 19 CFR include factual information,9 all such Janae Martin at (202) 482–0238 (India) 351.202(b), for those alleged programs factual information should be limited to and George Ayache at (202) 482–2623 on which we are initiating CVD public information. To facilitate (the Russian Federation (Russia)), AD/ investigations, the Petitions were preparation of its questionnaires, CVD Operations, Enforcement and accompanied by information reasonably Commerce requests that all interested Compliance, International Trade available to the petitioner supporting its parties submit scope comments by 5:00 Administration, U.S. Department of allegations. p.m. Eastern Time (ET) on March 8, Commerce, 1401 Constitution Avenue Commerce finds that the petitioner 2021, which is 20 calendar days from NW, Washington, DC 20230. filed the Petitions on behalf of the the signature date of this notice. Any SUPPLEMENTARY INFORMATION: domestic industry, because the rebuttal comments, which may include factual information, must be filed by The Petitions petitioner is an interested party, as defined in section 771(9)(C) of the Act. 5:00 p.m. ET on March 18, 2021, which is 10 calendar days from the initial On January 27, 2021, the U.S. Commerce also finds that the petitioner comment deadline. Department of Commerce (Commerce) demonstrated sufficient industry received countervailing duty (CVD) Commerce requests that any factual support for the initiation of the information the parties consider petitions concerning imports of granular requested CVD investigations.5 polytetrafluoroethylene (PTFE) resin relevant to the scope of the from India and Russia, filed in proper Periods of Investigation investigations be submitted during this time period. However, if a party form on behalf of Daikin America, Inc. Because the Petitions were filed on 1 subsequently finds that additional (the petitioner). The Petitions were January 27, 2021, the period of accompanied by antidumping duty (AD) factual information pertaining to the investigation (POI) for these CVD scope of the investigations may be petitions concerning imports of granular investigations is January 1, 2020, PTFE resin from India and Russia.2 relevant, the party must contact through December 31, 2020, pursuant to Commerce and request permission to On January 29 and February 1, 2021, 19 CFR 351.204(b)(2). Commerce requested supplemental submit the additional information. All information pertaining to certain aspects Scope of the Investigations such comments must be filed on the 3 records of each of the concurrent AD of the Petitions. The petitioner filed The product covered by these responses to these requests on February and CVD investigations. 4 investigations is granular PTFE resin 2 and 3, 2021. from India and Russia. For a full Filing Requirements description of the scope of these All submissions to Commerce must be 1 See Petitioner’s Letter, ‘‘Petitions for the Imposition of Antidumping and Countervailing investigations, see the appendix to this filed electronically using Enforcement Duties: Granular Polytetrafluoroethylene Resin from notice. and Compliance’s Antidumping Duty India and Russia,’’ dated January 27, 2021 (the and Countervailing Duty Centralized Comments on Scope of the Petitions). Electronic Service System (ACCESS), 2 Investigations Id. unless an exception applies.10 An 3 See Commerce’s Letter, ‘‘Petitions for the Imposition of Antidumping and Countervailing On February 4 and 9, 2021, Commerce electronically filed document must be Duties on Imports of Granular requested information from the received successfully in its entirety by Polytetrafluoroethylene (PTFE) Resin from India petitioner regarding the proposed scope the time and date it is due. Note that and Russia: Supplemental Questions,’’ dated to ensure that the scope language in the Commerce has temporarily modified January 29, 2021; and Commerce’s Letters, ‘‘Petition for the Imposition of Countervailing Duties on Petitions is an accurate reflection of the Imports of Granular Polytetrafluoroethylene (PTFE) products for which the domestic 7 See Scope Call Memorandum at 1–2. Resin from India: Supplemental Questions,’’ and industry is seeking relief.6 On February 8 See Antidumping Duties; Countervailing Duties; ‘‘Petition for the Imposition of Countervailing 9, 2021, the petitioner revised the Final Rule, 62 FR 27296, 27323 (May 19, 1997). Duties on Imports of Granular 9 See 19 CFR 351.102(b)(21) (defining ‘‘factual Polytetrafluoroethylene (PTFE) Resin from the information.’’). Russian Federation: Supplemental Questions,’’ both 5 See ‘‘Determination of Industry Support for the 10 See Antidumping and Countervailing Duty dated February 1, 2021. Petitions’’ section, infra. Proceedings: Electronic Filing Procedures; 4 See Petitioner’s Letters, ‘‘Granular 6 See Memoranda, ‘‘Petitions for the Imposition of Administrative Protective Order Procedures, 76 FR Polytetrafluoroethylene Resin from India and Antidumping and Countervailing Duties on Imports 39263 (July 6, 2011); see also Enforcement and Russia: Response to General Issues Questionnaire,’’ of Granular Polytetrafluoroethylene Resin from Compliance; Change of Electronic Filing System dated February 2, 2021 (General Issues India and Russia: Phone Call with Counsel to the Name, 79 FR 69046 (November 20, 2014) for details Supplement); and ‘‘Granular Petitioner,’’ dated February 4, 2021; and ‘‘Petitions of Commerce’s electronic filing requirements, Polytetrafluoroethylene Resin from India: Response for the Imposition of Antidumping and effective August 5, 2011. Information on using to Supplemental Questions,’’ and ‘‘Granular Countervailing Duties on Imports of Granular ACCESS can be found at https://access.trade.gov/ Polytetrafluoroethylene Resin from Russia: Polytetrafluoroethylene Resin from India and help.aspx and a handbook can be found at https:// Submission of Answers to Supplemental Russia: Phone Call with Counsel to the Petitioner,’’ access.trade.gov/help/Handbook%20on Questions,’’ both dated February 3, 2021. dated February 9, 2021 (Scope Call Memorandum). %20Electronic%20Filling%20Procedures.pdf.
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certain of its requirements for serving requisite industry support, the statute notice. To establish industry support, documents containing business directs Commerce to look to producers the petitioner provided its own 2020 proprietary information until further and workers who produce the domestic production of the domestic like notice.11 like product. The International Trade product.19 Additionally, the petitioner Commission (ITC), which is responsible provided a letter of support from The Consultations for determining whether ‘‘the domestic Chemours Company FC LLC Pursuant to sections 702(b)(4)(A)(i) industry’’ has been injured, must also (Chemours), stating its support for the and (ii) of the Act, Commerce notified determine what constitutes a domestic Petitions and providing its own the GOI and the GOR of the receipt of like product in order to define the production of the domestic like product the Petitions and provided an industry. While both Commerce and the in 2020.20 The petitioner identifies itself opportunity for consultations with ITC must apply the same statutory and Chemours as the companies respect to the Petitions.12 Commerce definition regarding the domestic like constituting the U.S. granular PTFE held consultations with the GOR on product,15 they do so for different resin industry and states that there are 13 February 11, 2021. With respect to purposes and pursuant to a separate and no other known producers of granular India, Commerce did not hold distinct authority. In addition, PTFE resin in the United States; consultations with the GOI. Instead, the Commerce’s determination is subject to therefore, the Petitions are supported by GOI submitted pre-initiation comments limitations of time and information. 100 percent of the U.S. industry.21 We 14 on February 12, 2021. Although this may result in different relied on the data provided by the Determination of Industry Support for definitions of the like product, such petitioner for purposes of measuring the Petitions differences do not render the decision of industry support.22 either agency contrary to law.16 Our review of the data provided in the Section 702(b)(1) of the Act requires Section 771(10) of the Act defines the Petitions, the General Issues that a petition be filed on behalf of the domestic like product as ‘‘a product domestic industry. Section 702(c)(4)(A) Supplement, and other information which is like, or in the absence of like, readily available to Commerce indicates of the Act provides that a petition meets most similar in characteristics and uses this requirement if the domestic that the petitioner has established with, the article subject to an industry support for the Petitions.23 producers or workers who support the investigation under this title.’’ Thus, the petition account for: (i) At least 25 First, the Petitions established support reference point from which the from domestic producers (or workers) percent of the total production of the domestic like product analysis begins is domestic like product; and (ii) more accounting for more than 50 percent of ‘‘the article subject to an investigation’’ the total production of the domestic like than 50 percent of the production of the (i.e., the class or kind of merchandise to domestic like product produced by that product and, as such, Commerce is not be investigated, which normally will be required to take further action in order portion of the industry expressing the scope as defined in the petition). support for, or opposition to, the to evaluate industry support (e.g., With regard to the domestic like 24 petition. Moreover, section 702(c)(4)(D) polling). Second, the domestic product, the petitioner does not offer a producers (or workers) have met the of the Act provides that, if the petition definition of the domestic like product does not establish support of domestic statutory criteria for industry support distinct from the scope of the under section 702(c)(4)(A)(i) of the Act producers or workers accounting for 17 investigations. Based on our analysis because the domestic producers (or more than 50 percent of the total of the information submitted on the production of the domestic like product, workers) who support the Petitions record, we have determined that account for at least 25 percent of the Commerce shall: (i) Poll the industry or granular PTFE resin, as defined in the rely on other information in order to total production of the domestic like scope, constitutes a single domestic like product.25 Finally, the domestic determine if there is support for the product, and we have analyzed industry petition, as required by subparagraph producers (or workers) have met the support in terms of that domestic like statutory criteria for industry support (A); or (ii) determine industry support 18 product. under section 702(c)(4)(A)(ii) of the Act using a statistically valid sampling In determining whether the petitioner method to poll the ‘‘industry.’’ because the domestic producers (or has standing under section 702(c)(4)(A) workers) who support the Petitions Section 771(4)(A) of the Act defines of the Act, we considered the industry the ‘‘industry’’ as the producers as a account for more than 50 percent of the support data contained in the Petitions production of the domestic like product whole of a domestic like product. Thus, with reference to the domestic like to determine whether a petition has the produced by that portion of the industry product as defined in the ‘‘Scope of the expressing support for, or opposition to, Investigations,’’ in the appendix to this 11 See Temporary Rule Modifying AD/CVD the Petitions.26 Accordingly, Commerce Service Requirements Due to COVID–19; Extension 15 See section 771(10) of the Act. of Effective Period, 85 FR 41363 (July 10, 2020). 19 See Volume I of the Petitions at I–2 through I– 16 12 See Commerce’s Letters, ‘‘Countervailing Duty See USEC, Inc. v. United States, 132 F. Supp. 3 and Exhibit I–1; see also General Issues Petition on Granular Polytetrafluoroethylene (PTFE) 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. Supplement at 2 and Exhibit Supp I–1. v. United States, 688 F. Supp. 639, 644 (CIT 1988), Resin from the Russian Federation: Invitation for 20 See Volume I of the Petitions at I–2 through I– aff’d 865 F. 2d 240 (Fed. Cir. 1989)). Consultations,’’ dated January 27, 2021; and 3 and Exhibit I–4. ‘‘Countervailing Duty Petition on Granular 17 See Volume I of the Petitions at I–11 through 21 Id. at I–2 through I–3 and Exhibits I–1 and 4. Polytetrafluoroethylene Resin from India: Invitation I–19. 22 Id. at I–2 through I–3 and Exhibits I–1 and I– for Consultations to Discuss the Countervailing 18 For a discussion of the domestic like product 4; see also General Issues Supplement at 2 and Duty Petition,’’ dated February 1, 2021. analysis as applied to these cases and information Exhibit Supp I–1. 13 See Memorandum, ‘‘Countervailing Duty regarding industry support, see Countervailing Duty 23 Petition on Granular Polytetrafluoroethylene (PTFE) Investigation Initiation Checklists: Granular See Volume I of the Petitions at I–2 through I– Resin from the Russian Federation (Russia): Polytetrafluoroethylene Resin from India and 3 and Exhibits I–1 and I–4; see also General Issues Consultations with Officials from the Government Russia (Country-Specific CVD Initiation Checklists) Supplement at 2 and Exhibit Supp I–1. of Russia,’’ dated February 12, 2021. at Attachment II, Analysis of Industry Support for 24 See Attachment II of the Country-Specific CVD 14 See GOI’s Letter, ‘‘Pre-Initiation Consultation the Antidumping and Countervailing Duty Petitions Initiation Checklists; see also section 702(c)(4)(D) of Note on the Petition for Initiation of Countervailing Covering Granular Polytetrafluoroethylene Resin the Act. Duty Investigation concerning Granular from India and Russia (Attachment II). These 25 See Attachment II of the Country-Specific CVD Polytetrafluoroethylene Resin from India (PTFE) checklists are dated concurrently with this notice Initiation Checklists. (Case No. 533–900),’’ dated February 12, 2021. and on file electronically via ACCESS. 26 Id.
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determines that the Petitions were filed 703(b)(1) of the Act and 19 CFR business days of the publication date of on behalf of the domestic industry 351.205(b)(1), unless postponed, we will the notice of initiation of these within the meaning of section 702(b)(1) make our preliminary determinations no investigations.32 Comments must be of the Act.27 later than 65 days after the date of these filed electronically using ACCESS. An initiations. Injury Test electronically filed document must be received successfully, in its entirety, by Because India and Russia are India ACCESS no later than 5:00 p.m. ET on ‘‘Subsidies Agreement Countries’’ Based on our review of the Petitions, the specified deadline. Commerce will within the meaning of section 701(b) of we find that there is sufficient the Act, section 701(a)(2) of the Act information to initiate a CVD not accept rebuttal comments regarding applies to these investigations. investigation on all 24 alleged programs. the CBP data or respondent selection. Accordingly, the ITC must determine For a full discussion of the basis for our We intend to select respondents within whether imports of the subject decision to initiate on each program, see 20 days of publication of this notice. merchandise from India and Russia India CVD Initiation Checklist. A public Interested parties must submit materially injure, or threaten material version of the initiation checklist for applications for disclosure under APO injury to, a U.S. industry. this investigation is available on in accordance with 19 CFR 351.305(b). ACCESS. Allegations and Evidence of Material Instructions for filing such applications Injury and Causation Russia may be found on Commerce’s website at http://enforcement.trade.gov/apo. The petitioner alleges that imports of Based on our review of the Petitions, the subject merchandise are benefitting we find that there is sufficient Russia from countervailable subsidies and that information to initiate a CVD such imports are causing, or threaten to investigation on 19 of the 20 alleged In the Petition, the petitioner named cause, material injury to the U.S. programs. For a full discussion of the only one company as a producer/ industry producing the domestic like basis for our decision to initiate on each exporter of granular PTFE resin in product. In addition, the petitioner of these 19 programs and not to initiate Russia, HaloPolymer OJSC, and alleges that subject imports exceed the on the remaining alleged program, see provided independent, third-party negligibility threshold provided for Russia CVD Initiation Checklist. A information as support.33 We currently under section 771(24)(A) of the Act.28 public version of the initiation checklist know of no additional producers/ The petitioner contends that the for this investigation is available on exporters of granular PTFE resin from industry’s injured condition is ACCESS. Russia. Accordingly, Commerce intends illustrated by significant and increasing Respondent Selection to examine all known producers/ volume and market share of subject exporters (i.e., HaloPolymer OJSC). We In the Petitions, the petitioner named imports; lost sales and revenues; invite interested parties to comment on eight companies in India and one underselling and price depression and/ this issue. Such comments may include company in Russia as producers/ or suppression; and declines in factual information within the meaning exporters of granular PTFE resin.31 production, U.S. commercial shipments, of 19 CFR 351.102(b)(21). Parties 29 Commerce intends to follow its standard and financial performance. We wishing to comment must do so within assessed the allegations and supporting practice in CVD investigations and calculate company-specific subsidy three business days of the publication of evidence regarding material injury, this notice in the Federal Register. threat of material injury, causation, as rates in this investigation. Comments must be filed electronically well as negligibility, and we have India using ACCESS. An electronically-filed determined that these allegations are In the event Commerce determines document must be received successfully properly supported by adequate that the number of Indian producers/ evidence, and meet the statutory in its entirety by Commerce’s electronic exporters is large and it cannot requirements for initiation.30 records system, ACCESS, by 5 p.m. ET individually examine each company on the specified deadline. Because we Initiation of CVD Investigations based upon Commerce’s resources, intend to examine all known producers/ Based upon the examination of the Commerce intends to select respondents exporters, if no comments are received Petitions and supplemental responses, based on U.S. Customs and Border or if comments received further support we find that they meet the requirements Protection (CBP) data for U.S. imports of the existence of this sole producer/ of section 702 of the Act. Therefore, we granular PTFE resin from India during exporter in Russia, we do not intend to are initiating CVD investigations to the POI under the appropriate conduct respondent selection and will determine whether imports of granular Harmonized Tariff Schedule of the proceed to issuing the initial PTFE resin from India and Russia United States numbers listed in the countervailing duty questionnaire to the ‘‘Scope of the Investigations,’’ in the benefit from countervailable subsidies company identified. However, if conferred by the GOI and the GOR, appendix. On February 12, 2021, Commerce comments are received which create a respectively. In accordance with section released CBP data for U.S. imports of need for a respondent selection process, granular PTFE resin from India under we intend to finalize our decisions 27 Id. regarding respondent selection within 28 Administrative Protective Order (APO) See Volume I of the Petitions at I–23 and 20 days of publication of this notice. Exhibit I–27. to all parties with access to information 29 See Volume I of the Petitions at I–26 through protected by APO and indicated that I–38 and Exhibits I–27, I–29 through I–35; see also interested parties wishing to comment 32 See Memorandum, ‘‘Countervailing Duty and General Issues Supplement at Exhibit Supp. I–1. on the CBP data and/or respondent Antidumping Duty Petitions on Granular 30 See Country-Specific CVD Initiation Checklists Polytetrafluoroethylene Resin from India: Release of at Attachment III, Analysis of Allegations and selection must do so within three Customs Data from U.S. Customs and Border Evidence of Material Injury and Causation for the Protection,’’ dated February 12, 2021. Antidumping and Countervailing Duty Petitions 31 See Volume I of the Petitions at I–20 and 33 See Volume I of the Petitions at I–20 and Covering Granular Polytetrafluoroethylene Resin Exhibit I–26; and General Issues Supplement at 1– Exhibits I–3 and I–26; see also General Issues from India and Russia (Attachment III). 2. Supplement at 1–2.
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Distribution of Copies of the Petitions submitting factual information in these meet the requirements of 19 CFR investigations. 351.103(d) (e.g., by filing the required In accordance with section letters of appearance). 702(b)(4)(A) of the Act and 19 CFR Extensions of Time Limits This notice is issued and published 351.202(f), copies of the public version Parties may request an extension of pursuant to sections 702 and 777(i) of of the Petitions have been provided to time limits before the expiration of a the Act, and 19 CFR 351.203(c). the GOI and GOR via ACCESS. To the time limit established under 19 CFR Dated: February 16, 2021. extent practicable, we will attempt to 351.301, or as otherwise specified by provide a copy of the public version of Commerce. In general, an extension Christian Marsh, the Petitions to each exporter named in request will be considered untimely if it Acting Assistant Secretary for Enforcement the Petitions, as provided under 19 CFR is filed after the expiration of the time and Compliance. 351.203(c)(2). limit established under 19 CFR 351.301. Appendix For submissions that are due from ITC Notification Scope of the Investigations multiple parties simultaneously, an Commerce will notify the ITC of its extension request will be considered The product covered by these initiation, as required by section 702(d) untimely if it is filed after 10:00 a.m. ET investigations is granular of the Act. polytetrafluoroethylene (PTFE) resin. on the due date. Under certain Granular PTFE resin is covered by the scope Preliminary Determinations by the ITC circumstances, Commerce may elect to of these investigations whether filled or specify a different time limit by which The ITC will preliminarily determine, unfilled, whether or not modified, and extension requests will be considered whether or not containing co-polymer, within 45 days after the date on which untimely for submissions which are due additives, pigments, or other materials. Also the Petitions were filed, whether there from multiple parties simultaneously. In included is PTFE wet raw polymer. The is a reasonable indication that subject such a case, Commerce will inform chemical formula for granular PTFE resin is imports are materially injuring or parties in a letter or memorandum of the C2F4, and the Chemical Abstracts Service threatening material injury to a U.S. deadline (including a specified time) by (CAS) Registry number is 9002–84–0. 34 Subject merchandise includes material industry. A negative ITC which extension requests must be filed determination for any country will matching the above description that has been to be considered timely. An extension finished, packaged, or otherwise processed in result in the investigation being request must be made in a separate, terminated with respect to that a third country, including by filling, 35 stand-alone submission; Commerce will modifying, compounding, packaging with country. Otherwise, these CVD grant untimely filed requests for the another product, or performing any other investigations will proceed according to extension of time limits only in limited finishing, packaging, or processing that the statutory and regulatory time limits. cases where we determine, based on 19 would not otherwise remove the Submission of Factual Information CFR 351.302, that extraordinary merchandise from the scope of the circumstances exist. Parties should investigations if performed in the country of manufacture of the granular PTFE resin. Factual information is defined in 19 review Extension of Time Limits; Final CFR 351.102(b)(21) as: (i) Evidence The product covered by these Rule, 78 FR 57790 (September 20, 2013), investigations does not include dispersion or submitted in response to questionnaires; available at http://www.gpo.gov/fdsys/ (ii) evidence submitted in support of coagulated dispersion (also known as fine pkg/FR-2013-09-20/html/2013- powder) PTFE. allegations; (iii) publicly available 22853.htm, prior to submitting PTFE further processed into micropowder, information to value factors under 19 extension requests or factual having particle size typically ranging from 1 CFR 351.408(c) or to measure the information in these investigations. to 25 microns, and a melt-flow rate no less adequacy of remuneration under 19 CFR than 0.1 gram/10 minutes, is excluded from 351.511(a)(2); (iv) evidence placed on Certification Requirements the scope of these investigations. the record by Commerce; and (v) Any party submitting factual Granular PTFE resin is classified in the Harmonized Tariff Schedule of the United evidence other than factual information information in an AD or CVD described in (i)–(iv). Section 351.301(b) States (HTSUS) under subheading proceeding must certify to the accuracy 3904.61.0010. Subject merchandise may also of Commerce’s regulations requires any 38 and completeness of that information. be classified under HTSUS subheading party, when submitting factual Parties must use the certification 3904.69.5000. Although the HTSUS information, to specify under which formats provided in 19 CFR subheadings and CAS Number are provided subsection of 19 CFR 351.102(b)(21) the 351.303(g).39 Commerce intends to for convenience and customs purposes, the 36 information is being submitted and, if reject factual submissions if the written description of the scope is the information is submitted to rebut, submitting party does not comply with dispositive. clarify, or correct factual information the applicable certification [FR Doc. 2021–03622 Filed 2–22–21; 8:45 am] already on the record, to provide an requirements. BILLING CODE 3510–DS–P explanation identifying the information already on the record that the factual Notification to Interested Parties information seeks to rebut, clarify, or Interested parties must submit DEPARTMENT OF COMMERCE correct.37 Time limits for the applications for disclosure under APO submission of factual information are in accordance with 19 CFR 351.305. National Oceanic and Atmospheric addressed in 19 CFR 351.301, which Parties wishing to participate in these Administration provides specific time limits based on investigations should ensure that they [RTID 0648–XA889] the type of factual information being submitted. Interested parties should 38 See section 782(b) of the Act. Pacific Fishery Management Council; review the regulations prior to 39 See Certification of Factual Information to Public Meeting Import Administration During Antidumping and Countervailing Duty Proceedings, 78 FR 42678 (July 34 AGENCY: National Marine Fisheries See section 703(a) of the Act. 17, 2013) (Final Rule); see also frequently asked 35 Id. questions regarding the Final Rule, available at Service (NMFS), National Oceanic and 36 See 19 CFR 351.301(b). http://enforcement.trade.gov/tlei/notices/factual_ Atmospheric Administration (NOAA), 37 See 19 CFR 351.301(b)(2). info_final_rule_FAQ_07172013.pdf. Commerce.
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ACTION: Notice; public meeting. Dated: February 18, 2021. Burden Hours: 165. Tracey L. Thompson, Needs and Uses: Exempted fishing SUMMARY: The Pacific Fishery Acting Deputy Director, Office of Sustainable permits (EFPs), scientific research Management Council’s (Pacific Council) Fisheries, National Marine Fisheries Service. permits (SRPs), display permits, letters Ad Hoc Southern Oregon/Northern [FR Doc. 2021–03643 Filed 2–22–21; 8:45 am] of acknowledgment (LOAs), and shark California Coast (SONCC) Coho BILLING CODE 3510–22–P research fishery permits are issued Workgroup (Workgroup) will host an under the authority of the Magnuson- online meeting that is open to the Stevens Fishery Conservation and public. DEPARTMENT OF COMMERCE Management Act (Magnuson-Stevens Act) (16 U.S.C. 1801 et seq.) and/or the DATES: The meeting will be held National Oceanic and Atmospheric Atlantic Tunas Convention Act (ATCA) Thursday, March 25, 2021, from 9 a.m., Administration (16 U.S.C. 971 et seq.). Issuance of EFPs Pacific Daylight Time, until 5 p.m., or and related permits is necessary for the until business for the day has been Agency Information Collection collection of Atlantic Highly Migratory completed. Activities; Submission to the Office of Species (HMS) for public display and Management and Budget (OMB) for scientific research that requires ADDRESSES: This meeting will be held Review and Approval; Comment exemption from regulations (e.g., online. Specific meeting information, Request; Highly Migratory Species seasons, prohibited species, authorized including directions on how to join the (HMS) Scientific Research Permits, gear, minimum sizes) that otherwise meeting and system requirements will Exempted Fishing Permits, Letters of may prohibit such collection. Display be provided in the meeting Acknowledgment, Display Permits, and permits are issued for the collection of announcement on the Pacific Council’s Shark Research Fishery Permits HMS for the purpose of public display, website (see www.pcouncil.org). You and a limited number of shark research The Department of Commerce will may send an email to Mr. Kris fishery permits are issued for the submit the following information Kleinschmidt (kris.kleinschmidt@ collection of fishery-dependent data for collection request to the Office of noaa.gov) or contact him at (503) 820– future stock assessments and 2412 for technical assistance. Management and Budget (OMB) for cooperative research with commercial Council address: Pacific Fishery review and clearance in accordance fishermen to meet the shark research Management Council, 7700 NE with the Paperwork Reduction Act of objectives of the Agency. Ambassador Place, Suite 101, Portland, 1995, on or after the date of publication Regulations at 50 CFR 600.745 and 50 OR 97220–1384. of this notice. We invite the general CFR 635.32 govern scientific research public and other Federal agencies to activity, exempted fishing, and FOR FURTHER INFORMATION CONTACT: Ms. comment on proposed, and continuing exempted educational activities with Robin Ehlke, Pacific Council, (503) 820– information collections, which helps us respect to Atlantic HMS. Since the 2426. assess the impact of our information Magnuson-Stevens Act does not include SUPPLEMENTARY INFORMATION: The collection requirements and minimize scientific research within the definition purpose of the meeting will be to the public’s reporting burden. Public of ‘‘fishing,’’ scientific research is continue to develop associated comments were previously requested exempt from this statute, and NMFS modeling and analysis needed for a risk via the Federal Register on October 28, does not issue EFPs for bona fide analysis and potential harvest control 2020, (85 FR 68306) during a 60-day research activities (e.g., research rule alternatives for Pacific Council comment period. This notice allows for conducted from a research vessel and consideration. The Workgroup may also an additional 30 days for public not a commercial or recreational fishing discuss and prepare for future comments. vessel) involving species that are only Workgroup meetings and future Agency: National Oceanic and regulated under the Magnuson-Stevens meetings with the Pacific Council and Atmospheric Administration (NOAA), Act (e.g., most species of sharks) and not its advisory bodies. Commerce. under ATCA. NMFS requests copies of Title: Highly Migratory Species (HMS) scientific research plans for these Although nonemergency issues not Scientific Research Permits, Exempted contained in the meeting agenda may be activities and indicates concurrence by Fishing Permits, Letters of issuing a LOA to researchers to indicate discussed, those issues may not be the Acknowledgement, Display Permits, subject of formal action during this that the proposed activity meets the and Shark Research Fishery Permits. definition of scientific research and is meeting. Action will be restricted to OMB Control Number: 0648–0471. those issues specifically listed in this therefore exempt from regulation. Form Number(s): None. Scientific research is not exempt from document and any issues arising after Type of Request: Regular submission regulation under ATCA. NMFS issues publication of this document that [request for extension of a currently SRPs for collection of species managed require emergency action under section approved information collection]. under this statute (i.e., tunas, swordfish, 305(c) of the Magnuson-Stevens Fishery Number of Respondents: 145. billfish, and some shark species), which Conservation and Management Act, Average Hours per Response: 2 hours authorize researchers to collect Atlantic provided the public has been notified of for a scientific research plan; 40 minutes HMS from bona fide research vessels the intent to take final action to address for an application for an EFP, display (e.g., NMFS or university research the emergency. permit, SRP, LOA, or shark research vessel). NMFS will issue an EFP when Special Accommodations fishery permit; 1 hour for an interim research/collection involving such report; 40 minutes for an annual fishing species occurs from commercial or Requests for auxiliary aids should be report; 15 minutes for an application for recreational fishing platforms. directed to Mr. Kris Kleinschmidt an amendment; 5 minutes for To regulate these fishing activities, ([email protected]; (503) 820– notification of departure phone calls to NMFS needs information to determine 2412) at least 10 business days prior to NMFS Enforcement; 10 minutes for calls the justification for granting an EFP, the meeting date. to request and observer; and 2 minutes LOA, SRP, display, or shark research Authority: 16 U.S.C. 1801 et seq. for ‘‘no-catch’’ reports. fishery permit. The application
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requirements are detailed at 50 CFR ACTION: Notice of SEDAR 68 Assessment constituency representatives including 600.745(b)(2). Interim, annual, and no- Webinar III for Gulf of Mexico and fishermen, environmentalists, and catch/fishing reports must also be Atlantic scamp grouper. NGO’s; International experts; and staff submitted to the Atlantic HMS of Councils, Commissions, and state and Management Division within NMFS. SUMMARY: The SEDAR 68 assessment federal agencies. The authority for NMFS requiring this process of Gulf of Mexico and Atlantic The items of discussion during the information is found at 50 CFR 635.32. scamp will consist of a series of data Assessment Webinar are as follows: Affected Public: Businesses or other and assessment webinars, and a Review 1. Using datasets and initial for-profit organizations (vessel owners Workshop. See SUPPLEMENTARY assessment analysis recommended from or aquariums); Not-for-profit institutions INFORMATION. the data webinars, panelists will employ (academic researchers); State, Local, or DATES: The SEDAR 68 Assessment assessment models to evaluate stock Tribal governments (state agency Webinar III will be held March 22, 2021, status, estimate population benchmarks researchers); Federal government from 9 a.m. to 12 p.m., Eastern Time. and management criteria, and project (federal agency researchers). ADDRESSES: The meeting will be held future conditions. Frequency: Permit applications, via webinar. The webinar is open to 2. Participants will recommend the scientific research plans, and annual members of the public. Those interested most appropriate methods and reports are submitted annually; interim in participating should contact Julie A. configurations for determining stock and no catch reports are submitted Neer at SEDAR (see FOR FURTHER status and estimating population monthly; departure notifications are INFORMATION CONTACT) to request an parameters. submitted for each trip; permit invitation providing webinar access Although non-emergency issues not amendment applications are submitted information. Please request webinar contained in this agenda may come as needed. invitations at least 24 hours in advance before this group for discussion, those Respondent’s Obligation: Mandatory. of each webinar. issues may not be the subject of formal Legal Authority: Magnuson-Stevens SEDAR address: 4055 Faber Place action during this meeting. Action will Fishery Conservation and Management Drive, Suite 201, North Charleston, SC be restricted to those issues specifically Act (16 U.S.C. 1801 et seq.), and the 29405. identified in this notice and any issues Atlantic Tunas Convention Act of 1975 FOR FURTHER INFORMATION CONTACT: Julie arising after publication of this notice (16 U.S.C. 971 et seq.) A. Neer, SEDAR Coordinator; (843) 571– that require emergency action under This information collection request 4366, email: [email protected]. section 305(c) of the Magnuson-Stevens may be viewed at reginfo.gov. Follow SUPPLEMENTARY INFORMATION: The Gulf Fishery Conservation and Management the instructions to view Department of of Mexico, South Atlantic, and Act, provided the public has been Commerce collections currently under Caribbean Fishery Management notified of the intent to take final action review by OMB. Councils, in conjunction with NOAA to address the emergency. Written comments and Fisheries and the Atlantic and Gulf Special Accommodations recommendations for the proposed States Marine Fisheries Commissions The meeting is physically accessible information collection should be have implemented the Southeast Data, to people with disabilities. Requests for submitted within 30 days of the Assessment and Review (SEDAR) sign language interpretation or other publication of this notice on the process, a multi-step method for auxiliary aids should be directed to the following website www.reginfo.gov/ determining the status of fish stocks in Council office (see ADDRESSES) at least 5 public/do/PRAMain. Find this the Southeast Region. SEDAR is a multi- business days prior to each workshop. particular information collection by step process including: (1) Data selecting ‘‘Currently under 30-day Workshop, (2) a series of assessment Note: The times and sequence specified in Review—Open for Public Comments’’ or webinars, and (3) A Review Workshop. this agenda are subject to change. by using the search function and The product of the Data Workshop is a (Authority: 16 U.S.C. 1801 et seq.) entering either the title of the collection report that compiles and evaluates or the OMB Control Number 0648–0471. potential datasets and recommends Dated: February 18, 2021. Tracey L. Thompson, Sheleen Dumas, which datasets are appropriate for Acting Deputy Director, Office of Sustainable Department PRA Clearance Officer, Office of assessment analyses. The assessment Fisheries, National Marine Fisheries Service. the Chief Information Officer, Commerce webinars produce a report that describes Department. the fisheries, evaluates the status of the [FR Doc. 2021–03640 Filed 2–22–21; 8:45 am] [FR Doc. 2021–03629 Filed 2–22–21; 8:45 am] stock, estimates biological benchmarks, BILLING CODE 3510–22–P BILLING CODE 3510–22–P projects future population conditions, and recommends research and monitoring needs. The product of the DEPARTMENT OF COMMERCE DEPARTMENT OF COMMERCE Review Workshop is an Assessment Summary documenting panel opinions National Oceanic and Atmospheric National Oceanic and Atmospheric regarding the strengths and weaknesses Administration Administration of the stock assessment and input data. Agency Information Collection Participants for SEDAR Workshops are [RTID 0648–XA892] Activities; Submission to the Office of appointed by the Gulf of Mexico, South Management and Budget for Review Fisheries of the Gulf of Mexico and Atlantic, and Caribbean Fishery and Approval; Comment Request; Atlantic; Southeast Data, Assessment, Management Councils and NOAA Southeast Region IFQ Programs and Review (SEDAR); Public Meeting Fisheries Southeast Regional Office, HMS Management Division, and The Department of Commerce will AGENCY: National Marine Fisheries Southeast Fisheries Science Center. submit the following information Service (NMFS), National Oceanic and Participants include data collectors and collection request to the Office of Atmospheric Administration (NOAA), database managers; stock assessment Management and Budget (OMB) for Commerce. scientists, biologists, and researchers; review and clearance in accordance
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with the Paperwork Reduction Act of The NMFS Southeast Regional Office If implemented by NMFS, these 1995, on or after the date of publication proposes to extend and revise parts of administrative revisions would slightly of this notice. We invite the general the information collection currently increase the estimated time per response public and other Federal agencies to approved under OMB Control Number to complete the IFQ Online Account comment on proposed, and continuing 0648–0551. This collection of Application. NMFS estimates the time information collections, which helps us information tracks the transfer and use per response would increase from 10 to assess the impact of our information of IFQ and ITQ shares, and IFQ 13 minutes. However, NMFS does not collection requirements and minimize allocation and landings by commercial expect the estimated time per response the public’s reporting burden. Public fishermen necessary for NMFS to for the Dealer Landing Transaction comments were previously requested operate, administer, and review Report to change. The cost of both the via the Federal Register on December 1, management of the IFQ and ITQ IFQ Online Account Application and 2020, during a 60-day comment period. programs. Regulations for the IFQ and the Dealer Landing Transaction Report This notice allows for an additional 30 ITQ programs are located at 50 CFR part would remain the same. NMFS proposes days for public comments. 622. no other revisions to the existing Agency: National Oceanic and For the Gulf IFQ programs, the information collections for the IFQ and Atmospheric Administration, revisions would collect additional ITQ programs approved in OMB Control Commerce. business and demographic information No. 0648–0551. Title: Southeast Region IFQ Programs. on the IFQ Online Account Application, Affected Public: Business or other for- OMB Control Number: 0648–0551. as well as add a requirement to input profit organizations. Form Number(s): None. the vessel signature personal Frequency: Annually, quarterly, and Type of Request: Regular identification number (PIN) a second on occasion. submission—extension and revision of a time on the Dealer Landing Transaction Respondent’s Obligation: Mandatory, current information collection. Report if a criterion is met. required to obtain or retain benefits. Estimated Number of Respondents: NMFS would revise the IFQ Online Legal Authority: 16 U.S.C. 1801 et seq. 1,164. Account Application to obtain This information collection request Estimated Time per Response: ownership percentage data for any may be viewed at www.reginfo.gov. business that participates in the Gulf Follow the instructions to view the • Dealer Landing Transaction Report, 6 IFQ programs, as well as the type of Department of Commerce collections minutes (electronic form) business, and confirmation of whether • Dealer Landing Transaction Report, 5 currently under review by OMB. the business is small or large, as defined Written comments and minutes (paper form used in by Small Business Administration recommendations for the proposed catastrophic conditions only) standards. information collection should be • Dealer Cost Recovery Fee Submission NMFS would revise the Dealer submitted within 30 days of the through pay.gov, 3 minutes Landing Transaction Report to add a publication of this notice on the • IFQ Notification of Landing, 5 requirement for a shareholder to input following website www.reginfo.gov/ minutes the vessel signature PIN a second time public/do/PRAMain. Find this • Transfer Shares, 3 minutes if the landing transaction would result particular information collection by • Share Receipt, 2 minutes in a 10 percent overage of their catch selecting ‘‘Currently under 30-day • Transfer Allocation, 3 minutes • allocation during that fishing year. Review—Open for Public Comments,’’ IFQ Online Account Application, 13 NMFS proposes to add a feature to the minutes or by using the search function and • Dealer Landing Transaction Report that entering either the title of the collection Wreckfish Quota Share Transfer, 20 would notify the shareholder that a 10 minutes or the OMB Control Number 0648–0551. • percent overage would occur and in Landing Transaction Correction which categories, and require the vessel Sheleen Dumas, Request, 5 minutes Department PRA Clearance Officer, Office of • signature PIN to accept the overage. Commercial Reef Fish Landing Although the 10 percent overage is the Chief Information Officer, Commerce Location Request, 5 minutes utilized infrequently, this would Department. • Account Update, 2 minutes provide the shareholder the opportunity [FR Doc. 2021–03627 Filed 2–22–21; 8:45 am] • Trip Ticket Update, 2 minutes to transfer allocation and avoid using BILLING CODE 3510–22–P • Gulf Reef Fish Notification of the 10 percent overage. Landing, 3 minutes The purpose of revising the IFQ • IFQ Close Account, 3 minutes Online Account Application is to better DEPARTMENT OF COMMERCE Estimated Total Annual Burden comply with National Standard 4 (NS4) Hours: 2,109. of the Magnuson-Stevens Act, the National Oceanic and Atmospheric Needs and Uses: The National Marine Regulatory Flexibility Act (RFA), and Administration; Ocean Exploration Fisheries Service’s Southeast Regional the Small Business Administration’s Advisory Board Office manages three commercial regulations implementing the RFA, AGENCY: Office of Ocean Exploration individual fishing quota (IFQ) and Executive Order 12898, and the and Research (OER), National Oceanic individual transferable quota (ITQ) ‘‘fairness and equitable distribution’’ and Atmospheric Administration programs in the U.S. southeast region provisions of the Magnuson-Stevens (NOAA), Department of Commerce under the authority of the Magnuson- Act, including NS4 and section (DOC). Stevens Fishery Conservation and 303(b)(6). The purpose of revising the ACTION: Notice of public meeting. Management Act (Magnuson-Stevens Dealer Landing Transaction Report is to Act). The IFQ programs for red snapper, better inform participants in the Gulf SUMMARY: This notice sets forth the and groupers and tilefishes occur in IFQ programs and require an additional schedule and proposed agenda for a Federal waters of the Gulf of Mexico verification from them when the meeting of the Ocean Exploration (Gulf), and the ITQ program for existing flexibility measure of a 10 Advisory Board (OEAB). OEAB wreckfish occurs in Federal waters of percent overage of their allocation members will discuss and provide the South Atlantic. would occur. advice on Federal ocean exploration
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programs, with a particular emphasis on information will be on the meeting Council’s website, www.gulfcouncil.org the topics identified in the section on agenda on the OEAB website. also has details on the meeting location, Matters to Be Considered. The OEAB expects that public proposed agenda, webinar listen-in DATES: The announced meeting is statements at its meetings will not be access, and other materials. scheduled for Wednesday, April 7, repetitive of previously submitted SUPPLEMENTARY INFORMATION: The 2021, and Thursday, April 8, 2021 from verbal or written statements. In general, following items are on the agenda, 1:00 p.m. to 5:00 p.m. EDT. each individual or group making a though agenda items may be addressed verbal presentation will be limited to ADDRESSES: This will be a virtual out of order (changes will be noted on three minutes. The Designated Federal meeting. Information about how to the Council’s website when possible.) Officer must receive written comments participate will be posted to the OEAB by April 2, 2021, to provide sufficient Tuesday, March 23, 2021; 8:30 a.m.–5 website at https://oeab.noaa.gov/. time for OEAB review. Written p.m. FOR FURTHER INFORMATION CONTACT: Mr. comments received after April 2, 2021, Meeting will begin with adoption of David McKinnie, Designated Federal will be distributed to the OEAB, but agenda; approval of minutes from the Officer, Ocean Exploration Advisory may not be reviewed prior to the November 16, 2020 webinar; and, a Board, National Oceanic and meeting date. review of scope of work with its Atmospheric Administration, Special Accommodations: Requests members. The AP will receive an update [email protected] or (206) 526– for sign language interpretation or other on Council actions in response to 6950. auxiliary aids should be directed to the motions from the November 2020 SUPPLEMENTARY INFORMATION: NOAA Designated Federal Officer by April 2, Shrimp AP meeting and on National established the OEAB under the Federal 2021. Marine Fisheries Service (NMFS) Advisory Committee Act (FACA) and Dated: February 3, 2021. Shrimp Working Groups; review 2019 legislation that gives the agency David Holst, Gulf Shrimp Fishery Effort and statutory authority to operate an ocean Director Chief Financial Officer/CAO, Office Landings; review 2019 Royal Red Index; exploration program and to coordinate a of Oceanic and Atmospheric Research, and, receive information on the national program of ocean exploration. National Oceanic and Atmospheric Biological Review of Texas Closure. The The OEAB advises NOAA leadership on Administration. AP will receive an update on Effort Data strategic planning, exploration [FR Doc. 2021–03550 Filed 2–22–21; 8:45 am] Collection: Status of 3G cellular priorities, competitive ocean BILLING CODE 3510–KA–P Electronic Logbooks (cELBs); Pilot exploration grant programs, and other Program using P-Sea WindPlot; matters as the NOAA Administrator Alternative Options for Consideration; requests. DEPARTMENT OF COMMERCE and Background—Council letter OEAB members represent government regarding the P-Sea WindPlot pilot agencies, the private sector, academic National Oceanic and Atmospheric program. institutions, and not-for-profit Administration The AP will discuss Aquaculture institutions involved in all facets of [RTID 0648–XA859] Opportunity Areas in the Gulf of ocean exploration—from advanced Mexico, Background—Council letter technology to citizen exploration. Gulf of Mexico Fishery Management requesting establishment of fishery In addition to advising NOAA Council; Public Meeting stakeholder advisory panel; leadership, NOAA expects the OEAB to Recommendations for Conducting a help to define and develop a national AGENCY: National Marine Fisheries Kemp’s Ridley Sea Turtle Stock program of ocean exploration—a Service (NMFS), National Oceanic and Assessment; and, Research Projects to network of stakeholders and Atmospheric Administration (NOAA), Improve Bycatch Estimates in the partnerships advancing national Commerce. Shrimp Industry. priorities for ocean exploration. ACTION: Notice of a public meeting. The AP will receive public testimony Matters to be Considered: The OEAB and discuss Other Business: Timeline SUMMARY: The Gulf of Mexico Fishery will discuss the following topics: (1) for Shrimp AP Recruitment. Management Council will hold a one- Ocean exploration in the context of —Meeting Adjourns day meeting via webinar of its Shrimp administration priorities, (2) Annual Advisory Panel (AP). The meeting will be broadcast via review of the Office of Ocean webinar. You may register by visiting Exploration and Research competitive DATES: The webinar will convene on www.gulfcouncil.org and clicking on the grants program, (3) Office of Ocean Tuesday, March 23, 2021, 8:30 a.m. to AP meeting on the calendar. Exploration and Research updates, and 5 p.m., EST. For agenda details, see The Agenda is subject to change, and (4) other matters as described in the SUPPLEMENTARY INFORMATION. the latest version along with other agenda. The agenda and other meeting ADDRESSES: The meeting will be held meeting materials will be posted on materials will be made available on the via webinar. Please visit the Gulf www.gulfcouncil.org as they become OEAB website at https://oeab.noaa.gov/ Council website www.gulfcouncil.org for available. . meeting materials and webinar Although other non-emergency issues Status: The meeting will be open to registration information. not on the agenda may come before the the public with a 15-minute public Council address: Gulf of Mexico group for discussion, in accordance comment period on the second day of Fishery Management Council, 4107 W with the Magnuson-Stevens Fishery the meeting, Thursday, April 8, 2021, Spruce Street, Suite 200, Tampa, FL Conservation and Management Act from 3:00 p.m. to 3:15 p.m. EDT (please 33607; telephone: (813) 348–1630. (Magnuson-Stevens Act), those issues check the final agenda on the OEAB FOR FURTHER INFORMATION CONTACT: Dr. may not be the subject of formal action website to confirm the time). The public Matt Freeman, Economist, Gulf of during this meeting. Actions will be may listen to the meeting and provide Mexico Fishery Management Council; restricted to those issues specifically comments during the public comment [email protected], identified in this notice and any issues period via teleconference. Participation telephone: (813) 348–1630. The arising after publication of this notice
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that require emergency action under SUPPLEMENTARY INFORMATION: have practical utility; (b) Evaluate the Section 305(c) of the Magnuson-Stevens accuracy of our estimate of the time and I. Abstract Act, provided the public has been cost burden for this proposed collection, notified of the Council’s intent to take This is a request for extension of an including the validity of the action to address the emergency at least existing information collection. methodology and assumptions used; (c) 5 working days prior to the meeting. The National Marine Fisheries Service Evaluate ways to enhance the quality, (NMFS) proposes to conduct a census of (Authority: 16 U.S.C. 1801 et seq.) utility, and clarity of the information to small-scale fishermen operating in the be collected; and (d) Minimize the Dated: February 18, 2021. United States (U.S.) Caribbean. This reporting burden on those who are to Tracey L. Thompson, data collection applies to Puerto Rico respond, including the use of automated Acting Deputy Director, Office of Sustainable and the U.S. Virgin Islands. The collection techniques or other forms of Fisheries, National Marine Fisheries Service. proposed socio-economic study will information technology. [FR Doc. 2021–03644 Filed 2–22–21; 8:45 am] collect information on demographics, Comments that you submit in BILLING CODE 3510–22–P capital investment in fishing gear and response to this notice are a matter of vessels, fishing and marketing practices, public record. We will include or economic performance, and summarize each comment in our request DEPARTMENT OF COMMERCE miscellaneous attitudinal questions. The to OMB to approve this ICR. Before data gathered will be used for the including your address, phone number, National Oceanic and Atmospheric development of amendments to fishery email address, or other personal Administration management plans, which require identifying information in your descriptions of the human and Agency Information Collection comment, you should be aware that economic environment and socio- Activities; Submission to the Office of your entire comment—including your economic analyses of regulatory Management and Budget (OMB) for personal identifying information—may proposals. The information collected Review and Approval; Comment be made publicly available at any time. will also be used to strengthen fishery Request; U.S. Caribbean Commercial While you may ask us in your comment management decision-making and Fishermen Census to withhold your personal identifying satisfy various legal mandates under the information from public review, we AGENCY: National Oceanic & Magnuson-Stevens Fishery cannot guarantee that we will be able to Atmospheric Administration (NOAA), Conservation and Management Act do so. Commerce. (U.S.C. 1801 et seq.; MSA), Executive Sheleen Dumas, ACTION: Notice of Information Order 12866, Regulatory Flexibility Act, Department PRA Clearance Officer, Office of Collection, request for comment. Endangered Species Act (ESA), and National Environmental Policy Act the Chief Information Officer, Commerce Department. SUMMARY: The Department of (NEPA), and other pertinent statues. Commerce, in accordance with the [FR Doc. 2021–03628 Filed 2–22–21; 8:45 am] Paperwork Reduction Act of 1995 II. Method of Collection BILLING CODE 3510–22–P (PRA), invites the general public and In-person, voluntary surveys will be other Federal agencies to comment on used to collect the above-described proposed, and continuing information information. DEPARTMENT OF COMMERCE collections, which helps us assess the III. Data National Oceanic and Atmospheric impact of our information collection Administration requirements and minimize the public’s OMB Control Number: 0648–0716. reporting burden. The purpose of this Form Number(s): None. [RTID 0648–XA890] notice is to allow for 60 days of public Type of Review: Regular submission comment preceding submission of the (extension of a current information Fisheries of the South Atlantic; collection to OMB. collection). Southeast Data, Assessment, and Review (SEDAR); Public Meeting DATES: To ensure consideration, Affected Public: Business or other for- profit organizations. comments regarding this proposed AGENCY: National Marine Fisheries Estimated Number of Respondents: information collection must be received Service (NMFS), National Oceanic and 1,500. on or before April 26, 2021. Atmospheric Administration (NOAA), Estimated Time per Response: 30 Commerce. ADDRESSES: Interested persons are minutes. invited to submit written comments to Estimated Total Annual Burden ACTION: Notice of SEDAR data scoping Adrienne Thomas, NOAA PRA Officer, Hours: 750 hours. webinar for SEDAR Procedural at [email protected]. Please Estimated Total Annual Cost to Workshop 8: Fishery Independent Index reference OMB Control Number 0648– Public: $0. Development Under Changing Survey 0716 in the subject line of your Respondent’s Obligation: Voluntary. Design. comments. Do not submit Confidential Legal Authority: Magnuson-Stevens SUMMARY: The SEDAR Procedural Business Information or otherwise Fishery Conservation and Management sensitive or protected information. Workshop 8 for Fishery Independent Act (U.S.C. 1801 et seq.) and National Index Development will consist of a FOR FURTHER INFORMATION CONTACT: Environmental Policy Act (NEPA). series of webinars and an in-person Requests for additional information or workshop. See SUPPLEMENTARY specific questions related to collection IV. Request for Comments INFORMATION. activities should be directed to Dr. Juan We are soliciting public comments to J. Agar, Southeast Fisheries Science permit the Department/Bureau to: (a) DATES: The SEDAR Procedural Center, National Marine Fisheries Evaluate whether the proposed Workshop 8 data scoping webinar will Service, 75 Virginia Beach Drive, information collection is necessary for be held March 17, 2021, from 11 a.m. Miami, Florida 33149, 305–361–4218, the proper functions of the Department, until 1 p.m., Eastern Standard Time. [email protected]. including whether the information will ADDRESSES:
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Meeting address: The meeting will be Although non-emergency issues not Council address: New England held via webinar. The webinar is open contained in this agenda may come Fishery Management Council, 50 Water to members of the public. Those before this group for discussion, those Street, Mill 2, Newburyport, MA 01950. interested in participating should issues may not be the subject of formal FOR FURTHER INFORMATION CONTACT: contact Julie A. Neer at SEDAR (see FOR action during this meeting. Action will FURTHER INFORMATION CONTACT) to be restricted to those issues specifically Thomas A. Nies, Executive Director, request an invitation providing webinar identified in this notice and any issues New England Fishery Management access information. Please request arising after publication of this notice Council; telephone: (978) 465–0492. webinar invitations at least 24 hours in that require emergency action under SUPPLEMENTARY INFORMATION: advance of each webinar. section 305(c) of the Magnuson-Stevens SEDAR address: 4055 Faber Place Fishery Conservation and Management Agenda Drive, Suite 201, North Charleston, SC Act, provided the public has been The Joint Committee and Advisory 29405. notified of the intent to take final action Panel plan to discuss progress to date on FOR FURTHER INFORMATION CONTACT: Julie to address the emergency. potential habitat management action for A. Neer, SEDAR Coordinator; (843) 571– Special Accommodations the Northern Edge of Georges Bank. 4366; email: [email protected]. They will receive updates and will SUPPLEMENTARY INFORMATION: The Gulf The meeting is physically accessible discuss offshore wind-related issues. of Mexico, South Atlantic, and to people with disabilities. Requests for The group also plans to discuss Caribbean Fishery Management sign language interpretation or other mechanisms for coordination with Councils, in conjunction with NOAA auxiliary aids should be directed to the Fisheries and the Atlantic and Gulf Council office (see ADDRESSES) at least NOAA Fisheries on aquaculture States Marine Fisheries Commissions 10 business days prior to each planning. An update on Northeast have implemented the Southeast Data, workshop. Regional Habitat Assessment will be Assessment and Review (SEDAR) Note: The times and sequence specified in received. Other business may be process, a multi-step method for this agenda are subject to change. discussed as necessary. determining the status of fish stocks in Although non-emergency issues not (Authority: 16 U.S.C. 1801 et seq.) the Southeast Region. SEDAR is a multi- contained in this agenda may come step process including: (1) Data Dated: February 18, 2021. before this group for discussion, those Workshop; (2) Assessment Process Tracey L. Thompson, issues may not be the subject of formal utilizing webinars; and (3) Review Acting Deputy Director, Office of Sustainable action during this meeting. Action will Workshop. The product of the Data Fisheries, National Marine Fisheries Service. be restricted to those issues specifically Workshop is a data report that compiles [FR Doc. 2021–03641 Filed 2–22–21; 8:45 am] listed in this notice and any issues and evaluates potential datasets and BILLING CODE 3510–22–P arising after publication of this notice recommends which datasets are that require emergency action under appropriate for assessment analyses. section 305(c) of the Magnuson-Stevens The product of the Assessment Process DEPARTMENT OF COMMERCE Act, provided the public has been is a stock assessment report that notified of the Council’s intent to take describes the fisheries, evaluates the National Oceanic and Atmospheric status of the stock, estimates biological Administration final action to address the emergency. benchmarks, projects future population Special Accommodations conditions, and recommends research [RTID 0648–XA891] and monitoring needs. The assessment This meeting is physically accessible is independently peer reviewed at the New England Fishery Management to people with disabilities. Requests for Review Workshop. The product of the Council; Public Meeting sign language interpretation or other Review Workshop is a Summary auxiliary aids should be directed to AGENCY: National Marine Fisheries documenting panel opinions regarding Thomas A. Nies, Executive Director, at Service (NMFS), National Oceanic and the strengths and weaknesses of the Atmospheric Administration (NOAA), (978) 465–0492, at least 5 days prior to stock assessment and input data. Commerce. the date. This meeting will be recorded. Participants for SEDAR Workshops are Consistent with 16 U.S.C. 1852, a copy ACTION: Notice; public meeting. appointed by the Gulf of Mexico, South of the recording is available upon Atlantic, and Caribbean Fishery SUMMARY: The New England Fishery request. Management Councils and NOAA Management Council (Council) is Fisheries Southeast Regional Office, (Authority: 16 U.S.C. 1801 et seq.) scheduling a public meeting of its HMS Management Division, and Dated: February 18, 2021. Habitat Joint Committee and Advisory Southeast Fisheries Science Center. Panel via webinar to consider actions Tracey L. Thompson, Participants include data collectors and affecting New England fisheries in the Acting Deputy Director, Office of Sustainable database managers; stock assessment exclusive economic zone (EEZ). Fisheries, National Marine Fisheries Service. scientists, biologists, and researchers; Recommendations from this group will [FR Doc. 2021–03645 Filed 2–22–21; 8:45 am] constituency representatives including be brought to the full Council for formal BILLING CODE 3510–22–P fishermen, environmentalists, and consideration and action, if appropriate. NGO’s; International experts; and staff of Councils, Commissions, and state and DATES: This meeting will be held on federal agencies. Tuesday, March 9, 2021 at 9 a.m. The items of discussion in the data ADDRESSES: All meeting participants scoping webinar are as follows: and interested parties can register to • Participants will discuss what data join the webinar at https:// may be available for use in SEDAR attendee.gotowebinar.com/register/ Procedural Workshop 8. 7697564770086457103.
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DEPARTMENT OF COMMERCE Instructions: Comments sent by any To ensure consideration of input from other method, to any other address or interested parties in each region, NOAA National Oceanic and Atmospheric individual, or received after the end of will conduct three public scoping Administration the comment period, may not be meetings. Each meeting will be focused [RTID 0648–XA866] considered by NOAA. All comments on a region or combination of regions received are a part of the public record based on time zone proximity. More Programmatic Environmental Impact and will generally be posted for public information about each meeting, Statement for the NMFS Saltonstall- viewing on www.regulations.gov including meeting dates and times, can Kennedy Research and Development without change. All personal identifying be found in the Scoping Process section Program information (e.g., name, address, etc.), below. confidential business information, or Background AGENCY: National Marine Fisheries otherwise sensitive information Service (NMFS), National Oceanic and submitted voluntarily by the sender will In 1954, the Saltonstall-Kennedy Act Atmospheric Administration (NOAA), be publicly accessible. NOAA will (15 U.S.C. 713c–3) was passed to Department of Commerce. accept anonymous comments (enter address the needs of U.S. fisheries and ACTION: Notice of intent; announcement ‘‘N/A’’ in the required fields if you wish their associated fishing sectors, and of public scoping meetings; request for to remain anonymous). thereby established the S–K Program. written comments. The Saltonstall-Kennedy Act states that Comments will also be accepted at The Secretary shall make grants to assist SUMMARY: NOAA announces its intent to public scoping meetings. The webinar persons in carrying out research and prepare a Programmatic Environmental and telephone information for the development projects addressed to any Impact Statement (PEIS) for the public scoping meetings is provided aspect of United States fisheries, implementation of projects that foster below in the Scoping Process section. including, but not limited to, harvesting, the promotion, marketing, research, and FOR FURTHER INFORMATION CONTACT: Cliff processing, marketing, and associated development of U.S. Fisheries and their Cosgrove, Saltonstall-Kennedy Program infrastructures. associated fishing sectors, as consistent Manager, telephone: (301–427–8736); The S–K Program provides funding to with NOAA’s Saltonstall-Kennedy [email protected]; or visit the S–K projects that benefit fishing Research and Development Program (S– Program website: https:// communities through the promotion, K Program). The focus of this action will www.fisheries.noaa.gov/content/ marketing, research, and development, be activities and projects under the S– saltonstall-kennedy-research-and- of U.S. fisheries and their associated K Program, which interfaces with development-program. fishing sectors. Since its inception, numerous programs within NOAA, and grants have been provided to fishers, SUPPLEMENTARY INFORMATION: As it is NOAA’s intention that this PEIS individuals, private businesses, fishing required by the National Environmental may also cover those activities and organizations, universities, states, Policy Act (NEPA), the PEIS will projects implemented by other NOAA research institutes, non-governmental analyze the environmental impacts of programs and offices that are consistent organizations, and others. implementing each of the alternatives, if with the scope of the S–K Program. The The S–K Program is composed of a carried forward for full review following S–K Program funds projects that address competitive grant program and a public scoping, by assessing the effects the needs of fishing communities, national program. Grants and of each alternative on the human optimize economic benefits by building cooperative agreements are provided environment. and maintaining sustainable fisheries under both programs and can occur in (where the term ‘‘fisheries’’ includes Project Scope any of NMFS’s five fisheries regions. commercial wild capture, recreational The national program is designed to fishing, cultural and subsistence fishing, The purpose of this PEIS is to identify fund needed fishery industry projects and marine aquaculture), and increase and evaluate the general impacts, issues that are not addressed through the other opportunities to keep working and concerns related to the competitive grants program. Funding for waterfronts viable. This notice of intent implementation of the types of projects the S–K Program is determined through (NOI) to prepare a PEIS initiates the that are consistent with the scope of the annual congressional appropriations. public scoping process and invites S–K Program. The PEIS will be used to Historically, the S–K Program has had a interested parties to provide comments support site- and project-specific NEPA diverse set of priorities, selecting on the proposed project, its potential to reviews, as necessary. The PEIS will between two and seven projects each affect the human environment, means address all of the priorities, and their year for funding. The primary priority for avoiding, minimizing, or mitigating associated project types, that the S–K has been projects that meet the purpose those effects, the preliminary range of Program has funded to date, which of promotion, development, and alternatives, and any additional cover the range of priorities and project marketing (PDM) of U.S. fisheries and reasonable alternatives that should be types that fall under the S–K Program. their associated fishing sectors, and considered. The affected environment associated NMFS anticipates that will continue to with the proposed action includes all be the primary priority, but priorities DATES: Written comments on this coastal, estuarine, and marine habitats can change annually and additional scoping process must be received no in the United States and its territories. priorities can be chosen. later than March 25, 2021. It also includes inland habitats that For more information about the S–K ADDRESSES: Submit your comments on influence or affect rivers, streams, and Program, please use the link provided in this scoping notice by Federal e- creeks affecting marine or estuarine the FOR FURTHER INFORMATION CONTACT Rulemaking Portal: Go to http:// waters, or that support migratory fish section above. www.regulations.gov/docket/NOAA- populations. It may also include NMFS-2021-0012. Click the ‘‘Comment adjacent or continuous habitats in Proposed Action, Purpose, and Need Now!’’ icon, complete the required Canada or Mexico that support living The proposed Federal action is to fields, and enter or attach your coastal and marine resources under fund projects that are consistent with comments. NOAA trusteeship. the scope of the S–K Program. The
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purpose of the proposed action is Scoping Process Webinar Link: https:// threefold: (1) Address the needs of kearnsandwest.webex.com/meet/ This notice initiates a public scoping fishing communities, consistent with webexalias3 period for the PEIS. Please review the NOAA’s mandate through the Access Code: 146 622 5582 information in this notice and Dial-in Information: 1–844–621–3956 Saltonstall-Kennedy Act; (2) ensure additional information about the S–K (U.S. Toll Free) | +1–415–655–0001 NOAA continues to meet the Program, located on the NOAA S–K requirements of the Saltonstall-Kennedy (U.S. Toll) Program website (see the FOR FURTHER Act; and (3) assist NOAA in meeting its INFORMATION CONTACT section above). Participants are encouraged to mission, ‘‘To understand and predict NOAA is particularly interested in download the Webex Meetings app changes in climate, weather, oceans, receiving comments regarding ahead of the meetings, using this link: and coasts, to share that knowledge and biological, cultural, or ecological issues https://www.webex.com/ information with others, and to that the analysis should address. We downloads.html. Then use the meeting conserve and manage coastal and also encourage comments that assist us link above to join a public scoping marine ecosystems and resources’’. The in further delineating the proposed meeting at the appropriate time. You Proposed Action is needed to address project, its potential to affect the human may also participate by phone toll-free the needs of fishing communities by environment, means for avoiding, by calling 1–844–621–3956, then building and maintaining sustainable minimizing, or mitigating those effects, entering the Access Code above when fisheries, optimizing economic benefits, the preliminary range of alternatives, prompted. and increasing other opportunities to any additional reasonable alternatives After the comment period closes, keep working waterfronts viable. that should be considered, and other NOAA will review and consider all Types of projects funded by the S–K issues of public concern. To promote comments received during the comment Program include, but are not limited to, informed decision-making, we period and any other relevant promotion and marketing; aquaculture; especially encourage commenters to information when developing the draft gear testing; bycatch reduction submit any scientific data, studies, or PEIS. Upon completion of the draft engineering; research and monitoring; research that you feel is relevant to the PEIS, a document announcing its stock assessments; data collection; analysis. availability and an opportunity to socioeconomic research; climate change; To facilitate the public and agency comment will be published in the and workshops and conferences. involvement in the PEIS process, NOAA Federal Register. will hold three public-scoping meetings Authority: This PEIS will be prepared Alternatives during the scoping period. The meetings under the authority of, and in accordance with, the requirements of NEPA, NOAA is preliminarily preparing to will be virtual in format. The scoping meetings will solicit input from the implementing regulations published by the analyze two program-level alternatives: Council on Environmental Quality (40 CFR (1) A No Action Alternative, and (2) the public and interested public agencies 1500–1508), other applicable regulations, and proposed action, which NOAA is regarding the scope of environmental NOAA’s policies and procedures for referring to as the Promotion, Marketing, impacts to be addressed in the draft compliance with those regulations. PEIS. Three virtual public scoping Research and Development Alternative. Dated: February 16, 2021. meetings (in webinar format only) will Under the No Action Alternative, the S– Daniel A. Namur, K Program would not fund projects that be held in each of three regions, as follows: Director of the NMFS Financial Assistance address the needs of fishing Division, National Marine Fisheries Service. • Eastern and Gulf of Mexico Region communities, optimize economic [FR Doc. 2021–03626 Filed 2–22–21; 8:45 am] benefits by building and maintaining (includes Atlantic States, Gulf of BILLING CODE 3510–22–P sustainable fisheries, and increase other Mexico States, U.S. Virgin Islands, opportunities to keep working and Puerto Rico)—March 9, 2021 waterfronts viable. Although the No Æ 12:00 p.m.–3:00 p.m. Central Action Alternative would not meet the Standard Time (CST) DEPARTMENT OF DEFENSE purpose and need, it serves as a baseline Æ 1:00 p.m.– 4:00 p.m. Eastern against which the impacts of the Standard Time (EST) Office of the Secretary Promotion, Marketing, Research and • Western Region (includes Pacific Development Alternative will be Notice of Waiver of the Referral States, Idaho, Alaska)—March 10, Requirement for TRICARE Prime compared and contrasted. 2021 Implementation of the Promotion, Æ Enrollees, Not Including Active Duty 10:00 a.m.–1:00 p.m. Pacific Service Members (ADSMs), So They Marketing, Research and Development Standard Time (PST) May Receive COVID–19 Vaccines From Alternative, will allow for funding Æ 9:00 a.m.–12:00 p.m. Alaska Any TRICARE-Authorized Non-Network actions through federal financial Standard Time (AKST) Provider Without Incurring Point-of- assistance for all possible types of • Western Pacific Region (includes Service Charges Where Applicable projects that meet the needs of U.S. Hawaii and Pacific Territories)— fishing communities, consistent with March 11, 2021, March 12, 2021 AGENCY: Office of the Secretary, the scope of the S–K Program. This Æ March 11, 2021, 2:00 p.m.–5:00 Department of Defense (DoD). alternative would provide the S–K p.m. Hawaii-Aleutian Standard ACTION: Notice of waiver. Program with flexibility in choosing Time (HST) priorities each year while also SUMMARY: This notice is to advise Æ March 12, 2021, 10:00 a.m.–1:00 considering the funding environment. TRICARE Prime enrollees, not including p.m. Chamorro Standard Time We invite public comments on the ADSMs, of a waiver to the referral (CHST) proposed scope of the alternatives and requirement so they may receive are particularly interested in comments Use the webinar link and dial-in COVID–19 vaccines, a clinical regarding potential additional information below to join one of the preventive service, from any TRICARE alternatives. public scoping meetings: authorized non-network provider
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without incurring POS charges where COVID–19 vaccine in persons aged 18 available to the public for any reason, applicable. years and older for the prevention of ED will temporarily accept comments at COVID–19. The recommendation was DATES: This waiver is effective on [email protected]. Please include the December 13, 2020. published in an early release of the docket ID number and the title of the MMWR on December 20, 2020; thus, information collection request when ADDRESSES: Defense Health Agency this vaccine may also be covered by requesting documents or submitting (DHA), 16401 East Centretech Parkway, TRICARE. comments. Please note that comments Aurora, CO 80011–9066. Except under very special submitted by fax or email and those FOR FURTHER INFORMATION CONTACT: circumstances, a beneficiary enrolled in submitted after the comment period will Valerie Palmer, Defense Health Agency, TRICARE Prime is required to obtain a not be accepted. Written requests for 303–676–3557, valerie.a.palmer3.civ@ referral for care through a designated information or comments submitted by mail.mil. primary care manager (or other postal mail or delivery should be SUPPLEMENTARY INFORMATION: In authorized care coordinator) prior to addressed to the PRA Coordinator of the December 2019, an outbreak of obtaining care under the TRICARE Strategic Collections and Clearance respiratory disease caused by a novel program, otherwise POS charges apply. Governance and Strategy Division, U.S. coronavirus was detected in Wuhan The DHA believes the widespread need Department of Education, 400 Maryland City, Hubei Province, China. The virus for COVID–19 vaccines and the fact that Ave. SW, LBJ, Room 6W208D, has been named SARS–CoV–2 and the supply of these vaccines may be limited Washington, DC 20202–8240. disease it causes has been named is a special circumstance necessitating FOR FURTHER INFORMATION CONTACT: For COVID–19. This virus has spread the waiver of the referral requirement specific questions related to collection rapidly throughout the United States for TRICARE Prime enrollees so they activities, please contact Beth (U.S.) and around the world. may receive a COVID–19 vaccine, a Grebeldinger, 202–377–4018. clinical preventive service, from any On January 31, 2020, the Secretary of SUPPLEMENTARY INFORMATION: The the Department of Health and Human TRICARE authorized non-network Department of Education (ED), in Services, Alex Azar, declared a public provider without incurring POS charges accordance with the Paperwork health emergency pursuant to Section where applicable. This waiver will Reduction Act of 1995 (PRA) (44 U.S.C. 319 of the Public Health Service Act for apply for the period of the U.S. 3506(c)(2)(A)), provides the general the entire U.S. to aid in the Nation’s President’s declaration of the COVID–19 public and Federal agencies with an health care community response to national emergency. opportunity to comment on proposed, COVID–19, retroactive to January 27, Dated: January 25, 2021. revised, and continuing collections of 2020. On March 13, 2020, President Aaron T. Siegel, information. This helps the Department Donald Trump declared that the Alternate OSD Federal Register Liaison assess the impact of its information COVID–19 outbreak in the U.S. Officer, Department of Defense. collection requirements and minimize constituted a national emergency, [FR Doc. 2021–03667 Filed 2–22–21; 8:45 am] the public’s reporting burden. It also beginning March 1, 2020. BILLING CODE 5001–06–P helps the public understand the Thus far, two vaccines have been Department’s information collection approved by the Food and Drug requirements and provide the requested Administration (FDA) for the prevention DEPARTMENT OF EDUCATION data in the desired format. ED is of COVID–19 in the U.S. On December soliciting comments on the proposed 11, 2020, the FDA issued an Emergency [Docket No.: ED–2021–SCC–0027] information collection request (ICR) that Use Authorization (EUA) for the Pfizer- Agency Information Collection is described below. The Department of BioNTech COVID–19 vaccine (Pfizer, Activities; Comment Request; Education is especially interested in Inc.; Philadelphia, Pennsylvania). Reaffirmation Agreement public comment addressing the Vaccination with the Pfizer-BioNTech following issues: (1) Is this collection COVID–19 vaccine consists of two doses AGENCY: Federal Student Aid, necessary to the proper functions of the administered intramuscularly, three Department of Education (ED). Department; (2) will this information be weeks apart. On December 12, 2020, the ACTION: Notice. processed and used in a timely manner; Advisory Committee on Immunization (3) is the estimate of burden accurate; Practices (ACIP) issued an interim SUMMARY: In accordance with the (4) how might the Department enhance recommendation for use of the Pfizer- Paperwork Reduction Act of 1995, ED is the quality, utility, and clarity of the BioNTech COVID–19 vaccine in persons proposing an extension without change information to be collected; and (5) how aged 16 years and older for the of a currently approved collection. might the Department minimize the prevention of COVID–19. The DATES: Interested persons are invited to burden of this collection on the recommendation was published in an submit comments on or before April 26, respondents, including through the use early release of the Morbidity and 2021. of information technology. Please note Mortality Weekly Report (MMWR) on ADDRESSES: To access and review all the that written comments received in December 13, 2020; thus, this vaccine documents related to the information response to this notice will be may now be covered by TRICARE. collection listed in this notice, please considered public records. On December 18, 2020, the FDA use http://www.regulations.gov by Title of Collection: Reaffirmation issued an EUA for the Moderna COVID– searching the Docket ID number ED– Agreement. 19 (mRNA–1273) vaccine (ModernaTX, 2021–SCC–0027. Comments submitted OMB Control Number: 1845–0133. Inc; Cambridge, Massachusetts). in response to this notice should be Type of Review: An extension without Vaccination with the Moderna COVID– submitted electronically through the change of a currently approved 19 vaccine consists of two doses Federal eRulemaking Portal at http:// collection. administered intramuscularly, four www.regulations.gov by selecting the Respondents/Affected Public: weeks apart. On December 19, 2020, the Docket ID number or via postal mail, Individuals and Households; Private ACIP issued an interim commercial delivery, or hand delivery. Sector; State, Local, and Tribal recommendation for use of the Moderna If the regulations.gov site is not Governments.
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Total Estimated Number of Annual of a 64-mile transmission project DEPARTMENT OF ENERGY Responses: 12,110. between Tucson Electric’s Vail and Total Estimated Number of Annual Tortolita substations, as more fully Federal Energy Regulatory Burden Hours: 1,453. explained in the petition. Commission Abstract: The Higher Education Act of Any person desiring to intervene or to [Docket No. EL21–49–000] 1965, as amended (HEA), established protest this filing must file in the Federal Family Education Loan accordance with Rules 211 and 214 of Hecate Energy Greene County 3 LLC v. (FFEL) Program, and the William D. the Commission’s Rules of Practice and Central Hudson Gas & Electric Corp. Ford Federal Direct Loan (Direct Loan) Procedure (18 CFR 385.211, 385.214). and New York Independent System Program under Title IV, Parts B and D Operator Inc.; Notice of Complaint Protests will be considered by the respectively. The HEA provides for a Commission in determining the maximum loan amount that a borrower Take notice that on February 11, 2021, appropriate action to be taken, but will can receive per year and in total. If a pursuant to sections 206 and 306, of the not serve to make protestants parties to borrower receives more than the Federal Power Act, 16 U.S.C. 824e and maximum amount, the borrower the proceeding. Any person wishing to 825e and Rule 206 and 212 of the Federal Energy Regulatory becomes ineligible for further Title IV become a party must file a notice of Commission’s (Commission) Rules of aid (including Federal Pell Grants, intervention or motion to intervene, as Practice and Procedure, 18 CFR 385.206, Federal Supplemental Educational appropriate. Such notices, motions, or Hecate Energy Greene County 3 LLC Opportunity Grants, Federal Work- protests must be filed on or before the (Complainant or HEG 3) filed a formal Study, and Teacher Education comment date. Anyone filing a motion complaint against New York Assistance for Higher Education to intervene or protest must serve a copy Independent System Operator, Inc. (TEACH) Grants, Iraq and Afghanistan of that document on the Petitioner. (NYISO) and Central Hudson Gas & Service Grants) unless the borrower In addition to publishing the full text Electric Corp. (Central Hudson) repays the excess amount or agrees to of this document in the Federal (collectively, Respondents) requesting repay the excess amount according to Register, the Commission provides all fast track processing and alleging that the terms and conditions of the interested persons an opportunity to the Respondents violated the Federal promissory note that the borrower view and/or print the contents of this Power Act and NYISO’s Open Access signed. Agreeing to repay the excess document via the internet through the Transmission Tariff (Tariff) by (1) failing amount according to the terms and Commission’s Home Page (http:// to use reasonable efforts when conditions of the promissory note that ferc.gov) using the ‘‘eLibrary’’ link. processing Complainant’s small the borrower signed is called Enter the docket number excluding the generator interconnection request and ‘‘reaffirmation’’, which is the subject of last three digits in the docket number (2) applying an Inclusion Practice this collection. field to access the document. At this regarding the firmness of generator Dated: February 18, 2021. time, the Commission has suspended interconnection requests that is not Kate Mullan, access to the Commission’s Public specified in the Tariff and that PRA Coordinator, Strategic Collections and Reference Room, due to the contradicted the Tariff provisions Clearance Governance and Strategy Division, proclamation declaring a National regarding queue position, all as more Office of Chief Data Officer, Office of Emergency concerning the Novel fully explained in the complaint. Planning, Evaluation and Policy Coronavirus Disease (COVID–19), issued The Complainant certifies that copies Development. by the President on March 13, 2020. For of the complaint were served on the [FR Doc. 2021–03639 Filed 2–22–21; 8:45 am] assistance, contact the Federal Energy contacts listed for Respondents in the BILLING CODE 4000–01–P Regulatory Commission at Commission’s list of Corporate Officials. [email protected] or call Any person desiring to intervene or to toll-free, (886) 208–3676 or TYY, (202) protest this filing must file in DEPARTMENT OF ENERGY 502–8659. accordance with Rules 211 and 214 of The Commission strongly encourages the Commission’s Rules of Practice and Federal Energy Regulatory electronic filings of comments, protests Procedure (18 CFR 385.211, 385.214). Commission and interventions in lieu of paper using Protests will be considered by the Commission in determining the [Docket Nos. EL20–70–000] the ‘‘eFiling’’ link at http:// appropriate action to be taken, but will www.ferc.gov. Persons unable to file not serve to make protestants parties to Tucson Electric Power Company; electronically may mail similar the proceeding. Any person wishing to Notice of Supplement to Petition for pleadings to the Federal Energy become a party must file a notice of Declaratory Order Regulatory Commission, 888 First Street intervention or motion to intervene, as NE, Washington, DC 20426. Hand Take notice that, on February 16, appropriate. The Respondents’ answer delivered submissions in docketed 2021, pursuant to Rule 212 of the and all interventions, or protests must proceedings should be delivered to Federal Energy Regulatory be filed on or before the comment date. Health and Human Services, 12225 Commission’s (Commission) Rules of The Respondents’ answer, motions to Wilkins Avenue, Rockville, Maryland Practice and Procedure, 18 CFR 385.212 intervene, and protests must be served (2020), Tucson Electric Power Company 20852. on the Complainant. (Petitioner) submitted a supplement to Comment Date: 5:00 p.m. Eastern time The Commission strongly encourages its petition for declaratory order on February 26, 2021. electronic filings of comments, protests (Petition), filed on September 2, 2020, Dated: February 17, 2021. and interventions in lieu of paper using requesting that the Commission issue a the ‘‘eFiling’’ link at http:// declaratory order granting incentive rate Kimberly D. Bose, www.ferc.gov. Persons unable to file treatment for its purchase of Secretary. electronically may mail similar development rights and subsequent [FR Doc. 2021–03676 Filed 2–22–21; 8:45 am] pleadings to the Federal Energy development associated with upgrades BILLING CODE 6717–01–P Regulatory Commission, 888 First Street
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NE, Washington, DC 20426. Hand h. Applicant Contact: Tim Carlsen, 43 acre-feet and a surface area of 5 acres delivered submissions in docketed CEO, Hydroland, Inc.,1 403 Madison at a normal pool elevation of 175.4 feet proceedings should be delivered to Ave. #240, Bainbridge Island, WA NGVD29; (3) an intake structure with Health and Human Services, 12225 98110; Phone at (844) 493–7612 or two gates and a 27-foot-high, 34-foot- Wilkins Avenue, Rockville, Maryland email at [email protected]. wide trash rack; (4) a 9-foot-diameter, 20852. i. FERC Contact: Jeremy Feinberg at approximately 140-foot-long riveted In addition to publishing the full text (202) 502–6893 or jeremy.feinberg@ steel underground penstock; (5) a of this document in the Federal ferc.gov. powerhouse containing three fixed- Register, the Commission provides all j. Deadline for filing scoping output turbine-generator units with a interested persons an opportunity to comments: March 19, 2021. total rated capacity of 927 kilowatts; (6) view and/or print the contents of this The Commission strongly encourages a 4-foot-high submerged stilling basin document via the internet through the electronic filing. Please file scoping weir approximately 60 feet downstream Commission’s Home Page (http:// comments using the Commission’s of the dam spillway; (7) a 20-foot-wide, ferc.gov) using the ‘‘eLibrary’’ link. eFiling system at https:// 90-foot-long tailrace; (8) a 20-foot-long Enter the docket number excluding the ferconline.ferc.gov/FERCOnline.aspx. underground generator lead connecting last three digits in the docket number Commenters can submit brief comments to a step-up transformer that connects to field to access the document. At this up to 6,000 characters, without prior a 13.2-kilovolt, 40-foot-long time, the Commission has suspended registration, using the eComment system underground transmission line that then access to the Commission’s Public at https://ferconline.ferc.gov/ connects to a 15-foot-long aerial Reference Room, due to the QuickComment.aspx. You must include transmission line before connecting to proclamation declaring a National your name and contact information at the regional grid; and (9) appurtenant Emergency concerning the Novel the end of your comments. For facilities. m. In addition to publishing the full Coronavirus Disease (COVID–19), issued assistance, please contact FERC Online text of this notice in the Federal by the President on March 13, 2020. For Support at FERCOnlineSupport@ Register, the Commission provides all assistance, contact the Federal Energy ferc.gov, (866) 208–3676 (toll free), or interested persons an opportunity to Regulatory Commission at (202) 502–8659 (TTY). In lieu of view and/or print the contents of this [email protected], or call electronic filing, you may submit a paper copy. Submissions sent via the notice, as well as other documents in toll-free, (886) 208–3676 or TYY, (202) the proceeding (e.g., scoping document) 502–8659. U.S. Postal Service must be addressed to: Kimberly D. Bose, Secretary, Federal via the internet through the Comment Date: 5:00 p.m. Eastern Energy Regulatory Commission, 888 Commission’s Home Page (http:// Time on March 15, 2021. First Street NE, Room 1A, Washington, www.ferc.gov), using the ‘‘eLibrary’’ Dated: February 17, 2021. DC 20426. Submissions sent via any link. Enter the docket number, Nathaniel J. Davis, Sr., other carrier must be addressed to: excluding the last three digits in the Deputy Secretary. Kimberly D. Bose, Secretary, Federal docket number field to access the document (P–3511). At this time, the [FR Doc. 2021–03672 Filed 2–22–21; 8:45 am] Energy Regulatory Commission, 12225 Commission has suspended access to BILLING CODE 6717–01–P Wilkins Avenue, Rockville, Maryland 20852. The first page of any filing the Commission’s Public Reference should include docket number P–3511– Room due to the proclamation declaring DEPARTMENT OF ENERGY 024. a National Emergency concerning the The Commission’s Rules of Practice Novel Coronavirus Disease (COVID–19), Federal Energy Regulatory require all intervenors filing documents issued by the President on March 13, Commission with the Commission to serve a copy of 2020. For assistance, contact FERC at that document on each person on the [email protected] or call toll-free, (886) 208–3673 or (202) 502– [Project No. 3511–024] official service list for the project. Further, if an intervenor files comments 8659 (TTY). n. You may also register online at Lower Saranac Hydro, LLC; Notice or documents with the Commission http://www.ferc.gov/docs-filing/ Soliciting Scoping Comments relating to the merits of an issue that esubscription.asp to be notified via may affect the responsibilities of a email of new filings and issuances Take notice that the following particular resource agency, they must related to this or other pending projects. hydroelectric application has been filed also serve a copy of the document on For assistance, contact FERC Online with the Commission and is available that resource agency. for public inspection. Support. k. This application has been accepted o. Scoping Process: The Commission a. Type of Application: Subsequent but is not ready for environmental staff intends to prepare an Minor License. analysis at this time. Environmental Assessment (EA) or b. Project No.: 3511–024. l. The Groveville Hydroelectric Environmental Impact Statement (EIS) c. Date filed: May 29, 2020. Project consists of: (1) A 167-foot-long, for the Groveville Hydroelectric Project 37-foot-high concrete gravity dam, with in accordance with the National d. Applicant: Lower Saranac Hydro, a 140-foot-long spillway having a crest LLC. Environmental Policy Act (NEPA). The elevation of 172.4 feet National Geodetic NEPA document will consider impacts e. Name of Project: Groveville Vertical Datum of 1929 (NGVD29) and Hydroelectric Project. and reasonable alternatives to the topped with 3-foot-high wooden proposed action. f. Location: On Fishkill Creek, in the flashboards; (2) an impoundment with a Commission staff does not propose to City of Beacon, Dutchess County, New gross storage capacity of approximately conduct any on-site scoping meetings at York. The project does not occupy any this time. Instead, we are soliciting federal land. 1 In a February 9, 2021 filing, the Commission was notified that Enel Green Power North America, comments, recommendations, and g. Filed Pursuant to: Federal Power Inc. transferred all its ownership interests for Lower information, on the Scoping Document Act, 16 U.S.C. 791(a)–825(r). Saranac Hydro, LLC to Hydroland, Inc. (SD) issued on February 17, 2021.
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Copies of the SD outlining the subject P.C., 1667 K Street NW, Suite 700, Renewal Corporation and the States of areas to be addressed in the NEPA Washington, DC 20006, [email protected], California and Oregon as co-licensees. document were distributed to the 202–791–3590. PacifiCorp and the transferees jointly parties on the Commission’s mailing list State of Oregon: Anika E. Marriott, Sr. propose to transfer the license to and the applicant’s distribution list. Assistant Attorney General, Oregon Renewal Corporation and the States of Copies of the SD may be viewed on the Department of Justice, 1162 Court Street California and Oregon for the purpose of web at http://www.ferc.gov using the NE, Salem, OR 97301, surrendering, decommissioning, and ‘‘eLibrary’’ link. Enter the docket [email protected], 503– removing the project dams, if approved number excluding the last three digits in 947–4520. separately by the Commission. The the docket number field to access the i. FERC Contact: Diana Shannon, project includes four developments: J.C. document. For assistance, call 1–866– (202) 502–6136, diana.shannon@ Boyle, Copco No. 1, Copco No. 2, and 208–3676 or for TTY, (202) 502–8659. ferc.gov. Iron Gate. j. Deadline for filing comments, On July 16, 2020, the Commission Dated: February 17, 2021. motions to intervene, and protests: Kimberly D. Bose, issued an order approving a partial March 19, 2021. transfer of the license for the project Secretary. The Commission strongly encourages from PacifiCorp to PacifiCorp and the [FR Doc. 2021–03681 Filed 2–22–21; 8:45 am] electronic filing. Please file comments, Renewal Corporation as co-licensees. motions to intervene, and protests using BILLING CODE 6717–01–P PacifiCorp, 172 FERC ¶ 61,062 (2020). the Commission’s eFiling system at The order was contingent on PacifiCorp http://www.ferc.gov/docs-filing/ remaining on the license as a co- DEPARTMENT OF ENERGY efiling.asp. Commenters can submit licensee and required compliance with brief comments up to 6,000 characters, certain conditions before it would take Federal Energy Regulatory without prior registration, using the Commission eComment system at http:// effect. In the January 13 filing, PacifiCorp and the Renewal Corporation [Project No. 14803–004] www.ferc.gov/docs-filing/ ecomment.asp. You must include your state that they do not accept their status as co-licensees under the July 16 order. PacifiCorp, Klamath River Renewal name and contact information at the end On November 17, 2020, in a separate Corporation, and the States of of your comments. For assistance, proceeding, PacifiCorp and the Renewal California and Oregon; Notice of please contact FERC Online Support at Corporation filed an amended Application for Transfer of License, [email protected], (866) application to surrender the license and Soliciting Comments, Motions To 208–3676 (toll free), or (202) 502–8659 decommission the Lower Klamath Intervene, and Protests (TTY). In lieu of electronic filing, you may submit a paper copy. Submissions Project. Decommissioning activities Take notice that the following sent via the U.S. Postal Service must be would include the full removal of the hydroelectric application has been filed addressed to: Kimberly D. Bose, four developments. The Commission with the Commission and is available Secretary, Federal Energy Regulatory issued notice of that application on for public inspection: Commission, 888 First Street NE, Room December 16, 2020, soliciting a. Application Type: Transfer of 1A, Washington, DC 20426. comments, motions to intervene, and Project License. Submissions sent via any other carrier protests in the surrender proceeding. b. Project No: 14803–004. must be addressed to: Kimberly D. Bose, In the January 13 filing, the applicants c. Date Filed: January 13, 2021. Secretary, Federal Energy Regulatory request that, in any order approving the d. Applicant: PacifiCorp, Klamath Commission, 12225 Wilkins Avenue, transfer, the Commission establish an River Renewal Corporation, and the Rockville, Maryland 20852. The first extended period of time—until 30 days States of California and Oregon. page of any filing should include docket following any Commission order e. Name of Project: Lower Klamath numbers P–14803–004. Comments approving the surrender application— Hydroelectric Project. emailed to Commission staff are not for the transferees to accept the license f. Location: The project is located on considered part of the Commission transfer and their co-licensee status. As the Klamath River in Klamath County, record. a result, PacifiCorp would remain as the Oregon and Siskiyou County, California. The Commission’s Rules of Practice sole licensee for the Lower Klamath The project includes federal lands and Procedure require all intervenors Project while the Commission considers managed by the U.S. Bureau of Land filing documents with the Commission what action to take on the surrender Management. to serve a copy of that document on application. g. Filed Pursuant to: Federal Power each person whose name appears on the l. Locations of the Application: This Act, 16 U.S.C. 791a–825r. official service list for the project. filing may be viewed on the h. Applicant Contact: For transferor— Further, if an intervenor files comments Commission’s website at http:// PacifiCorp: Ryan Flynn, Chief Legal or documents with the Commission www.ferc.gov using the ‘‘eLibrary’’ link. Officer, PacifiCorp, 825 NE Multnomah relating to the merits of an issue that Enter the docket number excluding the Street, Suite 2000, Portland, OR 97232, may affect the responsibilities of a last three digits in the docket number [email protected], 503–813– particular resource agency, they must field to access the document. You may 5865. also serve a copy of the document on also register online at http:// For transferees—Klamath River that resource agency. www.ferc.gov/docs-filing/ Renewal Corporation: Mark Bransom, k. Description of Request: On January esubscription.asp to be notified via Chief Executive Director, Klamath River 13, 2021, PacifiCorp (transferor) and the email of new filings and issuances Renewal Corporation, 2001 Addison Klamath River Renewal Corporation related to this or other pending projects. Street, Suite 317, Berkeley, CA 94704, (Renewal Corporation) and the States of For assistance, call 1–866–208–3676 or (415) 820–4441, info@ California and Oregon (transferees) email [email protected], for klamathrenewal.org. jointly filed an application to transfer TTY, call (202) 502–8659. Agencies may State of California: Joshua E. Adrian, the license for the Lower Klamath obtain copies of the application directly Duncan Weinberg Genzer & Pembroke, Project No. 14803 from PacifiCorp to the from the applicant.
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m. Individuals desiring to be included Applicants: NedPower Mount Storm, Facilities Agreements to be effective on the Commission’s mailing list should LLC. 4/19/2021. so indicate by writing to the Secretary Description: Compliance filing: Filed Date: 2/17/21. of the Commission. Informational Filing Pursuant to Section Accession Number: 20210217–5082. n. Comments, Protests, or Motions to 2 of the PJM Tariff to be effective 12/31/ Comments Due: 5 p.m. ET 3/10/21. Intervene: Anyone may submit 9998. Docket Numbers: ER21–1162–000. comments, a protest, or a motion to Filed Date: 2/17/21. Applicants: Midcontinent intervene in accordance with the Accession Number: 20210217–5049. Independent System Operator, Inc. requirements of Rules of Practice and Comments Due: 5 p.m. ET 3/10/21. Description: § 205(d) Rate Filing: Procedure, 18 CFR 385.210, .211, .214, Docket Numbers: ER21–797–001. 2021–02–17_SA 3262 MidAmerican respectively. In determining the Applicants: PJM Interconnection, Energy—MidAmerican Energy 1st Rev appropriate action to take, the L.L.C. GIA (J527) to be effective 2/3/2021. Commission will consider all protests or Description: Tariff Amendment: Filed Date: 2/17/21. other comments filed, but only those Request to Defer Action: Revised ISA, Accession Number: 20210217–5095. who file a motion to intervene in SA No. 5869; Queue No. AE2–126 to be Comments Due: 5 p.m. ET 3/10/21. accordance with the Commission’s effective 12/31/9998. The filings are accessible in the Rules may become a party to the Filed Date: 2/17/21. Commission’s eLibrary system (https:// proceeding. Any comments, protests, or Accession Number: 20210217–5093. elibrary.ferc.gov/idmws/search/ motions to intervene must be received Comments Due: 5 p.m. ET 3/10/21. fercgensearch.asp) by querying the on or before the specified comment date Docket Numbers: ER21–917–001. docket number. for the particular application. Applicants: PJM Interconnection, Any person desiring to intervene or o. Filing and Service of Documents: protest in any of the above proceedings Any filing must (1) bear in all capital L.L.C. Description: Tariff Amendment: must file in accordance with Rules 211 letters the title ‘‘COMMENTS’’, and 214 of the Commission’s ‘‘PROTEST’’, or ‘‘MOTION TO Amendment to ISA/CSA, SA No. 5290 and 5308; Queue No. AC1–069 to be Regulations (18 CFR 385.211 and INTERVENE’’ as applicable; (2) set forth 385.214) on or before 5:00 p.m. Eastern in the heading the name of the applicant effective 1/28/2019. Filed Date: 2/17/21. time on the specified comment date. and the project number of the Protests may be considered, but application to which the filing Accession Number: 20210217–5045. Comments Due: 5 p.m. ET 3/10/21. intervention is necessary to become a responds; (3) furnish the name, address, party to the proceeding. Docket Numbers: ER21–1158–000. and telephone number of the person eFiling is encouraged. More detailed Applicants: Midcontinent commenting, protesting or intervening; information relating to filing Independent System Operator, Inc. and (4) otherwise comply with the requirements, interventions, protests, Description: § 205(d) Rate Filing: requirements of 18 CFR 385.2001 service, and qualifying facilities filings 2021–02–17_SA 3260 MidAmerican- through 385.2005. All comments, can be found at: http://www.ferc.gov/ Holliday Creek Solar 1st Rev GIA (J524) motions to intervene, or protests must docs-filing/efiling/filing-req.pdf. For to be effective 2/10/2021. set forth their evidentiary basis. Any other information, call (866) 208–3676 Filed Date: 2/17/21. filing made by an intervenor must be (toll free). For TTY, call (202) 502–8659. accompanied by proof of service on all Accession Number: 20210217–5010. persons listed in the service list Comments Due: 5 p.m. ET 3/10/21. Dated: February 17, 2021. prepared by the Commission in this Docket Numbers: ER21–1159–000. Nathaniel J. Davis, Sr., proceeding, in accordance with 18 CFR Applicants: Midcontinent Deputy Secretary. 385.2010. Independent System Operator, Inc. [FR Doc. 2021–03674 Filed 2–22–21; 8:45 am] Description: § 205(d) Rate Filing: BILLING CODE 6717–01–P Dated: February 17, 2021. _ Kimberly D. Bose, 2021–02–17 SA 3243 Deuel Harvest Wind-OTP 2nd Rev GIA (J526) to be Secretary. effective 2/10/2021. DEPARTMENT OF ENERGY [FR Doc. 2021–03677 Filed 2–22–21; 8:45 am] Filed Date: 2/17/21. BILLING CODE 6717–01–P Accession Number: 20210217–5014. Federal Energy Regulatory Comments Due: 5 p.m. ET 3/10/21. Commission DEPARTMENT OF ENERGY Docket Numbers: ER21–1160–000. [Project No. 1121–000] Applicants: Midcontinent Federal Energy Regulatory Independent System Operator, Inc., Battle Creek Hydroelectric Project; Commission Union Electric Company. Notice of Existing Licensee’s Notice of Description: § 205(d) Rate Filing: Intent To Not File a New License Combined Notice of Filings #1 2021–02–17_SA 2029 Ameren-City of Application, and Soliciting Notices of Perry Missouri WDS to be effective 5/1/ Intent To File a License Application Take notice that the Commission and Pre-Application Documents received the following electric rate 2021. filings: Filed Date: 2/17/21. At least five years, but no more than Accession Number: 20210217–5030. Docket Numbers: ER10–1123–006. five and one-half years, before the Applicants: Union Electric Company. Comments Due: 5 p.m. ET 3/10/21. expiration of a license for a major water Description: Supplement to January Docket Numbers: ER21–1161–000. power project, the licensee must file 21, 2021 Notice of Change in Status of Applicants: Ohio Power Company, with the Commission a letter that Union Electric Company. American Electric Power Service contains an unequivocal statement of Filed Date: 2/16/21. Corporation, PJM Interconnection, the licensee’s intent to file or not to file Accession Number: 20210216–5300. L.L.C. an application for a new license.1 Comments Due: 5 p.m. ET 3/9/21. Description: § 205(d) Rate Filing: AEP Docket Numbers: ER20–2471–002. submits ILDSA SA No. 1419 and Two 1 18 CFR 16.6(c) (2020).
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If such a licensee informs the existing licensee, must be filed with the Comments Due: 5 p.m. ET 2/24/21. Commission that it does not intend to Commission at least 24 months prior to Docket Numbers: RP21–485–000. file an application for a new license, the expiration of the existing license.7 Applicants: ANR Pipeline Company. nonpower license, or exemption for the Because the existing license expires on Description: § 4(d) Rate Filing: Short project, the licensee may not file an July 31, 2026, applications for license Notice Start-Up to be effective 3/15/ application for a new license, nonpower for this project must be filed by July 31, 2021. license, or exemption for the project, 2024. Filed Date: 2/12/21. either individually or in conjunction Questions concerning this notice Accession Number: 20210212–5122. with an entity or entities that are not should be directed to Rebecca Kipp Comments Due: 5 p.m. ET 2/24/21. 2 currently licensees of the project. (202) 502- 8846 or rebecca.kipp@ Docket Numbers: RP21–486–000. On October 23, 2020, Pacific Gas & ferc.gov. Applicants: Empire Pipeline, Inc. Electric Company (PG&E), the existing Dated: February 16, 2021. Description: Compliance filing Refund licensee for the Battle Creek Kimberly D. Bose, Report Per Settlement in RP18–940. Hydroelectric Project No. 1121, filed Filed Date: 2/12/21. notice of its intent to not file an Secretary. [FR Doc. 2021–03675 Filed 2–22–21; 8:45 am] Accession Number: 20210212–5125. application for a new license. Therefore, Comments Due: 5 p.m. ET 2/24/21. pursuant to section 16.24(a)(1) of the BILLING CODE 6717–01–P Commission’s regulations, PG&E may Docket Numbers: RP21–487–000. not file an application for a new license Applicants: Northern Natural Gas for the project, either individually or in DEPARTMENT OF ENERGY Company. conjunction with an entity or entities Description: § 4(d) Rate Filing: Federal Energy Regulatory 20210212 Negotiated Rate to be effective that are not currently licensees of the Commission project. 2/12/2021. Filed Date: 2/12/21. The 36.1-megawatt (MW) Battle Creek Combined Notice of Filings Hydroelectric Project is located on the Accession Number: 20210212–5170. North and South Forks of Battle Creek, Take notice that the Commission has Comments Due: 5 p.m. ET 2/24/21. a tributary to the Sacramento River, in received the following Natural Gas Docket Numbers: RP21–488–000. Shasta and Tehama Counties, California. Pipeline Rate and Refund Report filings: Applicants: Guardian Pipeline, L.L.C. The project occupies 93 acres of federal Docket Number: PR12–20–001. Description: § 4(d) Rate Filing: land managed by the U.S. Forest Service Applicants: NorthWestern Negotiated Rate PAL Agreements—Koch and the Bureau of Land Management. Corporation. & Citadel to be effective 2/11/2021. The existing license for the project Description: Tariff filing per Filed Date: 2/12/21. expires on July 31, 2026.3 284.123(b)(1)/.: Rate Certification in Accession Number: 20210212–5239. The principal project works consist Compliance with Docket No. CP11–76– Comments Due: 5 p.m. ET 2/24/21. of: (1) Two small upstream storage 000 under PR12–20. Docket Numbers: RP21–489–000. reservoirs; (2) three forebays; (3) twenty Filed Date: 2/16/2021. Applicants: Rockies Express Pipeline canals and pipelines and associated Accession Number: 202102165000. LLC. diversion dams; (4) penstocks leading to Comments/Protests Due: 5 p.m. ET Description: § 4(d) Rate Filing: REX five powerhouses; (5) five 60-kV 3/9/2021. 2021–02–12 Negotiated Rate Agreement transmission lines with a total length of Docket Numbers: RP21–482–000. and Amendment to be effective 50.3 miles; and (6) five substations. Applicants: Rockies Express Pipeline 2/12/2021. Any party interested in filing a license LLC. Filed Date: 2/12/21. application (i.e., potential applicant) for Description: § 4(d) Rate Filing: REX Accession Number: 20210212–5253. the Battle Creek Hydroelectric Project 2021–02–12 Non-Conforming Comments Due: 5 p.m. ET 2/24/21. No. 1121 must file a Notice of Intent Negotiated Rate Amendment to be Docket Numbers: RP21–490–000. 4 (NOI) and pre- application document effective 2/13/2021. Applicants: Iroquois Gas 5 (PAD). Additionally, while the Filed Date: 2/12/21. Transmission System, L.P. integrated licensing process (ILP) is the Accession Number: 20210212–5073. Description: § 4(d) Rate Filing: 2.15.21 default process for preparing an Comments Due: 5 p.m. ET 2/24/21. Negotiated Rates—Mieco LLC H–7080– application for a subsequent license, a Docket Numbers: RP21–483–000. 89 to be effective 2/13/2021. potential applicant may request to use Applicants: TransCameron Pipeline, Filed Date: 2/16/21. alternative licensing procedures when it LLC. Accession Number: 20210216–5009. files its NOI.6 Comments Due: 5 p.m. ET 3/1/21. The deadline for potential applicants, Description: § 4(d) Rate Filing: Docket Numbers: RP21–491–000. other than the existing licensee, to file Changes Normal filing 2021 Mar to be Applicants: Equitrans, L.P. NOIs, PADs, and requests to use an effective 3/16/2021. Description: § 4(d) Rate Filing: alternative licensing process is 120 days Filed Date: 2/12/21. Negotiated Rate Capacity Release from the issuance date of this notice. Accession Number: 20210212–5075. Applications for a new license from Comments Due: 5 p.m. ET 2/24/21. Agreement—2/15/2021 to be effective potential applicants, other than the Docket Numbers: RP21–484–000. 2/15/2021. Applicants: TransCameron Pipeline, Filed Date: 2/16/21. 2 18 CFR 16.24 (a)(1). LLC. Accession Number: 20210216–5143. 3 Because PG&E filed the notice of intent to not Description: Petition for Limited Comments Due: 5 p.m. ET 3/1/21. file an application for a new license more than five Waiver of TransCameron Pipeline, LLC, Docket Numbers: RP21–492–000. and one-half years before the expiration of the under RP21–484. Applicants: Guardian Pipeline, L.L.C. license, we waive the applicable requirement in 18 CFR 16.6(c)(1). Filed Date: 2/12/21. Description: § 4(d) Rate Filing: 4 18 CFR 5.5. Accession Number: 20210212–5117. Negotiated Rate PAL Agreement— 5 18 CFR 5.6. Morgan Stanley Extension to be 6 18 CFR 5.3(b). 7 18 CFR 16.9(b)(1). effective 2/12/2021.
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Filed Date: 2/16/21. ENVIRONMENTAL PROTECTION ‘‘anonymous access’’ system for EPA, Accession Number: 20210216–5201. AGENCY which means the EPA will not know your identity or contact information Comments Due: 5 p.m. ET 3/1/21. [FRL–10019–64–OMS] unless you provide it in the body of Docket Numbers: RP21–493–000. Privacy Act of 1974; System of your comment. Each agency determines Applicants: Viking Gas Transmission Records submission requirements within their Company. own internal processes and standards. Description: § 4(d) Rate Filing: AGENCY: Office of Mission Support EPA has no requirement to include Negotiated Rate PAL Agreement—World (OMS), Environmental Protection personal information. If you send an Fuel VR1048 Extension to be effective Agency (EPA). email comment directly to the EPA 2/12/2021. ACTION: Notice of a new system of without going through Filed Date: 2/16/21. records. www.regulations.gov your email address will be automatically captured and Accession Number: 20210216–5217. SUMMARY: The U.S. Environmental included as part of the comment that is Comments Due: 5 p.m. ET 3/1/21. Protection Agency’s (EPA), Office of placed in the public docket and made Docket Numbers: RP21–494–000. Acquisition Solutions is giving notice available on the internet. If you submit that it proposes to create a new system an electronic comment, the EPA Applicants: Viking Gas Transmission of records pursuant to the provisions of Company. recommends that you include your the Privacy Act of 1974. Environmental name and other contact information in Description: § 4(d) Rate Filing: Protection Agency’s Acquisition System the body of your comment. If the EPA Negotiated Rate PAL Agreement—World (EAS) is an automated contract writing cannot read your comment due to Fuel VR1050 & VR1051 to be effective and management system with technical difficulties and cannot contact 2/13/2021. configurable workflow used to initiate, you for clarification, the EPA may not Filed Date: 2/16/21. award, modify and track acquisition be able to consider your comment. Accession Number: 20210216–5257. actions for the procurement of goods Electronic files should avoid the use of Comments Due: 5 p.m. ET 3/1/21. and services. special characters, any form of DATES: Persons wishing to comment on encryption, and be free of any defects or Docket Numbers: RP21–495–000. this system of records notice must do so viruses. For additional information Applicants: Midwestern Gas by March 25, 2021. New routine uses for about the EPA public docket, visit the Transmission Company. this new system of records will be EPA Docket Center homepage at http:// Description: § 4(d) Rate Filing: effective March 25, 2021. www.epa.gov/epahome/dockets.htm. Negotiated Rate PAL Agreement— ADDRESSES: Submit your comments, Docket: All documents in the docket Exelon Generation Company, LLC to be identified by Docket ID No. EPA–HQ– are listed in the www.regulations.gov effective 2/14/2021. OMS–2020–0210, by one of the index. Although listed in the index, Filed Date: 2/16/21. following methods: some information is not publicly Accession Number: 20210216–5272. Regulations.gov: www.regulations.gov. available, e.g., CUI or other information Comments Due: 5 p.m. ET 3/1/21. Follow the online instructions for for which disclosure is restricted by submitting comments. statute. Certain other material, such as The filings are accessible in the Email: [email protected]. copyrighted material, will be publicly Commission’s eLibrary system (https:// Fax: 202–566–1752. available only in hard copy. Publicly elibrary.ferc.gov/idmws/search/ Mail: OMS Docket, Environmental available docket materials are available fercgensearch.asp) by querying the Protection Agency, Mail Code: 2822T, either electronically in docket number. 1200 Pennsylvania Ave. NW, www.regulations.gov or in hard copy at Any person desiring to intervene or Washington, DC 20460. the OMS Docket, EPA/DC, WJC West protest in any of the above proceedings Hand Delivery: OMS Docket, EPA/DC, Building, Room 3334, 1301 Constitution must file in accordance with Rules 211 WJC West Building, Room 3334, 1301 Ave. NW, Washington, DC 20460. and 214 of the Commission’s Constitution Ave. NW, Washington, DC Temporary Hours During COVID–19 Regulations (18 CFR 385.211 and 20460. Such deliveries are only 385.214) on or before 5:00 p.m. Eastern accepted during the Docket’s normal Out of an abundance of caution for time on the specified comment date. hours of operation, and special members of the public and our staff, the Protests may be considered, but arrangements should be made for EPA Docket Center and Reading Room intervention is necessary to become a deliveries of boxed information. are closed to the public, with limited party to the proceeding. Instructions: Direct your comments to exceptions, to reduce the risk of eFiling is encouraged. More detailed Docket ID No. EPA–HQ–OMS–2020– transmitting COVID–19.Our Docket information relating to filing 0210. The EPA policy is that all Center staff will continue to provide requirements, interventions, protests, comments received will be included in remote customer service via email, service, and qualifying facilities filings the public docket without change and phone, and webform. We encourage the can be found at: may be made available online at public to submit comments via https:// http://www.ferc.gov/docs-filing/ www.regulations.gov, including any www.regulations.gov/ or email, as there efiling/filing-req.pdf. For other personal information provided, unless may be a delay in processing mailand information, call (866) 208–3676 (toll the comment includes information faxes. Hand deliveries and couriers may free). For TTY, call (202) 502–8659. claimed to be Controlled Unclassified be received by scheduled appointment Information (CUI) or other information only. For further information on EPA Dated: February 17, 2021. for which disclosure is restricted by Docket Center services and the current Nathaniel J. Davis, Sr., statute. Do not submit information that status, please visit us online at https:// Deputy Secretary. you consider to be CUI or otherwise www.epa.gov/dockets. The telephone [FR Doc. 2021–03673 Filed 2–22–21; 8:45 am] protected through www.regulations.gov. number for the Public Reading Room is BILLING CODE 6717–01–P The www.regulations.gov website is an (202) 566–1744, and the telephone
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number for the OMS Docket is (202) approving officials for each acquisition A, B, C, D, E, F, G, H, I, J and K. Routine 566–1752. action. uses L, and M apply in accordance with FOR FURTHER INFORMATION CONTACT: OMB M–17–12. CATEGORIES OF INDIVIDUALS COVERED BY THE A. Disclosure for Law Enforcement Please submit questions to Victor SYSTEM: Purposes. Information may be disclosed Rodriguez, [email protected] at Categories of individuals covered are 202–564–2212 or Richard Belles, to the appropriate Federal, State, local, EPA employees, that are the: (a) EPA tribal, or foreign agency responsible for [email protected] at 202–564– Project Officer, i.e., the individual who 4339. investigating, prosecuting, enforcing, or is responsible for the review and implementing a statute, rule, regulation, SUPPLEMENTARY INFORMATION: EAS is evaluation of the application or or order, if the information is relevant built using a commercial off the shelf proposal and the monitoring of a to a violation or potential violation of product called PRISM that includes a resulting contract acquisition; (b) EPA civil or criminal law or regulation purchase request form and workflow. Program Official, i.e., the individual within the jurisdiction of the receiving EAS identifies employees who initiate who is responsible for review and entity. acquisition actions or are assigned to approval of applications or proposals for B. Disclosure Incident to Requesting work on these actions and includes funding; (c) EPA Budget Official, i.e., Information. Information may be those employees’ Personally Identifiable the individual who is responsible for disclosed to any source from which Information (PII). EAS contains certifying availability of funds for additional information is requested (to employee first name, last name, work approved applications or proposals; (d) the extent necessary to identify the email, work telephone number, and EPA Contracting Officer or Contract individual, inform the source of the Local Area Network User Identification. Specialist, i.e., individuals who are purpose of the request, and to identify This information is collected and used responsible for awarding and the type of information requested), for internal EPA communication administering contracts and (e) EPA when necessary to obtain information purposes and approval routing of the Merit/Peer Reviewers, i.e., individuals relevant to an agency decision acquisition action. Privacy information who provide a written review or concerning retention of an employee or is protected by limiting EAS access to evaluation of the application or other personnel action (other than authenticated users. Authentication is proposal to the EPA Project Officer. hiring), retention of a security clearance, controlled using the agency’s central the letting of a contract, or the issuance CATEGORIES OF RECORDS IN THE SYSTEM: authentication security controls. or retention of a grant, or other benefit. EAS collects employee first name, last C. Disclosure to Requesting Agency. SYSTEM NAME AND NUMBER: name, work email, work telephone, EPA Disclosure may be made to a Federal, EPA Acquisition System (EAS), EPA– employee ID and LAN User ID State, local, foreign, or tribal or other 86. information. The system also collects public authority of the fact that this other information required for the system of records contains information SECURITY CLASSIFICATION: tracking or approval of a contract action relevant to the retention of an employee, Unclassified. including contract proposals, technical the retention of a security clearance, the reviews by a peer reviewer, records of SYSTEM LOCATION: letting of a contract, or the issuance or contract awards, financial data, and Office of Acquisition Solutions, retention of a license, grant, or other other information. EAS also collects benefit. The other agency or licensing Environmental Protection Agency, Vendor Contact information including Ronald Reagan Building, 1200 organization may then make a request Vendor Code, Legal Name, Data supported by the written consent of the Pennsylvania Avenue NW, Washington, Universal Numbering System (DUNS) ID DC 20460 and at the National Computer individual for the entire record if it so (a 9 character identifier used for chooses. No disclosure will be made Center (NCC), 109 T.W. Alexander Drive identifying the Vendor), Cage Code RTP, NC 27711 for hosting. unless the information has been (used to provide a standardized method determined to be sufficiently reliable to SYSTEM MANAGER: of identifying a given facility at a support a referral to another office specific location), address, phone Kimberly Patrick, patrick.kimberly@ within the agency or to another Federal number, fax number, and email address. epa.gov, 202–566–2605, Director, Office agency for criminal, civil, of Acquisition Solutions, Environmental RECORD SOURCE CATEGORIES: administrative, personnel, or regulatory Protection Agency, Ronald Reagan EAS collects EPA employee action. Building, 1200 Pennsylvania Avenue information from EPA’s directory D. Disclosure to Office of Management NW, Washington, DC 20460. service. Contract proposals and vendor and Budget. Information may be information is collected directly from disclosed to the Office of Management AUTHORITY FOR MAINTENANCE OF THE SYSTEM: the user via the federal government’s and Budget at any stage in the Executive Order 12072 (Aug. 16, System for Award Management (SAM). legislative coordination and clearance 1978); Federal Property and process in connection with private relief Administrative Services Act of 1949, 40 ROUTINE USES OF RECORDS MAINTAINED IN THE legislation as set forth in OMB Circular U.S.C. 121; Office of Federal SYSTEM, INCLUDING CATEGORIES OF USERS AND No. A–19. Procurement Policy Act of 1974 41 PURPOSES OF SUCH USES: E. Disclosure to Congressional Offices. U.S.C. 1702. The following new or modified Information may be disclosed to a routine uses apply to this system congressional office from the record of PURPOSE(S) OF THE SYSTEM: because the use of the record is an individual in response to an inquiry EPA uses EAS to initiate, award, necessary for the efficient conduct of the from the congressional office made at modify and track acquisition actions. government. The routine uses for this the request of the individual. EAS identifies employees who initiate system are compatible with the purpose F. Disclosure to Department of Justice. acquisition actions or are assigned to for which their records are collected. Information may be disclosed to the work on these actions. Specifically, the The information may be disclosed to Department of Justice, or in a system tracks the requisitioner, contract and for the following EPA General proceeding before a court, adjudicative official, contract specialist, and Routine Uses, published at 73 FR 2245: body, or other administrative body
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before which the Agency is authorized pursuant to that agency’s responsibility maintained in a secure, password to appear, when: for evaluation and oversight of Federal protected environment. Access to 1. The Agency, or any component personnel management. computer records is limited to those thereof; K. Disclosure in Connection with who have a need to know. All EAS user 2. Any employee of the Agency in his Litigation. Information from this system accounts are assigned permissions as or her official capacity; of records may be disclosed in needed based on their job functions. 3. Any employee of the Agency in his connection with litigation or settlement Permission level assignments will allow or her individual capacity where the discussions regarding claims by or users access only to those functions for Department of Justice or the Agency against the Agency, including public which they are authorized. All records have agreed to represent the employee; filing with a court, to the extent that are maintained in secure, access- or disclosure of the information is relevant controlled areas or buildings. 4. The United States, if the Agency and necessary to the litigation or determines that litigation is likely to discussions and except where court POLICIES AND PRACTICES FOR RETRIEVAL OF affect the Agency or any of its orders are otherwise required under RECORDS: components, is a party to litigation or section (b)(11) of the Privacy Act of Records are retrieved by the first has an interest in such litigation, and 1974, 5 U.S.C. 552a(b)(11). name and last name of EPA employee, the use of such records by the L. Disclosure to Persons or Entities in User ID, or Vendor ID (DUNS codes) Department of Justice or the Agency is Response to an Actual or Suspected associated with contracts. deemed by the Agency to be relevant Breach of Personally Identifiable POLICIES AND PRACTICES FOR RETENTION AND and necessary to the litigation provided, Information. To appropriate agencies, DISPOSAL OF RECORDS: however, that in each case it has been entities, and persons when (1) the EPA will retain and dispose of EAS determined that the disclosure is Agency suspects or has confirmed that compatible with the purpose for which records in accordance with the National there has been a breach of the system of Archives and Records Administration the records were collected. records, (2) the Agency has determined G. Disclosure to the National General Records Schedule, and EPA that as a result of the suspected or Records Schedule 055. EAS records are Archives. Information may be disclosed confirmed breach there is a risk of harm to the National Archives and Records retained for at least 6 years after contract to individuals, the Agency (including its closeout for non-Superfund actions, and Administration in records management information systems, programs, and inspections. 30 years after contract closeout for operations), the Federal Government, or Superfund site actions. H. Disclosure to Contractors, national security; and (3) the disclosure Grantees, and Others. Information may made to such agencies, entities, and ADMINISTRATIVE, TECHNICAL, AND PHYSICAL be disclosed to contractors, grantees, persons is reasonably necessary to assist SAFEGUARDS: consultants, or volunteers performing or in connection with the Agency’s efforts Security controls used to protect working on a contract, service, grant, to respond to the suspected or Personally Identifiable Information in cooperative agreement, job, or other confirmed breach or to prevent, EPA Acquisition System (EAS) are activity for the Agency and who have a minimize, or remedy such harm. commensurate with those required for need to have access to the information M. Disclosure to assist another agency an information system rated moderate in the performance of their duties or in its efforts to respond to a breach. To for confidentiality, integrity, and activities for the Agency. When another Federal agency or Federal availability, as prescribed in NIST appropriate, recipients will be required entity, when the Agency determines that Special Publication, 800–53, to comply with the requirements of the information from this system of records ‘‘Recommended Security Controls for Privacy Act of 1974 as provided in 5 is reasonably necessary to assist the Federal Information Systems,’’ Revision U.S.C. 552a(m). recipient agency or entity in (1) 4. I. Disclosures for Administrative responding to a suspected or confirmed ADMINISTRATIVE SAFEGUARDS: Claims, Complaints and Appeals. breach or (2) preventing, minimizing, or Information from this system of records remedying the risk of harm to EPA personnel are required to may be disclosed to an authorized individuals, the recipient agency or complete annual agency Information appeal grievance examiner, formal entity (including its information Security and Privacy training. EPA complaints examiner, equal systems, programs, and operations), the personnel are instructed to lock their employment opportunity investigator, Federal Government, or national computers when they leave their desks. arbitrator or other person properly security, resulting from a suspected or TECHNICAL SAFEGUARDS: engaged in investigation or settlement of confirmed breach. an administrative grievance, complaint, Electronic records are maintained in a claim, or appeal filed by an employee, POLICIES AND PRACTICES FOR STORAGE OF secure, password protected electronic but only to the extent that the RECORDS: system. EAS access is limited to information is relevant and necessary to These records are maintained authorized, authenticated users. All of the proceeding. Agencies that may electronically on computer storage the system’s electronic communication obtain information under this routine devices such as computer tapes and utilizes Transport Layer Security (TLS) use include, but are not limited to, the disks. The computer storage devices are secure communication protocol for all Office of Personnel Management, Office located at EPA, Office of Acquisition transactions. of Special Counsel, Merit Systems Solutions, 1200 Pennsylvania Ave. NW, PHYSICAL SAFEGUARDS: Protection Board, Federal Labor Washington, DC 20460. Backups will be All records are maintained in secure, Relations Authority, Equal Employment maintained at disaster recovery sites, access-controlled areas or buildings. Opportunity Commission, and Office of located at EPA Potomac Yards South Paper records are maintained in Government Ethics. (PYS) Data Center, 2777 Crystal Drive, locked file cabinets. J. Disclosure to the Office of Personnel Arlington, VA 22202 and EPA’s Management. Information from this National Computing Data Center (NCC), RECORD ACCESS PROCEDURES: system of records may be disclosed to 109 T.W. Alexander Drive, Durham, NC Individuals seeking access to the Office of Personnel Management 27709. Computer records are information in this system of records
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about themselves are required to or sponsor and a person is not required electronic, mechanical, or other provide adequate identification (e.g., to respond to a collection of information technological collection techniques or driver’s license, military identification unless it displays a currently valid OMB other forms of information technology, card, employee badge or identification control number. e.g., permitting electronic submission of card). Additional identity verification DATES: Comments must be submitted on responses. EPA will consider the procedures may be required, as or before April 26, 2021. comments received and amend the ICR warranted. Requests must meet the ADDRESSES: Submit your comments, as appropriate. The final ICR package requirements of EPA regulations that referencing Docket ID No. EPA–HQ– will then be submitted to OMB for implement the Privacy Act of 1974, at OEI–2006–0037; FRL—9982–33–OEI review and approval. At that time, EPA 40 CFR part 16. online using www.regulations.gov (our will issue another Federal Register preferred method), by email to oira_ notice to announce the submission of CONTESTING RECORD PROCEDURES: [email protected], or by mail to: the ICR to OMB and the opportunity to Requests for correction or amendment EPA Docket Center, Environmental submit additional comments to OMB. must identify the record to be changed Protection Agency, Mail Code 28221T, Abstract: Under the U.S. EPA and the corrective action sought. 1200 Pennsylvania Ave. NW, National Environmental Information Complete EPA Privacy Act procedures Washington, DC 20460. Exchange Network (NEIEN) Grant are described in EPA’s Privacy Act EPA’s policy is that all comments Program, EPA collects information from regulations at 40 CFR part 16. received will be included in the public the NEIEN grantees on assistance agreements that EPA has awarded. NOTIFICATION PROCEDURE: docket without change including any Specifically, for each project, EPA Any individual who wants to know personal information provided, unless the comment includes profanity, threats, proposes to have grantees submit semi- whether this system of records contains annual reports on the progress and a record about themselves, should make information claimed to be Confidential Business Information (CBI) or other current status of each goal and output, a written request to the Attn: Agency completion dates for outputs, and any Privacy Officer, MC 2831T, 1200 information whose disclosure is restricted by statute. problems encountered. This information Pennsylvania Ave. NW, Washington, DC will help EPA ensure projects are on 20460, [email protected]. FOR FURTHER INFORMATION CONTACT: Edward Mixon or Dipti Singh, schedule to meet their goals and EXEMPTIONS PROMULGATED FOR THE SYSTEM: Information Exchange Services Division, produce high quality environmental None. Office of Information Management, results. New award recipients will Office of Mission Support (2823T), complete one Quality Assurance HISTORY: Environmental Protection Agency, 1200 Reporting Form for each award. This None. Pennsylvania Ave. NW, Washington, DC form provides a simple means for grant 20460; telephone number: 202–566– recipients to describe how quality will Vaughn Noga, be addressed throughout their projects. Senior Agency Official for Privacy. 2142 or 202–566–0739 respectively; email address: [email protected] Additionally, the Quality Assurance [FR Doc. 2021–03582 Filed 2–22–21; 8:45 am] or [email protected]. Reporting Form is derived from BILLING CODE 6560–50–P guidelines provided in the NEIEN 2020 SUPPLEMENTARY INFORMATION: Supporting documents which explain in Grant Solicitation Notice. Form Numbers: EPA Form 5300–26 detail the information that the EPA will ENVIRONMENTAL PROTECTION (Semi-Annual Progress Report Form) be collecting are available in the public AGENCY and EPA Form 5300–27 (Quality docket for this ICR. The docket can be Assurance Reporting Form). [EPA–HQ–OEI–2006–0037; FRL—10019–01– viewed online at www.regulations.gov OMS] Respondents/affected entities: State, or in person at the EPA Docket Center, tribal, and territorial environmental Proposed Information Collection WJC West, Room 3334, 1301 government offices. Request; Comment Request; Constitution Ave. NW, Washington, DC. Respondent’s obligation to respond: Exchange Network Grants Progress The telephone number for the Docket Required to obtain or retain benefits (2 Reports (Renewal) Center is 202–566–1744. For additional CFR part 200 and 2 CFR part 1500). information about EPA’s public docket, Estimated number of respondents: AGENCY: Environmental Protection visit http://www.epa.gov/dockets. 149 total per year. Agency (EPA). Pursuant to section 3506(c)(2)(A) of Frequency of response: Twice per year ACTION: Notice. the PRA, EPA is soliciting comments for the Semi-Annual Progress Report and information to enable it to: (i) Form; one time per grant for the Quality SUMMARY: The Environmental Protection Eevaluate whether the proposed Assurance Reporting Form. Agency (EPA) is planning to submit an collection of information is necessary Total estimated burden: 258.5 hours information collection request (ICR), for the proper performance of the (per year). Burden is defined at 5 CFR ‘‘Exchange Network Grants Progress functions of the Agency, including 1320.03(b). Reports (Renewal)’’ (EPA ICR No. whether the information will have Total estimated cost: $15,765.91 (per 2207.08, OMB Control No. 2025–0006) practical utility; (ii) evaluate the year), includes $0 annualized capital or to the Office of Management and Budget accuracy of the Agency’s estimate of the operation & maintenance costs. (OMB) for review and approval in burden of the proposed collection of Changes in Estimates: There is a accordance with the Paperwork information, including the validity of decrease of 21.5 hours in the total Reduction Act. Before doing so, EPA is the methodology and assumptions used; estimated respondent burden compared soliciting public comments on specific (iii) enhance the quality, utility, and with the ICR currently approved by aspects of the proposed information clarity of the information to be OMB. This slight decrease in the burden collection as described below. This is a collected; and (iv) minimize the burden is due to a reduction in the open proposed extension of the ICR, which is of the collection of information on those Exchange Network Grants (from 172 to currently approved through September who are to respond, including through 149) that are expected to be active per 30, 2021. An Agency may not conduct the use of appropriate automated year during the period of this ICR. The
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reduction in the numbers of open grants docket without change and may be exceptions, to reduce the risk of explains the small reduction (of $421) in made available online at transmitting COVID–19. Our Docket total annual respondent costs despite www.regulations.gov, including any Center staff will continue to provide inflation in labor rates. personal information provided, unless remote customer service via email, Dated: January 27, 2021. the comment includes information phone, and webform. We encourage the claimed to be Controlled Unclassified public to submit comments via https:// Jennifer Campbell, Information (CUI) or other information www.regulations.gov/ or email, as there Director, Office of Information Management. for which disclosure is restricted by may be a delay in processing mail and [FR Doc. 2021–03632 Filed 2–22–21; 8:45 am] statute. Do not submit information that faxes. Hand deliveries and couriers may BILLING CODE 6560–50–P you consider to be CUI or otherwise be received by scheduled appointment protected through www.regulations.gov. only. For further information on EPA The www.regulations.gov website is an Docket Center services and the current ENVIRONMENTAL PROTECTION ‘‘anonymous access’’ system for EPA, status, please visit us online at https:// AGENCY which means the EPA will not know www.epa.gov/dockets. [FRL–10017–77–OMS] your identity or contact information FOR FURTHER INFORMATION CONTACT: unless you provide it in the body of Deborah Balsamo, OMS, Office of Privacy Act of 1974; System of your comment. Each agency determines Enterprise Information Programs, 109 Records submission requirements within their T.W. Alexander Dr., Mail code N127– own internal processes and standards. AGENCY: Office of Mission Support 05, Research Triangle Park, NC 27709; EPA has no requirement of personal (OMS), Environmental Protection [email protected], (919) 541– information. If you send an email Agency (EPA). 9412. comment directly to the EPA without SUPPLEMENTARY INFORMATION: OLS is a ACTION: Notice of a new system of going through www.regulations.gov your data management system that serves the records. email address will be automatically EPA National Library Network. OLS is captured and included as part of the SUMMARY: The U.S. Environmental comprised of the National Library comment that is placed in the public Protection Agency’s (EPA), Office of Catalog database and four operations docket and made available on the Mission Support (OMS) is giving notice modules: Serials Management, to track internet. If you submit an electronic that it proposes to create a new system library subscriptions; Dispersals of records pursuant to the provisions of comment, the EPA recommends that you include your name and other Management, to track the removal of the Privacy Act of 1974 (Privacy Act). library materials from their collections; The Online Library System (OLS) is contact information in the body of your comment. If the EPA cannot read your Catalog Maintenance, which allows being created as a data management comment due to technical difficulties libraries to manage their specific library system that allows the EPA to collect, and cannot contact you for clarification, holdings records; and Circulation store, retrieve and upload data about the the EPA may not be able to consider Management, which allows authorized collection of the libraries within the your comment. Electronic files should library staff to register individuals who EPA National Library Network. The avoid the use of special characters, any wish to borrow materials held in the Circulation module of OLS collects form of encryption, and be free of any library and track borrowed materials. Personally Identifiable Information (PII) defects or viruses. For additional The National Library Catalog database that is subject to the Privacy Act. information about the EPA public allows individuals to search for DATES: Persons wishing to comment on docket, visit the EPA Docket Center materials available in the collections of this system of records notice must do so homepage at http://www.epa.gov/ the 24 libraries within the EPA National by March 25, 2021. Routine uses for this epahome/dockets.htm. Library Network. While the library new system of records will be effective Docket: All documents in the docket holdings records in the National Library March 25, 2021. are listed in the www.regulations.gov Catalog are accessible by the public, the ADDRESSES: Submit your comments, index. Although listed in the index, operations and records management identified by Docket ID No.OMS–2019– some information is not publicly tools of the four modules are solely 0646, by one of the following methods: available, e.g., CUI or other information maintained by authorized library staff. Regulations.gov: www.regulations.gov. for which disclosure is restricted by The Circulation Management module is Follow the online instructions for statute. Certain other material, such as the only module of OLS that collects submitting comments. copyrighted material, will be publicly and uses PII that is also Privacy Act Email: [email protected]. available only in hard copy. Publicly information. Fax: 202–566–1752. available docket materials are available SYSTEM NAME AND NUMBER: Mail: OMS Docket, Environmental either electronically in Online Library System (OLS)—EPA– Protection Agency, Mail Code: 2822T, www.regulations.gov or in hard copy at 82. 1200 Pennsylvania Ave. NW, the OMS Docket, EPA/DC, WJC West Washington, DC 20460. Building, Room 3334, 1301 Constitution SECURITY CLASSIFICATION: Hand Delivery: OMS Docket, EPA/DC, Ave. NW, Washington, DC 20460. The Unclassified. WJC West Building, Room 3334, 1301 Public Reading Room is normally open Constitution Ave. NW, Washington, DC from 8:30 a.m. to 4:30 p.m., Monday SYSTEM LOCATION: 20460. Such deliveries are only through Friday excluding legal holidays. OLS is owned by the Office of accepted during the Docket’s hours of The telephone number for the Public Mission Support (OMS) and hosted at operation, and special arrangements Reading Room is (202) 566–1744, and the EPA’s National Computer Center at should be made for deliveries of boxed the telephone number for the OMS Research Triangle Park, NC. OMS information. Docket is (202) 566–1752. Headquarters is located at Instructions: Direct your comments to Out of an abundance of caution for Environmental Protection Agency Docket ID No. OMS–2019–0646. The members of the public and our staff, the (EPA), 1301 Constitution Ave. NW, EPA’s policy is that all comments EPA Docket Center and Reading Room Washington, DC 20460. The EPA’s received will be included in the public are closed to the public, with limited National Computer Center is at 109
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Alexander Drive, Research Triangle tribal or foreign agency responsible for 3. Any employee of the Agency in his Park, NC 27709. investigating, prosecuting, enforcing, or or her individual capacity where the implementing a statute, rule, regulation, Department of Justice or the Agency SYSTEM MANAGER(S): or order, if the information is relevant have agreed to represent the employee; Deborah Balsamo, National Program to a violation or potential violation of or Manager, OMS, Office of Enterprise civil or criminal law or regulation 4. The United States, if the Agency Information Programs, 109 T.W. within the jurisdiction of the receiving determines that litigation is likely to Alexander Dr., Research Triangle Park, entity. affect the Agency or any of its NC 27709, Mail code N127–05; B. Disclosure Incident to Requesting components, is a party to ligation or has [email protected]; (919) 541– Information: Information may be an interest in such litigation, and the 9412. disclosed to any source from which use of such records by the Department additional information is requested (to of Justice or the Agency is deemed by AUTHORITY FOR MAINTENANCE OR THE SYSTEM: the extent necessary to identify the the Agency to be relevant and necessary 5 U.S.C. 301 ‘‘Departmental individual, inform the source of the to the litigation provided, however, that Regulations,’’ 44 U.S.C. 3101 ‘‘Records purpose of the request, and to identify in each case it has been determined that Management by Federal Agency Heads.’’ the type of information requested) when the disclosure is compatible with the PURPOSE(S) OF THE SYSTEM: necessary to obtain information relevant purpose for which the records were to an agency decision concerning collected. OLS is the data management system retention of an employee or other G. Disclosure to the National that serves to enable and enhance personnel action (other than hiring) Archives: Information may be disclosed operations of the libraries in the EPA retention of a security clearance, the to the National Archives and Records National Library Network. letting of a contract, or the issuance or Administration in records management CATEGORIES OF INDIVIDUALS COVERED BY THE retention of a grant, or other benefit. inspections. SYSTEM: C. Disclosure to Requesting Agency: H. Disclosure to Contractors, Grantees, and Others: Information may Individuals who register to borrow Disclosure may be made to a Federal, be disclosed to EPA employees, materials from the Library can be EPA State, local, foreign, or tribal or other contractors, grantees, consultants, or employees, EPA contractors, and non- public authority of the fact that this volunteers performing or working on a EPA individuals. system of records contains information relevant to the retention of an employee, contract, service, grant, cooperative CATEGORIES OF RECORDS IN THE SYSTEM: the retention of a security clearance, the agreement, job or other activity for the Circulation data consists of letting of a contract, or the issuance or Agency and who have a need to have descriptive information about the retention of a license, grant, or other access to the information in the library materials each patron has benefit. The other agency or licensing performance of their duties or activities requested. Patron data consists of organization may then make a request for the Agency. When appropriate, category (EPA employee, contractor, supported by the written consent of the recipients will be required to comply general public), name, optional address, individual for the entire record if it so with the requirement of the Privacy Act email address, and optional phone chooses. No disclosure will be made of 1974, as provided in 5 U.S.C. number (for EPA staff and contractors unless the information has been 552a(m). these data consist only of work address, determined to be sufficiently reliable to I. Disclosures for Administrative work email, work phone number, EPA support a referral to another office Claims, Complaints and Appeals: office, and project officer (for within the agency or to another Federal Information from this system of records contractors)). agency for criminal, civil, may be disclosed to an authorized administrative, personnel, or regulatory appeal grievance examiner, formal RECORD SOURCE CATEGORIES: action. complaints examiner, equal The information for establishing a D. Disclosure to Office of Management employment opportunity investigator, patron record in the Circulation module and Budget: Information may be arbitrator or other person properly is obtained from the patron themselves disclosed to the Office of Management engaged in investigation or settlement of and entered into the system by and Budget at any stage in the an administrative grievance, complaint, authorized library staff. There are three legislative coordination and clearance claim, or appeal filed by an employee, mandatory fields (name, email, office/ process in connection with private relief but only to the extent that the division). If a requestor does not have an legislation as set forth in OMB Circular information is relevant and necessary to office the librarian can enter (N/A or No. A–19. the proceeding. Agencies that may none). E. Disclosure to Congressional Offices: obtain information under this routine Information may be disclosed to a use include, but are not limited to, the ROUTINE USES OF RECORDS MAINTAINED IN THE congressional office from the record of Office of Personnel Management, Office SYSTEM, INCLUDING CATEGORIES OF USERS AND an individual in response to an inquiry of Special Counsel, Merit Systems PURPOSES OF SUCH USES: from the congressional office made at Protection Board, Federal Labor The following routine uses apply to the request of the individual. Relations Authority, Equal Employment this system because the use of the F. Disclosure to Department of Justice: Opportunity Commission, and Office of record is necessary for the efficient Information may be disclosed to the Government Ethics. conduct of government operations. The Department of Justice, or in a J. Disclosure to the Office of Personnel routine uses are related to and proceeding before a court, adjudicative Management: Information from this compatible with the original purpose for body, or other administrative body system of records may be disclosed to which the information was collected. before which the Agency is authorized the Office of Personnel Management The last two routine uses are required to appear when: pursuant to that agency’s responsibility under OMB M–17–12. 1. The Agency, or any component for evaluation and oversight of Federal A. Disclosure for Law Enforcement thereof; personnel management. Purposes: Information may be disclosed 2. Any employee of the Agency in his K. Disclosure in Connection With to the appropriate Federal, State, local, or her official capacity; Litigation: Information from this system
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of records may be disclosed in authorized library employees (who are RECORD ACCESS PROCEDURES: connection with litigation or settlement EPA employees and contractors). These EPA requires individuals seeking discussions regarding claims by or authorized library employees may only access to information in this system of against the Agency, including public access patron data for the library at records about themselves to provide filing with a court, to the extent that which the library employee works. The adequate identification documentation disclosure of the information is relevant OLS Database Administrator, a library (e.g., driver’s license, military and necessary to the litigation or contractor, has access to all records in identification card, employee badge or discussions and except where court the OLS system and its modules. identification card). Additional identity orders are otherwise required under verification procedures may be required, POLICIES AND PRACTICES FOR RETENTION AND section (b)(11) of the Privacy Act of as warranted. Requests must meet the DISPOSAL OF RECORDS: 1974, 5 U.S.C. 552a(b)(11). requirements of EPA regulations that L. Disclosure to Persons or Entities in EPA will retain and dispose of these implement the Privacy Act of 1974, at Response to an Actual of Suspected records in accordance with the National 40 CFR part 16. Breach of Personally Identifiable Archives and Records Administration Information: To appropriate agencies, General Records Schedule. OMS has CONTESTING RECORD PROCEDURES: entities, and persons when (1) the established EPA record schedule 0088 Any individual who requests Agency suspects or has confirmed that for OLS. Records will be deleted or correction or amendment of OLS there has been a breach of the system of destroyed when the Agency determines records must identify the record to be records; (2) the Agency has determined they are no longer needed for changed and the corrective action that as a result of the suspected or administrative, legal, audit, or other sought. Complete EPA Privacy Act confirmed breach there is a risk of harm purposes. The schedule provides procedures are described in EPA’s to individuals, the Agency (including its disposal authorization for electronic Privacy Act regulations at 40 CFR part information systems, programs, and files and hard copy printouts created to 16. monitor system usage, including log-in operations), the Federal Government, or NOTIFICATION PROCEDURE: national security; and (3) the disclosure files, audit trail files, and system usage Any individual who wishes to know made to such agencies, entities, and files. EPA will delete or destroy records whether this system of records contains persons is reasonably necessary to assist when it determines they are no longer a record about themselves, and to obtain in connection with the Agency’s efforts needed for administrative, legal, audit, a copy of any such record(s), should to respond to the suspected or or other purposes. make a written request to the Attn: confirmed breach or to prevent, ADMINISTRATIVE, TECHNICAL, AND PHYSICAL Agency Privacy Officer, MC 2831T, minimize, or remedy such harm. SAFEGUARDS: 1200 Pennsylvania Ave. NW, M. Disclosure To Assist Another EPA uses security controls to protect Agency in Its Efforts to Respond to a Washington, DC 20460, privacy@ PII/Privacy Act information in OLS epa.gov. Breach: To another Federal agency or commensurate with controls required Federal entity, when the Agency for an information system rated EXEMPTIONS PROMULGATED FOR THE SYSTEM: determines that information from this moderate for confidentiality, integrity, None. system of records is reasonably and availability, as prescribed in NIST HISTORY: necessary to assist the recipient agency Special Publication, 800–53, or entity in (1) responding to a ‘‘Recommended Security Controls for None. suspected or confirmed breach or (2) Federal Information Systems,’’ Revision Vaughn Noga, preventing, minimizing, or remedying 4. the risk of harm to individuals, the Senior Agency Official for Privacy. Administrative Safeguards: EPA [FR Doc. 2021–03584 Filed 2–22–21; 8:45 am] recipient agency or entity (including its employees and contractors must BILLING CODE 6560–50–P information systems, programs, and complete annual agency training for operations), the Federal Government, or Information Security and Privacy. EPA national security, resulting from a instructs contractors and employees to suspected or confirmed breach. ENVIRONMENTAL PROTECTION lock and secure their computers when AGENCY POLICIES AND PRACTICES FOR STORAGE OF unattended. [FRL–10017–76–OMS] RECORDS: Technical Safeguards: The OLS Database Administrator, a library These records are maintained Privacy Act of 1974; System of contractor, establishes authorized electronically on secure password Records protected servers. The secure servers library employees upon request of the and storage system reside in the local library manager (EPA staff). AGENCY: Office of Mission Support National Computer Center’s second Permission level assignments allow (OMS), Environmental Protection floor computer room, 109 T.W. authorized users to access only those Agency (EPA). Alexander Drive, Research Triangle functions and records specific to the ACTION: Notice of a new system of Park, NC 27709. Backups reside on a module they are using and their local records. backup disk-based appliance and are library. EPA also has technical security replicated daily to an EPA-approved measures including restrictions on SUMMARY: The U.S. Environmental offsite location at Room S4730, 2777 computer access to authorized Protection Agency’s (EPA), Office of Crystal Drive, Arlington, VA 22202. individuals and required use of a Mission Support is giving notice that it personal identity verification (PIV) card proposes to create a new system of POLICIES AND PRACTICES FOR RETRIEVAL OF and password. records pursuant to the provisions of the RECORDS: Physical Safeguards: EPA equipment Privacy Act of 1974. Fleet Access (FA) Records are retrieved by patron’s first used for OLS is located in a secure area is being created to comply with United and last name, email address, and of the National Computer Center, 109 States Code (U.S.C.) 175 Federal Motor system-generated unique patron ID. T.W. Alexander Drive, Research Vehicle Expenditure Control and the Records are only retrievable by Triangle Park, NC 27709. General Services Administration (GSA)
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Federal Management Regulation (FMR) and cannot contact you for clarification, Statistical Tool Report (FAST Report) B–15 requiring all federal agencies store the EPA may not be able to consider submitted jointly to the Department of and maintain vehicle asset data your comment. Electronic files should Energy (DOE), the General Services collected in a Fleet Management avoid the use of special characters, any Administration (GSA), and the Idaho Information System (FMIS). form of encryption, and be free of any National Lab (INL). The FAST report DATES: Persons wishing to comment on defects or viruses. For additional summarizes each vehicle’s yearly data this system of records notice must do so information about the EPA public with respect to fuel, mileage, by March 25, 2021. New routine uses for docket, visit the EPA Docket Center maintenance, acquisition, and disposal. this new system of records will be homepage at http://www.epa.gov/ Fleet Access also serves as a effective March 25, 2021. epahome/dockets.htm. comprehensive standardized vehicle ADDRESSES: Submit your comments, Docket: All documents in the docket reservation system used by agency staff identified by Docket ID No. EPA–HQ– are listed in the www.regulations.gov needing to reserve and utilize fleet OMS–2020–0137, by one of the index. Although listed in the index, vehicles for official agency business. following methods: some information is not publicly Vehicle registration features of Fleet Regulations.gov: www.regulations.gov. available, e.g., CUI or other information Access requires system users register Follow the online instructions for for which disclosure is restricted by personal business information in order submitting comments. statute. Certain other material, such as to reserve agency fleet assets. Email: [email protected]. copyrighted material, will be publicly available only in hard copy. Publicly SYSTEM NAME AND NUMBER: Fax: 202–566–1752. Fleet Access (FA)—EPA–85. Mail: OMS Docket, Environmental available docket materials are available Protection Agency, Mail Code: 2822T, either electronically in SECURITY CLASSIFICATION: www.regulations.gov or in hard copy at 1200 Pennsylvania Ave. NW, Unclassified. Washington, DC 20460. the OMS Docket, EPA/DC, WJC West Hand Delivery: OMS Docket, EPA/DC, Building, Room 3334, 1301 Constitution SYSTEM LOCATION: WJC West Building, Room 3334, 1301 Ave. NW, Washington, DC 20460. The AgileFleet (Fleet Access Service Constitution Ave. NW, Washington, DC Public Reading Room is open from 8:30 Provider): 14101 Willard Rd., Suite A, 20460. Such deliveries are only a.m. to 4:30 p.m., Monday through Chantilly, VA 20151; AgileFleet (Fleet accepted during the Docket’s normal Friday excluding legal holidays. The Access Datacenter): 600 West 7th Street, hours of operation, and special telephone number for the Public Los Angeles, CA 900021, System arrangements should be made for Reading Room is (202) 566–1744, and Managers: 1200 Pennsylvania Ave. NW, deliveries of boxed information. the telephone number for the OMS Washington, DC 20460. Instructions: Direct your comments to Docket is (202) 566–1752. SYSTEM MANAGER(S): Docket ID No. EPA–HQ–OMS–2020– Out of an abundance of caution for 0137. The EPA policy is that all members of the public and our staff, the James Cunningham, IT Project comments received will be included in EPA Docket Center and Reading Room Manager, 1200 Pennsylvania Ave. NW, the public docket without change and are closed to the public, with limited Washington, DC 20460, Mail code may be made available online at exceptions, to reduce the risk of 3101M, [email protected], www.regulations.gov, including any transmitting COVID–19. Our Docket 202–564–7212. Center staff will continue to provide personal information provided, unless AUTHORITY FOR MAINTENANCE OF THE SYSTEM: remote customer service via email, the comment includes information 40 U.S.C. 175—Federal Motor Vehicle claimed to be Controlled Unclassified phone, and webform. We encourage the public to submit comments via https:// Expenditure Control; Sections 15301 Information (CUI) or other information and 15302 of the Consolidated Omnibus for which disclosure is restricted by www.regulations.gov/ or email, as there may be a delay in processing mail and Budget Reconciliation Act of 1986 (Pub. statute. Do not submit information that L. 99–272) (40 U.S.C. 17502 and 17503); you consider to be CUI or otherwise faxes. Hand deliveries and couriers may be received by scheduled appointment and General Services Administration protected through www.regulations.gov. (GSA) FMR B–15. The www.regulations.gov website is an only. For further information on EPA ‘‘anonymous access’’ system for EPA, Docket Center services and the current PURPOSE(S) OF THE SYSTEM: which means the EPA will not know status, please visit us online at https:// Fleet Access (FA) is a contractor your identity or contact information www.epa.gov/dockets. owned and operated system used by unless you provide it in the body of FOR FURTHER INFORMATION CONTACT: EPA to comply with the General your comment. Each agency determines General questions about the Fleet Services Administration (GSA) FMR submission requirements within their Access system should be made in B–15 requirement that each federal own internal processes and standards. writing to: James Cunningham, (202) agency store and maintain vehicle asset EPA has no requirement of personal 564–7212, [email protected]; data collected in a Fleet Management information. If you send an email Jackie Brown, (202) 564–0313, Information System (FMIS). The FA comment directly to the EPA without [email protected]; and Jonathan system serves two primary purposes: going through www.regulations.gov your Barnes, (202) 564–1950, First, to store vehicle level data such as email address will be automatically [email protected]. license plate, VIN, make, model, captured and included as part of the SUPPLEMENTARY INFORMATION: Fleet acquisition value/lease rates, comment that is placed in the public Access stores vehicle level data such as designations regarding alternative fuel, docket and made available on the license plate, VIN, make, model, energy and sustainability mandates. internet. If you submit an electronic acquisition value/and or lease rates as Which is used to produce the Federal comment, the EPA recommends that well as designations regarding Automotive Statistical Tool Report you include your name and other alternative fuel, energy, and (FAST Report) as an end of year report. contact information in the body of your sustainability mandates. Fleet Access is This end of year report is submitted comment. If the EPA cannot read your used to produce an end-of-year report jointly to the Department of Energy comment due to technical difficulties known as the Federal Automotive (DOE), the GSA, and the Idaho National
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Lab (INL). The FAST report summarizes C. Disclosure to Requesting Agency: H. Disclosure to Contractors, each vehicle’s annual data with respect Disclosure may be made to a Federal, Grantees, and Others: Information may to fuel, mileage, maintenance, State, local, foreign, or tribal or other be disclosed to contractors, grantees, acquisition, and disposal. And second, public authority of the fact that this consultants, or volunteers performing or it is used by EPA’s Fleet program system of records contains information working on a contract, service, grant, management, regional, local staff and relevant to the retention of an employee, cooperative agreement, job, or other support contractors as a standardized the retention of a security clearance, the activity for the Agency and who have a vehicle reservation system to reserve letting of a contract, or the issuance or need to have access to the information and utilize fleet vehicles for official retention of a license, grant or other in the performance of their duties or agency business. benefit. The other agency or licensing activities for the Agency. When organization may then make a request appropriate, recipients will be required CATEGORIES OF INDIVIDUALS COVERED BY THE supported by the written consent of the to comply with the requirements of the SYSTEM: individual for the entire record if it so Privacy Act of 1974 as provided in 5 The categories of individuals covered chooses. No disclosure will be made U.S.C. 552a(m). by this system include EPA employees unless the information has been I. Disclosures of Administrative and EPA Contractors. determined to be sufficiently reliable to Claims, Complaints and Appeals: CATEGORIES OF RECORDS IN THE SYSTEM: support a referral to another office Information from this system of records may be disclosed to an authorized PII collected includes: Last Name, within the agency or to another Federal appeal grievance examiner, formal First Name, Work Phone Number, Work agency for criminal, civil, complaints examiner, equal Email Address, Driver’s License administrative, personnel or regulatory employment opportunity investigator, Expiration Date, and Profile Picture. action. D. Disclosure of Office of Management arbitrator or other person properly RECORD SOURCE CATEGORIES: and Budget: Information may be engaged in investigation or settlement of Fleet Access is a data management disclosed to the Office of Management an administrative grievance, complaint, system that allows authorized EPA and Budget (OMB) at any stage in the claim, or appeal filed by an employee, employees and contractors to store/ legislative coordination and clearance but only to the extent that the maintain vehicle asset data and reserve process in connection with private relief information is relevant and necessary to agency vehicles across various legislation as set forth in OMB Circular the proceeding. Agencies that may programs/regions. PII information is No. A–19. obtain information under this routine collected directly from the user via an E. Disclosure to Congressional Offices: use include, the Office of Personnel online registration form. Information may be disclosed to a Management, Office of Special Counsel, congressional office from the record of Merit Systems Protection Board, Federal ROUTINE USES OF RECORDS MAINTAINED IN THE an individual in response to an inquiry Labor Relations Authority, Equal SYSTEM, INCLUDING CATEGORIES OF USERS AND from the congressional office made at Employment Opportunity Commission PURPOSES OF SUCH USES: the request of the individual. and Office of Government Ethics. The following new or modified F. Disclosure to Department of Justice: J. Disclosure to the Office of Personnel routine uses apply to this system Information may be disclosed to the Management: Information from this because the use of the record is Department of Justice, or in a system of records may be disclosed to necessary for the efficient conduct of proceeding before a court, adjudicative the Office of Personnel Management government. The routine uses are body, or other administrative body pursuant to that agency’s responsibility related to and compatible with the before which the Agency is authorized for evaluation and oversight of Federal original purpose for which the to appear, when: personnel management. information was collected. 1. The Agency, or any component K. Disclosure in Connection with A. Disclosure of Law Enforcement thereof; Litigation: Information from this system Purposes: Information may be disclosed 2. Any employee of the Agency in his of records may be disclosed in to the appropriate Federal, State, local, or her official capacity; connection with litigation or settlement tribal, or foreign agency responsible for 3. Any employee of the Agency in his discussions regarding claims by or investigating, prosecuting, enforcing, or or her individual capacity where the against the Agency, including public implementing a statute, rule, regulation, Department of Justice or the Agency filing with a court, to the extent that or order, if the information is relevant have agreed to represent the employee; disclosure of the information is relevant to a violation or potential violation of or and necessary to the litigation or civil or criminal law or regulation 4. The United States, if the Agency discussions and except where court within the jurisdiction of the receiving determines that litigation is likely to orders are otherwise required under entity. affect the Agency or any of its section (b)(11) of the Privacy Act of B. Disclosure Incident to Requesting components, is a party to litigation or 1974, 5 U.S.C. 552a(b)(11). Information: Information may be has an interest in such litigation, and L. Disclosure to Persons or Entities in disclosed to any source from which the use of such records by the Response to an Actual of Suspected additional information is requested (to Department of Justice or the Agency is Breach of Personally Identifiable the extent necessary to identify the deemed by the Agency to be relevant Information: To appropriate agencies, individual, inform the source of the and necessary to the litigation provided, entities, and persons when (1) the purpose of the request, and to identify however, that in each case it has been Agency suspects or has confirmed that the type of information requested,) determined that the disclosure is there has been a breach of the system of when necessary to obtain information compatible with the purpose for which records, (2) the Agency has determined relevant to an agency decision the records were collected. that as a result of the suspected or concerning retention of an employee or G. Disclosure of National Archives: confirmed breach there is a risk of harm other personnel action (other than Information may be disclosed to the to individuals, the Agency (including its hiring), retention of a security clearance, National Archives and Records information systems, programs, and the letting of a contract, or the issuance Administration in records management operations), the Federal Government, or or retention of a grant or other benefit. inspections. national security; and (3) the disclosure
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made to such agencies, entities, and Federal Information Systems,’’ Revision EXEMPTIONS PROMULGATED FOR THE SYSTEM: persons is reasonably necessary to assist 4. None. in connection with the Agency’s efforts 1. Administrative Safeguards: to respond to the suspected or Personnel are required to complete HISTORY: confirmed breach or to prevent, annual agency Information Security and None. minimize, or remedy such harm. Privacy training. Personnel are Vaughn Noga, M. Disclosure to assist another agency instructed to lock their computers when Senior Agency Official for Privacy. in its efforts to respond to a breach: To they leave their desks. [FR Doc. 2021–03583 Filed 2–22–21; 8:45 am] another Federal agency or Federal 2. Technical Safeguards: Access to entity, when the Agency determines that Fleet Access is restricted to authorized BILLING CODE 6560–50–P information from this system of records users via login by username and is reasonably necessary to assist the password. All application passwords are ENVIRONMENTAL PROTECTION recipient agency or entity in (1) encrypted in the database. User AGENCY responding to a suspected or confirmed passwords cannot be seen by the breach or (2) preventing, minimizing, or administrators. The application is web- [EPA–HQ–OPPT–2021–0068; FRL–10020– remedying the risk of harm to based, and user sessions encrypted. 58] individuals, the recipient agency or Authorized users are defined by an Certain New Chemicals; Receipt and entity (including its information application administrator from within Status Information for January 2021 systems, programs, and operations), the the application. Permission structures Federal Government, or national are currently role-based and are applied AGENCY: Environmental Protection security, resulting from a suspected or individually by an application Agency (EPA). confirmed breach. administrator as needed. ACTION: Notice. 3. Physical Safeguards: Equipment POLICIES AND PRACTICES FOR STORAGE OF used for the purposes of hosting the SUMMARY: The Toxic Substances Control RECORDS: Fleet Access is in a secure facility. Act (TSCA) requires EPA to make The information collected within Access to the secure facility is restricted information publicly available and to Fleet Access is maintained and stored in to employees displaying valid publish information in the Federal a database hosted by Aptum, a identification badges. Access to the Register pertaining to submissions DataCenter Service Provider located at Network Operations Center is limited to under TSCA, including notice of receipt 600 West 7th Street, Los Angeles, authorized, network administrators and of a Premanufacture notice (PMN), California 900021 in accordance to the requires successful validation by Significant New Use Notice (SNUN) or EPA record retention schedule 00–90- additional authentication mechanisms. Microbial Commercial Activity Notice Administrative Support Databases. And Access to the secure facility is logged. (MCAN), including an amended notice EPA Record Schedule 1009—Motor Power to the facility is insured by both or test information; an exemption Vehicles and Personal Property. battery backup and diesel generator. application (Biotech exemption); an POLICIES AND PRACTICES FOR RETRIEVAL OF Fire suppression systems are in place. application for a test marketing RECORDS: The facility is staffed 24-hours-a-day, exemption (TME), both pending and/or Records for Fleet Access are seven days a week. concluded; a notice of commencement retrievable by User ID and Last Name. (NOC) of manufacture (including RECORD ACCESS PROCEDURES: import) for new chemical substances; POLICIES AND PRACTICES FOR RETENTION AND Individuals seeking access to and a periodic status report on new DISPOSAL OF RECORDS: information in this system of records chemical substances that are currently Fleet Access complies with EPA about themselves are required to under EPA review or have recently Records Schedule 0090-Administrative provide adequate identification (e.g., concluded review. This document Support Databases and EPA Record driver’s license, military identification covers the period from 01/01/2021 to Schedule 1009—Motor Vehicles and card, employee badge or identification 01/31/2021. Personal Property. Personnel card). Additional identity verification DATES: Comments identified by the information is retained for as long as the procedures may be required, as specific case number provided in this user or administrator determines warranted. Requests must meet the document must be received on or before necessary, generally, as long as the requirements of EPA regulations that March 25, 2021. individual is employed by the EPA and implement the Privacy Act of 1974, at ADDRESSES: requires vehicle reservation access. If a 40 CFR part 16. Submit your comments, person no longer needs to reserve a identified by docket identification (ID) vehicle for agency business, their user CONTESTING RECORD PROCEDURES: number EPA–HQ–OPPT–2021–0068 information is deleted permanently, in Requests for correction or amendment and the specific case number for the accordance with EPA Record Schedule must identify the record to be changed chemical substance related to your 1009. Vehicle data is stored for a and the corrective action sought. comment, by using the Federal minimum of 3 years. Complete EPA Privacy Act procedures eRulemaking Portal at http:// are described in EPA’s Privacy Act www.regulations.gov. Follow the online ADMINISTRATIVE, TECHNICAL, AND PHYSICAL regulations at 40 CFR part 16. instructions for submitting comments. SAFEGUARDS: Do not submit electronically any Security controls used to protect NOTIFICATION PROCEDURE: information you consider to be personal sensitive data in Fleet Access Any individual who wants to know Confidential Business Information (CBI) are commensurate with those required whether this system of records contains or other information whose disclosure is for an information system rated a record about him or her, should make restricted by statute. moderate for confidentiality, integrity, a written request to the Attn: Agency Due to the public health concerns and availability, as prescribed in NIST Privacy Officer, MC 2831T, 1200 related to COVID–19, the EPA Docket Special Publication, 800–53, Pennsylvania Ave. NW, Washington, DC Center (EPA/DC) and Reading Room is ‘‘Recommended Security Controls for 20460, [email protected]. closed to visitors with limited
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exceptions. The staff continues to 3(11).) For more information about the information in a disk or CD–ROM that provide remote customer service via TSCA Inventory please go to: https:// you mail to EPA, mark the outside of the email, phone, and webform. For the www.epa.gov/tsca-inventory. disk or CD–ROM as CBI and then latest status information on EPA/DC Any person who intends to identify electronically within the disk or services and docket access, visit https:// manufacture (including import) a new CD–ROM the specific information that www.epa.gov/dockets. chemical substance for a non-exempt is claimed as CBI. In addition to one FOR FURTHER INFORMATION CONTACT: commercial purpose, or to manufacture complete version of the comment that For technical information contact: Jim or process a chemical substance in a includes information claimed as CBI, a Rahai, Project Management and non-exempt manner for a use that EPA copy of the comment that does not Operations Division (MC 7407M), Office has determined is a significant new use, contain the information claimed as CBI of Pollution Prevention and Toxics, is required by TSCA section 5 to must be submitted for inclusion in the Environmental Protection Agency, 1200 provide EPA with a PMN, MCAN or public docket. Information so marked Pennsylvania Ave. NW, Washington, DC SNUN, as appropriate, before initiating will not be disclosed except in 20460–0001; telephone number: (202) the activity. EPA will review the notice, accordance with procedures set forth in 564–8593; email address: rahai.jim@ make a risk determination on the 40 CFR part 2. epa.gov. chemical substance or significant new 2. Tips for preparing your comments. For general information contact: The use, and take appropriate action as When preparing and submitting your TSCA-Hotline, ABVI-Goodwill, 422 described in TSCA section 5(a)(3). comments, see the commenting tips at South Clinton Ave., Rochester, NY TSCA section 5(h)(1) authorizes EPA http://www.epa.gov/dockets/ 14620; telephone number: (202) 554– to allow persons, upon application and comments.html. 1404; email address: TSCA-Hotline@ under appropriate restrictions, to II. Status Reports epa.gov. manufacture or process a new chemical In the past, EPA published individual SUPPLEMENTARY INFORMATION: substance, or a chemical substance subject to a significant new use rule notices reflecting the status of TSCA I. Executive Summary (SNUR) issued under TSCA section section 5 filings received, pending or concluded. In 1995, the Agency A. What action is the Agency taking? 5(a)(2), for ‘‘test marketing’’ purposes, upon a showing that the manufacture, modified its approach and streamlined This document provides the receipt processing, distribution in commerce, the information published in the and status reports for the period from use, and disposal of the chemical will Federal Register after providing notice 01/01/2021 to 01/31/2021. The Agency not present an unreasonable risk of of such changes to the public and an is providing notice of receipt of PMNs, injury to health or the environment. opportunity to comment (See the SNUNs and MCANs (including This is referred to as a test marketing Federal Register of May 12, 1995, (60 amended notices and test information); exemption, or TME. For more FR 25798) (FRL–4942–7). Since the an exemption application under 40 CFR information about the requirements passage of the Lautenberg amendments part 725 (Biotech exemption); TMEs, applicable to a new chemical go to: to TSCA in 2016, public interest in both pending and/or concluded; NOCs http://www.epa.gov/oppt/newchems. information on the status of section 5 to manufacture a new chemical Under TSCA sections 5 and 8 and cases under EPA review and, in substance; and a periodic status report EPA regulations, EPA is required to particular, the final determination of on new chemical substances that are publish in the Federal Register certain such cases, has increased. In an effort to currently under EPA review or have information, including notice of receipt be responsive to the regulated recently concluded review. of a PMN/SNUN/MCAN (including community, the users of this EPA is also providing information on amended notices and test information); information, and the general public, to its website about cases reviewed under an exemption application under 40 CFR comply with the requirements of TSCA, the amended TSCA, including the TSCA part 725 (biotech exemption); an to conserve EPA resources and to section 5 PMN/SNUN/MCAN and application for a TME, both pending streamline the process and make it more exemption notices received, the date of and concluded; NOCs to manufacture a timely, EPA is providing information on receipt, the final EPA determination on new chemical substance; and a periodic its website about cases reviewed under the notice, and the effective date of status report on the new chemical the amended TSCA, including the TSCA EPA’s determination for PMN/SNUN/ substances that are currently under EPA section 5 PMN/SNUN/MCAN and MCAN notices on its website at: https:// review or have recently concluded exemption notices received, the date of www.epa.gov/reviewing-new-chemicals- review. receipt, the final EPA determination on under-toxic-substances-control-act-tsca/ the notice, and the effective date of status-pre-manufacture-notices. This C. Does this action apply to me? EPA’s determination for PMN/SNUN/ information is updated on a weekly This action provides information that MCAN notices on its website at: https:// basis. is directed to the public in general. www.epa.gov/reviewing-new-chemicals- under-toxic-substances-control-act-tsca/ B. What is the Agency’s authority for D. Does this action have any status-pre-manufacture-notices. This taking this action? incremental economic impacts or information is updated on a weekly Under TSCA, 15 U.S.C. 2601 et seq., paperwork burdens? basis. a chemical substance may be either an No. ‘‘existing’’ chemical substance or a III. Receipt Reports ‘‘new’’ chemical substance. Any E. What should I consider as I prepare For the PMN/SNUN/MCANs that chemical substance that is not on EPA’s my comments for EPA? have passed an initial screening by EPA TSCA Inventory of Chemical Substances 1. Submitting confidential business during this period, Table I provides the (TSCA Inventory) is classified as a ‘‘new information (CBI). Do not submit this following information (to the extent that chemical substance,’’ while a chemical information to EPA through such information is not subject to a CBI substance that is listed on the TSCA regulations.gov or email. Clearly mark claim) on the notices screened by EPA Inventory is classified as an ‘‘existing the part or all of the information that during this period: The EPA case chemical substance.’’ (See TSCA section you claim to be CBI. For CBI number assigned to the notice that
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indicates whether the submission is an provided by the submitter, and (G) submissions in sequence as ‘‘1’’, ‘‘2’’, initial submission or an amendment, indicates that this information in the ‘‘3’’, etc. Note that in some cases, an along with a notation of which version table is generic information because the initial submission is not numbered as was received; the date the notice was specific information provided by the version 1; this is because earlier received by EPA; the submitting submitter was claimed as CBI. version(s) were rejected as incomplete manufacturer (i.e., domestic producer or Submissions which are initial or invalid submissions. Note also that importer); the potential uses identified submissions will not have a letter future versions of the following tables by the manufacturer in the notice; and following the case number. Submissions may adjust slightly as the Agency works the chemical substance identity. which are amendments to previous to automate population of the data in As used in each of the tables in this submissions will have a case number the tables. unit, (S) indicates that the information followed by the letter ‘‘A’’ (e.g., P–18– in the table is the specific information 1234A). The version column designates TABLE I—PMN/SNUN/MCANS APPROVED * FROM 01/01/2021 TO 01/31/2021
Received Case No. Version date Manufacturer Use Chemical substance
J–21–0007 ...... 1 12/21/2020 CBI ...... (G) Ethanol production ...... (G) Biofuel producing Saccharomyces cerevisiae modified, ge- netically stable. J–21–0008 ...... 1 12/21/2020 CBI ...... (G) Ethanol production ...... (G) Biofuel producing Saccharomyces cerevisiae modified, ge- netically stable. J–21–0009 ...... 1 12/21/2020 CBI ...... (G) Ethanol production ...... (G) Biofuel producing Saccharomyces cerevisiae modified, ge- netically stable. P–16–0592A ..... 6 01/08/2021 Santolubes Manufac- (S) This low viscosity diester (S) Fatty acids, C8–C10, diesters with alpha-hydro-w- turing LLC. will be blended with a higher hydroxypoly(oxy-1,4-butanediyl). viscosity ester to make a high efficiency gear lubricant primarily for worm gear appli- cations. P–16–0592A ..... 7 01/13/2021 Santolubes Manufac- (S) This low viscosity diester (S) Fatty acids, C8–C10, diesters with alpha-hydro-w- turing LLC. will be blended with a higher hydroxypoly(oxy-1,4-butanediyl). viscosity ester to make a high efficiency gear lubricant primarily for worm gear appli- cations. P–18–0153A ..... 4 01/27/2021 CBI ...... (G) Mixed metal oxide for bat- (G) Lithium mixed metal oxide. teries. P–18–0273A ..... 3 01/04/2021 CBI ...... (G) Used in polymer manufac- (S) 1,4-Cyclohexanedicarboxylic acid, 1,4-bis(2-ethylhexyl) turing.. ester. P–18–0326A ..... 9 01/14/2021 CBI ...... (G) Chemical Intermediate ...... (G) Alkanoic acid, alkyl ester, manuf. of, byproducts from, distn. residues. P–18–0349A ..... 6 12/31/2020 Lanxess Solutions (S) Two component adhesives (S) Oxirane, 2-methyl-, polymer with oxirane, ether with 1,2,3- US Inc. and protective coatings for propanetriol (3:1), polymer with 2,4-diisocyanato-1- marine, infrastructure, etc. methylbenzene, branched 4-nonylphenol-blocked. The urethane prepolymer is designed to react with epoxy materials to create a flexible coating or adhesive. P–19–0098A ..... 3 01/07/2021 Clariant Corporation (S) Flame retardant additive for (G) Phosphoric acid, polymer with (hydroxyalkyl)-alkanediol intumescent coatings. and alkanediol. P–19–0122A ..... 3 01/27/2021 CBI ...... (G) Reactant monomer in a (G) 2-propenoic acid, 2-(hydrogenated animal-based nitrogen- polymer for industrial use. substituted) ethyl ester. P–20–0010A ..... 12 01/21/2021 CBI ...... (G) Polymerization auxiliary ..... (G) Carboxylic acid, reaction products with metal hydroxide, in- organic dioxide and metal. P–20–0030A ..... 4 01/26/2021 CBI ...... (S) Plasticizer for Plastisols, (G) Hexanedioic acid, carbomonocyclic esters. Plasticizer in caulks and sealants. P–20–0036A ..... 4 01/12/2021 Sigma-Aldrich Co. (G) Used in the manufacture of (S) Carbonic acid, di(lithium-6Li) salt. LLC. Lithium-6 Chloride. P–20–0071A ..... 8 01/13/2021 CBI ...... (G) Colorant ...... (G) Salt of 2-Naphthalenesulfonic acid, hydroxy [(methoxy- methyl-4-sulfophenyl)diazenyl]. P–20–0078A ..... 6 01/07/2021 Ascend Performance (G) Stabilizer for industrial ap- (G) Dicarboxylic acid, compd. with aminoalkyl-alkyldiamine Materials. plications. alkyldioate alkyldioate (1:2:1:1). P–20–0079A ..... 6 01/07/2021 Ascend Performance (G) Stabilizer for industrial ap- (G) Dicarboxylic acid, compd. with aminoalkyl-alkyldiamine Materials. plications. (3:2). P–20–0080A ..... 8 12/28/2020 Ascend Performance (G) Stabilizer for industrial ap- (G) Alkyldiamine, aminoalkyl-, hydrochloride (1:3). Materials. plications. P–20–0080A ..... 9 01/07/2021 Ascend Performance (G) Stabilizer for industrial ap- (G) Alkyldiamine, aminoalkyl-, hydrochloride (1:3). Materials. plications. P–20–0081A ..... 8 12/28/2020 Ascend Performance (G) A stabilizer for industrial (G) Carboxylic acid, compd. with aminoalkyl-alkyldiamine (3:1). Materials. applications. P–20–0081A ..... 9 01/07/2021 Ascend Performance (G) A stabilizer for industrial (G) Carboxylic acid, compd. with aminoalkyl-alkyldiamine (3:1). Materials. applications. P–20–0082A ..... 8 12/28/2020 Ascend Performance (G) Stabilizer for industrial ap- (G) Alkyldiamine, aminoalkyl-, carboxylate (1:3). Materials. plications. P–20–0082A ..... 9 01/07/2021 Ascend Performance (G) Stabilizer for industrial ap- (G) Alkyldiamine, aminoalkyl-, carboxylate (1:3). Materials. plications. P–20–0083A ..... 2 01/27/2021 CBI ...... (G) Reactant monomer in a (G) 2-propenoic acid, nitrogen-substituted alkyl, N-C16-18-acyl polymer for industrial use. derivs.
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TABLE I—PMN/SNUN/MCANS APPROVED * FROM 01/01/2021 TO 01/31/2021—Continued
Received Case No. Version date Manufacturer Use Chemical substance
P–20–0096A ..... 4 01/28/2021 Solenis LLC ...... (G) Use in papermaking proc- (G) Unsaturated dicarboxylic acid polymer with 2- ess. (dialkylamino)alkyl-alkyl-alkanoate, N, N-dialkyl-alkene amide, 2-propenamide and salt of alkyl-substituted alkene sulfonate. P–20–0097A ..... 4 01/06/2021 Nelson Brothers, (S) The PMN substance will be (G) Butanedioic acid, monopolyisobutylene derivs., mixed LLC. used as an emulsifier for ap- dihydroxyalkyl and hydroxyalkoxyalkyl diesters. plications in explosives. P–20–0101A ..... 5 01/15/2021 Allnex USA Inc...... (S) Coating Resin ...... (G) Alkanoic acid, hydroxy-(hydroxyalkyl)-alkyl-, polymer with alpha-[(hydroxyalkyl)alkyl]-omega-alkoxypoly(oxy-alkanediyl), (haloalkyl)oxiane polymer (alkylalkylidene)bis[hydroxy- carbomonocycle] alkenoate and isocyanate-alkyl- carbomonocycle, hydroxyalkyl acrylate-blocked. P–20–0105A ..... 4 01/13/2021 Sound Agriculture (S) Maltol lactone is a com- (S) 4H-Pyran-4-one, 3-[(2,5-dihydro-4-methyl-5-oxo-2- Company. pound that promotes micro- furanyl)oxy]-2-methyl-. bial activity in the soil, result- ing in increased availability of phosphorus for crops. This substance will be used on commercial farming oper- ations. P–20–0107A ..... 4 01/13/2021 CBI ...... (G) Crosslinking polymer ...... (G) Carbimide, polyalkylenepolyarylene ester, polymer with 1,2-alkanediol, 2-alkoxyalkyl methacrylate- and 3-(2- alkoxyalkyl)-2-heterocycle-blocked. P–20–0121A ..... 2 01/25/2021 CBI ...... (S) Chemical intermediate ...... (G) Imidic acid, alkyl ester, sulfate. P–20–0123A ..... 2 01/25/2021 CBI ...... (S) Binder ...... (G) Nitrogen-substituted heterocycle, homopolymer, N-(nitro- gen-substituted alkyl) derivs., sulfates. P–20–0136A ..... 2 01/18/2021 Clariant Corporation (S) Surface treatment com- (G) Arylcarboxylic acid, alkyl ester, polymer with alkanediol, pound for textiles. ester with methyloxirane polymer with oxirane alkyl ether. P–20–0169A ..... 5 01/22/2021 CBI ...... (G) Battery Plastics and coat- (S) Multiwalled carbon nanotube. ings applications, conductive agent for conductive plastic and paint. P–20–0173A ..... 3 01/15/2021 ICM Products Inc .... (G) Use as a Coating Additive (G) Silsesquioxanes, alkyl, alkoxy- and hydroxy-terminated. P–21–0005 ...... 4 01/22/2021 Evonik Corporation .. (S) Polymeric additive in gear (G) Carbonmonocyclic alkene polymer with alkyl alkenoate, oils. alkyl alkenoate, alkyl alkenoate and polyalkyldiene alkenoate. P–21–0006A ..... 3 01/19/2021 CBI ...... (G) Froth flotation to treat rare (G) Naphthalene derivative. earth minerals and to remove deleterious substances. P–21–0010A ..... 4 01/07/2021 Evonik Degussa (S) 3D Printing ...... (S) 1,3-Benzenedicarboxylic acid, polymer with 2,2-dimethyl- Corporation. 1,3-propanediol, 1,2-ethanediol, 2-ethyl-2-(hydroxymethyl)- 1,3-propanediol, hexanedioic acid, 1,6-hexanediol and 1,3- isobenzofurandione, N-[[1,3,3-trimethyl-5-[[[2-[(1-oxo-2- propen-1-yl)oxy]ethoxy]carbonyl]amino]cyclohexyl]methyl]car- bamate N-[3,3,5-trimethyl-5-[[[[2-[(1-oxo-2-propen-1- yl)oxy]ethoxy]carbonyl]amino]methyl]cyclohexyl]carbamate. P–21–0012A ..... 2 01/12/2021 CBI ...... (G) The notified substance will (G) Multialkylbicycloalkenyl substituted propanenitrile. be used as a fragrance in- gredient. P–21–0012A ..... 3 01/21/2021 CBI ...... (G) The notified substance will (G) Multialkylbicycloalkenyl substituted propanenitrile. be used as a fragrance in- gredient. P–21–0020 ...... 3 01/22/2021 Allnex USA Inc ...... (S) Modifier for hardness devel- (G) Alkanedioic acid, dialkyl ester, polymer with dialkyl- opment in paint formulations alkanediol, alkyl(substituted alkyl)-alkanediol and for metal applications. heteropolycycle. P–21–0021A ..... 5 01/11/2021 J6 Polymers ...... (S) Raw material to be blend- (S) Soybean oil, mixed esters with diethylene glycol, phthalic ing into R-side components acid and terephthalic acid. of the polyurethane and polyisocyanurate industry. Specifically used in slabstock/bunstock proc- essing of foam. P–21–0034 ...... 3 01/06/2021 Evonik Degussa (S) Crosslinker for automotive (G) Carbamic acid, N-[3-(trialkoxysilyl)propyl]-, C,C’-[2,2,4(or Corporation. coatings, wood and plastic 2,4,4)-trimethyl-1,6-hexanediyl] ester. coatings. P–21–0035 ...... 3 01/06/2021 Evonik Degussa (S) Crosslinker for automotive (G) Carbamic acid, N-[3-(trialkoxysilyl)propyl]-, C,C’-[2,2,4(or Corporation. coatings, wood and plastic 2,4,4)-trimethyl-1,6-hexanediyl] ester. coatings. P–21–0043A ..... 2 01/05/2021 Advanced Polymer (S) Component in protective (G) Glycidyl ether of (formaldehyde, polymer with mixed phe- Coatings. coatings that provides chem- nols). ical resistance. P–21–0043A ..... 3 01/08/2021 Advanced Polymer (S) Component in protective (G) Glycidyl ether of (formaldehyde, polymer with mixed phe- Coatings. coatings that provides chem- nols). ical resistance. P–21–0051 ...... 2 01/12/2021 Designer Molecules, (G) Resin component of an ad- (S) Fatty Acids, C18-unsatd., dimers, hydrogenated, polymers Inc. hesive formulation. with 2-hydroxyethyl-terminated hydrogenated polybutadiene, bis(2,5-dihydro-2,5-dioxo-1H-pyrrole-1-hexanoate). P–21–0052 ...... 2 01/04/2021 CBI ...... (G) The notified substance will (G) alkoxy-alkyl-octadiene; alkoxy-alkyl-octadiene. be used as a fragrance in- gredient.
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TABLE I—PMN/SNUN/MCANS APPROVED * FROM 01/01/2021 TO 01/31/2021—Continued
Received Case No. Version date Manufacturer Use Chemical substance
P–21–0053 ...... 2 01/04/2021 CBI ...... (G) The notified substance will (G) (multialkyl substituted-cycloalkenyl)-methyl-pentenone; be used as a fragrance in- (multialkyl substituted-cycloalkenyl)-methyl-pentenone. gredient. P–21–0054 ...... 3 01/08/2021 CBI ...... (G) Carpet treatment additive .. (G) 2-Propenoic acid, 2-methyl-, aminoalkyl ester, polymer with hydroxyalkyl alkenoate and octadecyl alkenoate, acetate (salts). P–21–0056 ...... 2 01/15/2021 CBI ...... (G) Component of coatings ...... (G) Isocyanic acid, polyalkylenepolyarylene ester, polymer with alkyl-hydroxyalkyl-alkanediol, alkoxyalcohol and alkoxylalkoxyalcohol-blocked. P–21–0057 ...... 2 01/21/2021 CBI ...... (G) Component in coatings ...... (G) Sulfur based acid, compound with aminoalkylalkyl- aminoalkylalkoxy-polyoxyalkylalkanediyl, polymer with haloalkyl-epoxide and alkylalkylidene-cycloarylalcohol. P–21–0058 ...... 2 01/21/2021 CBI ...... (G) Component in coatings ...... (G) Substituted alkanoic acid, compound with aminoalkylalkyl- aminoalkylalkoxy-polyoxyalkylalkanediyl, polymer with haloalkyl-epoxide and alkylalkylidene-cycloarylalcohol. P–21–0060 ...... 2 01/21/2021 CBI ...... (G) Isolated intermediate ...... (G) Bisphenol A epichlorohydrin polymer with alkylpolyalkene- polyarylene-hydroxypolyoxyalkyldiyl reaction products with alkylalkylidene-alkylalkylidene-aminoalkyl-alkanepolyamine and alkylaminoalkanol. P–21–0061 ...... 2 01/21/2021 CBI ...... (G) Component in coatings ...... (G) Sulfur based acid, compds. with modified bisphenol A- epichlorohydrin-polyalkylene polyol ether with bisphenol A polymer-N-dialkylalkylidene-N-(dialkylalklyidene)aminoalkyl- alkanepolyamine-alkylaminoalkanol reaction products. P–21–0062 ...... 2 01/21/2021 CBI ...... (G) Component in coatings ...... (G) Substituted-alkanoic acid, compds. with modified bisphenol A-epichlorohydrin-polyalkylene polyol ether with bisphenol A polymer-N-dialkylalkylidene-N-dialkylalkylideneaminoalkyl- alkanepolyamine-alkylaminoalkanol reaction products. P–21–0063 ...... 1 01/05/2021 CBI ...... (G) Component in herbicides ... (G) Heterocyclic-polycarboxylic acid, polyhaloaryl-polyhydro- alkyl-polyalkyl ester. P–21–0064 ...... 2 01/12/2021 CBI ...... (G) Photolithography ...... (G) Sulfonium, triphenyl-, polyfluoro-polyhydrospiro[9H- carbopolycyclic-9,2’-[4,7]methano[1,3]benzodioxole]-5’- alkenesulfonic acid (1:1). P–21–0065 ...... 2 01/26/2021 Allnex USA Inc ...... (S) Improve the reactivity of ink (G) Alkenoic acid, reaction products with alkylamine-alkanediyl formulation when cured diacrylate polymer and [oxybis(alkylene)]bis[alkyl-alkanediol]. under under LED UV light. P–21–0067 ...... 1 01/14/2021 Zymergen Inc ...... (G) Polymer used in the manu- (G) Arylfurandione, [bis(trihaloalkyl)alkylidene]bis-, polymer facture of films. with alkanediamine. P–21–0068 ...... 1 01/18/2021 CBI ...... (G) Polymerization catalyst ...... (G) Metalloxanes, alkyl, alkyl group-terminated, reaction prod- ucts with dihalo-dialkylalkylaryl-alkyl-polycyclic- ylidene(dialkylsilylene)-dialkylalkylaryl-alkylalkyl-polycyclic- ylidene, metal oxide and nonmetallic oxide. P–21–0069 ...... 2 01/28/2021 AltAir Paramount (S) Fuel ...... (S) Alkanes, C9–14-branched, cyclic and linear. LLC. P–21–0070 ...... 2 01/28/2021 AltAir Paramount (S) Fuel ...... (S) Alkanes, C4–8-branched and linear. LLC. P–21–0073 ...... 1 01/21/2021 Evonik Corporation .. (S) Plasticizer in PVC articles (S) 1,4-Cyclohexanedicarboxylic acid, 1,4-dinonyl ester, like roofing membranes, branched and linear (DINCD). flooring or coated fabrics. P–21–0074 ...... 1 01/21/2021 Designer Molecules, (G) Resin component of an ad- (S) 1,3-Butadiene, homopolymer, hydrogenated, 2- Inc. hesive formulation. (ethenyloxy)ethyl-terminated. P–21–0075 ...... 1 01/29/2021 Allnex USA Inc ...... (S) Coating Resin ...... (G) Alkanoic acid, hydroxy-(hydroxyalkyl)-alkyl-, polymer with alpha-[(hydroxyalkyl)alkyl]-omega-alkoxypoly(oxy-alkanediyl), dialkyl carbonate, alkanediol, alkylene[isocyanato- carbomonocycle] and [oxybis(alkylene)]bis[alkyl-alkanediole] alkenoate, compd. with dialkyalkanamine. SN–21–0001A .. 3 12/29/2020 CBI ...... (S) Chelating agent for use in (S) Glycine, N-(carboxymethyl)-N-[2- hard surface cleaning (and [(carboxymethyl)amino]ethyl]-, sodium salt (1:3). disinfection), in laundry de- tergent. SN–21–0001A .. 4 01/07/2021 CBI ...... (S) Chelating agent for use in (S) Glycine, N-(carboxymethyl)-N-[2- hard surface cleaning (and [(carboxymethyl)amino]ethyl]-, sodium salt (1:3). disinfection), in laundry de- tergent. SN–21–0001A .. 5 01/18/2021 CBI ...... (S) Chelating agent for use in (S) Glycine, N-(carboxymethyl)-N-[2- hard surface cleaning (and [(carboxymethyl)amino]ethyl]-, sodium salt (1:3). disinfection), in laundry de- tergent. SN–21–0002 ..... 1 01/27/2021 CBI ...... (G) Raw Material ...... (G) Aryl polyolefin. * The term ‘Approved’ indicates that a submission has passed a quick initial screen ensuring all required information and documents have been provided with the submission prior to the start of the 90 day review period, and in no way reflects the final status of a complete submission review.
In Table II of this unit, EPA provides period: The EPA case number assigned commencement provided by the the following information (to the extent to the NOC including whether the submitter in the NOC, a notation of the that such information is not claimed as submission was an initial or amended type of amendment (e.g., amendment to CBI) on the NOCs that have passed an submission, the date the NOC was generic name, specific name, technical initial screening by EPA during this received by EPA, the date of
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contact information, etc.) and chemical substance identity.
TABLE II—NOCS APPROVED * FROM 01/01/2021 TO 01/31/2021
If Amendment, Case No. Received date Commencement type of Chemical substance date amendment
J–20–0003 ...... 01/19/2021 01/01/2021 N (G) Genetically modified microorganism. J–20–0004 ...... 01/19/2021 12/23/2020 N (G) Genetically modified microorganism. P–02–0202 ...... 01/12/2021 01/12/2021 N (S) 2,5-furandione, polymer with 1,2-ethanediol and 2,2′- oxybis(ethanol), mixed 2-ethylhexyl and 3a,4,5,6,7,7a-hexahydro- 4,7-methano-1h-inden-5 (or 6)-yl esters. P–18–0029 ...... 01/28/2021 01/26/2021 N (G) Fatty acids and fatty acid unsatd., reaction products with ethyleneamines and maleic anhydride. P–18–0036 ...... 01/14/2021 01/08/2021 N (S) Siloxanes and silicones, di-me, 3-[3-carboxy-2(or 3)-(octenyl)-1- oxopropoxy] propyl group terminated. P–18–0065 ...... 01/05/2021 12/26/2020 N (S) 1,3-propanediamine, n1,n1-dimethyl-n3-(2,2,6,6-tetramethyl-4- piperidinyl)-. P–18–0105 ...... 01/08/2021 12/21/2020 N (S) Phosphorous acid, triisotridecyl ester. P–18–0264 ...... 01/15/2021 01/13/2021 N (G) Phosphonomethylated ether diamine. P–18–0303 ...... 01/26/2021 01/16/2021 N (G) 2-propenoic acid, polymer with aliphatic cyclic epoxide. P–19–0030 ...... 01/25/2021 01/05/2021 N (G) Triethanolamine modified phosphinicocarboxylates, sodium salts. P–20–0024 ...... 01/19/2021 01/14/2021 N (G) Phenol-formaldehyde polymer with amino-oxirane copolymer and benzoates. * The term ‘Approved’ indicates that a submission has passed a quick initial screen ensuring all required information and documents have been provided with the submission.
In Table III of this unit, EPA provides been received during this time period: type of test information submitted, and the following information (to the extent The EPA case number assigned to the chemical substance identity. such information is not subject to a CBI test information; the date the test claim) on the test information that has information was received by EPA, the
TABLE III—TEST INFORMATION RECEIVED FROM 01/01/2021 TO 01/31/2021
Case No. Received date Type of test information Chemical substance
P–14–0712 ...... 01/26/2021 Quarterly PCDD/F Test of PMN Substance using (G) Plastics, wastes, pyrolyzed, bulk pyrolysate. EPA Test Method 8290A. P–16–0543 ...... 01/25/2021 Exposure Monitoring Report December 2020 ...... (G) Halogenophosphoric acid metal salt. P–16–0543 ...... 01/25/2021 Exposure Monitoring Report ...... (G) Halogenophosphoric acid metal salt. P–16–0543A ...... 01/27/2021 Exposure Monitoring Report November 2020 ...... (G) Halogenophosphoric acid metal salt.
If you are interested in information FEDERAL ACCOUNTING STANDARDS Mr. Scott’s second five-year term will that is not included in these tables, you ADVISORY BOARD conclude on December 31, 2025. may contact EPA’s technical Notice is also given that Ms. Gila Notice of Reappointment of FASAB information contact or general Bronner has been reappointed to serve Chair and Member information contact as described under a second five-year term as a member of FOR FURTHER INFORMATION CONTACT to AGENCY: Federal Accounting Standards the Board beginning January 1, 2021. access additional non-CBI information Advisory Board. Her second five-year term will conclude that may be available. ACTION: Notice. on December 31, 2025. Authority: 15 U.S.C. 2601 et seq. Authority: Federal Advisory Committee FOR FURTHER INFORMATION CONTACT: Ms. Act, 5 U.S.C. App. Dated: February 16, 2021. Monica R. Valentine, Executive Pamela Myrick, Director, 441 G Street NW, Suite 1155, Dated: February 17, 2021. Director, Project Management and Operations Washington, DC 20548, or call (202) Monica R. Valentine, Division, Office of Pollution Prevention and 512–7350. Executive Director. Toxics. SUPPLEMENTARY INFORMATION: Pursuant [FR Doc. 2021–03561 Filed 2–22–21; 8:45 am] [FR Doc. 2021–03611 Filed 2–22–21; 8:45 am] to 31 U.S.C. 3511(d), the Federal BILLING CODE 1610–02–P BILLING CODE 6560–50–P Advisory Committee Act as amended (5 U.S.C. App.), and the FASAB Rules Of Procedure, as amended in October 2010, notice is hereby given that Mr. George Scott has been reappointed to serve as the chair of the Federal Accounting Standards Advisory Board (FASAB or ‘‘the Board’’) beginning January 1, 2021.
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FEDERAL ACCOUNTING STANDARDS of information of a personal nature FEDERAL COMMUNICATIONS ADVISORY BOARD where disclosure would constitute a COMMISSION clearly unwarranted invasion of Notice of 2021 Federal Accounting personal privacy. Such discussions will [OMB 3060–1033; FRS 17442] Standards Advisory Board Meetings be segregated into separate discussions so that a portion of each meeting will be Information Collection Being Reviewed AGENCY: Federal Accounting Standards open to the public. by the Federal Communications Advisory Board. Pursuant to section 10(d) of the Commission Under Delegated ACTION: Notice. Federal Advisory Committee Act Authority (FACA), portions of advisory committee FOR FURTHER INFORMATION CONTACT: Ms. meetings may be closed to the public AGENCY: Federal Communications Monica R. Valentine, Executive where the head of the agency to which Commission. Director, 441 G Street NW, Suite 1155, the advisory committee reports ACTION: Notice and request for Washington, DC 20548, or call (202) determines that such portion of such comments. 512–7350. meeting may be closed to the public in SUPPLEMENTARY INFORMATION: Pursuant accordance with subsection (c) of SUMMARY: As part of its continuing effort to 31 U.S.C. 3511(d), the Federal section 552b of title 5, United States to reduce paperwork burdens, and as Advisory Committee Act, as amended (5 Code. The determination shall be in required by the Paperwork Reduction U.S.C. App., Section 10), and the writing and shall contain the reasons for Act (PRA) of 1995, the Federal FASAB Rules Of Procedure, as amended the determination. A determination has Communications Commission (FCC or in October 2010, notice is hereby given been made in writing by the U.S. the Commission) invites the general that the Federal Accounting Standards Government Accountability Office, the public and other Federal agencies to Advisory Board (FASAB) will hold its U.S. Department of the Treasury, and take this opportunity to comment on the meetings on the following dates the Office of Management and Budget, following information collection. throughout 2021, unless otherwise as required by section 10(d) of the Comments are requested concerning: noted. Federal Advisory Committee Act, 5 Whether the proposed collection of information is necessary for the proper February 23–24, 2021 U.S.C. App., that such portions of the performance of the functions of the April 27–28, 2021 meetings may be closed to the public in Commission, including whether the June 22–23, 2021 accordance with subsection (c) of information shall have practical utility; August 24–25, 2021 section 552b of title 5, United States the accuracy of the Commission’s October 26–27, 2021 Code. December 14–15, 2021 Unless otherwise noted, FASAB burden estimate; ways to enhance the quality, utility, and clarity of the The purpose of the meetings is to meetings begin at 9:00 a.m. and conclude before 5 p.m. and are held at information collected; ways to minimize discuss issues related to the following the burden of the collection of topics: the U.S. Government Accountability Office (GAO) Building at 441 G St. NW information on the respondents, Accounting and Reporting of in Room 7C13. The February, April, and including the use of automated Government Land June meetings will be held virtually. collection techniques or other forms of Climate Impact and Risk Reporting Agendas, briefing materials, and information technology; and ways to Intangible Assets teleconference information for virtual further reduce the information Leases meetings will be available at https:// collection burden on small business Note Disclosures www.fasab.gov/briefing-materials/ concerns with fewer than 25 employees. Omnibus approximately one week before each The FCC may not conduct or sponsor a Public-Private Partnerships meeting. If FASAB decides to hold its collection of information unless it Reexamination of Existing Standards August, October, and/or December displays a currently valid control Budgetary Information meetings virtually, this decision will be number. No person shall be subject to Management’s Discussion and Analysis any penalty for failing to comply with Debt Cancellation posted no later than one week before each meeting on the briefing materials a collection of information subject to the Intragovernmental Allowances PRA that does not display a valid Office Non-Federal, Non-Entity Fund Balance website as well. Any interested person may attend the of Management and Budget (OMB) with Treasury meetings as an observer. Board control number. Appointments Panel discussion and reviews are open to the DATES Any other topics as needed : Written PRA comments should public except for those portions that are be submitted on or before April 26, Notice is hereby given that a portion closed. GAO Building security requires 2021. If you anticipate that you will be of each scheduled meeting may be advance notice of your attendance. If submitting comments, but find it closed to the public. The Appointments you wish to attend a FASAB meeting, difficult to do so within the period of Panel, a subcommittee of FASAB that please pre-register on our website at time allowed by this notice, you should makes recommendations to the sponsors https://www.fasab.gov/pre-registration/ advise the contact listed below as soon regarding appointments for non-federal no later than 12 p.m. the Monday before as possible. member positions, is expected to meet the meeting to be observed. during each meeting. A portion of each ADDRESSES: Direct all PRA comments to Appointments Panel meeting will be Authority: Federal Advisory Committee Nicole Ongele, FCC, via email PRA@ Act (5 U.S.C. App.), Government in the fcc.gov and to [email protected]. closed to the public. The reason for the Sunshine Act (5 U.S.C. 552b). closures is that matters covered by 5 FOR FURTHER INFORMATION CONTACT: For U.S.C. 552b(c)(2) and (6) will be Dated: February 17, 2021. additional information about the discussed. Any such discussions will Monica R. Valentine, information collection, contact Nicole involve discussions that relate solely to Executive Director. Ongele at (202) 418–2991. internal personnel rules and practices of [FR Doc. 2021–03562 Filed 2–22–21; 8:45 am] SUPPLEMENTARY INFORMATION: the sponsor agencies and the disclosure BILLING CODE 1610–02–P OMB Control Number: 3060–1033.
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Title: Multi-Channel Video Program ACTION: Notice and request for Frequency of Response: On occasion, Distributor EEO Program Annual comments. one-time, and quarterly reporting Report, FCC Form 396–C. requirements; third party disclosure Form Number: FCC–396–C. SUMMARY: As part of its continuing effort requirements; and recordkeeping Type of Review: Extension of a to reduce paperwork burdens, and as requirement. currently approved collection. required by the Paperwork Reduction Obligation to Respond: Required to Respondents: Business or other for- Act of 1995 (PRA), the Federal obtain or retain benefits. Statutory profit entities, Not-for-profit Communications Commission (FCC or authority for this information collection institutions. Commission) invites the general public is contained in 47 U.S.C. 151, 154 and Number of Respondents and and other Federal agencies to take this 276. Responses: 811 respondents, 952 opportunity to comment on the Total Annual Burden: 27,064 hours. responses. following information collections. Total Annual Cost: No cost. Estimated Time per Response: 10 Comments are requested concerning: Privacy Act Impact Assessment: No minutes–2.5 hours. Whether the proposed collection of impact(s). Frequency of Response: information is necessary for the proper Nature and Extent of Confidentiality: Recordkeeping requirement; Once every performance of the functions of the The Commission is not requesting five year reporting requirement; Annual Commission, including whether the respondents to submit confidential reporting requirement. information shall have practical utility; information. Respondents may request Obligation to Respond: Required to the accuracy of the Commission’s confidential treatment of their obtain benefits. The statutory authority burden estimate; ways to enhance the information that they believe to be for this collection of information is quality, utility, and clarity of the confidential pursuant to 47 CFR 0.459 of the Commission’s rules. contained in Section 154(i) and 303 and information collected; ways to minimize Needs and Uses: Section 276 of the 634 of the Communications Act of 1934, the burden of the collection of Communications Act, as amended (the as amended. information on the respondents, including the use of automated Act), requires that the Federal Total Annual Burden: 1,077 hours. Communications Commission Total Annual Cost: No Cost. collection techniques or other forms of information technology; and ways to (Commission or FCC) establish rules Privacy Act Impact Assessment: No ensuring that payphone service impact(s). further reduce the information collection burden on small business providers or PSPs are ‘‘fairly Nature and Extent of Confidentiality: compensated’’ for each and every There is no need for confidentiality with concerns with fewer than 25 employees. The FCC may not conduct or sponsor a completed payphone-originated call. this collection of information. The Commission’s Payphone Needs and Uses: The FCC Form 396– collection of information unless it displays a currently valid Office of Compensation Rules satisfy section 276 C is a collection device used to assess by identifying the party liable for Management and Budget (OMB) control compliance with the Equal Employment compensation and establishing a number. No person shall be subject to Opportunity (EEO) program mechanism for PSPs to be paid. A 2003 any penalty for failing to comply with requirements of Multi-Channel Video Report and Order (FCC 03–235) a collection of information subject to the Programming Distributors (‘‘MPVDs’’). It established detailed rules (Payphone PRA that does not display a valid OMB is publicly filed to allow interested Compensation Rules) ensuring that control number. parties to monitor a MPVD’s compliance payphone service providers or PSPs are with the Commission’s EEO DATES: Written PRA comments should ‘‘fairly compensated’’ for each and every requirements. All MVPDs must file be submitted on or before April 26, completed payphone-originated call annually an EEO report in their public 2021. If you anticipate that you will be pursuant to section 276 of the file detailing various facts concerning submitting comments, but find it Communications Act, as amended (the their outreach efforts during the difficult to do so within the period of Act), which the Commission revised in preceding year and the results of those time allowed by this notice, you should a 2018 Report and Order (FCC 18–21). efforts. MVPDs will be required to file advise the contact listed below as soon The Payphone Compensation Rules their EEO public file report for the as possible. satisfy section 276 by identifying the preceding year as part of the in-depth ADDRESSES: Direct all PRA comments to party liable for compensation and MVPD investigation conducted once Nicole Ongele, FCC, via email PRA@ establishing a mechanism for PSPs to be every five years via the Form 396–C fcc.gov and to [email protected]. paid. The Payphone Compensation Supplemental Investigation Sheet. FOR FURTHER INFORMATION CONTACT: For Rules: (1) Place liability to compensate Federal Communications Commission. additional information about the PSPs for payphone-originated calls on Marlene Dortch, information collection, contact Nicole the facilities-based long distance Secretary, Office of the Secretary. Ongele, (202) 418–2991. carriers or switch-based resellers (SBRs) [FR Doc. 2021–03539 Filed 2–22–21; 8:45 am] OMB Control Number: 3060–1046. from whose switches such calls are BILLING CODE 6712–01–P Title: Part 64, Modernization of completed; (2) define these responsible Payphone Compensation Rules, et al., carriers as ‘‘Completing Carriers’’ and WC Docket No. 17–141, et al. require them to develop their own FEDERAL COMMUNICATIONS Form Number: N/A. system of tracking calls to completion; COMMISSION Type of Review: Extension of a (3) require Completing Carriers to file currently approved collection. with PSPs a quarterly report and also [OMB 3060–1046; FRS 17444] Respondents: Business or other for- submit an attestation by a company Information Collection Being Reviewed profit. official, including but not limited to the by the Federal Communications Number of Respondents and chief financial officer (CFO), that the Commission Responses: 260 respondents; 1,748 payment amount for that quarter is responses. accurate and is based on 100% of all AGENCY: Federal Communications Estimated Time per Response: 0.50 completed calls; (4) require quarterly Commission. hours–122 hours. reporting obligations for other facilities-
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based long distance carriers in the call DATES: Written PRA comments should costs associated with market-based path, if any, and define these carriers as be submitted on or before April 26, STAs will now be a part of the ULS 2.0 ‘‘Intermediate Carriers;’’ and (5) give 2021. If you anticipate that you will be system and FCC Form 601–2.0. The FCC parties flexibility to agree to alternative submitting comments but find it Form 601–2.0 will be a consolidated compensation arrangements (ACA) so difficult to do so within the period of electronic data collection for market- that small Completing Carriers may time allowed by this notice, you should based and site-based licensing for avoid the expense of instituting a advise the contact listed below as soon wireless telecommunications services, tracking system. The revisions adopted as possible. including public safety, which will be in the 2018 Report and Order ADDRESSES: Direct all PRA comments to filed through the Commission’s significantly decreased the paperwork Cathy Williams, FCC, via email to PRA@ modernized Universal Licensing System burden on carriers. fcc.gov and to [email protected]. 2.0 (ULS–2.0). This form will gradually Federal Communications Commission. FOR FURTHER INFORMATION CONTACT: For replace the FCC Form 601 (3060–0798) Marlene Dortch, additional information about the as services are moved from legacy ULS to ULS 2.0. The substance of and Secretary, Office of the Secretary. information collection, contact Cathy Williams at (202) 418–2918. wording of the FCC Form 601 data [FR Doc. 2021–03540 Filed 2–22–21; 8:45 am] collection will remain the same in the SUPPLEMENTARY INFORMATION: BILLING CODE 6712–01–P new system. The data collected in ULS OMB Control Number: 3060–XXXX. 2.0 consists of administrative, technical, Title: FCC Authorization for Radio and other information needed for FEDERAL COMMUNICATIONS Service Authorization; Wireless licensing if wireless radio services. COMMISSION Telecommunications Bureau; Public Once fully implemented, this system Safety and Homeland Security Bureau, will be used to submit all Wireless [OMB 3060–XXXX; FRS 17441] FCC Form 601–2.0. Form Number: FCC Form 601–2.0. Services applications along with any supporting documentation. The Information Collection Being Reviewed Type of Review: New collection. application purposes include: Applying by the Federal Communications Respondents: Individual and for a new license (including STA’s) Commission households, Business or other for-profit entities, state, local, or tribal modifying or renewing an existing AGENCY: Federal Communications government, and not for profit license, cancelling a license, submitting Commission. institutions. required notifications, requesting an extension of time to satisfy construction ACTION: Notice and request for Number of Respondents: 24 comments. respondents; 176 responses. requirements, and requesting an Estimated Time per Response: 0.5 administrative update to an existing SUMMARY: As part of its continuing effort hours. license (such as mailing address to reduce paperwork burdens, and as Frequency of Response: change). Applicants can also amend or required by the Paperwork Reduction Recordkeeping requirement; third party withdraw applications while they are Act of 1995 (PRA), the Federal disclosure requirement, on occasion pending in ULS.2.0. The data collected Communications Commission (FCC or reporting requirement and periodic in ULS 2.0 includes the FCC Commission) invites the general public reporting requirement. Registration Number (FRN), which and other Federal agencies to take this Obligation to Respond: Required to serves as a ‘‘common link’’ for all filings opportunity to comment on the obtain or retain benefits. Statutory an entity has with the FCC. The Debt following information collections. authority for these collections are Collection Improvement Act of 1996 Comments are requested concerning: contained in 47 U.S.C. 151, 152, 155(c), requires entities filing with the Whether the proposed collection of 158, 201, 202, 208, 214, 301, 302a, 303, Commission to use an FRN. ULS 2.0 information is necessary for the proper 307, 308, 309, 310, 311, 314, 316, 319, data records may include information performance of the functions of the 324, 332, and 333 of the about individuals or households, e.g., Commission, including whether the Communications Act of 1934. personally identifiable information or information shall have practical utility; Total Annual Burden: 88 hours. PII, and the use(s) and disclosure of this the accuracy of the Commission’s Total Annual Cost: $18,150. information are governed by the burden estimate; ways to enhance the Privacy Impact Assessment: Yes. requirements of a system of records quality, utility, and clarity of the Nature and Extent of Confidentiality: notice or ‘‘SORN’’, FCC/WTB–1, information collected; ways to minimize In general, there is no need for ‘‘Wireless Services Licensing Records.’’ the burden of the collection of confidentiality with this collection of There are no additional impacts under information on the respondents, information. the Privacy Act. including the use of automated Needs and Uses: The Commission is Federal Communications Commission. collection techniques or other forms of submitting a request to the Office of Marlene Dortch, information technology; and ways to Budget and Management (OMB) for Secretary, Office of the Secretary. further reduce the information approval of the FCC Form 601–2.0, a [FR Doc. 2021–03538 Filed 2–22–21; 8:45 am] collection burden on small business new data collection that will gradually BILLING CODE 6712–01–P concerns with fewer than 25 employees. replace the FCC Form 601 ((3060–0798). The FCC may not conduct or sponsor The Commission is implementing a new a collection of information unless it electronic licensing system called displays a currently valid Office of Universal Licensing System 2.0 (ULS FEDERAL RESERVE SYSTEM Management and Budget (OMB) control 2.0) to replace the current Universal Formations of, Acquisitions by, and number. No person shall be subject to Licensing System (ULS). Services will Mergers of Bank Holding Companies any penalty for failing to comply with gradually be moved to the new ULS 2.0, a collection of information subject to the beginning with market-based Special The companies listed in this notice PRA that does not display a valid OMB Temporary Authority (STA) have applied to the Board for approval, control number. applications. The burden hours and pursuant to the Bank Holding Company
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Act of 1956 (12 U.S.C. 1841 et seq.) FEDERAL RESERVE SYSTEM Board of Governors of the Federal Reserve (BHC Act), Regulation Y (12 CFR part System, February 18, 2021. 225), and all other applicable statutes Change in Bank Control Notices; Michele Taylor Fennell, and regulations to become a bank Acquisitions of Shares of a Bank or Deputy Associate Secretary of the Board. holding company and/or to acquire the Bank Holding Company [FR Doc. 2021–03687 Filed 2–22–21; 8:45 am] assets or the ownership of, control of, or BILLING CODE 6210–01–P the power to vote shares of a bank or The notificants listed below have bank holding company and all of the applied under the Change in Bank banks and nonbanking companies Control Act (Act) (12 U.S.C. 1817(j)) and FEDERAL TRADE COMMISSION owned by the bank holding company, § 225.41 of the Board’s Regulation Y (12 including the companies listed below. CFR 225.41) to acquire shares of a bank Agency Information Collection The public portions of the or bank holding company. The factors Activities; Proposed Collection; applications listed below, as well as that are considered in acting on the Comment Request; Extension applications are set forth in paragraph 7 other related filings required by the AGENCY: Federal Trade Commission. Board, if any, are available for of the Act (12 U.S.C. 1817(j)(7)). ACTION: immediate inspection at the Federal The public portions of the Notice. Reserve Bank(s) indicated below and at applications listed below, as well as SUMMARY: In accordance with the the offices of the Board of Governors. other related filings required by the Paperwork Reduction Act of 1995 This information may also be obtained Board, if any, are available for (PRA), the Federal Trade Commission on an expedited basis, upon request, by immediate inspection at the Federal (FTC or Commission) is seeking public contacting the appropriate Federal Reserve Bank(s) indicated below and at comment on its proposal to extend for Reserve Bank and from the Board’s the offices of the Board of Governors. an additional three years the Office of Freedom of Information Office at This information may also be obtained Management and Budget (OMB) https://www.federalreserve.gov/foia/ on an expedited basis, upon request, by clearance for information collection request.htm. Interested persons may contacting the appropriate Federal requirements in the Commission’s rules express their views in writing on the Reserve Bank and from the Board’s and regulations under the Textile Fiber standards enumerated in the BHC Act Freedom of Information Office at Products Identification Act (Textile (12 U.S.C. 1842(c)). https://www.federalreserve.gov/foia/ Rules). That clearance expires on May Comments regarding each of these request.htm. Interested persons may 31, 2021. express their views in writing on the applications must be received at the DATES: Comments must be received on standards enumerated in paragraph 7 of Reserve Bank indicated or the offices of or before April 26, 2021. the Act. the Board of Governors, Ann E. ADDRESSES: Interested parties may file a Misback, Secretary of the Board, 20th Comments regarding each of these comment online or on paper by Street and Constitution Avenue NW, applications must be received at the following the instructions in the Washington DC 20551–0001, not later Reserve Bank indicated or the offices of Request for Comments part of the than March 25, 2021. the Board of Governors, Ann E. SUPPLEMENTARY INFORMATION section A. Federal Reserve Bank of Kansas Misback, Secretary of the Board, 20th below. Write ‘‘Textile Rules; PRA City (Dennis Denney, Assistant Vice Street and Constitution Avenue NW, Comment: FTC File No. P072108’’ on President) 1 Memorial Drive, Kansas Washington, DC 20551–0001, not later your comment, and file your comment City, Missouri 64198–0001: than March 10, 2021. online at https://www.regulations.gov by 1. Banner County Ban Corporation A. Federal Reserve Bank of Dallas following the instructions on the web- Employee Stock Ownership Plan and (Robert L. Triplett III, Senior Vice based form. If you prefer to file your Trust, Harrisburg, Nebraska; to acquire President) 2200 North Pearl Street, comment on paper, mail your comment additional voting shares, for a total of Dallas, Texas 75201–2272: to the following address: Federal Trade 44.60 percent of the voting shares of 1. Lloyd Myatt Hancock, Anita Commission, Office of the Secretary, Banner County Ban Corporation, and Ramsey Richards, both of Sugarland, 600 Pennsylvania Avenue NW, Suite thereby indirectly acquire additional Texas; John W. Hancock, Jr., Karen Irene CC–5610 (Annex J), Washington, DC voting shares of Banner Capital Bank, Jenkins, William R. Jenkins, Jr., William 20580, or deliver your comment to the both of Harrisburg, Nebraska. R. ‘‘Chip’’ Jenkins, III, and Susan following address: Federal Trade B. Federal Reserve Bank of San Richards, all of El Campo, Texas; John Commission, Office of the Secretary, Francisco (Sebastian Astrada, Director, W. ‘‘Trey’’ Hancock, III, Austin, Texas; Constitution Center, 400 7th Street SW, Applications) 101 Market Street, San Richard Myatt Ramsey, Danevang, 5th Floor, Suite 5610 (Annex J), Francisco, California 94105–1579: Texas; and Phyllis Ramsey Lawhon, Washington, DC 20024. FOR FURTHER INFORMATION CONTACT: Jock 1. Carpenter Acquisition Corporation, Lampasas, Texas; as members of the K. Chung, Attorney, Division of Newport Beach, California; to become a control group, a group acting in concert, Enforcement, Bureau of Consumer bank holding company by acquiring the to retain voting shares of Louise Protection, Federal Trade Commission, voting shares of First Colorado Financial Bancshares, Inc., and thereby indirectly Mail Code CC–9528, 600 Pennsylvania Corp., and thereby indirectly acquire retain voting shares of First State Bank, Ave. NW, Washington, DC 20580, (202) First Colorado National Bank, both of both of Louise, Texas, and Dilley State 326–2984. Paonia, Colorado. Bank, Dilley, Texas. Additionally, the John W. Hancock, Jr. SB Trust and Rita SUPPLEMENTARY INFORMATION: Board of Governors of the Federal Reserve Hancock, as trustee, both of El Campo, Title: Rules and Regulations under the System, February 18, 2021. Texas, to become members of the Textile Fiber Products Identification Michele Taylor Fennell, control group and acquire voting shares Act, 16 CFR part 303. Deputy Associate Secretary of the Board. of Louise Bancshares, Inc., and thereby OMB Control Number: 3084–0101. [FR Doc. 2021–03686 Filed 2–22–21; 8:45 am] indirectly acquire voting shares of First Type of Review: Extension of a BILLING CODE P State Bank and Dilley State Bank. currently approved collection.
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Likely Respondents: Manufacturers, Commerce’s Bureau of the Census and Recordkeeping: Staff estimates that importers, processors and marketers of International Trade Administration, the approximately 18,165 textile firms are textile fiber products. Department of Labor’s Bureau of Labor subject to the Textile Rules’ Frequency of Response: Third party Statistics (BLS), and data or other input recordkeeping requirements. Based on disclosure; recordkeeping requirement. from the main industry association, the an average burden of 65 hours per firm, Estimated annual hours burden: American Apparel and Footwear the total recordkeeping burden is 37,234,317 hours (1,180,725 Association (AAFA), and from 1,180,725 hours. recordkeeping hours + 36,053,592 SICCode.com, which specializes in the Disclosure: Approximately 9,565 disclosure hours). business classification of SIC (Standard textile firms, producing or importing Recordkeeping: 1,180,725 hours Industrial Classification) and NAICS about 20.8 billion textile fiber products (approximately 18,165 textile firms (North American Industry Classification annually, are subject to the Textile incur average burden of 65 hours per System) codes for business Rules’ disclosure requirements.4 Staff firm). identification, verification, and estimates the burden of determining Disclosure: 36,053,592 hours (621,725 label content to be 65 hours per year per hours to determine label content + targeting. The AAFA, a national trade firm, or a total of 621,725 hours. and the 765,200 hours to draft and order labels association that represents U.S. apparel, burden of drafting and ordering labels to + 34,666,667 hours to attach labels). footwear and other sewn products Estimated annual cost burden: companies and their suppliers, has be 80 hours per firm per year, or a total $280,335,935 (solely relating to labor stated that ‘‘[t]he use of labels on of 765,200 hours. Staff believes that the costs). textiles and apparels is beneficial to process of attaching labels is now fully Abstract: The Textile Fiber Products consumers, manufacturers, and business automated and integrated into other Identification Act (Textile Act) 1 in general as it allows for the necessary production steps for about 40 percent of prohibits the misbranding and false flow of information along the supply all affected products. For the remaining advertising of textile fiber products. The chain.’’ 2 The relevant information 12.48 billion items (60 percent of 20.8 Textile Rules establish disclosure collection requirements in these Rules billion), the process is semi-automated and requires an average of requirements that assist consumers in and staff’s corresponding burden approximately ten seconds per item, for making informed purchasing decisions, estimates follow. The estimates address a total of 34,666,667 hours per year. and recordkeeping requirements that the number of hours needed and the Thus, the total estimated annual assist the Commission in enforcing the labor costs incurred to comply with the disclosure burden for all firms is Rules. The Rules also contain a petition requirements. Staff believes that a 36,053,592 hours (621,725 hours to procedure for requesting the significant portion of hours and labor establishment of generic names for determine label content + 765,200 hours costs currently attributable to burden to draft and order labels + 34,666,667 textile fibers. below are time and financial resources As required by section 3506(c)(2)(A) hours to attach labels).5 Staff believes usually and customarily incurred by that any additional burden associated of the PRA, 44 U.S.C. 3506(c)(2)(A), the persons in the course of their regular FTC is providing this opportunity for with advertising disclosure activity (e.g., industry participants requirements or the filing of generic public comment before requesting that already have and/or would have fiber OMB extend the existing clearance for fiber name petitions would be minimal content labels regardless of the Rules) (less than 10,000 hours) and can be the information collection requirements and could be excluded from PRA- contained in the Commission’s Textile subsumed within the burden estimates related burden.3 Rules. set forth above. Estimated annual hours burden: Estimated annual cost burden: Textile Rules Burden Statement 37,234,317 hours (1,180,725 $280,335,935 (solely relating to labor Staff’s burden estimates are based on recordkeeping hours + 36,053,592 costs). The chart below summarizes the data from the Department of disclosure hours). total estimated costs.
Task Hourly rate Burden hours Labor cost
Determine label content ...... $29.00 621,725 $18,030,025 Draft and order labels ...... 19.00 765,200 14,538,800 Attach labels ...... 6 6.50 34,666,667 225,333,335 Recordkeeping ...... 19.00 1,180,725 22,433,775
1 15 U.S.C. 70 et seq. textile products (non-garments, such as sheets, full fiber content). The Commission sought 2 Page one from comment by Kevin M. Burke, towels, blankets) were consumed. However, comment on the increased burden, if any, imposed President and CEO, American Apparel & Footwear approximately 0.6 billion of all of these garments by these changes but did not receive any comments Association, March 26, 2012, Advance Notice of and household products are subject to the Wool asserting that the amendments would increase Proposed Rulemaking; Request for Public Comment; Act, not the Textile Act, because they contain some compliance costs. See 79 FR 18766 (Apr. 4, 2014). amount of wool. Thus, the estimated net total Rules and Regulations under the Wool Products 6 For imported products, the labels generally are products subject to the Textile Act is 20.8 billion Labeling Act of 1939; 77 FR 4498 (Jan. 30, 2012). attached in the country where the products are (19.4¥1 + 3 = 21.4¥0.6 = 20.8 billion). 3 5 CFR 1320.3(b)(2). manufactured. According to information compiled 5 The Commission revised the Textile Rules in 4 by an industry trade association using data from the The estimated consumption of garments in the 2006 in response to amendments to the Textile Act. U.S. in 2012 was 19.4 billion. However, staff See 70 FR 73369 (Dec. 12, 2005). These U.S. Department of Commerce, International Trade estimates that 1 billion garments are exempt from amendments concerned the placement of labels on Administration and the U.S. Census Bureau, the Textile Act (i.e., any kind of headwear and packages of certain types of socks and, therefore, do approximately 97.5% of apparel used in the United garments made from something other than a textile not place any additional disclosure burden on States is imported. With the remaining 2.5% fiber product, such as leather) or are subject to a covered entities. In 2014, the Commission revised attributable to U.S. production at an approximate special exemption for hosiery products sold in the Textile Rules to clarify and streamline certain domestic hourly wage of $12 to attach labels, staff packages where the label information is contained provisions and to allow more flexibility in has calculated a weighted average hourly wage of on the package. Based on available data, staff marketing textile products (e.g., allowing the use of $6.50 per hour attributable to U.S. and foreign labor estimates that an additional 3 billion household certain hang-tags that do not disclose the product’s combined.
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Task Hourly rate Burden hours Labor cost
Total ...... 280,335,935
Staff believes that there are no current address: Federal Trade Commission, or remove your comment unless you start-up costs or other capital costs Office of the Secretary, 600 submit a confidentiality request that associated with the Textile Rules. Pennsylvania Avenue NW, Suite CC– meets the requirements for such Because the labeling of textile products 5610 (Annex J), Washington, DC 20580; treatment under FTC Rule 4.9(c), and has been an integral part of the or deliver your comment to the the General Counsel grants that request. manufacturing process for decades, following address: Federal Trade The FTC Act and other laws that the manufacturers have in place the capital Commission, Office of the Secretary, Commission administers permit the equipment necessary to comply with the Constitution Center, 400 7th Street SW, collection of public comments to Rules’ labeling requirements. Industry 5th Floor, Suite 5610 (Annex J), consider and use in this proceeding, as sources indicate that much of the Washington, DC 20024. If possible, appropriate. The Commission will information required by the Textile Act submit your paper comment to the consider all timely and responsive and Rules would be included on the Commission by courier or overnight public comments that it receives on or product label even absent their service. before April 26, 2021. For information requirements. Similarly, recordkeeping, Because your comment will become on the Commission’s privacy policy, invoicing, and advertising disclosures publicly available at https:// including routine uses permitted by the are tasks performed in the ordinary www.regulations.gov, you are solely Privacy Act, see https://www.ftc.gov/ course of business; therefore, covered responsible for making sure that your site-information/privacy-policy. comment does not include any sensitive firms would incur no additional capital Josephine Liu, or other non-labor costs as a result of the or confidential information. In Assistant General Counsel for Legal Counsel. Rules. particular, your comment should not include any sensitive personal [FR Doc. 2021–03604 Filed 2–22–21; 8:45 am] Request for Comments information, such as your or anyone BILLING CODE 6750–01–P Pursuant to Section 3506(c)(2)(A) of else’s Social Security number; date of the PRA, the FTC invites comments on: birth; driver’s license number or other (1) Whether the proposed collection of state identification number, or foreign DEPARTMENT OF HEALTH AND information is necessary for the proper country equivalent; passport number; HUMAN SERVICES performance of the functions of the financial account number; or credit or agency, including whether the debit card number. You are also solely Centers for Disease Control and information will have practical utility; responsible for making sure that your Prevention (2) the accuracy of the agency’s estimate comment does not include any sensitive [30-Day–21–0888] of the burden of the proposed collection health information, such as medical of information, including the validity of records or other individually Agency Forms Undergoing Paperwork the methodology and assumptions used; identifiable health information. In Reduction Act Review (3) ways to enhance the quality, utility, addition, your comment should not In accordance with the Paperwork and clarity of the information to be include any ‘‘trade secret or any Reduction Act of 1995, the Centers for collected; and (4) ways to minimize the commercial or financial information Disease Control and Prevention (CDC) burden of maintaining records and which .... is privileged or has submitted the information providing disclosures to consumers. All confidential’’ —as provided by Section collection request titled Factors comments must be received on or before 6(f) of the FTC Act, 15 U.S.C. 46(f), and Influencing the Transmission of April 26, 2021. FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2) Influenza to the Office of Management You can file a comment online or on —including in particular competitively and Budget (OMB) for review and paper. For the FTC to consider your sensitive information such as costs, approval. CDC previously published a comment, we must receive it on or sales statistics, inventories, formulas, ‘‘Proposed Data Collection Submitted before April 26, 2021. Write ‘‘Textile patterns, devices, manufacturing for Public Comment and Rules; PRA Comment: FTC File No. processes, or customer names. Recommendations’’ notice on October P072108’’ on your comment. Your Comments containing material for 13, 2020 to obtain comments from the comment—including your name and which confidential treatment is public and affected agencies. CDC your state—will be placed on the public requested must be filed in paper form, received two comments related to the record of this proceeding, including the must be clearly labeled ‘‘Confidential,’’ previous notice. This notice serves to https://www.regulations.gov website. and must comply with FTC Rule 4.9(c). allow an additional 30 days for public Due to the public health emergency in In particular, the written request for and affected agency comments. response to the COVID–19 outbreak and confidential treatment that accompanies CDC will accept all comments for this the agency’s heightened security the comment must include the factual proposed information collection project. screening, postal mail addressed to the and legal basis for the request, and must The Office of Management and Budget Commission will be subject to delay. We identify the specific portions of the is particularly interested in comments encourage you to submit your comments comment to be withheld from the public that: online through the https:// record. See FTC Rule 4.9(c). Your www.regulations.gov website. comment will be kept confidential only (a) Evaluate whether the proposed collection of information is necessary for the If you prefer to file your comment on if the General Counsel grants your proper performance of the functions of the paper, write ‘‘Textile Rules; PRA request in accordance with the law and agency, including whether the information Comment: FTC File No. P072108’’ on the public interest. Once your comment will have practical utility; your comment and on the envelope, and has been posted publicly at (b) Evaluate the accuracy of the agencies mail your comment to the following www.regulations.gov, we cannot redact estimate of the burden of the proposed
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collection of information, including the Background and Brief Description To do this, airborne particles produced validity of the methodology and assumptions The National Institute for by volunteer subjects with influenza used; will be collected and tested for (c) Enhance the quality, utility, and clarity Occupational Safety and Health (NIOSH) is authorized to conduct influenza virus, and the levels of of the information to be collected; influenza infection-associated (d) Minimize the burden of the collection research to advance the health and safety of workers under Section 20(a)(1) biomarkers will be measured in blood of information on those who are to respond, samples from these subjects. including, through the use of appropriate of the 1970 Occupational Safety and automated, electronic, mechanical, or other Health Act. NIOSH is requesting an Volunteer adult participants will be technological collection techniques or other extension to an existing ICR (Expiration recruited by a test coordinator using a forms of information technology, e.g., Date: February 28, 2021) because the poster and flyers describing the study. permitting electronic submission of ongoing COVID–19 pandemic Interested potential participants will be responses; and temporarily halted the study in 2020 screened verbally to verify that they (e) Assess information collection costs. due to staff safety concerns and an have influenza-like symptoms and that inability to access healthcare facilities they do not have any medical To request additional information on in order to recruit test subjects. conditions that would preclude their the proposed project or to obtain a copy Influenza continues to be a major participation. A matching number of of the information collection plan and public health concern because of the healthy control participants will also be instruments, call (404) 639–7570. substantial health burden from seasonal recruited. Qualified participants who Comments and recommendations for the influenza and the potential for a severe agree to participate in the study will be proposed information collection should pandemic. Although influenza is known asked to read and sign an informed be sent within 30 days of publication of to be transmitted by infectious consent form, and then to complete a this notice to www.reginfo.gov/public/ secretions, these secretions can be short health questionnaire. After do/PRAMain. Find this particular transferred from person to person in completing the forms, the participant’s information collection by selecting many different ways, and the relative oral temperature will be measured and ‘‘Currently under 30-day Review—Open importance of the different pathways is two nasopharyngeal mucus samples and for Public Comments’’ or by using the not known. The likelihood of the five ml of blood will be collected. The search function. Direct written transmission of influenza virus by small participant then will be asked to don an comments and/or suggestions regarding infectious airborne particles produced elastomeric mask and breathe and cough the items contained in this notice to the during coughing and breathing is normally for 40 minutes into an aerosol Attention: CDC Desk Officer, Office of particularly unclear. The question of particle collection system. The total Management and Budget, 725 17th airborne transmission is especially time from initial verbal screening to Street NW, Washington, DC 20503 or by important in healthcare facilities, where completion will be about 95 minutes. fax to (202) 395–5806. Provide written influenza patients tend to congregate The study will require 90 volunteer test comments within 30 days of notice during influenza season, because it subjects each year for three years, for a publication. directly impacts the infection control total of 270 test participants. There are Proposed Project and personal protective measures that no changes to data collection should be taken by healthcare workers. instruments, methodology, or burden Factors Influencing the Transmission The purpose of this study is to gain estimates. OMB approval is requested of Influenza (OMB Control No. 0920– a better understanding of the production for three years. Participation is 0888, Exp. 2/28/21)—Extension— of infectious aerosols by patients with voluntary and there are no costs to National Institute for Occupational influenza, and to compare this to the respondents other than their time. The Safety and Health (NIOSH), Centers for levels of biomarkers of influenza total estimated annualized burden hours Disease Control and Prevention (CDC). infection in the blood of these patients. are 148.
ESTIMATED ANNUALIZED BURDEN HOURS
Number of Avg. burden Type of respondents Form name Number of responses per per response respondents respondent (in hrs.)
Potential participant ...... Initial verbal screening ...... 180 1 3/60 Qualified participant ...... Informed consent form ...... 90 1 15/60 Qualified participant ...... Health questionnaire ...... 90 1 5/60 Qualified participant ...... Medical testing ...... 90 1 72/60
Jeffrey M. Zirger, Lead, Information Collection Review Office, Office of Scientific Integrity, Office of Science, Centers for Disease Control and Prevention. [FR Doc. 2021–03556 Filed 2–22–21; 8:45 am] BILLING CODE 4163–18–P
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DEPARTMENT OF HEALTH AND FOR FURTHER INFORMATION CONTACT: regarding this collection contact Andrea HUMAN SERVICES William Parham at (410) 786–4669. Wellington at 410–786–3490.) 2. Type of Information Collection Centers for Medicare & Medicaid SUPPLEMENTARY INFORMATION: Under the Request: Revision of a currently Services Paperwork Reduction Act of 1995 (PRA) approved collection; Title of (44 U.S.C. 3501–3520), federal agencies Information Collection: Medicaid Drug [Document Identifiers CMS–304/–304a, must obtain approval from the Office of CMS–367a–d, and CMS–368/–R–144] Rebate Program Labeler Reporting Management and Budget (OMB) for each Format; Use: Labelers transmit drug collection of information they conduct Agency Information Collection product and pricing data to CMS within Activities: Submission for OMB or sponsor. The term ‘‘collection of 30 days after the end of each calendar Review; Comment Request information’’ is defined in 44 U.S.C. month and quarter. CMS calculates the 3502(3) and 5 CFR 1320.3(c) and unit rebate amount (URA) and the unit AGENCY: Centers for Medicare & includes agency requests or rebate offset amount (UROA) for each Medicaid Services, Health and Human requirements that members of the public new drug application (NDC) and Services (HHS). submit reports, keep records, or provide distributes to all State Medicaid ACTION: Notice. information to a third party. Section agencies. States use the URA to invoice 3506(c)(2)(A) of the PRA (44 U.S.C. the labeler for rebates and the UROA to SUMMARY: The Centers for Medicare & 3506(c)(2)(A)) requires federal agencies report onto CMS–64. The monthly data Medicaid Services (CMS) is announcing to publish a 30-day notice in the is used to calculate Federal Upper Limit an opportunity for the public to Federal Register concerning each (FUL) prices for applicable drugs and comment on CMS’ intention to collect proposed collection of information, for states that opt to use this data to information from the public. Under the including each proposed extension or establish their pharmacy reimbursement Paperwork Reduction Act of 1995 reinstatement of an existing collection methodology. Effective July 1, 2021, the (PRA), federal agencies are required to of information, before submitting the MDRP is updating to a new Medicaid publish notice in the Federal Register collection to OMB for approval. To Drug Programs (MDP) system which concerning each proposed collection of comply with this requirement, CMS is will now accept a delimited text file information, including each proposed publishing this notice that summarizes format, Comma Separated Values extension or reinstatement of an existing the following proposed collection(s) of (.CSV), in addition to the current Text collection of information, and to allow information for public comment: (.TXT) file format. We have also a second opportunity for public increased several file format data field 1. Type of Information Collection comment on the notice. Interested sizes in order to accommodate the Request: Revision of a currently persons are invited to send comments higher priced drugs that are entering the approved collection; Title of regarding the burden estimate or any market. These changes in conjunction Information Collection: Reconciliation other aspect of this collection of with numerous edits to verbiage are of State Invoice (ROSI) and Prior information, including the necessity and applicable to Forms CMS–367a Quarter Adjustment Statement (PQAS); utility of the proposed information (Quarterly Pricing), CMS–367b collection for the proper performance of Use: Form CMS–304 (ROSI) is used by (Monthly Pricing), CMS–367c (Product the agency’s functions, the accuracy of manufacturers to respond to the state’s Data), and CMS–367d (Manufacturer the estimated burden, ways to enhance rebate invoice for current quarter Contact Form). Separately, we are also the quality, utility, and clarity of the utilization. Form CMS–304a (PQAS) is updating corresponding collection of information to be collected, and the use required only in those instances where information requests (OMB 0938–0582 of automated collection techniques or a change to the original rebate data and OMB 0938–0676) so that all the other forms of information technology to submittal is necessary. Effective July 1, MDP file formats, field sizes, and minimize the information collection 2021, the Medicaid Drug Rebate verbiage will align across the MDRP. burden. Program (MDRP) is updating to a new Form Number: CMS–367a, b, c, and d Medicaid Drug Programs (MDP) system (OMB control number: 0938–0578); DATES: Comments on the collection(s) of which will now accept a delimited text Frequency: Monthly, quarterly, and on information must be received by the file format, Comma Separated Values occasion; Affected Public: Private sector OMB desk officer by March 25, 2021. (.CSV), in addition to the current Text (Business or other for-profits); Number ADDRESSES: Written comments and (.TXT) file format. We have also of Respondents: 749; Total Annual recommendations for the proposed increased several file format data field Responses: 14,980; Total Annual Hours: information collection should be sent sizes in order to accommodate the 558,979. (For policy questions regarding within 30 days of publication of this higher priced drugs that are entering the this collection contact Andrea notice to www.reginfo.gov/public/do/ market. These changes in conjunction Wellington at 410–786–3490.) PRAMain. Find this particular with numerous edits to verbiage are 3. Type of Information Collection information collection by selecting applicable to Forms CMS–304 and Request: Revision of a currently ‘‘Currently under 30-day Review—Open –304a. Separately, we are also updating approved collection; Title of for Public Comments’’ or by using the corresponding collection of information Information Collection: Medicaid Drug search function. requests (OMB 0938–0578 and OMB Rebate Program State Reporting Forms; To obtain copies of a supporting 0938–0582) so that all the MDP file Use: Form CMS 368 is a report of statement and any related forms for the formats, field sizes, and verbiage will contact for the State to name the proposed collection(s) summarized in align across the MDRP. Form Number: individuals involved in the Medicaid this notice, you may make your request CMS–304 and –304a (OMB control Drug Rebate Program (MDRP) and is using one of following: number: 0938–0676); Frequency: required only in those instances where 1. Access CMS’ website address at Quarterly; Affected Public: Private a change to the originally submitted website address at: https:// sector (Business or other for-profits); data is necessary. The ability to require www.cms.gov/Regulations-and- Number of Respondents: 749; Total the reporting of any changes to these Guidance/Legislation/Paperwork Annual Responses: 5,841; Total Annual data is necessary to the efficient ReductionActof1995/PRA-Listing.html Hours: 248,584. (For policy questions operation of these programs. Form
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CMS–R–144 is required from States Federal Register concerning each • Mail/Hand Delivery/Courier (for quarterly to report utilization for any proposed collection of information, written/paper submissions): Dockets drugs paid for during that quarter. including each proposed revision of an Management Staff (HFA–305), Food and Effective July 1, 2021, the MDRP is existing collection of information, and Drug Administration, 5630 Fishers updating to a new Medicaid Drug to allow 60 days for public comment in Lane, Rm. 1061, Rockville, MD 20852. Programs (MDP) system which will now response to the notice. This notice • For written/paper comments accept a delimited text file format, solicits comments on information submitted to the Dockets Management Comma Separated Values (.CSV), in collections associated with Shortages Staff, FDA will post your comment, as addition to the current Text (.TXT) file Data Collections and with notifications well as any attachments, except for format. We have also increased several to FDA of an interruption or permanent information submitted, marked and file format data field sizes in order to discontinuance in manufacturing of identified, as confidential, if submitted accommodate the higher priced drugs certain medical devices as required by as detailed in ‘‘Instructions.’’ that are entering the market. These the Federal Food, Drug, and Cosmetic Instructions: All submissions received changes in conjunction with numerous Act (FD&C Act). must include the Docket No. FDA– 2012–N–0197 for ‘‘Agency Information edits to verbiage are applicable to Form DATES: Submit either electronic or Collection Activities; Proposed CMS–R–144. Separately, we are also written comments on the collection of Collection; Comment Request; Shortages updating corresponding collection of information by April 26, 2021. information requests (OMB 0938–0578 Data Collection.’’ Received comments, ADDRESSES: and OMB 0938–0676) so that all the You may submit comments those filed in a timely manner (see MDP file formats, field sizes, and as follows. Please note that late, ADDRESSES), will be placed in the docket verbiage will align across the MDRP. untimely filed comments will not be and, except for those submitted as Form CMS–368 has been revised by considered. Electronic comments must ‘‘Confidential Submissions,’’ publicly removing the DUR State Contact be submitted on or before April 26, viewable at https://www.regulations.gov information and description ‘‘Drug 2021. The https://www.regulations.gov or at the Dockets Management Staff Utilization Review (DUR) Program.’’ electronic filing system will accept between 9 a.m. and 4 p.m., Monday This information is now accounted for comments until 11:59 p.m. Eastern Time through Friday, 240–402–7500. under OMB 0938–0659. Form Number: at the end of April 26, 2021. Comments • Confidential Submissions—To CMS–368 and –R–144 (OMB control received by mail/hand delivery/courier submit a comment with confidential number: 0938–0582); Frequency: (for written/paper submissions) will be information that you do not wish to be Quarterly and on occasion; Affected considered timely if they are made publicly available, submit your Public: State, Local, or Tribal postmarked or the delivery service comments only as a written/paper Governments; Number of Respondents: acceptance receipt is on or before that submission. You should submit two 56; Total Annual Responses: 290; Total date. copies total. One copy will include the Annual Hours: 13,669. (For policy Electronic Submissions information you claim to be confidential questions regarding this collection with a heading or cover note that states contact Andrea Wellington at 410–786– Submit electronic comments in the ‘‘THIS DOCUMENT CONTAINS 3490.) following way: CONFIDENTIAL INFORMATION.’’ The • Federal eRulemaking Portal: Agency will review this copy, including Dated: February 17, 2021. https://www.regulations.gov. Follow the the claimed confidential information, in William N. Parham, III, instructions for submitting comments. its consideration of comments. The Director, Paperwork Reduction Staff, Office Comments submitted electronically, second copy, which will have the of Strategic Operations and Regulatory including attachments, to https:// claimed confidential information Affairs. www.regulations.gov will be posted to redacted/blacked out, will be available [FR Doc. 2021–03535 Filed 2–22–21; 8:45 am] the docket unchanged. Because your for public viewing and posted on BILLING CODE 4120–01–P comment will be made public, you are https://www.regulations.gov. Submit solely responsible for ensuring that your both copies to the Dockets Management comment does not include any Staff. If you do not wish your name and DEPARTMENT OF HEALTH AND confidential information that you or a contact information to be made publicly HUMAN SERVICES third party may not wish to be posted, available, you can provide this Food and Drug Administration such as medical information, your or information on the cover sheet and not anyone else’s Social Security number, or in the body of your comments and you [Docket No. FDA–2012–N–0197] confidential business information, such must identify this information as as a manufacturing process. Please note ‘‘confidential.’’ Any information marked Agency Information Collection that if you include your name, contact as ‘‘confidential’’ will not be disclosed Activities; Proposed Collection; information, or other information that except in accordance with 21 CFR 10.20 Comment Request; Shortages Data identifies you in the body of your and other applicable disclosure law. For Collections comments, that information will be more information about FDA’s posting AGENCY: Food and Drug Administration, posted on https://www.regulations.gov. of comments to public dockets, see 80 HHS. • If you want to submit a comment FR 56469, September 18, 2015, or access ACTION: Notice. with confidential information that you the information at: https:// do not wish to be made available to the www.govinfo.gov/content/pkg/FR-2015- SUMMARY: The Food and Drug public, submit the comment as a 09-18/pdf/2015-23389.pdf. Administration (FDA or Agency) is written/paper submission and in the Docket: For access to the docket to announcing an opportunity for public manner detailed (see ‘‘Written/Paper read background documents or the comment on the proposed collection of Submissions’’ and ‘‘Instructions’’). electronic and written/paper comments certain information by the Agency. received, go to https:// Under the Paperwork Reduction Act of Written/Paper Submissions www.regulations.gov and insert the 1995 (PRA), Federal Agencies are Submit written/paper submissions as docket number, found in brackets in the required to publish notice in the follows: heading of this document, into the
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‘‘Search’’ box and follow the prompts preparedness activities, FDA’s Center that information, section 506J authorizes and/or go to the Dockets Management for Devices and Radiological Health FDA to take several actions that may Staff, 5630 Fishers Lane, Rm. 1061, (CDRH) began developing operational help to mitigate or avoid supply Rockville, MD 20852, 240–402–7500. plans and interventions that would disruptions. FOR FURTHER INFORMATION CONTACT: enable CDRH to anticipate and respond Section 506J of the FD&C Act requires Amber Sanford, Office of Operations, to medical device shortages that might manufacturers of certain devices,1 to Food and Drug Administration, Three arise in the context of federally declared notify FDA ‘‘of a permanent disasters/emergencies or regulatory White Flint North, 10A–12M, 11601 discontinuance in the manufacture of actions. In particular, CDRH identified Landsdown St., North Bethesda, MD the device’’ or an interruption in ‘‘the the need to acquire and maintain 20852, 301–796–8867, PRAStaff@ manufacture of the device that is likely detailed data on domestic inventory, fda.hhs.gov. to lead to a meaningful disruption in manufacturing capabilities, distribution SUPPLEMENTARY INFORMATION: Under the supply of that device in the United plans, and raw material constraints for PRA (44 U.S.C. 3501–3521), Federal medical devices that would be in high States’’ during or in advance of a Agencies must obtain approval from the demand and/or would be vulnerable to declared public health emergency Office of Management and Budget shortages in specific disaster/emergency (PHE), and the reason for such (OMB) for each collection of 2 situations or following specific discontinuance or interruption. Section information they conduct or sponsor. regulatory actions. Such data could 506J requires FDA to take action based ‘‘Collection of information’’ is defined support prospective risk assessment, on that information, including (1) in 44 U.S.C. 3502(3) and 5 CFR help inform risk mitigation strategies, publicly posting a list of devices it 1320.3(c) and includes Agency requests support real-time decision making by determines to be in shortage, (2) or requirements that members of the the Department of Health and Human publicly posting the reasons for the public submit reports, keep records, or Services (HHS) during actual shortage, and (3) issuing letters to provide information to a third party. emergencies or emergency preparedness manufacturers that fail to comply with Section 3506(c)(2)(A) of the PRA (44 exercises, and mitigate or prevent harm the notification requirements of section U.S.C. 3506(c)(2)(A)) requires Federal to the public health. 506J. Agencies to provide a 60-day notice in This voluntary data collection process the Federal Register concerning each Section 3087 of the 21st Century consists of outreach to firms who have proposed collection of information, Cures Act, signed into law in December been identified as producing or including each proposed revision of an 2016, added subsection (f) to section distributing medical devices that may be existing collection of information, 319 of the Public Health Service Act. considered essential to the response before submitting the collection to OMB This new subsection gives the HHS effort. In this initial outreach, the intent for approval. To comply with this Secretary the authority to waive PRA and goals of the data collection effort requirement, FDA is publishing notice requirements with respect to voluntary will be described, and the specific data of the proposed collection of collections of information during a PHE, request made. Data will be collected, information set forth in this document. as declared by the Secretary, or when a using least burdensome methods, in a With respect to the following disease or disorder is significantly likely structured manner to answer specific collection of information, FDA invites to become a PHE. In 2020 FDA questions. After the initial outreach, we comments on these topics: (1) Whether published the immediately in effect will request updates to the information the proposed collection of information guidance document entitled ‘‘Notifying on a quarterly basis to keep the data is necessary for the proper performance CDRH of a Permanent Discontinuance or current and accurate. Additional of FDA’s functions, including whether Interruption in Manufacturing of a followup correspondence may the information will have practical Device Under Section 506J of the FD&C occasionally be needed to verify/ utility; (2) the accuracy of FDA’s Act During the COVID–19 Public Health validate data, confirm receipt of estimate of the burden of the proposed Emergency (Revised)—Guidance for followup correspondence(s), and/or collection of information, including the Industry and Food and Drug request additional details to further validity of the methodology and Administration Staff’’ (see 86 FR 106, inform FDA’s public health response. assumptions used; (3) ways to enhance January 4, 2021) 3 to implement section These data, collected under section the quality, utility, and clarity of the 1003(d)(2) of the FD&C Act, are 506J of the FD&C Act, as it relates to information to be collected; and (4) currently approved under OMB control device shortages and potential device ways to minimize the burden of the number 0910–0491. We have made shortages occurring during the COVID– collection of information on minor changes to this ‘‘Shortages data 19 pandemic, for the duration of the respondents, including through the use collection’’ at this time (see first row of COVID–19 PHE. The guidance includes of automated collection techniques, table 1 of this document) to reflect when appropriate, and other forms of additional learnings from recent 1 Under section 506J of the FD&C Act, information technology. manufacturers of the following devices must notify experience. FDA of an interruption or permanent Shortages Data Collections The Coronavirus Aid, Relief, and discontinuance in manufacturing: Economic Security Act (CARES Act) • Devices that are critical to public health during OMB Control Number 0910–0491— was enacted on March 27, 2020. Section a public health emergency, including those that are Revision 3121 of the CARES Act amended the life-supporting, life-sustaining, or intended for use Under section 1003(d)(2) of the FD&C FD&C Act by adding section 506J (21 in emergency medical care or during surgery; or • Devices for which FDA determines information Act (21 U.S.C. 393(d)(2)), the U.S.C. 356j). Section 506J of the FD&C on potential meaningful supply disruptions is Commissioner of Food and Drugs is Act provides FDA with new authorities needed during a public health emergency. authorized to implement general powers intended to help prevent or mitigate See section 506J(a)(1) and (2) of the FD&C Act. (including conducting research) to carry medical device shortages by requiring 2 See section 506J(a) of the FD&C Act. out effectively the mission of FDA. medical device manufacturers to inform 3 Available at: https://www.fda.gov/regulatory- information/search-fda-guidance-documents/ After the events of September 11, FDA about changes in device notifying-cdrh-permanent-discontinuance-or- 2001, and as part of broader manufacturing that could potentially interruption-manufacturing-device-under-section- counterterrorism and emergency lead to a device shortage. Apprised with 506j-fdc.
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additional voluntary items that medical device manufacturers and estimate the number of respondents that manufacturers could provide the distributors, and anticipated changes in will submit a notification under section Agency, including additional the medical device manufacturing and 506J of the FD&C Act to be information about device manufacturing distributions patterns for the specific approximately 20 percent of currently and supply, and updates to initial devices that may be monitored. FDA registered manufacturers. Data from our notifications. While PRA requirements estimates that there may be up to 500 Registration & Listing system indicates for the voluntary information manufacturers and distributors for that there are approximately 42,000 collections recommended in the which there may be targeted outreach unique FDA Establishment guidance are waived 4 during the because their devices may be essential Identification registered manufacturers. COVID–19 pandemic PHE using this to the response effort. This targeted Therefore, we estimate 8,400 new authority, mandatory collections outreach will be conducted quarterly to respondents per year. We believe that such as those under section 506J of the either obtain primary data or to verify/ FD&C Act may not be part of the waiver. validate updated data (although the burden as well as the provision of FDA requested emergency clearance additional outreach may be undertaken required information under section 506J under 44 U.S.C. 3507(j) and 5 CFR as needed). of the FD&C Act—as well as additional 1320.13 to immediately approve From the manufacturer and voluntary information related to the revision of OMB control number 0910– distributor’s point of view, the data determination (including additional 0491 to add the information collection being requested represent common data issues that may impact the availability required by section 506J of the FD&C elements that they monitor and track as of the device, such as information about Act, as amended. The emergency part of routine business operations and critical suppliers, potential mitigations, clearance approval expires on May 31, therefore are readily available. It is production capacity and market share, 2021; therefore, CDRH is requesting a anticipated that for most manufacturers and notification updates)—is minimal revision of OMB control number 0910– and distributors, the estimated time to and such information is readily 0491 to add the information collection fulfill CDRH’s data request will not available to manufacturers of the required by 506J of the FD&C Act. exceed 30 minutes per request, or 2 applicable devices. Therefore, we FDA estimates the burden of this hours per year. estimate the burden of this information collection of information as follows: II. Information Collection Under collection to be 15 minutes or less per I. Shortages Data Collection Currently Section 506J of the FD&C Act and determination and notification. Approved Under OMB Control Number Related Voluntary Collections 0910–0491 Based on current registration and FDA bases these estimates on past listing data (approved under OMB experiences with direct contact with the control number 0910–0625), we
TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1
Number of Activity Number of responses per Total annual Average burden Total hours respondents respondent responses per response
Shortages data collection ...... 500 4 2,000 0.5 (30 minutes) ..... 1,000 Information collection under section 506J of the 8,400 1 8,400 0.25 (15 minutes) ... 2,100 FD&C Act. Additional voluntary collections related to section 8,400 1 8,400 0.25 (15 minutes) ... 2,100 506J of the FD&C Act.
Total ...... 18,800 ...... 5,200 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
The information collection reflects a correct total burden hour estimate is 520 to the (corrected) estimated total revision to add the information hours. This error has carried through to burden. collection required by section 506J of the current total hour burden listed in Dated: February 16, 2021. the FD&C Act (as amended by section ROCIS as 2,481 hours for the approval Lauren K. Roth, 3121 of the CARES Act) and additional on November 24, 2020; the correct total voluntary collections related to section burden hour estimate should be 2,611 Acting Principal Associate Commissioner for Policy. 506J of the FD&C Act to OMB control hours. We will correct this error upon number 0910–0491. submission of this information [FR Doc. 2021–03630 Filed 2–22–21; 8:45 am] BILLING CODE 4164–01–P Upon review of OMB control number collection request to OMB. 0910–0491, we note that there is a data- Additionally, we have updated the entry error in the RISC/ORIA Combined number of respondents in each Information System (ROCIS) for a information collection to reflect our previous information collection current data and estimations. approval on February 3, 2020. These revisions and adjustments Currently, ROCIS lists the total burden reflect an overall increase of 2,589 hours hours for that approval as 390 hours; the
4 See https://aspe.hhs.gov/system/files/pdf/ 258866/FDA-PHE-PRA-Waiver-Notice_COVID-19_ 03.19.20.pdf.
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DEPARTMENT OF HEALTH AND product is introduced to a larger patient adverse action report to the licensed HUMAN SERVICES population in settings different from manufacturer, rather than to FDA, clinical trials. New information maintain a record of this action. Food and Drug Administration generated during the postmarketing Section 600.80(e) requires licensed [Docket No. FDA–2011–N–0231] period offers further insight into the manufacturers to submit a 15-day Alert benefits and risks of the product, and report for an adverse experience Agency Information Collection evaluation of this information is obtained from a postmarketing clinical Activities; Submission for Office of important to ensure its safe use. FDA study only if the licensed manufacturer Management and Budget Review; issued its Adverse Experience Reporting concludes that there is a reasonable Comment Request; Adverse System (FAERS) requirements in part possibility that the product caused the Experience Reporting for Licensed 600 (21 CFR part 600) to enable FDA to adverse experience. Biological Products; and General take actions necessary for the protection Section 600.80(c)(2) requires licensed Records of the public health in response to manufacturers to report each adverse reports of adverse experiences related to experience not reported in a AGENCY: Food and Drug Administration, licensed biological products. The postmarketing 15-day Alert report at HHS. primary purpose of FAERS is to identify quarterly intervals, for 3 years from the ACTION: Notice. potentially serious safety problems with date of issuance of the biologics license, licensed biological products. Although and then at annual intervals. The SUMMARY: The Food and Drug premarket testing discloses a general majority of these periodic reports are Administration (FDA or we) is safety profile of a biological product’s submitted annually, since a large announcing that a proposed collection comparatively common adverse effects, percentage of currently licensed of information has been submitted to the the larger and more diverse patient biological products have been licensed Office of Management and Budget populations exposed to the licensed longer than 3 years. (OMB) for review and clearance under biological product provides the Section 600.80(k) requires licensed the Paperwork Reduction Act of 1995. opportunity to collect information on manufacturers to maintain for a period DATES: Submit written comments rare, latent, and long-term effects. In of 10 years records of all adverse (including recommendations) on the addition, production and/or distribution experiences known to the licensed collection of information by March 25, problems have contaminated biological manufacturer, including raw data and 2021. products in the past. any correspondence relating to the FAERS reports are obtained from a adverse experiences. ADDRESSES: To ensure that comments on Section 600.81 requires licensed the information collection are received, variety of sources, including manufacturers, patients, physicians, manufacturers to submit, at an interval OMB recommends that written of every 6 months, information about comments be submitted to https:// foreign regulatory agencies, and clinical investigators. Identification of new and the quantity of the product distributed www.reginfo.gov/public/do/PRAMain. under the biologics license, including Find this particular information unexpected safety issues through the analysis of the data in FAERS the quantity distributed to distributors. collection by selecting ‘‘Currently under These distribution reports provide FDA Review—Open for Public Comments’’ or contributes directly to increased public health protection. For example, with important information about by using the search function. The OMB evaluation of these safety issues enables products distributed under biologics control number for this information FDA to take focused regulatory action. licenses, including the quantity, certain collection is 0910–0308. Also include Such action may include, but is not lot numbers, labeled date of expiration, the FDA docket number found in limited to, important changes to the the fill lot numbers for the total number brackets in the heading of this product’s labeling (such as adding a of dosage units of each strength or document. new warning), coordination with potency distributed (e.g., 50,000 per 10- FOR FURTHER INFORMATION CONTACT: manufacturers to ensure adequate milliliter vials), and date of release. FDA Domini Bean, Office of Operations, corrective action is taken, and removal may require the licensed manufacturer Food and Drug Administration, Three of a biological product from the market to submit distribution reports under this White Flint North, 10A–12M, 11601 when necessary. section at times other than every 6 Landsdown St., North Bethesda, MD Section 600.80(c)(1) requires licensed months. 20852, 301–796–5733, PRAStaff@ manufacturers or any person whose Under § 600.82(a), an applicant of a fda.hhs.gov. name appears on the label of a licensed biological product or blood and blood biological product to report each component must notify FDA of a SUPPLEMENTARY INFORMATION: In adverse experience that is both serious permanent discontinuance of compliance with 44 U.S.C. 3507, FDA and unexpected, whether foreign or manufacture or an interruption in has submitted the following proposed domestic, as soon as possible but in no manufacturing or disruption in supply, collection of information to OMB for case later than 15 calendar days of as applicable. Under §§ 600.80(h)(2) and review and clearance. initial receipt of the information by the 600.81(b)(2), a licensed manufacturer Adverse Experience Reporting for licensed manufacturer. These reports may request a temporary waiver for the Licensed Biological Products and are known as postmarketing 15-day requirements under §§ 600.80(h)(1) and General Records—21 CFR Part 600 Alert reports. This section also requires 600.80(b)(1), respectively. Requests for licensed manufacturers to submit any waivers must be submitted in OMB Control Number 0910–0308— followup reports within 15 calendar accordance with § 600.90. Under Extension days of receipt of new information or as § 600.90, a licensed manufacturer may Under the Public Health Service Act requested by FDA, and if additional submit a waiver request for any (42 U.S.C. 262), FDA may only approve information is not obtainable, to requirements that apply to the licensed a biologics license application for a maintain records of the unsuccessful manufacturer under §§ 600.80 and biological product that is safe, pure, and steps taken to seek additional 600.81. A waiver request submitted potent. When a biological product is information. In addition, this section under § 600.90 must include supporting approved and enters the market, the requires that a person who submits an documentation.
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Manufacturers of biological products distribution of any product. licensed products, because of the for human use must keep records of Furthermore, 21 CFR 610.18(b) requires, exemption under § 600.80(m). each step in the manufacture and in part, that the results of all periodic The total annual responses are based distribution of a product, including any tests for verification of cultures and on the number of submissions received recalls. These recordkeeping determination of freedom from by FDA in FY 2019. There were an requirements serve preventative and extraneous organisms be recorded and estimated 169,334 15-day Alert reports, remedial purposes by establishing retained. The recordkeeping 184,265 periodic reports, and 789 lot accountability and traceability in the requirements for 21 CFR 610.12(g), distribution reports submitted to FDA. manufacture and distribution of 610.13(a)(2), 610.18(d), 680.2(f) and The number of 15-day Alert reports for products. These requirements also 680.3(f) are approved under OMB postmarketing studies under § 600.80(e) enable FDA to perform meaningful control number 0910–0139. is included in the total number of 15- inspections. day Alert reports. FDA received 63 Section 600.12 requires, among other Respondents to this collection of information include manufacturers of requests from 40 manufacturers for things, that records be made waivers under § 600.90 (including concurrently with the performance of biological products (including blood and blood components) and any person §§ 600.80(h)(2) and 600.81(b)(2)), of each step in the manufacture and which 61 were granted. The hours per distribution of products. These records whose name appears on the label of a licensed biological product. In table 1, response are based on FDA experience. must be retained for no less than 5 years The burden hours required to complete after the records of manufacture have the number of respondents is based on the estimated number of manufacturers the MedWatch Form (Form FDA 3500A) been completed or 6 months after the for § 600.80(c)(1), (e), and (f) are latest expiration date for the individual that are subject to those regulations or reported under OMB control number product, whichever represents a later that submitted the required information 0910–0291. date. In addition, under § 600.12, to the Center for Biologics Evaluation manufacturers must maintain records and Research and the Center for Drugs In the Federal Register of September relating to the sterilization of equipment Evaluation and Research, FDA, in fiscal 1, 2020 (85 FR 54385), we published a and supplies, animal necropsy records, year (FY) 2019. Based on information 60-day notice requesting public and records in cases of divided obtained from the FDA’s database comment on the proposed collection of manufacturing responsibility with system, there were 103 manufacturers of information. One comment was received respect to a product. biological products. This number but was not responsive to the Under § 600.12(b)(2), manufacturers excludes those manufacturers who information collection topics solicited. are also required to maintain complete produce Whole Blood, components of We estimate the burden of the records pertaining to the recall from Whole Blood, or in-vitro diagnostic collection of information as follows:
TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1
Average Number of Number of Total annual burden per 21 CFR section respondents responses per responses response Total hours respondent (in hours)
600.80(c)(1), 600.80(d), 600.80(e); postmarketing 15-day Alert reports ...... 103 1,644.02 169,334 1 169,334 600.82; notification of discontinuance or interruption in manufacturing ...... 21 1.67 35 2 70 600.80(c)(2) periodic adverse experience reports (FAERS) 103 1,788.98 184,265 28 5,159,420 600.81; distribution reports ...... 117 6.744 789 1 789 600.80(h)(2), 600.81(b)(2), 600.90; waiver requests ...... 40 1.575 63 1 63
Total ...... 5,329,676 1 There are no capital costs or operating and maintenance costs associated with the information collection.
In table 2, the number of respondents listed for § 600.12(a) through (e), annual average of lots released in FY is based on the number of excluding (b)(2), is estimated to be 109. 2019 (6,670), number of recalls made manufacturers subject to those This number excludes manufacturers of (735), and total number of adverse regulations. Based on information blood and blood components because experience reports received (305,951) in obtained from FDA’s database system, their burden hours for recordkeeping FY 2019. The hours per record are based there were 212 licensed manufacturers have been reported under § 606.160 in on FDA experience. of biological products in FY 2019. OMB control number 0910–0116. The However, the number of recordkeepers total annual records is based on the
TABLE 2—ESTIMATED ANNUAL RECORDKEEPING BURDEN 1
Average Number of Number of Total annual burden per 21 CFR section; activity recordkeepers records per records recordkeeper Total hours recordkeeper (in hours)
600.12; 2 maintenance of records ...... 109 61.19 6,670 32 213,440 600.12(b)(2); recall records ...... 212 3.467 735 24 17,640 600.80(c)(1) and 600.80(k); FAERS records ...... 103 3,433 353,599 1 353,599
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TABLE 2—ESTIMATED ANNUAL RECORDKEEPING BURDEN 1—Continued
Average Number of Number of Total annual burden per 21 CFR section; activity recordkeepers records per records recordkeeper Total hours recordkeeper (in hours)
Total ...... 584,679 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 The recordkeeping requirements in § 610.18(b) are included in the estimate for § 600.12.
The burden for this information variety of drug products, could be identifies you in the body of your collection has changed since the last similarly vulnerable to methanol comments, that information will be OMB approval. The reporting and contamination. As the COVID–19 posted on https://www.regulations.gov. recordkeeping burden has increased pandemic has increased the demand for • If you want to submit a comment mostly due to an increase in the number hand sanitizer products, the demand for with confidential information that you of FAERS reports submitted to FDA and pharmaceutical alcohol as the active do not wish to be made available to the the associated recordkeeping with these ingredient of those products has also public, submit the comment as a reports. increased. The guidance outlines a written/paper submission and in the manner detailed (see ‘‘Written/Paper Dated: February 16, 2021. policy intended to help pharmaceutical Submissions’’ and ‘‘Instructions’’). Lauren K. Roth, manufacturers and pharmacists in State- licensed pharmacies or Federal facilities Acting Principal Associate Commissioner for Written/Paper Submissions Policy. who engage in drug compounding avoid the use of pharmaceutical alcohol that is Submit written/paper submissions as [FR Doc. 2021–03541 Filed 2–22–21; 8:45 am] follows: contaminated with or substituted with • BILLING CODE 4164–01–P methanol in drug products. Given the Mail/Hand Delivery/Courier (for written/paper submissions): Dockets public health emergency presented by Management Staff (HFA–305), Food and coronavirus disease 2019 (COVID–19), DEPARTMENT OF HEALTH AND Drug Administration, 5630 Fishers this guidance document is being HUMAN SERVICES Lane, Rm. 1061, Rockville, MD 20852. implemented without prior public • For written/paper comments Food and Drug Administration comment because FDA has determined submitted to the Dockets Management that prior public participation is not [Docket No. FDA–2020–D–2016] Staff, FDA will post your comment, as feasible or appropriate, but it remains well as any attachments, except for subject to comment in accordance with Policy for Testing of Alcohol (Ethanol) information submitted, marked and the Agency’s good guidance practices. and Isopropyl Alcohol for Methanol, identified, as confidential, if submitted Including During the Public Health DATES: The announcement of the as detailed in ‘‘Instructions.’’ Emergency (COVID–19); Guidance for guidance is published in the Federal Instructions: All submissions received Industry; Availability Register on February 23, 2021. The must include the Docket No. FDA– guidance document is immediately in 2020–D–2016 for ‘‘Policy for Testing of AGENCY: Food and Drug Administration, effect, but it remains subject to comment Alcohol (Ethanol) and Isopropyl HHS. in accordance with the Agency’s good Alcohol for Methanol, Including During ACTION: Notice of availability. guidance practices. the Public Health Emergency (COVID– ADDRESSES: You may submit either 19).’’ Received comments will be placed SUMMARY: The Food and Drug electronic or written comments on in the docket and, except for those Administration (FDA or Agency) is Agency guidances at any time as submitted as ‘‘Confidential announcing the availability of a final follows: Submissions,’’ publicly viewable at guidance for industry entitled ‘‘Policy https://www.regulations.gov or at the for Testing of Alcohol (Ethanol) and Electronic Submissions Dockets Management Staff between 9 Isopropyl Alcohol for Methanol, Submit electronic comments in the a.m. and 4 p.m., Monday through Including During the Public Health following way: Friday, 240–402–7500. Emergency (COVID–19).’’ This guidance • Federal eRulemaking Portal: • Confidential Submissions—To is intended to alert pharmaceutical https://www.regulations.gov. Follow the submit a comment with confidential manufacturers and pharmacists in State- instructions for submitting comments. information that you do not wish to be licensed pharmacies or Federal facilities Comments submitted electronically, made publicly available, submit your who engage in drug compounding to the including attachments, to https:// comments only as a written/paper potential public health hazard of www.regulations.gov will be posted to submission. You should submit two alcohol (ethyl alcohol or ethanol) or the docket unchanged. Because your copies total. One copy will include the isopropyl alcohol contaminated with or comment will be made public, you are information you claim to be confidential substituted with methanol. FDA is solely responsible for ensuring that your with a heading or cover note that states aware of reports of fatal methanol comment does not include any ‘‘THIS DOCUMENT CONTAINS poisoning of consumers who ingested confidential information that you or a CONFIDENTIAL INFORMATION.’’ The alcohol-based hand sanitizers that were third party may not wish to be posted, Agency will review this copy, including manufactured with methanol or such as medical information, your or the claimed confidential information, in methanol-contaminated ethanol and is anyone else’s Social Security number, or its consideration of comments. The concerned that other drug products confidential business information, such second copy, which will have the containing ethanol or isopropyl alcohol as a manufacturing process. Please note claimed confidential information (pharmaceutical alcohol), which are that if you include your name, contact redacted/blacked out, will be available widely used active ingredients in a information, or other information that for public viewing and posted on
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https://www.regulations.gov. Submit I. Background of the importance of proper testing and both copies to the Dockets Management FDA is announcing the availability of the potential hazards if the testing is not Staff. If you do not wish your name and a guidance for industry entitled ‘‘Policy done; and (4) establishing finished contact information to be made publicly for Testing of Alcohol (Ethanol) and product test methods to ensure that available, you can provide this Isopropyl Alcohol for Methanol, when testing for ethanol or isopropyl information on the cover sheet and not Including During the Public Health alcohol content (assay), the method also in the body of your comments and you Emergency (COVID–19).’’ This guidance distinguishes between the active must identify this information as is intended to alert pharmaceutical ingredient and methanol. The policy ‘‘confidential.’’ Any information marked manufacturers 1 and pharmacists in outlined in this guidance applies to as ‘‘confidential’’ will not be disclosed State-licensed pharmacies or Federal pharmaceutical alcohols used as an except in accordance with 21 CFR 10.20 facilities who engage in compounding to active or inactive ingredient in a drug. and other applicable disclosure law. For the potential public health hazard of In light of the public health more information about FDA’s posting alcohol (ethyl alcohol or ethanol) or emergency related to COVID–19 of comments to public dockets, see 80 isopropyl alcohol (collectively declared by the Secretary of the FR 56469, September 18, 2015, or access ‘‘pharmaceutical alcohol’’ 2) Department of Health and Human the information at: https:// contaminated with or substituted with Services (HHS), FDA has determined www.govinfo.gov/content/pkg/FR-2015- methanol. FDA is aware of reports of that prior public participation for this 09-18/pdf/2015-23389.pdf. fatal methanol poisoning of consumers guidance is not feasible or appropriate Docket: For access to the docket to who ingested alcohol-based hand and is issuing this guidance without read background documents or the sanitizers that were manufactured with prior public comment (see section electronic and written/paper comments methanol or methanol-contaminated 701(h)(1)(C)(i) of the FD&C Act (21 received, go to https:// ethanol and is concerned that other drug U.S.C. 371(h)(1)(C)(i)) and 21 CFR www.regulations.gov and insert the products containing pharmaceutical 10.115(g)(2)). This guidance document docket number, found in brackets in the alcohol, which are widely used active is being implemented immediately, but heading of this document, into the ingredients in a variety of drug it remains subject to comment in ‘‘Search’’ box and follow the prompts products, could be similarly vulnerable accordance with the Agency’s good and/or go to the Dockets Management to methanol contamination. As the guidance practices. FDA will review Staff, 5630 Fishers Lane, Rm. 1061, COVID–19 pandemic has increased the comments, and the guidance will be Rockville, MD 20852, 240–402–7500. demand for hand sanitizer products, the updated accordingly. You may submit comments on any demand for pharmaceutical alcohol as This guidance is intended to remain guidance at any time (see 21 CFR the active ingredient of those products in effect for the duration of the public 10.115(g)(5)). has also increased. health emergency related to COVID–19 Submit written requests for single The guidance outlines a policy declared by HHS, including any copies of the guidance to the Division of intended to help pharmaceutical renewals made by the Secretary in Drug Information, Center for Drug manufacturers and pharmacists in State- accordance with section 319(a)(2) of the Evaluation and Research, Food and licensed pharmacies or Federal facilities Public Health Service Act (42 U.S.C. Drug Administration, 10001 New who engage in compounding avoid the 247d(a)(2)). However, the Hampshire Ave., Hillandale Building, use of pharmaceutical alcohol that is recommendations and processes 4th Floor, Silver Spring, MD 20993– contaminated with or substituted with described in the guidance are expected 0002; or to the Office of methanol in drug products. The policy to assist the Agency more broadly in its Communication, Outreach and outlined in the guidance includes, but is efforts to ensure that pharmaceutical Development, Center for Biologics not limited to: (1) Performing a specific alcohol that is contaminated with or Evaluation and Research, Food and identity test that includes a limit test for substituted with methanol is not used in Drug Administration, 10903 New methanol on each container within each drug products beyond the termination of Hampshire Ave., Bldg. 71, Rm. 3128, shipment of each lot of pharmaceutical the COVID–19 public health emergency Silver Spring, MD 20993–0002. Send alcohol before the component is used in and reflect the Agency’s current one self-addressed adhesive label to the manufacture or preparation of drug thinking on this issue. Therefore, within assist that office in processing your products; (2) knowing the entities in 60 days following the termination of the requests. See the SUPPLEMENTARY pharmaceutical manufacturers’ supply public health emergency, FDA intends INFORMATION section for electronic chain for pharmaceutical alcohol (i.e., to revise and replace this guidance with access to the guidance document. knowing the identities and any appropriate changes based on FOR FURTHER INFORMATION CONTACT: appropriately qualifying the comments received on this guidance Francis Godwin, Center for Drug manufacturer of the pharmaceutical and the Agency’s experience with Evaluation and Research, Food and alcohol and any subsequent implementation. Drug Administration, 10903 New distributor(s)); (3) ensuring that all This guidance is being issued Hampshire Ave., Bldg. 51, Rm. 4342, personnel in pharmaceutical consistent with FDA’s good guidance Silver Spring, MD 20993–0002, 301– manufacturing facilities (especially practices regulation (21 CFR 10.115). 796–5362; or Stephen Ripley, Center for personnel directly responsible for The guidance represents the current Biologics Evaluation and Research, receipt, testing, and release of thinking of FDA on ‘‘Policy for Testing Food and Drug Administration, 10903 pharmaceutical alcohol) are made aware of Alcohol (Ethanol) and Isopropyl New Hampshire Ave., Bldg. 71, Rm. Alcohol for Methanol, Including During 7301, Silver Spring, MD 20993–0002, 1 References to ‘‘manufacturers’’ includes registered outsourcing facilities, repackers, the Public Health Emergency (COVID– 240–402–7911; or Julie Bailey, Center relabellers, and suppliers of alcohol. 19).’’ It does not establish any rights for for Veterinary Medicine (HFV–140), 2 For the purposes of this guidance, we use the any person and is not binding on FDA Food and Drug Administration, 7500 term pharmaceutical alcohol to mean either ethanol or the public. You can use an alternative Standish Pl., Rockville, MD 20855, 240– (ethyl alcohol) or isopropyl alcohol (2-propanol). Both are used as an active ingredient in alcohol- approach if it satisfies the requirements 402–0700. based hand sanitizers and may be used in other of the applicable statutes and SUPPLEMENTARY INFORMATION: drug products as an active or inactive ingredient. regulations.
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II. Paperwork Reduction Act of 1995 SUMMARY: The Food and Drug Written/Paper Submissions Administration (FDA, we, or Agency) is While this guidance contains no Submit written/paper submissions as extending the comment period for the collection of information, it does refer to follows: notice that appeared in the Federal previously approved FDA collections of • Mail/Hand Delivery/Courier (for Register of January 11, 2021. In that information. Therefore, clearance by the written/paper submissions): Dockets notice, FDA requested comments Office of Management and Budget Management Staff (HFA–305), Food and regarding a document entitled (OMB) under the Paperwork Reduction Drug Administration, 5630 Fishers ‘‘Potential Approach for Defining Act of 1995 (PRA) (44 U.S.C. 3501– Lane, Rm. 1061, Rockville, MD 20852. Durations of Use for Medically 3521) is not required for this guidance. • For written/paper comments Important Antimicrobial Drugs Intended The previously approved collections of submitted to the Dockets Management for Use In or On Feed: A Concept information are subject to review by Staff, FDA will post your comment, as Paper.’’ The Agency is taking this action OMB under the PRA. The collections of well as any attachments, except for in response to requests for an extension information in 21 CFR part 314 have information submitted, marked and to allow interested persons additional been approved under OMB control identified, as confidential, if submitted time to submit comments. number 0910–0001; the collections of as detailed in ‘‘Instructions.’’ information in 21 CFR part 312 have DATES: FDA is extending the comment Instructions: All submissions received been approved under OMB control period announced in the notice must include the Docket No. FDA– number 0910–0014; the collections of published January 11, 2021 (86 FR 2016–D–2635 for ‘‘Potential Approach information in 21 CFR part 601 have 1979). Submit either electronic or for Defining Durations of Use for been approved under OMB control written comments by June 11, 2021. Medically Important Antimicrobial Drugs Intended for Use In or On Feed: number 0910–0338; and the collections ADDRESSES: You may submit comments A Concept Paper.’’ Received comments of information in 21 CFR parts 210 and as follows. Please note that late, will be placed in the docket and, except 211 have been approved under OMB untimely filed comments will not be for those submitted as ‘‘Confidential control number 0910–0139. considered. Electronic comments must Submissions,’’ publicly viewable at be submitted on or before June 11, 2021. III. Electronic Access https://www.regulations.gov or at the The https://www.regulations.gov Dockets Management Staff between 9 Persons with access to the internet electronic filing system will accept a.m. and 4 p.m., Monday through may obtain the guidance at https:// comments until 11:59 p.m. Eastern Time Friday, 240–402–7500. www.fda.gov/drugs/guidance- at the end of June 11, 2021. Comments • Confidential Submissions—To compliance-regulatory-information/ received by mail/hand delivery/courier submit a comment with confidential guidances-drugs, https://www.fda.gov/ (for written/paper submissions) will be information that you do not wish to be vaccines-blood-biologics/guidance- considered timely if they are made publicly available, submit your compliance-regulatory-information- postmarked or the delivery service comments only as a written/paper biologics, https://www.fda.gov/ acceptance receipt is on or before that submission. You should submit two emergency-preparedness-and-response/ date. coronavirus-disease-2019-covid-19/ copies total. One copy will include the covid-19-related-guidance-documents- Electronic Submissions information you claim to be confidential industry-fda-staff-and-other- with a heading or cover note that states Submit electronic comments in the ‘‘THIS DOCUMENT CONTAINS stakeholders, or https:// following way: www.regulations.gov. CONFIDENTIAL INFORMATION.’’ The • Federal eRulemaking Portal: Agency will review this copy, including Dated: February 16, 2021. https://www.regulations.gov. Follow the the claimed confidential information, in Lauren K. Roth, instructions for submitting comments. its consideration of comments. The Acting Principal Associate Commissioner for Comments submitted electronically, second copy, which will have the Policy. including attachments, to https:// claimed confidential information [FR Doc. 2021–03548 Filed 2–22–21; 8:45 am] www.regulations.gov will be posted to redacted/blacked out, will be available BILLING CODE 4164–01–P the docket unchanged. Because your for public viewing and posted on comment will be made public, you are https://www.regulations.gov. Submit solely responsible for ensuring that your both copies to the Dockets Management DEPARTMENT OF HEALTH AND comment does not include any Staff. If you do not wish your name and HUMAN SERVICES confidential information that you or a contact information to be made publicly third party may not wish to be posted, Food and Drug Administration available, you can provide this such as medical information, your or information on the cover sheet and not anyone else’s Social Security number, or in the body of your comments and you [Docket No. FDA–2016–D–2635] confidential business information, such must identify this information as as a manufacturing process. Please note ‘‘confidential.’’ Any information marked Potential Approach for Defining that if you include your name, contact as ‘‘confidential’’ will not be disclosed Durations of Use for Medically information, or other information that except in accordance with 21 CFR 10.20 Important Antimicrobial Drugs identifies you in the body of your and other applicable disclosure law. For Intended for Use In or On Feed: A comments, that information will be more information about FDA’s posting Concept Paper; Request for posted on https://www.regulations.gov. of comments to public dockets, see 80 Comments; Extension of Comment • If you want to submit a comment FR 56469, September 18, 2015, or access Period with confidential information that you the information at: https:// AGENCY: Food and Drug Administration, do not wish to be made available to the www.govinfo.gov/content/pkg/FR-2015- HHS. public, submit the comment as a 09-18/pdf/2015-23389.pdf. written/paper submission and in the Docket: For access to the docket to ACTION: Notice; request for comments; manner detailed (see ‘‘Written/Paper read background documents or the extension of comment period. Submissions’’ and ‘‘Instructions’’). electronic and written/paper comments
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received, go to https:// Federal Claims is charged by statute (if unknown then city and state of www.regulations.gov and insert the with responsibility for considering and person or attorney filing claim), and docket number, found in brackets in the acting upon the petitions. case number. In cases where the Court heading of this document, into the FOR FURTHER INFORMATION CONTACT: For has redacted the name of a petitioner ‘‘Search’’ box and follow the prompts information about requirements for and/or the case number, the list reflects and/or go to the Dockets Management filing petitions, and the Program in such redaction. Staff, 5630 Fishers Lane, Rm. 1061, general, contact Lisa L. Reyes, Clerk of Section 2112(b)(2) also provides that Rockville, MD 20852, 240–402–7500. Court, United States Court of Federal the special master ‘‘shall afford all FOR FURTHER INFORMATION CONTACT: John Claims, 717 Madison Place NW, interested persons an opportunity to Mussman, Center for Veterinary Washington, DC 20005, (202) 357–6400. submit relevant, written information’’ Medicine (HFV–133), Food and Drug For information on HRSA’s role in the relating to the following: Administration, 7500 Standish Pl., Program, contact the Director, National 1. The existence of evidence ‘‘that Rockville, MD 20855, 240–402–0589, Vaccine Injury Compensation Program, there is not a preponderance of the [email protected]. 5600 Fishers Lane, Room 08N146B, evidence that the illness, disability, SUPPLEMENTARY INFORMATION: In the Rockville, Maryland 20857; (301) 443– injury, condition, or death described in Federal Register of January 11, 2021, 6593, or visit our website at: http:// the petition is due to factors unrelated FDA published a notice of availability of www.hrsa.gov/vaccinecompensation/ to the administration of the vaccine a document entitled ‘‘Potential index.html. described in the petition,’’ and 2. Any allegation in a petition that the Approach for Defining Durations of Use SUPPLEMENTARY INFORMATION: The petitioner either: for Medically Important Antimicrobial Program provides a system of no-fault a. ‘‘[S]ustained, or had significantly Drugs Intended for Use In or On Feed: compensation for certain individuals aggravated, any illness, disability, A Concept Paper’’ with a 90-day who have been injured by specified injury, or condition not set forth in the comment period. childhood vaccines. Subtitle 2 of Title Vaccine Injury Table but which was Interested persons were originally XXI of the PHS Act, 42 U.S.C. 300aa– caused by’’ one of the vaccines referred given until April 12, 2021, to comment 10 et seq., provides that those seeking to in the Table, or on the concept paper. The Agency has compensation are to file a petition with b. ‘‘[S]ustained, or had significantly received requests to allow interested the United States Court of Federal aggravated, any illness, disability, persons additional time to comment. Claims and to serve a copy of the injury, or condition set forth in the The requests conveyed concern that the petition to the Secretary of HHS, who is Vaccine Injury Table the first symptom current 90-day comment period does named as the respondent in each or manifestation of the onset or not allow sufficient time to develop a proceeding. The Secretary has delegated significant aggravation of which did not comprehensive response. We have this responsibility under the Program to occur within the time period set forth in concluded that it is reasonable to extend HRSA. The Court is directed by statute the Table but which was caused by a the comment period for 60 days. The to appoint special masters who take vaccine’’ referred to in the Table. Agency believes that this extension evidence, conduct hearings as In accordance with Section allows adequate time for interested appropriate, and make initial decisions 2112(b)(2), all interested persons may persons to submit comments. as to eligibility for, and amount of, submit written information relevant to Dated: February 16, 2021. compensation. the issues described above in the case of Lauren K. Roth, A petition may be filed with respect the petitions listed below. Any person Acting Principal Associate Commissioner for to injuries, disabilities, illnesses, choosing to do so should file an original Policy. conditions, and deaths resulting from and three (3) copies of the information [FR Doc. 2021–03532 Filed 2–22–21; 8:45 am] vaccines described in the Vaccine Injury with the Clerk of the United States BILLING CODE 4164–01–P Table (the Table) set forth at 42 CFR Court of Federal Claims at the address 100.3. This Table lists for each covered listed above (under the heading FOR childhood vaccine the conditions that FURTHER INFORMATION CONTACT), with a DEPARTMENT OF HEALTH AND may lead to compensation and, for each copy to HRSA addressed to Director, HUMAN SERVICES condition, the time period for Division of Injury Compensation occurrence of the first symptom or Programs, Healthcare Systems Bureau, Health Resources and Services manifestation of onset or of significant 5600 Fishers Lane, 08N146B, Rockville, Administration aggravation after vaccine Maryland 20857. The Court’s caption administration. Compensation may also (Petitioner’s Name v. Secretary of HHS) National Vaccine Injury Compensation be awarded for conditions not listed in and the docket number assigned to the Program; List of Petitions Received the Table and for conditions that are petition should be used as the caption AGENCY: Health Resources and Services manifested outside the time periods for the written submission. Chapter 35 Administration (HRSA), Department of specified in the Table, but only if the of title 44, United States Code, related Health and Human Services (HHS). petitioner shows that the condition was to paperwork reduction, does not apply ACTION: Notice. caused by one of the listed vaccines. to information required for purposes of Section 2112(b)(2) of the PHS Act, 42 carrying out the Program. SUMMARY: HRSA is publishing this U.S.C. 300aa–12(b)(2), requires that notice of petitions received under the ‘‘[w]ithin 30 days after the Secretary Diana Espinosa, National Vaccine Injury Compensation receives service of any petition filed Acting Administrator. Program (the Program), as required by under section 2111 the Secretary shall List of Petitions Filed the Public Health Service (PHS) Act, as publish notice of such petition in the amended. While the Secretary of HHS is Federal Register.’’ Set forth below is a 1. Sheri Esters, Coeur d’Alene, Idaho, Court of Federal Claims No: 21–0001V named as the respondent in all list of petitions received by HRSA on 2. Jacob Schriner, Wellesley Hills, California, proceedings brought by the filing of January 1, 2021, through January 31, Court of Federal Claims No: 21–0002V petitions for compensation under the 2021. This list provides the name of 3. Jade Bunnell, Virginia Beach, Virginia, Program, the United States Court of petitioner, city and state of vaccination Court of Federal Claims No: 21–0003V
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4. Judith Resweber, Baton Rouge, Louisiana, Federal Claims No: 21–0040V Federal Claims No: 21–0075V Court of Federal Claims No: 21–0004V 38. Lidija Zekanovic, Mt. Orab, Ohio, Court 73. Heather Phillips, Tamaqua, Pennsylvania, 5. Becky Cary-Hill, Duluth, Minnesota, Court of Federal Claims No: 21–0041V Court of Federal Claims No: 21–0076V of Federal Claims No: 21–0005V 39. Stacey Welch on behalf of J. W., New 74. Allison Axon, Dallas, Texas, Court of 6. Helene Tark, New York, New York, Court Orleans, Louisiana, Court of Federal Federal Claims No: 21–0077V of Federal Claims No: 21–0006V Claims No: 21–0042V 75. Angela Baldocchi, Tuscaloosa, Alabama, 7. Katharine Wick, Wellesley Hills, 40. Gina Burgese, Springfield, Pennsylvania, Court of Federal Claims No: 21–0078V Massachusetts, Court of Federal Claims Court of Federal Claims No: 21–0043V 76. Rebecca Knight, Petersburg, Alaska, Court No: 21–0007V 41. Donna Valdez, Baytown, Texas, Court of of Federal Claims No: 21–0080V 8. John Black, Denison, Texas, Court of Federal Claims No: 21–0044V 77. Roland Barr, Stevenson, Washington, Federal Claims No: 21–0009V 42. Terry L. Hansler Pont, Grants Pass, Court of Federal Claims No: 21–0081V 9. Darcy Cyr, Albany, New York, Court of Oregon, Court of Federal Claims No: 21– 78. Kim Blessed, Raleigh, North Carolina, Federal Claims No: 21–0012V 0045V Court of Federal Claims No: 21–0082V 10. Maria Nino, Dallas, Texas, Court of 43. Melissa Ferguson, Dayton, Ohio, Court of 79. Lisa Brown, Bryan, Texas, Court of Federal Claims No: 21–0013V Federal Claims No: 21–0046V Federal Claims No: 21–0083V 11. Renee Stidd, Nebraska City, Nebraska, 44. Marnie Schmaltz, St. Petersburg, Florida, 80. Justin Burroughs, Port Orange, Florida, Court of Federal Claims No: 21–0014V Court of Federal Claims No: 21–0047V Court of Federal Claims No: 21–0084V 12. Robert Miller, Lafayette, Georgia, Court of 45. Yvette Alexander, Sweetwater, 81. Vickie Calmese, Florissant, Missouri, Federal Claims No: 21–0015V Tennessee, Court of Federal Claims No: Court of Federal Claims No: 21–0085V 13. Jessica McKnight, Aurora, Colorado, 21–0048V 82. Kimberly Cates, Raleigh, North Carolina, Court of Federal Claims No: 21–0016V 46. Raymond Cronin, Romulus, Michigan, Court of Federal Claims No: 21–0086V 14. Mirna LaTorre, Goshen, New York, Court Court of Federal Claims No: 21–0049V 83. Terra Figueiredo, Pflugerville, Texas, of Federal Claims No: 21–0017V 47. Patricia Howard, Boston, Massachusetts, Court of Federal Claims No: 21–0088V 15. Cristina Houy, Brooklyn, New York, Court of Federal Claims No: 21–0050V 84. Donna Arrogante, Dresher, Pennsylvania, Court of Federal Claims No: 21–0018V 48. Jane Brennom, Wimauma, Florida, Court Court of Federal Claims No: 21–0089V 16. Jeanne Andrews, Charlton, of Federal Claims No: 21–0051V 85. Julie Hart, Plano, Texas, Court of Federal Massachusetts, Court of Federal Claims 49. Randi Wender, Boston, Massachusetts, Claims No: 21–0090V No: 21–0019V Court of Federal Claims No: 21–0052V 86. Matther Huber, Exton, Pennsylvania, 17. Elisa Advani, Morrisville, Pennsylvania, 50. Cassie Williams, Mesa, Arizona, Court of Court of Federal Claims No: 21–0091V Court of Federal Claims No: 21–0020V Federal Claims No: 21–0053V 87. Debra Weiss-Otterpohl, Princeton, New 18. Karen Bean, Fullerton, California, Court 51. Andrea H. Olson, Osakis, Minnesota, Jersey, Court of Federal Claims No: 21– of Federal Claims No: 21–0021V Court of Federal Claims No: 21–0054V 0092V 19. Mitchell Frye, Eugene, Oregon, Court of 52. Ellen Rodriguez, Skillman, New Jersey, 88. Graciela Johnson, Temple, Texas, Court of Federal Claims No: 21–0022V Court of Federal Claims No: 21–0055V Federal Claims No: 21–0093V 20. Mary Cheatwood, Anniston, Alabama, 53. Alicia Edwards, Sand Springs, Oklahoma, 89. Jeffrey Marvel, Carmel, Indiana, Court of Court of Federal Claims No: 21–0023V Court of Federal Claims No: 21–0056V Federal Claims No: 21–0094V 21. Michael Garrison, Forestdale, 54. Graham Jewell, Charlotte, North Carolina, 90. Karen Knight, Ennis, Texas, Court of Massachusetts, Court of Federal Claims Court of Federal Claims No: 21–0057V Federal Claims No: 21–0095V No: 21–0024V 55. Norman Smith, Boston, Massachusetts, 91. Kathryn Sitton, Newport Beach, 22. Rosalind Cummings, Media, Court of Federal Claims No: 21–0058V California, Court of Federal Claims No: Pennsylvania, Court of Federal Claims 56. Brooke Biancucci, Binghamton, New 21–0096V No: 21–0025V York, Court of Federal Claims No: 21– 92. Jean Kraemer, Clinton Township, 23. William Harry, Cherry Hill, New Jersey, 0059V Michigan, Court of Federal Claims No: Court of Federal Claims No: 21–0026V 57. Perry Walters, Houston, Texas, Court of 21–0097V 24. Candice Killpack, Layton, Utah, Court of Federal Claims No: 21–0060V 93. Beth Ruge, Carmel, Indiana, Court of Federal Claims No: 21–0027V 58. Geoffrey Miller, Boston, Massachusetts, Federal Claims No: 21–0098V 25. Sanaa El-Tayib, West Caldwell, New Court of Federal Claims No: 21–0061V 94. Mandy Gammons on behalf of H. T., Jersey, Court of Federal Claims No: 21– 59. Angelicque Taylor, Dresher, Goodlettsville, Tennessee, Court of 0028V Pennsylvania, Court of Federal Claims Federal Claims No: 21–0099V 26. Candice Lombardo, New Haven, No: 21–0062V 95. Julie Trevis, Encino, California, Court of Connecticut, Court of Federal Claims No: 60. Lynette Smith, Seattle, Washington, Court Federal Claims No: 21–0100V 21–0029V of Federal Claims No: 21–0063V 96. Samuel Beyer, Lansing, Michigan, Court 27. Shawn McKenna, Philadelphia, 61. Timothy Allen, Dresher, Pennsylvania, of Federal Claims No: 21–0101V Pennsylvania, Court of Federal Claims Court of Federal Claims No: 21–0064V 97. Patti Rae Graham, Scottsdale, Arizona, No: 21–0030V 62. Jonathan Turnquest, Des Plaines, Illinois, Court of Federal Claims No: 21–0102V 28. Michelle Mussehl, Madison, Wisconsin, Court of Federal Claims No: 21–0065V 98. Hafin Meryk Painter, American Fork, Court of Federal Claims No: 21–0031V 63. Amy Schwalm, Schaumburg, Illinois, Utah, Court of Federal Claims No: 21– 29. Bruce Robinson, Radnor, Pennsylvania, Court of Federal Claims No: 21–0066V 0103V Court of Federal Claims No: 21–0032V 64. Nadine Campbell, Dresher, Pennsylvania, 99. Misty Nuzzo, Nottingham, Maryland, 30. Kimberly Schauffler, Yorktown Heights, Court of Federal Claims No: 21–0067V Court of Federal Claims No: 21–0104V New York, Court of Federal Claims No: 65. Mary Ross, San Antonio, Texas, Court of 100. Michelle Laing, Mission Viejo, 21–0033V Federal Claims No: 21–0068V California, Court of Federal Claims No: 31. Timothy Dilweg, Boston, Massachusetts, 66. Ashley Frei, Montoursville, 21–0105V Court of Federal Claims No: 21–0034V Pennsylvania, Court of Federal Claims 101. Jennifer Glover, Murrieta, California, 32. Tomecca Cephus, Boston, Massachusetts, No: 21–0069V Court of Federal Claims No: 21–0106V Court of Federal Claims No: 21–0035V 67. Patricia Richardson, Tampa, Florida, 102. Fanny Rivera, Reading, Pennsylvania, 33. Sonal Patel, Dorchester, Massachusetts, Court of Federal Claims No: 21–0070V Court of Federal Claims No: 21–0107V Court of Federal Claims No: 21–0036V 68. Elsie McKay, Albany, Oregon, Court of 103. Michael Leach, Bensalem, Pennsylvania, 34. Iane Montagnese, Boston, Massachusetts, Federal Claims No: 21–0071V Court of Federal Claims No: 21–0108V Court of Federal Claims No: 21–0037V 69. Jane McGraw, Orlando, Florida, Court of 104. Christopher Lasak, San Diego, 35. Kristie Rinier, Cape May, New Jersey, Federal Claims No: 21–0072V California, Court of Federal Claims No: Court of Federal Claims No: 21–0038V 70. Holly Adair, Austin, Texas, Court of 21–0109V 36. Angel Squires, Boston, Massachusetts, Federal Claims No: 21–0073V 105. Paul Lieberman, Punta Gorda, Florida, Court of Federal Claims No: 21–0039V 71. Marjorie Ganthier, New York, New York, Court of Federal Claims No: 21–0110V 37. Krystal Baucom on behalf of A. M., Court of Federal Claims No: 21–0074V 106. John Murphy, Livingston, Montana, Concord, North Carolina, Court of 72. Zakaria Asia, Austin, Texas, Court of Court of Federal Claims No: 21–0111V
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107. Gabriel Marian, Seattle, Washington, 142. Jennifer Nicole Brown, Tampa, Florida, Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0112V Court of Federal Claims No: 21–0148V 21–0181V 108. Alexandra Boyd, Gloucester, 143. Hyunji Beatrice, New York, New York, 175. Celia Martinez, Las Vegas, Nevada, Massachusetts, Court of Federal Claims Court of Federal Claims No: 21–0149V Court of Federal Claims No: 21–0182V No: 21–0113V 144. Jeffie Snavely, Jasper, Alabama, Court of 176. Rita Rekoff, Washington, District of 109. Kristin Morgan, Rockford, Illinois, Court Federal Claims No: 21–0150V Columbia, Court of Federal Claims No: of Federal Claims No: 21–0114V 145. Laura Turnquest, Des Plaines, Illinois, 21–0183V 110. Shirley Poke, Tifton, Georgia, Court of Court of Federal Claims No: 21–0151V 177. Nona Bobb, Washington, District of Federal Claims No: 21–0115V 146. Stephanie Mitchell, Los Angeles, Columbia, Court of Federal Claims No: 111. Montrell Riley, Flint, Michigan, Court of California, Court of Federal Claims No: 21–0184V Federal Claims No: 21–0116V 21–0152V 178. Teresa Patterson, Albuquerque, New 112. Abby Rodriguez, Santa Fe, New Mexico, 147. Stephanie Tompkins, Voorhees, New Mexico, Court of Federal Claims No: 21– Court of Federal Claims No: 21–0117V Jersey, Court of Federal Claims No: 21– 0185V 113. Hong Taing, Alpharetta, Georgia, Court 0153V 179. Sophie Friedfeld-Gebaide, Dresher, of Federal Claims No: 21–0118V 148. Gertrude Brown, Woodbridge, Virginia, Pennsylvania, Court of Federal Claims 114. Angel Thompson, Wesley Chapel, North Court of Federal Claims No: 21–0155V No: 21–0186V Carolina, Court of Federal Claims No: 149. Craig Bauman, Marion, Illinois, Court of 180. Michelle Burkemper, Washington, 21–0119V Federal Claims No: 21–0156V District of Columbia, Court of Federal 115. Anya Wallach, New York, New York, 150. Michael Hileman, Dresher, Claims No: 21–0187V Court of Federal Claims No: 21–0120V Pennsylvania, Court of Federal Claims 181. Vivian DiTomasso, Nashville, 116. Gayla Randolph, Canton, Georgia, Court No: 21–0157V Tennessee, Court of Federal Claims No: of Federal Claims No: 21–0121V 151. Monique Samayoa, Wilmington, North 21–0188V 117. John B. Caraway, Kent Island, Maryland, Carolina, Court of Federal Claims No: 182. Patricia Groth, Washington, District of Court of Federal Claims No: 21–0123V 21–0158V Columbia, Court of Federal Claims No: 118. Scott Speller, Washington, District of 152. Sharon Clayton, Victorville, California, 21–0189V Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0159V 183. Ronald Lorenz, Tucson, Arizona, Court 21–0124V 153. Andrew Universal, Dresher, of Federal Claims No: 21–0190V 119. Julia Edwards, Mebourne, Florida, Court Pennsylvania, Court of Federal Claims 184. Robin Wabbe, Dresher, Pennsylvania, of Federal Claims No: 21–0125V No: 21–0160V Court of Federal Claims No: 21–0191V 120. Timothy Yannacone, Valatie, New York, 154. Baltazar Pedraza, Watsonville, 185. Melissa Henry, Washington, District of Court of Federal Claims No: 21–0126V California, Court of Federal Claims No: Columbia, Court of Federal Claims No: 121. Alisha Bullock, Boston, Massachusetts, 21–0161V 21–0192V Court of Federal Claims No: 21–0127V 155. Connie Glaholt, Overland Park, Kansas, 186. Richard Jones, Washington, District of 122. Nicole Lung, North Chicago, Illinois, Court of Federal Claims No: 21–0162V Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0128V 156. Courtney Lane, Dresher, Pennsylvania, 21–0193V 123. Kristen Dixon, Woodruff, Wisconsin, Court of Federal Claims No: 21–0163V 187. Gloria Caulfield, Washington, District of Court of Federal Claims No: 21–0129V 157. Tabitha Smith, Siloam Springs, Columbia, Court of Federal Claims No: 124. Sandra Eskenazi, Aventura, Florida, Arkansas, Court of Federal Claims No: 21–0194V Court of Federal Claims No: 21–0130V 21–0164V 188. Christina Lorenz, Tucson, Arizona, 125. Dyan LaBelle, Milwaukee, Wisconsin, 158. Michael Berlin, Dresher, Pennsylvania, Court of Federal Claims No: 21–0195V Court of Federal Claims No: 21–0131V Court of Federal Claims No: 21–0165V 189. Andrew McRae, Washington, District of 126. Eleanor Arreola, Dresher, Pennsylvania, 159. Harold Boling, Bel Air, Maryland, Court Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0132V of Federal Claims No: 21–0166V 21–0196V 127. John I. DeVey, III, Rochester, New York, 160. Sharon Brown, Summerville, South 190. John Clarke, Jr., Washington, District of Court of Federal Claims No: 21–0133V Carolina, Court of Federal Claims No: Columbia, Court of Federal Claims No: 128. Leah Davis, Boston, Massachusetts, 21–0167V 21–0197V Court of Federal Claims No: 21–0134V 161. Sheila Evans, Greensboro, North 191. Karen Brown, Orchard Park, New York, 129. Francisco Salgado, Dresher, Carolina, Court of Federal Claims No: Court of Federal Claims No: 21–0198V Pennsylvania, Court of Federal Claims 21–0168V 192. Michelle Rorabaugh, Washington, No: 21–0135V 162. Abraham Scott, Flowood, Mississippi, District of Columbia, Court of Federal 130. Catherine Sullivan, Boston, Court of Federal Claims No: 21–0169V Claims No: 21–0199V Massachusetts, Court of Federal Claims 163. Noel Fie, Beverly Hills, California, Court 193. Jennifer Rivera, West Nyack, New York, No: 21–0136V of Federal Claims No: 21–0170V Court of Federal Claims No: 21–0200V 131. George Heidrich, Dresher, Pennsylvania, 164. Loralie Cioffi, Capitola, California, Court 194. Randolph Dennis, Washington, District Court of Federal Claims No: 21–0137V of Federal Claims No: 21–0171V of Columbia, Court of Federal Claims No: 132. Nichole Dorio, Cleveland, Ohio, Court of 165. Fawn Edmondson, Las Vegas, Nevada, 21–0201V Federal Claims No: 21–0138V Court of Federal Claims No: 21–0172V 195. Laurie Lara, Sonora, California, Court of 133. Ross McCammon, Webster, Texas, Court 166. Kimberley Plachta, Waterford, Michigan, Federal Claims No: 21–0202V of Federal Claims No: 21–0139V Court of Federal Claims No: 21–0173V 196. Kendra Sage, Washington, District of 134. Kathy Blackmon, Pensacola, Florida, 167. Janice Reeve, Everett, Washington, Court Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0140V of Federal Claims No: 21–0174V 21–0203V 135. Tane Turrell, Boston, Massachusetts, 168. Kristi Kelley, Jackson, Mississippi, Court 197. Tammy Amorosso, Washington, District Court of Federal Claims No: 21–0141V of Federal Claims No: 21–0175V of Columbia, Court of Federal Claims No: 136. Emma Jones, Dresher, Pennsylvania, 169. Karen Johnson, Burke, Virginia, Court of 21–0204V Court of Federal Claims No: 21–0142V Federal Claims No: 21–0176V 198. Amanda Salgado, Washington, District 137. Beth Guest, Rochester Hills, Michigan, 170. Julia Shatlock, Atlanta, Georgia, Court of of Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0143V Federal Claims No: 21–0177V 21–0205V 138. Pamela Tripp, Boston, Massachusetts, 171. Jacob Kovarskiy, Washington, District of 199. Danelle Bailey, Washington, District of Court of Federal Claims No: 21–0144V Columbia, Court of Federal Claims No: Columbia, Court of Federal Claims No: 139. Daniel Swadis, Philadelphia, 21–0178V 21–0206V Pennsylvania, Court of Federal Claims 172. Donald Buford, Waupun, Wisconsin, 200. Amanda Grue, Washington, District of No: 21–0145V Court of Federal Claims No: 21–0179V Columbia, Court of Federal Claims No: 140. Deborah Rau, Boston, Massachusetts, 173. Wyatt Regan, Washington, District of 21–0207V Court of Federal Claims No: 21–0146V Columbia, Court of Federal Claims No: 201. Lisa Bates, Washington, District of 141. Suzanne Bauman, Littleton, Colorado, 21–0180V Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0147V 174. Theresa Banks, Washington, District of 21–0208V
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202. Brina Thurston, Dresher, Pennsylvania, Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0264V Court of Federal Claims No: 21–0209V 21–0236V 258. Marie Stark, South Bend, Indiana, Court 203. Kimberly Holmes, Washington, District 230. Brita Reed, Washington, District of of Federal Claims No: 21–0265V of Columbia, Court of Federal Claims No: Columbia, Court of Federal Claims No: 259. Anthony Harrison, Washington, District 21–0210V 21–0237V of Columbia, Court of Federal Claims No: 204. Robin Bernales, Washington, District of 231. Leslie G. Bromberg, Phoenix, Arizona, 21–0266V Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0238V 260. Evelyn Valdivieso, Malvern, 21–0211V 232. Caroline Faure, Washington, District of Pennsylvania, Court of Federal Claims 205. David C. Johnson, Washington, District Columbia, Court of Federal Claims No: No: 21–0267V of Columbia, Court of Federal Claims No: 21–0239V 261. Scott Sterland, Washington, District of 21–0212V 233. Debra Rhoades, Richmond, Indiana, Columbia, Court of Federal Claims No: 206. Margaret Nalwoga, Court of Federal Court of Federal Claims No: 21–0240V 21–0268V Claims No: 21–0213V 234. Janice Lent, Washington, District of 262. Lisa Hazard, Washington, District of 207. Shari Kaui, Washington, District of Columbia, Court of Federal Claims No: Columbia, Court of Federal Claims No: Columbia, Court of Federal Claims No: 21–0241V 21–0269V 21–0214V 235. Katherine Frailing, Washington, District 263. Joanne Carol Stange, Watkinsville, 208. Sarah Crittenden, Washington, District of Columbia, Court of Federal Claims No: Georgia, Court of Federal Claims No: 21– of Columbia, Court of Federal Claims No: 21–0242V 0270V 21–0215V 236. Kathryn Rikard, Washington, District of 264. Stephanie Stites, Washington, District of 209. Shirley Kurtinitis, Pittston, Columbia, Court of Federal Claims No: Columbia, Court of Federal Claims No: Pennsylvania, Court of Federal Claims 21–0243V 21–0271V No: 21–0216V 237. Sarah Beranek, Cedar Rapids, Iowa, 265. Kimberly Heesch, Washington, District 210. John Morgan, Blue Ash, Ohio, Court of Court of Federal Claims No: 21–0244V of Columbia, Court of Federal Claims No: Federal Claims No: 21–0217V 238. Ellen Fulcher, Washington, District of 21–0272V 211. James Kelliher, Washington, District of Columbia, Court of Federal Claims No: 266. Kiandra Stroud, Washington, District of Columbia, Court of Federal Claims No: 21–0245V Columbia, Court of Federal Claims No: 21–0218V 239. Karen Lindsey, Boston, Massachusetts, 21–0273V 212. Florent Dechard, Washington, District of Court of Federal Claims No: 21–0246V 267. Barbara Marilyn John, Queens, New Columbia, Court of Federal Claims No: 240. Julie Russell, Washington, District of York, Court of Federal Claims No: 21– 21–0219V Columbia, Court of Federal Claims No: 0274V 213. Theresa Langerud, Washington, District 21–0247V 268. Antonio Carabillo, Dumont, New Jersey, of Columbia, Court of Federal Claims No: 241. Nathan Mostow, Fort Lee, New Jersey, Court of Federal Claims No: 21–0275V 21–0220V Court of Federal Claims No: 21–0248V 269. Alexander Terry, Atlanta, Georgia, Court 214. Odette DiPietro, Washington, District of 242. Charles Gigantino, Washington, District of Federal Claims No: 21–0276V Columbia, Court of Federal Claims No: of Columbia, Court of Federal Claims No: 270. Cortez Toliver, Washington, District of 21–0221V 21–0249V Columbia, Court of Federal Claims No: 215. Eileen Marrinan, Washington, District of 243. Heidi Scheucher, Washington, District 21–0277V Columbia, Court of Federal Claims No: of Columbia, Court of Federal Claims No: 271. Kelly Walker, Watertown, New York, 21–0222V 21–0250V Court of Federal Claims No: 21–0278V 216. Ronald Culberson, Montgomery, 244. Maureen Theobald, Thousand Oaks, 272. Luz Villalba, Washington, District of Alabama, Court of Federal Claims No: California, Court of Federal Claims No: Columbia, Court of Federal Claims No: 21–0223V 21–0251V 21–0279V 217. Samantha Sny, Davison, Michigan, 245. Norys Fernandez on behalf of Salvatore 273. Danielle Halaz, Dresher, Pennsylvania, Court of Federal Claims No: 21–0224V Fernandez, Yardley, Pennsylvania, Court Court of Federal Claims No: 21–0280V 218. Barbara Muhling, Washington, District of Federal Claims No: 21–0252V 274. Melissa Hoppe, Washington, District of of Columbia, Court of Federal Claims No: 246. Gretchen Guttridge, Washington, District Columbia, Court of Federal Claims No: 21–0225V of Columbia, Court of Federal Claims No: 21–0281V 219. Kimberly K. Vogleman, Huntington, 21–0253V 275. Christopher Webster, Washington, Indiana, Court of Federal Claims No: 21– 247. Alexandra Simels, Washington, District District of Columbia, Court of Federal 0226V of Columbia, Court of Federal Claims No: Claims No: 21–0282V 220. Carter Schoenborn, Ansonia, 21–0254V 276. Xin Jin, Washington, District of Connecticut, Court of Federal Claims No: 248. Amber Hagkull, Washington, District of Columbia, Court of Federal Claims No: 21–0227V Columbia, Court of Federal Claims No: 21–0283V 221. Kelly Dittoe, Washington, District of 21–0255V 277. Boonie Wells, Washington, District of Columbia, Court of Federal Claims No: 249. Jennifer Sohmer, Charlotte, North Columbia, Court of Federal Claims No: 21–0228V Carolina, Court of Federal Claims No: 21–0284V 222. Dawn Fehl, Boston, Massachusetts, 21–0256V 278. Roxann Wellington, Washington, Court of Federal Claims No: 21–0229V 250. Harry Argeris, Tacoma, Washington, District of Columbia, Court of Federal 223. Crystal Murray, Washington, District of Court of Federal Claims No: 21–0257V Claims No: 21–0285V Columbia, Court of Federal Claims No: 251. Sandra Johns, Chino Valley, Arizona, 279. Eunice Kim, Washington, District of 21–0230V Court of Federal Claims No: 21–0258V Columbia, Court of Federal Claims No: 224. Diana Myers, Washington, District of 252. Kuldip Sohpal, Washington, District of 21–0286V Columbia, Court of Federal Claims No: Columbia, Court of Federal Claims No: 280. Taylore Wilson, Washington, District of 21–0231V 21–0259V Columbia, Court of Federal Claims No: 225. Benjamin Egbule, Washington, District 253. Thomas Harkins, Washington, District of 21–0287V of Columbia, Court of Federal Claims No: Columbia, Court of Federal Claims No: 281. Catherine Wroczynski, Washington, 21–0232V 21–0260V District of Columbia, Court of Federal 226. Nadine Cory, Coral Springs, Florida, 254. Helena McGaughey, McCracken, Kansas, Claims No: 21–0288V Court of Federal Claims No: 21–0233V Court of Federal Claims No: 21–0261V 282. Carolyn Kimmick, Washington, District 227. Brenda Nix, Washington, District of 255. Guadalupe Solis, Washington, District of of Columbia, Court of Federal Claims No: Columbia, Court of Federal Claims No: Columbia, Court of Federal Claims No: 21–0289V 21–0234V 21–0262V 283. Nathan Yost, Austin, Texas, Court of 228. Kayla Erosa, Washington, District of 256. Meagan O’Neill, Charleston, South Federal Claims No: 21–0290V Columbia, Court of Federal Claims No: Carolina, Court of Federal Claims No: 284. Stephanie Zaremba, Washington, 21–0235V 21–0263V District of Columbia, Court of Federal 229. Miriam Olinger, Washington, District of 257. Christina Terrell, Dresher, Pennsylvania, Claims No: 21–0291V
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285. Leah King, Washington, District of Columbia, Court of Federal Claims No: 21–0347V Columbia, Court of Federal Claims No: 21–0318V 341. Deborah Shears, Lathrop, California, 21–0292V 312. Amanda Gefter, Boston, Massachusetts, Court of Federal Claims No: 21–0348V 286. Hailey Lau, Washington, District of Court of Federal Claims No: 21–0319V 342. Andrea Scanlan, Manhattan, New York, Columbia, Court of Federal Claims No: 313. Sharon Wall, Williamsburg, Virginia, Court of Federal Claims No: 21–0349V 21–0293V Court of Federal Claims No: 21–0320V 343. Terri Samuels, Washington, District of 287. Ashok Mahbubani, Washington, District 314. Larry Goff, Washington, District of Columbia, Court of Federal Claims No: of Columbia, Court of Federal Claims No: Columbia, Court of Federal Claims No: 21–0350V 21–0294V 21–0321V 344. Brandon Pozil, Greensboro, North 288. Debra McCarthy, Washington, District of 315. Moira Croteau, Keene, New Hampshire, Carolina, Court of Federal Claims No: Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0322V 21–0351V 21–0295V 316. Edward Bianco, Washington, District of 345. Renee Bettencourt, Morgan Hill, 289. Kenade Achelus-Knox, Tallahassee, Columbia, Court of Federal Claims No: California, Court of Federal Claims No: Florida, Court of Federal Claims No: 21– 21–0323V 21–0352V 0296V 317. Celina Peterson, Seattle, Washington, 346. Thomas Sarna, Washington, District of 290. Floyd Meyer, Washington, District of Court of Federal Claims No: 21–0324V Columbia, Court of Federal Claims No: Columbia, Court of Federal Claims No: 318. Sunshine Borawski, Washington, 21–0353V 21–0297V District of Columbia, Court of Federal 347. Steven Scantland, Washington, District 291. Dennis Marsh, Dublin, California, Court Claims No: 21–0325V of Columbia, Court of Federal Claims No: of Federal Claims No: 21–0298V 319. Cletus Emeziem, Washington, District of 21–0354V 292. Sarah Anderson, Washington, District of Columbia, Court of Federal Claims No: 348. Stamatia Haritoudis, Beverly Hills, Columbia, Court of Federal Claims No: 21–0326V California, Court of Federal Claims No: 21–0299V 320. Richard Sadler, Ottawa, Kansas, Court of 21–0355V 293. Maryam Ahmadi, Newbury Park, Federal Claims No: 21–0327V 349. Donna Schoenberger, Washington, California, Court of Federal Claims No: 321. Mark Grayson, Washington, District of District of Columbia, Court of Federal 21–0300V Columbia, Court of Federal Claims No: Claims No: 21–0356V 294. Jamie Lynn Montoya Cook, Washington, 21–0328V 350. Ann Margaret Venditti, Washington, District of Columbia, Court of Federal 322. Mohamed Hendawi, Washington, District of Columbia, Court of Federal Claims No: 21–0301V District of Columbia, Court of Federal Claims No: 21–0357V 295. Darrick Bennett, Washington, District of Claims No: 21–0329V 351. Lucio Villanueva, Washington, District Columbia, Court of Federal Claims No: 323. Kelly Mabra, Boston, Massachusetts, of Columbia, Court of Federal Claims No: 21–0302V Court of Federal Claims No: 21–0330V 21–0358V 296. Luevenia Bluefort, Washington, District 324. Jana Hesker, Washington, District of 352. Erik Vangsness, Dallas, Texas, Court of of Columbia, Court of Federal Claims No: Columbia, Court of Federal Claims No: Federal Claims No: 21–0359V 21–0303V 21–0331V 353. Stephanie Stanton, Dallas, Texas, Court 297. Maurica Moore, Washington, District of 325. Leslie Hendricks, Boston, of Federal Claims No: 21–0360V Columbia, Court of Federal Claims No: Massachusetts, Court of Federal Claims 354. Timothy Wade, Washington, District of 21–0304V No: 21–0332V Columbia, Court of Federal Claims No: 298. Louis Fucito, Newport Coast, California, 326. Timothy Phipps, West Henrietta, New 21–0361V Court of Federal Claims No: 21–0305V York, Court of Federal Claims No: 21– 355. Sharon Seales-Reid, Beverly Hills, 299. Sherry Carroll, Washington, District of 0333V California, Court of Federal Claims No: Columbia, Court of Federal Claims No: 327. Robert Lenhart, Phoenix, Arizona, Court 21–0362V 21–0306V of Federal Claims No: 21–0334V 356. Joy Bent, Richmond, Virginia, Court of 300. Stephen Cote, Washington, District of 328. Samantha Meadows, Washington, Federal Claims No: 21–0363V Columbia, Court of Federal Claims No: District of Columbia, Court of Federal 357. Edward Louis Ambiel, Jr., Beverly Hills, 21–0307V Claims No: 21–0335V California, Court of Federal Claims No: 301. Gwyneth Rampton, Washington, District 329. Yacoub Innabi, Phoenix, Arizona, Court 21–0364V of Columbia, Court of Federal Claims No: of Federal Claims No: 21–0336V 358. Grace Wang, Washington, District of 21–0308V 330. Robert Murphy, Washington, District of Columbia, Court of Federal Claims No: 302. Sally Creedon, Cary, North Carolina, Columbia, Court of Federal Claims No: 21–0365V Court of Federal Claims No: 21–0309V 21–0337V 359. Marvin Walker, Beverly Hills, 303. Michele D’Agostino, Washington, 331. Christopher Nguyen, Washington, California, Court of Federal Claims No: District of Columbia, Court of Federal District of Columbia, Court of Federal 21–0366V Claims No: 21–0310V Claims No: 21–0338V 360. Robert Werbicki, Phoenix, Arizona, 304. Myra Diggs, Washington, District of 332. Sarah Parolski, Washington, District of Court of Federal Claims No: 21–0367V Columbia, Court of Federal Claims No: Columbia, Court of Federal Claims No: 361. Thomas Welsh, Washington, District of 21–0311V 21–0339V Columbia, Court of Federal Claims No: 305. Layne du Vivier, Washington, District of 333. Heidys Antigua, Bronx, New York, Court 21–0368V Columbia, Court of Federal Claims No: of Federal Claims No: 21–0340V 362. Brittany White, Washington, District of 21–0312V 334. Donna Fagan, Dresher, Pennsylvania, Columbia, Court of Federal Claims No: 306. Sierra Erb, Washington, District of Court of Federal Claims No: 21–0341V 21–0369V Columbia, Court of Federal Claims No: 335. Donna Pitts, Washington, District of 363. Shannon Yodowitz, Washington, 21–0313V Columbia, Court of Federal Claims No: District of Columbia, Court of Federal 307. Tracey Ervin-Spencer, Seattle, 21–0342V Claims No: 21–0370V Washington, Court of Federal Claims No: 336. Michelle Overton, San Marcos, 364. Sophie Poore, Greer, South Carolina, 21–0314V California, Court of Federal Claims No: Court of Federal Claims No: 21–0371V 308. Julia Foster, Washington, District of 21–0343V 365. Donnie Puckett, High Point, North Columbia, Court of Federal Claims No: 337. Jessica Ramirez, Washington, District of Carolina, Court of Federal Claims No: 21–0315V Columbia, Court of Federal Claims No: 21–0372V 309. Dilean Frani, Washington, District of 21–0344V 366. Kimberly Robichaux, Washington, Columbia, Court of Federal Claims No: 338. Teresa Lee, Salem, Ohio, Court of District of Columbia, Court of Federal 21–0316V Federal Claims No: 21–0345V Claims No: 21–0373V 310. Suzanne Zacharski on behalf of Diane 339. Cassandra Hamilton, Chicago, Illinois, 367. Mary Mann, Frederick, Maryland, Court Lemanski, Troy, Michigan, Court of Court of Federal Claims No: 21–0346V of Federal Claims No: 21–0374V Federal Claims No: 21–0317V 340. Anita Rogers, Washington, District of 368. Bonnie Graczyk, Seattle, Washington, 311. Jason Frank, Washington, District of Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0376V
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369. Jason Povey, Louisville, Kentucky, Court 398. Angela Milam, Philadelphia, 428. Lakara Arnold, Beverly Hills, California, of Federal Claims No: 21–0377V Pennsylvania, Court of Federal Claims Court of Federal Claims No: 21–0437V 370. Yvonne Romo, Boston, Massachusetts, No: 21–0407V 429. Joelle Held, New York, New York, Court Court of Federal Claims No: 21–0378V 399. Charles Olson, Philadelphia, of Federal Claims No: 21–0438V 371. Lori Carter, Richmond, Virginia, Court Pennsylvania, Court of Federal Claims 430. Dana J. Lenkowsky, New York, New of Federal Claims No: 21–0379V No: 21–0408V York, Court of Federal Claims No: 21– 372. Ma Lourdes Aspeita, Philadelphia, 400. Patricia Smith, Dallas, Pennsylvania, 0439V Pennsylvania, Court of Federal Claims Court of Federal Claims No: 21–0409V 431. Lara Nadel, New York, New York, Court No: 21–0380V 401. Lovie Lucas, Dresher, Pennsylvania, of Federal Claims No: 21–0440V 373. Debrah Atkins, Philadelphia, Court of Federal Claims No: 21–0410V 432. Tehseen Sarwar, Chicago, Illinois, Court Pennsylvania, Court of Federal Claims 402. Alyssa Schutte, Philadelphia, of Federal Claims No: 21–0441V No: 21–0381V Pennsylvania, Court of Federal Claims 433. Lisa Morris, Dallas, Texas, Court of 374. Robin McKinnon, Richmond, Virginia, No: 21–0411V Federal Claims No: 21–0442V Court of Federal Claims No: 21–0382V 403. Cecil Sharpe, Philadelphia, 434. Meagan Powers, Dallas, Texas, Court of 375. Jennifer Hudson, Washington, District of Pennsylvania, Court of Federal Claims Federal Claims No: 21–0443V Columbia, Court of Federal Claims No: No: 21–0412V 435. Daniel Hickey, San Antonio, Texas, 21–0383V 404. William Squicciarino, Palm Coast, Court of Federal Claims No: 21–0444V 376. Derek Blevins, Philadelphia, Florida, Court of Federal Claims No: 21– 436. James E. Alcorn, Washington, District of Pennsylvania, Court of Federal Claims 0413V Columbia, Court of Federal Claims No: No: 21–0385V 405. Alexis Teague, Philadelphia, 21–0445V 377. Karen Brown, Woodbridge, Illinois, Pennsylvania, Court of Federal Claims 437. Elisabeth Fuhs, Washington, District of Court of Federal Claims No: 21–0386V No: 21–0414V Columbia, Court of Federal Claims No: 378. Thomas Anderson, Boston, 406. Christina Tibbs, Philadelphia, 21–0446V Massachusetts, Court of Federal Claims Pennsylvania, Court of Federal Claims 438. Lisa Gyde, Washington, District of No: 21–0387V No: 21–0415V Columbia, Court of Federal Claims No: 379. Cynthia Burkhead, Philadelphia, 407. Peter Louvaris, Dresher, Pennsylvania, 21–0447V Pennsylvania, Court of Federal Claims Court of Federal Claims No: 21–0416V 439. Shelleen Salazar-Figueroa, White Plains, No: 21–0388V 408. Peter Gabriel, Dresher, Pennsylvania, New York, Court of Federal Claims No: 380. Paula Cavalier, Philadelphia, Court of Federal Claims No: 21–0417V 21–0448V Pennsylvania, Court of Federal Claims 409. Valerian Kostka, Dresher, Pennsylvania, 440. Laura Jeanette Kempel, Washington, No: 21–0389V Court of Federal Claims No: 21–0418V District of Columbia, Court of Federal 381. Roger Conley, Philadelphia, 410. Terry M. Wise, Concord, North Carolina, Claims No: 21–0449V Pennsylvania, Court of Federal Claims Court of Federal Claims No: 21–0419V 441. Robert Dickerson, Washington, District No: 21–0390V 411. Sheryl Nussbaum, Dresher, of Columbia, Court of Federal Claims No: 382. Antonio Lorenzo, Washington, District Pennsylvania, Court of Federal Claims 21–0450V of Columbia, Court of Federal Claims No: No: 21–0420V 442. Oliver Mains, Washington, District of 21–0391V 412. Helen Clark, Dresher, Pennsylvania, Columbia, Court of Federal Claims No: 383. Kelly Gibson, Dyer, Indiana, Court of Court of Federal Claims No: 21–0421V 21–0451V Federal Claims No: 21–0392V 413. Heidi Langman, Dresher, Pennsylvania, 443. Yvonne Meyer, Washington, District of 384. Diane Michelle, Chicago, Illinois, Court Court of Federal Claims No: 21–0422V Columbia, Court of Federal Claims No: of Federal Claims No: 21–0393V 414. Elizabeth Krumsiek, Ellington, 21–0452V 385. Evelyn Valdez, Philadelphia, Connecticut, Court of Federal Claims No: 444. Ann Scarantino, Washington, District of Pennsylvania, Court of Federal Claims 21–0423V Columbia, Court of Federal Claims No: No: 21–0394V 415. Shaunna Gunderson, White Plains, New 21–0453V 386. Kelly Gibson, Dyer, Indiana, Court of York, Court of Federal Claims No: 21– 445. Lorraine Suba, Washington, District of Federal Claims No: 21–0395V 0424V Columbia, Court of Federal Claims No: 387. Will Gallaway, Philadelphia, 416. Sara McCarthy, Chicago, Illinois, Court 21–0454V Pennsylvania, Court of Federal Claims of Federal Claims No: 21–0425V 446. Anthony Tegge, Washington, District of No: 21–0396V 417. Richard Lamport, Longboat Key, Florida, Columbia, Court of Federal Claims No: 388. Gloria Guerrero, Blythe, California, Court of Federal Claims No: 21–0426V 21–0455V Court of Federal Claims No: 21–0397V 418. Doni Corcoran, Beverly Hills, California, 447. Cathleen Washington, Washington, 389. Donna Horn, Philadelphia, Court of Federal Claims No: 21–0427V District of Columbia, Court of Federal Pennsylvania, Court of Federal Claims 419. Rachel Barthomaly, Beverly Hills, Claims No: 21–0456V No: 21–0398V California, Court of Federal Claims No: 448. Kelsey Acker, Washington, District of 390. Debbie Hutchins, Los Angeles, 21–0428V Columbia, Court of Federal Claims No: California, Court of Federal Claims No: 420. Betty Luker, Beverly Hills, California, 21–0457V 21–0399V Court of Federal Claims No: 21–0429V 449. Annette Horner, Washington, District of 391. Elizabeth Covey, Portage, Michigan, 421. Janet Lee Thomson, Beverly Hills, Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0400V California, Court of Federal Claims No: 21–0458V 392. Avinash Idnani, Philadelphia, 21–0430V 450. Jessica Reisner, Washington, District of Pennsylvania, Court of Federal Claims 422. Hope Gottbeheat, Beverly Hills, Columbia, Court of Federal Claims No: No: 21–0401V California, Court of Federal Claims No: 21–0459V 393. Felix Kersting, Philadelphia, 21–0431V 451. Anastacia Wood, Washington, District of Pennsylvania, Court of Federal Claims 423. Robert Wimmer, Beverly Hills, Columbia, Court of Federal Claims No: No: 21–0402V California, Court of Federal Claims No: 21–0460V 394. Jean M. Nunes, Warwick, Rhode Island, 21–0432V 452. Millie Chung, Boston, Massachusetts, Court of Federal Claims No: 21–0403V 424. Meghan Elisabeth Moreno, Beverly Court of Federal Claims No: 21–0461V 395. Lora Loethen, Philadelphia, Hills, California, Court of Federal Claims 453. Deann Baber, Woodbridge, Illinois, Pennsylvania, Court of Federal Claims No: 21–0433V Court of Federal Claims No: 21–0462V No: 21–0404V 425. Sonja Myers, Beverly Hills, California, 454. Nicolas Stabler, Philadelphia, 396. Joseph Mattachione, Dresher, Court of Federal Claims No: 21–0434V Pennsylvania, Court of Federal Claims Pennsylvania, Court of Federal Claims 426. Laura Law, Los Angeles, California, No: 21–0463V No: 21–0405V Court of Federal Claims No: 21–0435V 455. Thomas L. Alley, Woodbridge, Illinois, 397. Charles Meyers, Philadelphia, 427. Paula Renea Peterson-Michael, Elk Court of Federal Claims No: 21–0464V Pennsylvania, Court of Federal Claims River, Minnesota, Court of Federal 456. Petra Blankenship, Villa Rica, Georgia, No: 21–0406V Claims No: 21–0436V Court of Federal Claims No: 21–0465V
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457. Veronica Wilmouth, Richmond, No: 21–0499V Indiana, Court of Federal Claims No: 21– Virginia, Court of Federal Claims No: 21– 490. Cody Greener, Richmond, Virginia, 0532V 0466V Court of Federal Claims No: 21–0500V 523. Patricia Bulluck, Greensboro, North 458. Meghan Dooling, Dresher, Pennsylvania, 491. Karen Baird, Dresher, Pennsylvania, Carolina, Court of Federal Claims No: Court of Federal Claims No: 21–0467V Court of Federal Claims No: 21–0501V 21–0533V 459. Michelle Franceschi, Phoenix, Arizona, 492. Martha Delgado, Woodbridge, Illinois, 524. Brenda Ainesworth, Dresher, Court of Federal Claims No: 21–0468V Court of Federal Claims No: 21–0502V Pennsylvania, Court of Federal Claims 460. Danilo Ferrer, Woodbridge, Illinois, 493. Armandina Guerra, Dresher, No: 21–0534V Court of Federal Claims No: 21–0469V Pennsylvania, Court of Federal Claims 525. Freddie Roland, Dresher, Pennsylvania, 461. Roosevelt Poore, Richmond, Virginia, No: 21–0503V Court of Federal Claims No: 21–0535V Court of Federal Claims No: 21–0470V 494. Haley Elise Watkins, Greensboro, North 526. Elias Yacob, Dresher, Pennsylvania, 462. Tarsha White, Washington, District of Carolina, Court of Federal Claims No: Court of Federal Claims No: 21–0536V Columbia, Court of Federal Claims No: 21–0504V 527. Robert Raymond, Boston, 21–0471V 495. Jenna Wagner, Woodbridge, Illinois, Massachusetts, Court of Federal Claims 463. Bailie Hillman, Boston, Massachusetts, Court of Federal Claims No: 21–0505V No: 21–0537V Court of Federal Claims No: 21–0472V 496. Mikka Painter, Boston, Massachusetts, 528. G. Matthew Kosma, Greensboro, North 464. Regina McGillivray, Boston, Court of Federal Claims No: 21–0506V Carolina, Court of Federal Claims No: Massachusetts, Court of Federal Claims 497. Richard Robinson, Woodbridge, Illinois, 21–0538V No: 21–0473V Court of Federal Claims No: 21–0507V 529. Michael Mattioni, Dresher, 465. Carla Hargrave, Richmond, Virginia, 498. Amanda Eden, Woodbridge, Illinois, Pennsylvania, Court of Federal Claims Court of Federal Claims No: 21–0474V Court of Federal Claims No: 21–0508V No: 21–0539V 466. Rebecca Alexy, Dresher, Pennsylvania, 499. Alicia Goodnight, Boston, 530. Genene Terefe, Dresher, Pennsylvania, Court of Federal Claims No: 21–0475V Massachusetts, Court of Federal Claims Court of Federal Claims No: 21–0540V 467. Tammy Barton, Dresher, Pennsylvania, No: 21–0509V 531. Amy Emilita, Dresher, Pennsylvania, Court of Federal Claims No: 21–0476V 500. Pyul Horbel, Dresher, Pennsylvania, Court of Federal Claims No: 21–0541V 468. Brooke Langford, Dresher, Pennsylvania, Court of Federal Claims No: 21–0510V 532. Anthony Giancaterino, SR, Dresher, Court of Federal Claims No: 21–0477V 501. Kelsey Gates, Dresher, Pennsylvania, Pennsylvania, Court of Federal Claims 469. Meredith Potts, Dresher, Pennsylvania, Court of Federal Claims No: 21–0511V No: 21–0542V Court of Federal Claims No: 21–0478V 502. Brooke Elliott, Seattle, Washington, 533. Frederick Singer, Dresher, Pennsylvania, 470. Helen Osgood, Dresher, Pennsylvania, Court of Federal Claims No: 21–0512V Court of Federal Claims No: 21–0543V Court of Federal Claims No: 21–0479V 503. Nurten Karasen, Boston, Massachusetts, 534. Elaine Labor, Dresher, Pennsylvania, 471. Stephanie Marshburn, Greensboro, Court of Federal Claims No: 21–0513V Court of Federal Claims No: 21–0544V North Carolina, Court of Federal Claims 504. Lionel Cartwright, Richmond, Virginia, 535. Cynthia G. Dasilva, Greensboro, North No: 21–0480V Court of Federal Claims No: 21–0514V Carolina, Court of Federal Claims No: 472. Marijo Washburn, Dresher, 505. Stephanie Wanner, Washington, District 21–0545V Pennsylvania, Court of Federal Claims of Columbia, Court of Federal Claims No: 536. Anna Davis, Dresher, Pennsylvania, No: 21–0481V 21–0515V Court of Federal Claims No: 21–0547V 473. Tony Lee Vernon, Greensboro, North 506. Catherine Kane, Sarasota, Florida, Court 537. Rahman Vace, Washington, District of Carolina, Court of Federal Claims No: of Federal Claims No: 21–0516V Columbia, Court of Federal Claims No: 21–0482V 507. Adam Scheonfeld, Dresher, 21–0548V 474. Bernessia Odom, Birmingham, Alabama, Pennsylvania, Court of Federal Claims 538. Jared Trinnaman, Dresher, Court of Federal Claims No: 21–0483V No: 21–0517V Pennsylvania, Court of Federal Claims 475. Jerrod Krebs, Dresher, Pennsylvania, 508. Angela Wessinger, Greensboro, North No: 21–0549V Court of Federal Claims No: 21–0484V Carolina, Court of Federal Claims No: 539. Cathy Sun, Dresher, Pennsylvania, Court 476. Jill Veltri, Melbourne, Florida, Court of 21–0518V of Federal Claims No: 21–0550V Federal Claims No: 21–0485V 509. Kathy Bell, Richmond, Virginia, Court of 540. Robert Raymond, Boston, 477. Catherine Campbell Tingley, Norwalk, Federal Claims No: 21–0519V Massachusetts, Court of Federal Claims Connecticut, Court of Federal Claims No: 510. Juan Ortiz, Dresher, Pennsylvania, Court No: 21–0551V 21–0486V of Federal Claims No: 21–0520V 541. Steven Gilbert, Dresher, Pennsylvania, 478. Brenda Robinson, Dresher, 511. Alison Mora, Philadelphia, Court of Federal Claims No: 21–0552V Pennsylvania, Court of Federal Claims Pennsylvania, Court of Federal Claims 542. Teela Buscarini Wyman, Washington, No: 21–0487V No: 21–0521V District of Columbia, Court of Federal 479. Arlene O’Connell, Boston, 512. Cynthia Keith, Dresher, Pennsylvania, Claims No: 21–0553V Massachusetts, Court of Federal Claims Court of Federal Claims No: 21–0522V 543. Laura Bianco, Boston, Massachusetts, No: 21–0488V 513. Tamela Sprigg, Williamsville, New Court of Federal Claims No: 21–0554V 480. Caroline Allen, Dresher, Pennsylvania, York, Court of Federal Claims No: 21– 544. Claudia Langmaid Dresher, Court of Federal Claims No: 21–0489V 0523V Pennsylvania, Court of Federal Claims 481. Tyhiem Cannon, Washington, District of 514. Daphne McCann, Dresher, Pennsylvania, No: 21–0555V Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0524V 545. Marie Reyes, Boston, Massachusetts, 21–0490V 515. Michelle Pickett, Dresher, Pennsylvania, Court of Federal Claims No: 21–0556V 482. Tonya Coss, Boston, Massachusetts, Court of Federal Claims No: 21–0525V 546. Kimberly Evans, Boston, Massachusetts, Court of Federal Claims No: 21–0491V 516. Kristin Young, Boston, Massachusetts, Court of Federal Claims No: 21–0557V 483. Sydney Griggs, Boston, Massachusetts, Court of Federal Claims No: 21–0526V 547. Merle Rodgers, Woodbridge, Illinois, Court of Federal Claims No: 21–0492V 517. Vicki Schroeder, Boston, Massachusetts, Court of Federal Claims No: 21–0558V 484. Louis Brandt, Seattle, Washington, Court Court of Federal Claims No: 21–0527V 548. Maureen Epping, Boston, Massachusetts, of Federal Claims No: 21–0494V 518. Karen Chadduck, Richmond, Virginia, Court of Federal Claims No: 21–0559V 485. Rebecca Vandyke, Woodbridge, Illinois, Court of Federal Claims No: 21–0528V 549. Roxanne Rae Burkhardt, Woodbridge, Court of Federal Claims No: 21–0495V 519. Kathleen Cromwell, Dresher, Illinois, Court of Federal Claims No: 21– 486. Ashley Beall, Woodbridge, Illinois, Pennsylvania, Court of Federal Claims 0560V Court of Federal Claims No: 21–0496V No: 21–0529V 550. Camilla Butler, Boston, Massachusetts, 487. Karina Beckham, Woodbridge, Illinois, 520. Vivien Cord, Dresher, Pennsylvania, Court of Federal Claims No: 21–0561V Court of Federal Claims No: 21–0497V Court of Federal Claims No: 21–0530V 551. Cynthia D. Bruno Sioux City, Iowa, 488. Olivia Honn, New Orleans, Louisiana, 521. Myra B. Crowder, Greensboro, North Court of Federal Claims No: 21–0562V Court of Federal Claims No: 21–0498V Carolina, Court of Federal Claims No: 552. Kelly Hilley, Dresher, Pennsylvania, 489. Robert O’Connell, Boston, 21–0531V Court of Federal Claims No: 21–0563V Massachusetts, Court of Federal Claims 522. Candy L. Chapman, Indianapolis, 553. Raul Diaz, Boston, Massachusetts, Court
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of Federal Claims No: 21–0564V Pennsylvania, Court of Federal Claims 621. Ronald Johnk, Dresher, Pennsylvania, 554. D. Douglas Rice, Waterloo, Iowa, Court No: 21–0599V Court of Federal Claims No: 21–0635V of Federal Claims No: 21–0565V 587. Rosemarie Teppert, Woodbridge, 622. Jamie Vaughan, Dresher, Pennsylvania, 555. Jean Fitzsimons, New York, New York, Illinois, Court of Federal Claims No: 21– Court of Federal Claims No: 21–0636V Court of Federal Claims No: 21–0566V 0600V 623. Elizabeth Mackenzie, Seattle, 556. Julie Cavanaugh, Des Moines, Iowa, 588. Jacalyn Kay Whitham, Phoenix, Arizona, Washington, Court of Federal Claims No: Court of Federal Claims No: 21–0567V Court of Federal Claims No: 21–0601V 21–0637V 557. Michael Durbin, Woodbridge, Illinois, 589. Gada Sweis, Dresher, Pennsylvania, 624. Tasha Allen, Dresher, Pennsylvania, Court of Federal Claims No: 21–0569V Court of Federal Claims No: 21–0602V Court of Federal Claims No: 21–0638V 558. Hailey Miller, Woodbridge, Illinois, 590. Janelle Simpson, Dresher, Pennsylvania, 625. Charlotte Klenke, Birmingham, Court of Federal Claims No: 21–0570V Court of Federal Claims No: 21–0603V Alabama, Court of Federal Claims No: 559. Leighann Revel, Seattle, Washington, 591. Emily Scott, Dresher, Pennsylvania, 21–0639V Court of Federal Claims No: 21–0571V Court of Federal Claims No: 21–0604V 626. Linda Pressey, Dresher, Pennsylvania, 560. Haley C. Cardwell, Alexandria, Virginia, 592. Keith Rogers, Dresher, Pennsylvania, Court of Federal Claims No: 21–0640V Court of Federal Claims No: 21–0572V Court of Federal Claims No: 21–0605V 627. Teresa Stine, Williamsville, New York, 561. Naomi Mimnaugh, Wellesley Hills, 593. Geraldine L. Riser, Sioux City, Iowa, Court of Federal Claims No: 21–0641V Hawaii, Court of Federal Claims No: 21– Court of Federal Claims No: 21–0606V 628. Jeannine Sumner, Dresher, 0573V 594. Amanda Morrison, Washington, District Pennsylvania, Court of Federal Claims 562. Debora Boice, Wellesley Hills, of Columbia Court of Federal Claims No: No: 21–0642V Massachusetts, Court of Federal Claims 21–0607V 629. Mitchell Singerman, Dresher, No: 21–0574V 595. Douglas Rouse, Washington, District of Pennsylvania, Court of Federal Claims 563. Kathleen Boland, Wellesley Hills, Columbia, Court of Federal Claims No: No: 21–0643V Massachusetts, Court of Federal Claims 21–0608V 630. Timothy Moore, Dresher, Pennsylvania, No: 21–0575V 596. Gary Blackmon, Dresher, Pennsylvania, Court of Federal Claims No: 21–0644V 564. Patricia Corbosiero, Wellesley Hills, Court of Federal Claims No: 21–0609V 631. Marie Belanger, Boston, Massachusetts, Massachusetts, Court of Federal Claims 597. Salvadore Foti, Dresher, Pennsylvania, Court of Federal Claims No: 21–0645V No: 21–0576V Court of Federal Claims No: 21–0611V 632. Roxanne Black Stritt, Dresher, 565. Drita Beqiri, Woodbridge, Illinois, Court 598. Charles Baine, Dresher, Pennsylvania, Pennsylvania, Court of Federal Claims of Federal Claims No: 21–0577V Court of Federal Claims No: 21–0612V No: 21–0646V 566. Tawana Reyes, Woodbridge, Illinois, 599. Paul Mason, Boston, Massachusetts, 633. Marie Foster, Dresher, Pennsylvania, Court of Federal Claims No: 21–0578V Court of Federal Claims No: 21–0613V Court of Federal Claims No: 21–0647V 567. Tiffany McKnight, Woodbridge, Illinois, 600. Thomas Hashem, Dresher, Pennsylvania, 634. Mandi Dancer, Dresher, Pennsylvania, Court of Federal Claims No: 21–0579V Court of Federal Claims No: 21–0614V Court of Federal Claims No: 21–0648V 568. Vanessa Gonzales, Woodbridge, Illinois, 601. Marlene Sutliff, Rochester, New York, 635. Mary Grace Ferreira, Woodbridge, Court of Federal Claims No: 21–0580V Court of Federal Claims No: 21–0615V Illinois, Court of Federal Claims No: 21– 569. Jack Momchilovich, Woodbridge, 602. Melinda Mae Robinson Dresher, 0649V Illinois, Court of Federal Claims No: 21– Pennsylvania, Court of Federal Claims 636. Michael Sweeney, Woodbridge, Illinois, 0581V No: 21–0616V Court of Federal Claims No: 21–0650V 570. Lea Goff Johnson, Dresher, 603. Thomas Meirose, Dresher, Pennsylvania, 637. Sarah Haugh, Washington, District of Pennsylvania, Court of Federal Claims Court of Federal Claims No: 21–0617V Columbia, Court of Federal Claims No: No: 21–0582V 604. Marsha White, Woodbridge, Illinois, 21–0651V 571. Holly Havis, Richmond, Virginia, Court Court of Federal Claims No: 21–0618V 638. Patricia Gould, Dresher, Pennsylvania, of Federal Claims No: 21–0583V 605. Delma H. Armenta, Sioux City, Iowa, Court of Federal Claims No: 21–0652V 572. Rahman Vace, Washington, District of Court of Federal Claims No: 21–0619V 639. Sean M. Sullivan, Richmond, Virginia, Columbia, Court of Federal Claims No: 606. Ashleigh Ellis, Woodbridge, Illinois, Court of Federal Claims No: 21–0653V 21–0584V Court of Federal Claims No: 21–0620V 640. Kerri Peterson, Dresher, Pennsylvania, 573. Kathleen Ceccarelli, Dresher, 607. Traci F. Cremeans, Sioux City, Iowa, Court of Federal Claims No: 21–0654V Pennsylvania, Court of Federal Claims Court of Federal Claims No: 21–0621V 641. Lynn Oxenberg, Dresher, Pennsylvania, No: 21–0585V 608. Doriem Harvey, Dresher, Pennsylvania, Court of Federal Claims No: 21–0655V 574. Jerry Lucks, Dresher, Pennsylvania, Court of Federal Claims No: 21–0622V 642. Ruth Hill, Woodbridge, Illinois, Court of Court of Federal Claims No: 21–0586V 609. Marcie Bennett, Dresher, Pennsylvania, Federal Claims No: 21–0656V 575. Patricia Kennedy, Washington, District Court of Federal Claims No: 21–0623V 643. John Russell Foster, Dresher, of Columbia, Court of Federal Claims No: 610. Laquera Barnett, Dresher, Pennsylvania, Pennsylvania, Court of Federal Claims 21–0587V Court of Federal Claims No: 21–0624V No: 21–0657V 576. Michael Pearl, Dresher, Pennsylvania, 611. Deidre Bratton, Woodbridge, Illinois, 644. Dayna Higgins, Wellesley Hills, Court of Federal Claims No: 21–0588V Court of Federal Claims No: 21–0625V Massachusetts, Court of Federal Claims 577. Firas Ido, Boston, Massachusetts, Court 612. Heather Hogan, Dresher, Pennsylvania, No: 21–0658V of Federal Claims No: 21–0589V Court of Federal Claims No: 21–0626V 645. Michelle Tronolone, Dresher, 578. Ciara Nielsen, Dresher, Pennsylvania, 613. Patricia Stoddard, Boston, Pennsylvania, Court of Federal Claims Court of Federal Claims No: 21–0590V Massachusetts, Court of Federal Claims No: 21–0659V 579. Douglas S. Yaw, Rochester, New York, No: 21–0627V 646. Kim Newdall, Dresher, Pennsylvania, Court of Federal Claims No: 21–0591V 614. Jill McAndrew, Rochester, New York, Court of Federal Claims No: 21–0660V 580. Danette Sanetra, Dresher, Pennsylvania, Court of Federal Claims No: 21–0628V 647. Susan Fenar, Dresher, Pennsylvania, Court of Federal Claims No: 21–0592V 615. Karen Turbe, Dresher, Pennsylvania, Court of Federal Claims No: 21–0661V 581. Nicole Egbert, Dresher, Pennsylvania, Court of Federal Claims No: 21–0629V 648. Jean Soderstrom, Rochester, New York, Court of Federal Claims No: 21–0593V 616. Carmen Kienow, Sarasota, Florida, Court Court of Federal Claims No: 21–0662V 582. Rosanna Camire, Boston, Massachusetts, of Federal Claims No: 21–0630V 649. Mary Alsup, Dresher, Pennsylvania, Court of Federal Claims No: 21–0594V 617. Marcea Jones, Dresher, Pennsylvania, Court of Federal Claims No: 21–0663V 583. Eric Ahlstrom, Woodbridge, Illinois, Court of Federal Claims No: 21–0631V 650. Lisa Brewer, Phoenix, Arizona, Court of Court of Federal Claims No: 21–0596V 618. Bobbi Moon, Dresher, Pennsylvania, Federal Claims No: 21–0664V 584. Cynthia Crider, White Plains, New York, Court of Federal Claims No: 21–0632V 651. Marie Tyler, Sarasota, Florida, Court of Court of Federal Claims No: 21–0597V 619. Elizabeth Wiggins, Dresher, Federal Claims No: 21–0665V 585. Joseph McDaniel, Dresher, Pennsylvania, Court of Federal Claims 652. Anita Kliebert, Richmond, Virginia, Pennsylvania, Court of Federal Claims No: 21–0633V Court of Federal Claims No: 21–0666V No: 21–0598V 620. Dolores Fernandes, Sarasota, Florida, 653. Erin Elliott, Seattle, Washington, Court 586. Terry Ann Davies, Dresher, Court of Federal Claims No: 21–0634V of Federal Claims No: 21–0667V
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654. Kathleen Keleher, Seattle, Washington, 687. Sharon Williams, Dresher, York, Court of Federal Claims No: 21– Court of Federal Claims No: 21–0668V Pennsylvania, Court of Federal Claims 0742V 655. Ivonne Lutes, Dresher, Pennsylvania, No: 21–0702V 719. Crystle Perez, Boston, Massachusetts, Court of Federal Claims No: 21–0669V 688. Amy Miller, Dresher, Pennsylvania, Court of Federal Claims No: 21–0746V 656. Sharon Laulicht, Woodbridge, Illinois, Court of Federal Claims No: 21–0703V 720. Patricia Hurta, Woodbridge, Illinois, Court of Federal Claims No: 21–0670V 689. Antoinette Porter, Dresher, Court of Federal Claims No: 21–0747V 657. Maria Herrero Gonzalez, Seattle, Pennsylvania, Court of Federal Claims 721. Lydia Bitcover, Lawrenceville, New Washington, Court of Federal Claims No: No: 21–0704V Jersey, Court of Federal Claims No: 21– 21–0671V 690. Wanda Snoody, Woodbridge, Illinois, 0748V 658. Sharon Labor, Phoenix, Arizona, Court Court of Federal Claims No: 21–0705V 722. Harold Anderson, Washington, District of Federal Claims No: 21–0672V 691. Virginia Crimmings, Dresher, of Columbia, Court of Federal Claims No: 659. Kala Mangal, Woodbridge, Illinois, Pennsylvania, Court of Federal Claims 21–0749V Court of Federal Claims No: 21–0673V No: 21–0706V 723. Gary Casterline, Jr., Washington, District 660. Carol Eaton, Woodbridge, Illinois, Court 692. Maryann Seguritan, Dresher, of Columbia, Court of Federal Claims No: of Federal Claims No: 21–0675V Pennsylvania, Court of Federal Claims 21–0750V 661. Tracy Jefferies, Seattle, Washington, No: 21–0707V 724. Brandon Farris, Washington, District of Court of Federal Claims No: 21–0676V 693. Mark West, Woodbridge, Illinois, Court Columbia, Court of Federal Claims No: 662. Sandy Jubran, Houston, Texas, Court of of Federal Claims No: 21–0708V 21–0751V Federal Claims No: 21–0677V 694. Natalie Iovino-Shoenfeld, Dresher, 725. Nicholas Gillon, Washington, District of 663. Jon Morris, Woodbridge, Illinois, Court Pennsylvania, Court of Federal Claims Columbia, Court of Federal Claims No: of Federal Claims No: 21–0678V No: 21–0709V 21–0752V 664. Alexis Wnuk, Washington, District of 695. Joice Gooden, Woodbridge, Illinois, 726. Mary Holden, White Plains, New York, Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0710V Court of Federal Claims No: 21–0754V 21–0679V 696. Kathleen Rice, Sarasota, Florida, Court 727. John Pryor, Houston, Texas, Court of 665. Isabel Del Vecchio, Washington, District of Federal Claims No: 21–0711V Federal Claims No: 21–0755V of Columbia, Court of Federal Claims No: 697. Alane Babington, Wellesley Hills, 728. Steven Lapidus, M.D., White Plains, 21–0680V Massachusetts, Court of Federal Claims New York, Court of Federal Claims No: 666. Carin Dickmeyer, Washington, District No: 21–0712V 21–0756V of Columbia, Court of Federal Claims No: 698. Mary Ann Nguyen, Houston, Texas 729. Toby Huitt, White Plains, New York, 21–0681V Court of Federal Claims No: 21–0713V Court of Federal Claims No: 21–0757V 667. Brandy Double, Washington, District of 699. Michelle Pardo, Woodbridge, Illinois, 730. Kelley Kaczerowski, Washington, Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0714V District of Columbia, Court of Federal 21–0682V 700. Malinda Powell, Woodbridge, Illinois, Claims No: 21–0758V 668. Dorothy Harper, Washington, District of Court of Federal Claims No: 21–0715V 731. Michael Dinardo and Connie Dinardo on Columbia, Court of Federal Claims No: 701. Michelle Guyette, Woodbridge, Illinois, behalf of G.D., Phoenix, Arizona, Court 21–0683V Court of Federal Claims No: 21–0716V of Federal Claims No: 21–0760V 669. Nathan Mathews, Sarasota, Florida, 702. Cynthia Crider, White Plains, New York, 732. Dillan Conrad, Dallas, Texas, Court of Court of Federal Claims No: 21–0684V Court of Federal Claims No: 21–0717V Federal Claims No: 21–0761V 670. Sonja Jackman, Boston, Massachusetts, 703. Edna Beebe, Woodbridge, Illinois, Court 733. Marcos A. Barreto Bosquez, San Juan, Court of Federal Claims No: 21–0685V of Federal Claims No: 21–0718V Puerto Rico, Court of Federal Claims No: 671. Ralph Blaine, Dresher, Pennsylvania, 704. Nobuntu Moyo, Woodbridge, Illinois, 21–0762V Court of Federal Claims No: 21–0686V Court of Federal Claims No: 21–0719V 734. Darla Vanschuyver, White Plains, New 672. Anna Marie Loretan, Washington, 705. Laura Lunsford, Houston, Texas, Court York, Court of Federal Claims No: 21– District of Columbia, Court of Federal of Federal Claims No: 21–0720V 0763V Claims No: 21–0687V 706. Robert J. Owens, SR, Wellesley Hills, 735. Mario Garcia, Washington, District of 673. Nancie Stevens, Dresher, Pennsylvania, Massachusetts, Court of Federal Claims Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–0688V No: 21–0721V 21–0764V 674. Patricia Pearce, Seattle, Washington, 707. Brad Pappalardo, Woodbridge, Illinois, 736. Francis Traietta, Port Jefferson, New Court of Federal Claims No: 21–0689V Court of Federal Claims No: 21–0722V York, Court of Federal Claims No: 21– 675. Base-Marthe Clairmy, Dresher, 708. Heather Silverman, Woodbridge, 0765V Pennsylvania, Court of Federal Claims Illinois, Court of Federal Claims No: 21– 737. Caroline Cantera, Phoenix, Arizona, No: 21–0690V 0723V Court of Federal Claims No: 21–0766V 676. Darrick Northington, Woodbridge, 709. Janice Jablonowski, Woodbridge, 738. Robin Siemiatkoski, White Plains, New Illinois, Court of Federal Claims No: 21– Illinois, Court of Federal Claims No: 21– York, Court of Federal Claims No: 21– 0691V 0724V 0767V 677. Linda Lykins, Washington, District of 710. Robert Chiago, Phoenix, Arizona, Court 739. Celina Ramirez, White Plains, New Columbia, Court of Federal Claims No: of Federal Claims No: 21–0727V York, Court of Federal Claims No: 21– 21–0692V 711. Susan Jenkins, Boston, Massachusetts, 0768V 678. Amanda Prieur, Boston, Massachusetts, Court of Federal Claims No: 21–0729V 740. Lillian Teague, Williamsville, New Court of Federal Claims No: 21–0693V 712. Mark Woodward, Sacramento, York, Court of Federal Claims No: 21– 679. Parth Parikh, Dresher, Pennsylvania, California, Court of Federal Claims No: 0769V Court of Federal Claims No: 21–0694V 21–0730V 741. Inah Choe, Dresher, Pennsylvania, Court 680. Ruby Siddle, Boston, Massachusetts, 713. Benjamin Kane, Amesbury, of Federal Claims No: 21–0770V Court of Federal Claims No: 21–0695V Massachusetts, Court of Federal Claims 742. Brandie Woodward, White Plains, New 681. Gina Singh, Dresher, Pennsylvania, No: 21–0731V York, Court of Federal Claims No: 21– Court of Federal Claims No: 21–0696V 714. Glenn F. Wollinger, Sandown, New 0771V 682. Erin Briggs, Jackson, Mississippi, Court Hampshire, Court of Federal Claims No: 743. Kirstin Anne Smith, Salt Lake City, of Federal Claims No: 21–0697V 21–0733V Utah, Court of Federal Claims No: 21– 683. Jasmine Bean, Boston, Massachusetts, 715. Hannah Clark, Batavia, Ohio, Court of 0772V Court of Federal Claims No: 21–0698V Federal Claims No: 21–0734V 744. Sharon Tsengoles, White Plains, New 684. Kristine Law, Dresher, Pennsylvania, 716. Elizabeth Moscone, Wakefield, York, Court of Federal Claims No: 21– Court of Federal Claims No: 21–0699V Massachusetts, Court of Federal Claims 0774V 685. Michael Hanson, Dresher, Pennsylvania, No: 21–0735V 745. Shafiq Imani, Milwaukee, Wisconsin, Court of Federal Claims No: 21–0700V 717. Katherine Varde, Houston, Texas, Court Court of Federal Claims No: 21–0777V 686. Connie Moser, Dresher, Pennsylvania, of Federal Claims No: 21–0741V 746. Lauren Elwell, Gainesville, Florida, Court of Federal Claims No: 21–0701V 718. Destiny Blanke, White Plains, New Court of Federal Claims No: 21–0779V
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747. Catherine Dicus, Tulsa, Oklahoma, Court of Federal Claims No: 21–0821V Dated: February 17, 2021. Court of Federal Claims No: 21–0780V 777. Marlene Koenig-Wiltse, Washington, Tyeshia M. Roberson, 748. Sara MacPhee, Washington, District of District of Columbia, Court of Federal Columbia, Court of Federal Claims No: Claims No: 21–0822V Program Analyst, Office of Federal Advisory 21–0781V 778. Edward Tyson, Washington, District of Committee Policy. 749. Lynn Duclos, Washington, District of Columbia, Court of Federal Claims No: [FR Doc. 2021–03612 Filed 2–22–21; 8:45 am] Columbia, Court of Federal Claims No: 21–0823V BILLING CODE 4140–01–P 21–0782V 779. Marie Galeno, Dresher, Pennsylvania, 750. Sean Jiggins, Washington, District of Court of Federal Claims No: 21–0824V Columbia, Court of Federal Claims No: 780. Ramon Pinon, Seattle, Washington, DEPARTMENT OF HEALTH AND 21–0783V Court of Federal Claims No: 21–0825V HUMAN SERVICES 751. Sarah Holbrook-Lipscomb on behalf of 781. Kacy Barker, Boston, Massachusetts, M.L., Phoenix, Arizona, Court of Federal Court of Federal Claims No: 21–0826V National Institutes of Health Claims No: 21–0784V 782. Kim Hill, Russellville, Alabama, Court 752. Lebrian Spaugh, Washington, District of of Federal Claims No: 21–0848V Columbia, Court of Federal Claims No: National Institute of Allergy and 21–0785V [FR Doc. 2021–03610 Filed 2–22–21; 8:45 am] Infectious Diseases; Notice of Closed 753. Kathryn Alexander, Englewood, New BILLING CODE 4165–15–P Meeting Jersey, Court of Federal Claims No: 21– 0786V Pursuant to section 10(d) of the 754. Alane Babington, Wellesley Hills, DEPARTMENT OF HEALTH AND Federal Advisory Committee Act, as Massachusetts, Court of Federal Claims HUMAN SERVICES No: 21–0789V amended, notice is hereby given of the 755. Naomi Mimnaugh, Wellesley Hills, National Institutes of Health following meeting. Massachusetts, Court of Federal Claims The meeting will be closed to the No: 21–0790V National Institute of Allergy and public in accordance with the 756. Robert J. Owens, Sr., Wellesley Hills, Infectious Diseases; Notice of Closed California, Court of Federal Claims No: provisions set forth in sections 21–0791V Meeting 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., 757. Dayna Higgins, Wellesley Hills, as amended. The grant applications and Massachusetts, Court of Federal Claims Pursuant to section 10(d) of the the discussions could disclose No: 21–0792V Federal Advisory Committee Act, as confidential trade secrets or commercial 758. Mary Saville, Washington, District of amended, notice is hereby given of the property such as patentable material, Columbia, Court of Federal Claims No: following meeting. 21–0794V and personal information concerning 759. Wanda Lange, Houston, Texas, Court of The meeting will be closed to the individuals associated with the grant Federal Claims No: 21–0797V public in accordance with the applications, the disclosure of which 760. Rocelyn Nepomuceno, Boston, provisions set forth in sections would constitute a clearly unwarranted Massachusetts, Court of Federal Claims 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., invasion of personal privacy. No: 21–0798V as amended. The grant applications and 761. Hanna Ozarski, New York, New York, the discussions could disclose Name of Committee: National Institute of Court of Federal Claims No: 21–0800V confidential trade secrets or commercial Allergy and Infectious Diseases Special 762. Corrine O’Sullivan-Bradley, Rochester, property such as patentable material, Emphasis Panel; Mucosal Immunology New York, Court of Federal Claims No: and personal information concerning Studies Team (MIST) (U01 Clinical Trial Not 21–0802V individuals associated with the grant Allowed). 763. Vincent R. Bedogne, Farmington Hills, Date: March 22–23, 2021. Michigan, Court of Federal Claims No: applications, the disclosure of which would constitute a clearly unwarranted Time: 10:00 p.m. to 3:00 p.m. 21–0803V Agenda: To review and evaluate grant 764. Haley Faro, Rochester, New York, Court invasion of personal privacy. applications. of Federal Claims No: 21–0805V Name of Committee: Microbiology, 765. James Malkin, Boston, Massachusetts, Place: National Institute of Allergy and Infectious Diseases and AIDS Initial Review Infectious Diseases, National Institutes of Court of Federal Claims No: 21–0806V Group; Microbiology and Infectious Diseases 766. Malikia Craddle, Washington, District of Health, 5601 Fishers Lane, Room 3G42, Research Committee Microbiology and Columbia, Court of Federal Claims No: Rockville, MD 20892 (Virtual Meeting). Infectious Diseases Research Committee 21–0808V Contact Person: Sandip Bhattacharyya, (MID). 767. Martha T. Cunningham, Tucson, Ph.D., Scientific Review Officer, Scientific Date: May 26–27, 2021. Arizona, Court of Federal Claims No: 21– Review Program, Division of Extramural Time: 10:30 a.m. to 6:00 p.m. 0809V Activities, National Institute of Allergy and 768. Nabila Gebran, White Plains, New York, Agenda: To review and evaluate grant applications. Infectious Diseases, National Institutes of Court of Federal Claims No: 21–0810V Health, 5601 Fishers Lane, Room 3G42, 769. Bryce Maddox, Englewood, New Jersey, Place: National Institute of Allergy and Rockville, MD 20852, 240–292–0189, Court of Federal Claims No: 21–0811V Infectious Diseases, National Institutes of [email protected]. 770. Edna Groen, Covington, Kentucky, Court Health, 5601 Fishers Lane, Room 3G51, of Federal Claims No: 21–0812V Rockville, MD 20892 (Virtual Meeting). (Catalogue of Federal Domestic Assistance 771. Jeanine John, Seattle, Washington, Court Contact Person: Amir E. Zeituni, Ph.D., Program Nos. 93.855, Allergy, Immunology, of Federal Claims No: 21–0813V Scientific Review Program, Division of and Transplantation Research; 93.856, Extramural Activities, National Institute of 772. Pete Heffron, Solana Beach, California, Microbiology and Infectious Diseases Allergy and Infectious Diseases, National Court of Federal Claims No: 21–0814V Research, National Institutes of Health, HHS) 773. Fatima Collins, Fort Worth, Texas, Court Institutes of Health 5601 Fishers Lane, Room of Federal Claims No: 21–0815V 3G51 Rockville, MD 20852, 301–496–2550, Dated: February 17, 2021. 774. Linda Garcia, San Antonio, Texas, Court [email protected]. Tyeshia M. Roberson, of Federal Claims No: 21–0816V (Catalogue of Federal Domestic Assistance Program Analyst, Office of Federal Advisory Program Nos. 93.855, Allergy, Immunology, 775. Holly Jenkins, Washington, District of Committee Policy. Columbia, Court of Federal Claims No: and Transplantation Research; 93.856, 21–0819V Microbiology and Infectious Diseases [FR Doc. 2021–03613 Filed 2–22–21; 8:45 am] 776. Danielle Awe, Boston, Massachusetts, Research, National Institutes of Health, HHS) BILLING CODE 4140–01–P
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DEPARTMENT OF HEALTH AND MSC 7848, Bethesda, MD 20892, 301–594– Place: National Institutes of Health, HUMAN SERVICES 3163, [email protected]. Rockledge II, 6701 Rockledge Drive, Name of Committee: Center for Scientific Bethesda, MD 20892 (Virtual Meeting). National Institutes of Health Review Special Emphasis Panel; Topics in Contact Person: Margaret Chandler, Ph.D., Bioengineering. Scientific Review Officer, Center for Center for Scientific Review; Notice of Date: March 18–19, 2021. Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4126, Closed Meetings Time: 8:00 a.m. to 5:00 p.m. Agenda: To review and evaluate grant MSC 7814, Bethesda, MD 20892, (301) 435– Pursuant to section 10(d) of the applications. 1743, [email protected]. Federal Advisory Committee Act, as Place: National Institutes of Health, Name of Committee: Center for Scientific amended, notice is hereby given of the Rockledge II, 6701 Rockledge Drive, Review Special Emphasis Panel; Bethesda, MD 20892 (Virtual Meeting). Fellowships: Oncology. following meetings. Date: March 18–19, 2021. The meetings will be closed to the Contact Person: Joseph D. Mosca, Ph.D., Scientific Review Officer, Center for Time: 9:00 a.m. to 5:00 p.m. public in accordance with the Scientific Review, National Institutes of Agenda: To review and evaluate grant provisions set forth in sections Health, 6701 Rockledge Drive, Room 5158, applications. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., MSC 7808, Bethesda, MD 20892, (301) 435– Place: National Institutes of Health, as amended. The grant applications and 2344, [email protected]. Rockledge II, 6701 Rockledge Drive, the discussions could disclose Name of Committee: Center for Scientific Bethesda, MD 20892 (Virtual Meeting). confidential trade secrets or commercial Review Special Emphasis Panel; PAR20–117: Contact Person: Jian Cao, MD, Scientific Review Officer, Center for Scientific Review, Maximizing Investigators’ Research Award property such as patentable material, 6701 Rockledge Drive, Rm. 4196, Bethesda, (MIRA) for Early Stage Investigators (R35— and personal information concerning MD 20892, (301) 827–5902, caojn@ Clinical Trial Optional). individuals associated with the grant csr.nih.gov. applications, the disclosure of which Date: March 18–19, 2021. Time: 9:00 a.m. to 6:00 p.m. Name of Committee: Center for Scientific would constitute a clearly unwarranted Agenda: To review and evaluate grant Review Special Emphasis Panel; Small invasion of personal privacy. applications. Business: Neuro/Psychopathology, Lifespan Development, and STEM Education. Name of Committee: Center for Scientific Place: National Institutes of Health, Date: March 18–19, 2021. Review Special Emphasis Panel; Rockledge II, 6701 Rockledge Drive, Time: 9:30 a.m. to 6:00 p.m. Fellowships, Population Sciences and Bethesda, MD 20892 (Virtual Meeting). Contact Person: Thomas Y. Cho, Ph.D., Agenda: To review and evaluate grant Epidemiology: Additional Applications. applications. Date: March 16, 2021. Scientific Review Officer, Center for Scientific Review, 6701 Rockledge Drive, Rm. Place: National Institutes of Health, 6701 Time: 10:00 a.m. to 6:00 p.m. Rockledge Drive, Bethesda, MD 20892 Agenda: To review and evaluate grant 5144, MSC 7840, Bethesda, MD 20892, (301) 402–4179, [email protected]. (Virtual Meeting). applications. Contact Person: Elia K. Ortenberg, Ph.D., Place: National Institutes of Health, Name of Committee: Digestive, Kidney and Scientific Review Officer, Center for Rockledge II, 6701 Rockledge Drive, Urological Systems Integrated Review Group; Scientific Review, National Institutes of Bethesda, MD 20892 (Virtual Meeting). Systemic Injury by Environmental Exposure. Health, 6701 Rockledge Drive, Room 3108, Contact Person: Denise Wiesch, Ph.D., Date: March 18–19, 2021. MSC 7816, Bethesda, MD 20892, (301) 827– Scientific Review Officer, Center for Time: 9:00 a.m. to 6:00 p.m. 7189, [email protected]. Scientific Review, National Institutes of Agenda: To review and evaluate grant Name of Committee: Infectious Diseases Health, 6701 Rockledge Drive, Room 3138, applications. and Immunology B Integrated Review Group; MSC 7770, Bethesda, MD 20892, (301) 437– Place: National Institutes of Health, HIV Coinfections and HIV Associated 3478, [email protected]. Rockledge II, 6701 Rockledge Drive, Cancers Study Section. Name of Committee: Center for Scientific Bethesda, MD 20892 (Virtual Meeting). Date: March 18, 2021. Review Special Emphasis Panel; Member Contact Person: Dianne Hardy, Ph.D., Time: 9:30 a.m. to 6:00 p.m. Conflict: Cellular Mechanisms. Scientific Review Officer, Center for Agenda: To review and evaluate grant Date: March 16, 2021. Scientific Review, National Institutes of applications. Time: 1:00 p.m. to 6:00 p.m. Health, 6701 Rockledge Drive, Room 6175, Place: National Institutes of Health, Agenda: To review and evaluate grant MSC 7892, Bethesda, MD 20892, 301–435– Rockledge II, 6701 Rockledge Drive, applications. 1154, [email protected]. Bethesda, MD 20892 (Virtual Meeting). Place: National Institutes of Health, Name of Committee: Center for Scientific Contact Person: Jingsheng Tuo, Ph.D., Rockledge II, 6701 Rockledge Drive, Review Special Emphasis Panel; Small Scientific Review Officer, Center for Bethesda, MD 20892 (Virtual Meeting). Business: The Cancer Biotherapeutics Scientific Review, National Institutes of Contact Person: Zubaida Rangwalla Development (CBD). Health, 6701 Rockledge Drive, Room 3196, Saifudeen, Ph.D., Scientific Review Officer, Date: March 18–19, 2021. Bethesda, MD 20892, 301–451–5953, tuoj@ Center for Scientific Review, National Time: 9:00 a.m. to 5:00 p.m. csr.nih.gov. Institutes of Health, 6701 Rockledge Drive, Agenda: To review and evaluate grant Name of Committee: Center for Scientific Bethesda, MD 20817, 301.827.3029, applications. Review Special Emphasis Panel; [email protected]. Place: National Institutes of Health, Antimicrobial Therapeutics and Resistance. Name of Committee: Center for Scientific Rockledge II, 6701 Rockledge Drive, Date: March 18–19, 2021. Review Special Emphasis Panel; Member Bethesda, MD 20892 (Virtual Meeting). Time: 10:00 a.m. to 7:30 p.m. Conflict: Cognition, Perception, and Motor Contact Person: Laura Asnaghi, Ph.D., Agenda: To review and evaluate grant Function. Scientific Review Officer, National Institutes applications. Date: March 16, 2021. of Health, Center for Scientific Review, 6701 Place: National Institutes of Health, Time: 1:00 p.m. to 5:00 p.m. Rockledge Drive, Room 6200, MSC 7804, Rockledge II, 6701 Rockledge Drive, Agenda: To review and evaluate grant Bethesda, MD 20892, (301) 443–1196, Bethesda, MD 20892 (Virtual Meeting). applications. [email protected]. Contact Person: Susan Daum, Ph.D., Place: National Institutes of Health, Name of Committee: Center for Scientific Scientific Review Officer, Center for Rockledge II, 6701 Rockledge Drive, Review Special Emphasis Panel; Small Scientific Review, National Institutes of Bethesda, MD 20892 (Virtual Meeting). business: Cardiovascular Sciences. Health, 6701 Rockledge Drive, Room 3202, Contact Person: Maribeth Champoux, Date: March 18–19, 2021. Bethesda, MD 20892, 301–827–7233, Ph.D., Scientific Review Officer, Center for Time: 9:00 a.m. to 6:00 p.m. [email protected]. Scientific Review, National Institutes of Agenda: To review and evaluate grant Name of Committee: Infectious Diseases Health, 6701 Rockledge Drive, Room 3170, applications. and Immunology B Integrated Review Group;
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HIV Immunopathogenesis and Vaccine Dated: February 17, 2021. Date: March 18–19, 2021. Development Study Section. Tyeshia M. Roberson, Time: 9:00 a.m. to 6:00 p.m. Agenda: To review and evaluate grant Date: March 18, 2021. Program Analyst, Office of Federal Advisory applications. Time: 10:00 a.m. to 6:00 p.m. Committee Policy. Agenda: To review and evaluate grant Place: National Institutes of Health, [FR Doc. 2021–03617 Filed 2–22–21; 8:45 am] applications. Neuroscience Center, 6001 Executive Place: National Institutes of Health, BILLING CODE 4140–01–P Boulevard, Rockville, MD 20852 (Virtual Rockledge II, 6701 Rockledge Drive, Meeting). Bethesda, MD 20892 (Virtual Meeting). Contact Person: W. Ernest Lyons, Ph.D., Contact Person: Shiv A. Prasad, Ph.D., DEPARTMENT OF HEALTH AND Scientific Review Administrator, Scientific Review Branch, NINDS/NIH/DHHS, Scientific Review Officer, Center for HUMAN SERVICES Neuroscience Center, 6001 Executive Blvd., Scientific Review, National Institutes of National Institutes of Health Suite 3208, MSC 9529, Rockville, MD 20852, Health, 6701 Rockledge Drive, Room 5220, 301–496–4056, [email protected]. MSC 7852, Bethesda, MD 20892, 301–443– 5779, [email protected]. National Institute of Neurological Catalogue of Federal Domestic Assistance Disorders and Stroke; Notice of Closed Program Nos. 93.853, Clinical Research Name of Committee: Center for Scientific Meetings Related to Neurological Disorders; 93.854, Review Special Emphasis Panel; Member Biological Basis Research in the conflict: Musculoskeletal and Skin Pursuant to section 10(d) of the Neurosciences, National Institutes of Health, Pathobiology and Regeneration. Federal Advisory Committee Act, as HHS) Date: March 18, 2021. amended, notice is hereby given of the Dated: February 17, 2021. Time: 1:00 p.m. to 6:00 p.m. following meetings. Agenda: To review and evaluate grant Tyeshia M. Roberson, applications. The meetings will be closed to the Program Analyst, Office of Federal Advisory Place: National Institutes of Health, public in accordance with the Committee Policy. Rockledge II, 6701 Rockledge Drive, provisions set forth in sections [FR Doc. 2021–03614 Filed 2–22–21; 8:45 am] Bethesda, MD 20892 (Virtual Meeting). 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., BILLING CODE 4140–01–P Contact Person: Yi-Hsin Liu, Ph.D., as amended. The grant applications and Scientific Review Officer, Center for the discussions could disclose Scientific Review, National Institutes of confidential trade secrets or commercial DEPARTMENT OF HEALTH AND Health, 6701 Rockledge Drive, Room 4214, property such as patentable material, HUMAN SERVICES MSC 7814, Bethesda, MD 20892, (301) 435– and personal information concerning 1781, [email protected]. individuals associated with the grant Substance Abuse and Mental Health Name of Committee: Center for Scientific applications, the disclosure of which Services Administration Review Special Emphasis Panel; RFA–HD– would constitute a clearly unwarranted 21–008: Pediatric Biospecimen Procurement invasion of personal privacy. Center for Mental Health Services Center Supporting the Developmental Gene National Advisory Council; Notice of Expression (dGTEx) Project (U24). Name of Committee: National Institute of Meeting Date: March 19, 2021. Neurological Disorders and Stroke Special Time: 1:00 p.m. to 5:00 p.m. Emphasis Panel; HEAL: Pain Therapeutics Pursuant to Public Law 92–463, Agenda: To review and evaluate grant Development Small Molecule and Biologics. notice is hereby given for the meeting of applications. Date: March 15, 2021. the Substance Abuse and Mental Health Time: 10:00 a.m. to 3:00 p.m. Place: National Institutes of Health, Services Administration’s (SAMHSA) Rockledge II, 6701 Rockledge Drive, Agenda: To review and evaluate grant applications. Center for Mental Health Services Bethesda, MD 20892 (Virtual Meeting). National Advisory Council (CMHS Contact Person: Kenneth Ryan, Ph.D., Place: National Institutes of Health, Neuroscience Center, 6001 Executive NAC) on March 18, 2021. Scientific Review Officer, Center for The Council was established to advise Scientific Review, National Institutes of Boulevard, Rockville, MD 20852 (Virtual Meeting). Health, 6701 Rockledge Drive, Room 3218, the Secretary, Department of Health and Contact Person: Shanta Rajaram, Ph.D., MSC 7717, Bethesda, MD 20892, 301–435– Human Services (HHS); the Assistant Scientific Review Officer, Scientific Review 0229, [email protected]. Secretary for Mental Health and Branch, Division of Extramural Activities, Name of Committee: Center for Scientific Substance Use, SAMHSA; and Director, NINDS/NIH, NSC, 6001 Executive Blvd., CMHS concerning matters relating to Review Special Emphasis Panel; Member Suite 3208, MSC 9529, Rockville, MD 20852, Conflict: Speech, Language, and (301) 435–6033, [email protected]. the activities carried out by and through the Center and the policies respecting Communication. Name of Committee: National Institute of Date: March 19, 2021. Neurological Disorders and Stroke Special such activities. Time: 12:00 p.m. to 5:00 p.m. Emphasis Panel; P01 Review. The meeting is open to the public and Agenda: To review and evaluate grant Date: March 16–19, 2021. can be accessed remotely only. applications. Time: 10:00 a.m. to 1:00 p.m. Attendance by the public on-site will Place: National Institutes of Health, Agenda: To review and evaluate grant not be available. The meeting will Rockledge II, 6701 Rockledge Drive, applications. include consideration of the minutes Bethesda, MD 20892 (Virtual Meeting). Place: National Institutes of Health, from the August 27, 2020, SAMHSA, Contact Person: Sara Louise Hargrave, Neuroscience Center, 6001 Executive CMHS NAC meeting; updates from the Ph.D., Scientific Review Officer, Center for Boulevard, Rockville, MD 20852 (Virtual Scientific Review, National Institute of CMHS Director; and a discussion from Meeting). the SAMHSA Chief of Staff and the Health, 6701 Rockledge Drive, Room 3170, Contact Person: Li Jia, Ph.D., Scientific Bethesda, MD 20892, (301) 443–7193, Review Officer, Scientific Review Branch, Acting Assistant Secretary for Mental [email protected]. Division of Extramural Research, NINDS/ Health and Substance Use. (Catalogue of Federal Domestic Assistance NIH, 6001 Executive Boulevard, Room The agenda will be posted on the Program Nos. 93.306, Comparative Medicine; 3208D, Rockville, MD 20852, 301–451–2854, SAMHSA website prior to the meeting 93.333, Clinical Research, 93.306, 93.333, [email protected]. at: https://www.samhsa.gov/about-us/ 93.337, 93.393–93.396, 93.837–93.844, Name of Committee: National Institute of advisory-councils/meetings. 93.846–93.878, 93.892, 93.893, National Neurological Disorders and Stroke Special Interested persons may present data, Institutes of Health, HHS) Emphasis Panel; Wellstone Centers Review. information, or views, orally or in
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writing, on issues pending before the The meeting is open to the public and Meeting information and a roster of Council. Individuals interested in can only be accessed virtually. Agenda Council members may be obtained sending written submissions or making with call-in information will be posted either by accessing the SAMHSA public comments, must forward them on the SAMHSA website prior to the Council’s website at http:// to, and notify the contact person on or meeting at: https://www.samhsa.gov/ www.samhsa.gov/about-us/advisory- before March 12, 2021. Up to three about-us/advisory-councils/meetings. councils/, or by contacting Carlos minutes will be allotted for each The meeting will include remarks and Castillo or Valerie Kolick. presentation. discussion with the Acting Assistant Council Name: Substance Abuse and Registration is required to participate Secretary for Mental Health and Mental Health Services Administration during this meeting. To attend virtually, Substance Use; updates on SAMHSA National Advisory Council. or to obtain the call-in number and priorities, new grant opportunities and Authority: Public Law 92–463. access code, submit written or brief oral initiatives, and a council discussion on Dated: February 17, 2021. comments, or request special clinical trends and emerging national Carlos Castillo, accommodations for persons with issues with SAMHSA NAC members. Committee Management Officer, SAMHSA. disabilities, please register on-line at: DATES: March 22, 2021, 1:00 p.m. to [FR Doc. 2021–03573 Filed 2–22–21; 8:45 am] http://snacregister.samhsa.gov/ approximately 5:00 p.m. (ET)/Open. MeetingList.aspx, or communicate with BILLING CODE 4162–20–P ADDRESSES: The meeting will be held Pam Foote, Designated Federal Officer virtually. (DFO). Meeting information and a roster of FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF HOUSING AND Council members may be obtained by Carlos Castillo, Committee Management URBAN DEVELOPMENT accessing the SAMHSA website at: Officer and Designated Federal Official, [Docket No. FR–7034–N–10; OMB Control http://www.samhsa.gov/about-us/ SAMHSA National Advisory Council, No. 2502–0427] advisory-councils/cmhs-national- 5600 Fishers Lane, Rockville, Maryland advisory-council, or the DFO. 20857 (mail), Telephone: (240) 276– 30-Day Notice of Proposed Information Council Name: Substance Abuse and 2787 Email: carlos.castillo@ Collection: Mortgagee’s Application for Mental Health Services Administration samhsa.hhs.gov. Valerie Kolick, Acting Partial Settlement (Multifamily Center for Mental Health Services Designated Federal Officer, SAMHSA Mortgage) National Advisory Council. National Advisory Council, 5600 AGENCY: Office of the Chief Information Date/Time/Type: Thursday, March 18, Fishers Lane, Rockville, Maryland Officer, HUD. 2021; 1:00 p.m. to 4:30 p.m., EDT, 20857, Telephone: (240) 276–1738, (OPEN). Email: [email protected]. ACTION: Notice. Place: SAMHSA, 5600 Fishers Lane, SUPPLEMENTARY INFORMATION: The SUMMARY: HUD has submitted the Rockville, MD 20857. SAMHSA NAC was established to proposed information collection Contact: Pamela Foote, Designated advise the Secretary, Department of requirement described below to the Federal Officer (DFO), CMHS National Health and Human Services (HHS), and Office of Management and Budget Advisory Council, 5600 Fishers Lane, the Assistant Secretary for Mental (OMB) for review, in accordance with Room 14E57B, Rockville, Maryland Health and Substance Use, SAMHSA, to the Paperwork Reduction Act. The 20857, Telephone: (240) 276–1279, Fax: improve the provision of treatments and purpose of this notice is to allow for an (301) 480–8491, Email: pamela.foote@ related services to individuals with additional 30 days of public comment. samhsa.hhs.gov. respect to substance use and to improve DATES: Comments Due Date: March 25, Dated: February 16, 2021. prevention services, promote mental 2021. Carlos Castillo, health, and protect legal rights of ADDRESSES: Interested persons are Committee Management Officer, SAMHSA. individuals with mental illness and invited to submit comments regarding [FR Doc. 2021–03542 Filed 2–22–21; 8:45 am] individuals who are substance users. this proposal. Written comments and BILLING CODE 4162–20–P Interested persons may present data, recommendations for the proposed information, or views orally or in information collection should be sent writing, on issues pending before the within 30 days of publication of this DEPARTMENT OF HEALTH AND Council. Written submissions must be notice to www.reginfo.gov/public/do/ HUMAN SERVICES forwarded to the contact person no later StartPrintedPage15501PRAMain. Find than seven days before the meeting. Oral this particular information collection by Substance Abuse and Mental Health presentations from the public will be selecting ‘‘Currently under 30-day Services Administration scheduled at the conclusion of the Review—Open for Public Comments’’ or meeting. Individuals interested in by using the search function. Meeting of the Substance Abuse and making oral presentations must notify FOR FURTHER INFORMATION CONTACT: Mental Health Services the contact person by March 12, 2021. Colette Pollard, Reports Management Administration’s National Advisory Up to three minutes will be allotted for Officer, QDAM, Department of Housing Council each presentation, and as time permits. and Urban Development, 451 7th Street AGENCY: Substance Abuse and Mental To obtain the call-in number, access SW, Washington, DC 20410; email Health Services Administration, HHS. code, and/or web access link; submit Colette Pollard at Colette.Pollard@ ACTION: Notice. written or brief oral comments; or hud.gov or telephone 202–402–3400. request special accommodations for This is not a toll-free number. Persons SUMMARY: Notice is hereby given of the persons with disabilities, please register with hearing or speech impairments meeting on March 22, 2021, of the on-line at: https:// may access this number through TTY by Substance Abuse and Mental Health snacregister.samhsa.gov/ calling the toll-free Federal Relay Services Administration’s (SAMHSA) MeetingList.aspx, or communicate with Service at (800) 877–8339. Copies of National Advisory Council (SAMHSA SAMHSA’s Committee Management available documents submitted to OMB NAC). Officer, CAPT Carlos Castillo. may be obtained from Ms. Pollard.
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SUPPLEMENTARY INFORMATION: This information technology, e.g., permitting calling the Federal Relay Service at notice informs the public that HUD has electronic submission of responses. (800) 877–8339. This is a toll-free submitted to OMB a request for (5) ways to minimize the burden of number. Copies of available documents approval of the information collection the collection of information on those submitted to OMB may be obtained described in Section A. The Federal who are to respond, including the use from Ms. Pollard. Register notice that solicited public of automated collection techniques or SUPPLEMENTARY INFORMATION: This comment on the information collection other forms of information technology. notice informs the public that HUD has HUD encourages interested parties to for a period of 60 days was published submitted to OMB a request for submit comment in response to these on December 17, 2020. approval of the information collection questions. A. Overview of Information Collection described in Section A. The Federal C. Authority Register notice that solicited public Title of Information Collection: comment on the information collection Mortgagee’s Application for Partial Section 3507 of the Paperwork for a period of 60 days was published Settlement (Multifamily Mortgage). Reduction Act of 1995, 44 U.S.C. on December 17, 2020 at 85 FR 81945. OMB Approval Number: 2502–0427. chapter 35. OMB Expiration Date: 12/31/2020. Colette Pollard, A. Overview of Information Collection Type of Request: Revision of a currently approved collection. Department Reports Management Officer, Title of Information Collection: Office Office of the Chief Information Officer. Form Numbers: HUD–2537, HUD– of Housing Counseling—Agency 2747, HUD–1044–D. [FR Doc. 2021–03553 Filed 2–22–21; 8:45 am] Performance Review. Description of the need for the BILLING CODE 4210–67–P OMB Approval Number: 2502–0574. information and proposed use: When a OMB Expiration Date: March 31, FHA insured Multifamily mortgage goes 2021. DEPARTMENT OF HOUSING AND into default, the Mortgagee may file a URBAN DEVELOPMENT Type of Request: Revision of a claim with the Secretary to receive the currently approved collection. insurance benefits. The Mortgagee is [Docket No. FR–7034–N–09; OMB Collection Form Number: HUD–9910, Office of required by HUD to furnish HUD Form 2502–0574] Housing Counseling—Performance 2537 prior to receiving the telefax. Once Review Of a HUD-Approved Housing the telefax arrives, HUD pays 70 or 90% 30-Day Notice of Proposed Information Collection: Office of Housing Counseling Agency or Participating of the UPB plus interest within 24 to 48 Agency. hours after assignment or conveyance. Counseling—Agency Performance Review Description of the need for the Interest will continue to accrue on the information and proposed use: The claim until the partial settlement is AGENCY: Office of the Chief Information information is used to assist HUD in paid. Interest paid on each claim is Officer, HUD. evaluating the managerial and financial based on the default date, the escrows ACTION: Notice. capacity of organizations to sustain reported on HUD form 2537 and the operations sufficient to implement HUD Unpaid Principal Balance reported. SUMMARY: HUD has submitted the approved housing counseling programs. Respondents: Business or other for- proposed information collection The collection of information assists profit; State, Local, or Tribal requirement described below to the HUD to reduce its own risk from Government. Office of Management and Budget fraudulent activities or supporting Estimated Number of Respondents: (OMB) for review, in accordance with inefficient or ineffective housing 110. the Paperwork Reduction Act. The counseling programs. Since HUD Estimated Number of Responses: 110. purpose of this notice is to allow for an publishes a web list of HUD-approved Frequency of Response: 1. additional 30 days of public comment. Average Hours per Response: 1.75. Housing Counseling Agencies and DATES: Comments Due Date: March 25, Total Estimated Burden: 193. maintains a toll-free housing counseling 2021. hotline, performance reviews help HUD B. Solicitation of Public Comment ADDRESSES: Interested persons are ensure that individuals seeking This notice is soliciting comments invited to submit comments regarding assistance from these approved agencies from members of the public and affected this proposal. Written comments and can have confidence in the quality of parties concerning the collection of recommendations for the proposed services that they will receive. information described in Section A on information collection should be sent HUD uses performance reviews to the following: within 30 days of publication of this ascertain the professional and (1) Whether the proposed collection notice to www.reginfo.gov/public/do/ management capacity of HUD-approved of information is necessary for the StartPrintedPage15501PRAMain. Find Housing Counseling Agencies to proper performance of the functions of this particular information collection by provide adequate housing counseling the agency, including whether the selecting ‘‘Currently under 30-day services that are necessary to comply information will have practical utility; Review—Open for Public Comments’’ or with the requirements of the Housing (2) The accuracy of the agency’s by using the search function. and Urban Development Act and to estimate of the burden of the proposed FOR FURTHER INFORMATION CONTACT: ensure that grant funded organizations collection of information; Colette Pollard, Reports Management comply with HUD and OMB (3) Ways to enhance the quality, Officer, QDAM, Department of Housing administrative and financial regulations. utility, and clarity of the information to and Urban Development, 451 7th Street If this information is not collected, HUD be collected; and SW, Washington, DC 20410; email would be unable to effectively monitor (4) Ways to minimize the burden of Colette Pollard at Colette.Pollard@ the Housing Counseling Program to the collection of information on those hud.gov or telephone 202–402–3400. guard against waste, fraud, abuse, or who are to respond; including through This is not a toll-free number. Persons inappropriate program practices. This the use of appropriate automated with hearing or speech impairments collection provides the means to meet collection techniques or other forms of may access this number through TTY by that obligation.
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Respondents (i.e., affected public): SUMMARY: BOEM is withdrawing the to 42 U.S.C. 4321 et seq.; 40 CFR 1506.6 Not-for profit institutions; State, Local, public review period and virtual public (2019 ed.). or Tribal Governments. hearings announced in the Notice of Walter D. Cruickshank, Estimated Number of Respondents: Availability (NOA) of the Draft Acting Director, Bureau of Ocean Energy 353 annually. Environmental Impact Statement (DEIS) Management. Estimated Number of Responses: 353 for the proposed Cook Inlet Lease Sale [FR Doc. 2021–03693 Filed 2–22–21; 8:45 am] annually. 258. Frequency of Response: 1 per agency BILLING CODE 4310–MR–P performance review. DATES: This withdrawal is effective Average Hours per Response: 1 hour immediately. The public review period, annually. scheduled to close March 1, 2021, and INTERNATIONAL TRADE Total Estimated Burden: 353 hours. the virtual public hearings, scheduled COMMISSION B. Solicitation of Public Comment for February 9–11, 2021, are canceled. [Investigation No. 731–TA–1528 (Final)] This notice is soliciting comments FOR FURTHER INFORMATION CONTACT: For Seamless Refined Copper Pipe and from members of the public and affected information regarding this notice, please Tube From Vietnam; Scheduling of the parties concerning the collection of contact Amee Howard, Project Manager, Final Phase of an Anti-Dumping Duty information described in Section A on Bureau of Ocean Energy Management, Investigation the following: Alaska Regional Office, 3801 (1) Whether the proposed collection Centerpoint Drive, Suite 500, AGENCY: United States International of information is necessary for the Anchorage, Alaska 99503–5823, by Trade Commission. proper performance of the functions of telephone at (907) 334–5200, or by the agency, including whether the ACTION: Notice. information will have practical utility; email at [email protected]. SUMMARY: The Commission hereby gives (2) The accuracy of the agency’s SUPPLEMENTARY INFORMATION: On notice of the scheduling of the final estimate of the burden of the proposed January 15, 2021, BOEM published an phase of antidumping investigation No. collection of information; NOA for the proposed Cook Inlet Lease 731–TA–1528 (Final) pursuant to the (3) Ways to enhance the quality, Sale 258 DEIS. The NOA began a 45-day utility, and clarity of the information to Tariff Act of 1930 (‘‘the Act’’) to comment period and announced the be collected; and determine whether an industry in the (4) Ways to minimize the burden of dates and times of three virtual public United States is materially injured or the collection of information on those hearings. However, in response to threatened with material injury, or the who are to respond, including through Executive Order 14008, BOEM has establishment of an industry in the the use of appropriate automated decided to cancel the comment period United States is materially retarded, by collection techniques or other forms of and public hearings for the Lease Sale reason of imports of seamless refined information technology, e.g., permitting 258 DEIS. copper pipe and tube from Vietnam, electronic submission of responses. Executive Order 14008, published in provided for in subheading 7411.10.10 (5) Ways to minimize the burden of the Federal Register on February 1, of the Harmonized Tariff Schedule of the collection of information on those 2021, directed the Secretary of the the United States, preliminarily determined by the Department of who are respond, including the use of Interior to pause new oil and gas leasing Commerce (‘‘Commerce’’) to be sold at automated collection techniques or on public lands and offshore waters less-than-fair-value. other forms of information technology. pending completion of a comprehensive HUD encourages interested parties to review of Federal oil and gas activities, DATES: February 1, 2021. submit comment in response to these including climate and other impacts. FOR FURTHER INFORMATION CONTACT: questions. Consistent with the Executive Order, Jordan Harriman ((202) 205–2610), C. Authority BOEM has decided to cancel the Office of Investigations, U.S. Section 3507 of the Paperwork comment period and virtual public International Trade Commission, 500 E Reduction Act of 1995, 44 U.S.C. 3507. hearings for Lease Sale 258 DEIS. This Street SW, Washington, DC 20436. decision to postpone further Hearing-impaired persons can obtain Colette Pollard, environmental review of the lease sale information on this matter by contacting Department Reports Management Officer pending completion of the review the Commission’s TDD terminal on 202– Assistant, Office of the Chief Information 205–1810. Persons with mobility Officer. specified in the Executive Order was made to avoid administrative costs impairments who will need special [FR Doc. 2021–03552 Filed 2–22–21; 8:45 am] assistance in gaining access to the associated with holding hearings on the BILLING CODE 4210–67–P Commission should contact the Office sale while it is under review. In advance of the Secretary at 202–205–2000. of this notice, on February 4, 2021, General information concerning the DEPARTMENT OF THE INTERIOR BOEM issued a press release and Commission may also be obtained by updated its website to notify accessing its internet server (https:// Bureau of Ocean Energy Management stakeholders that the public review www.usitc.gov). The public record for period and virtual public hearings were [Docket No. BOEM–2020–0018] this investigation may be viewed on the cancelled. If, after completion of the Commission’s electronic docket (EDIS) Withdrawal of the Public Review review directed in Executive Order at https://edis.usitc.gov. 14008, BOEM resumes its Period for Cook Inlet Lease Sale 258 SUPPLEMENTARY INFORMATION: environmental review of Lease Sale 258, Scope.—For purposes of this AGENCY: Bureau of Ocean Energy a notice will be published in the Management, Interior. investigation, Commerce has defined Federal Register. the subject merchandise as all seamless ACTION: Notice to withdraw public Authority: This notice to withdraw the circular refined copper pipes and tubes, review period. public review period is published pursuant including redraw hollows, greater than
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or equal to 6 inches (152.4 mm) in entry of appearance with the Secretary request permission to present a short actual length and measuring less than to the Commission, as provided in statement at the hearing. All parties and 12.130 inches (308.102 mm) in actual § 201.11 of the Commission’s rules, no nonparties desiring to appear at the outside diameter (OD), regardless of later than 21 days prior to the hearing hearing and make oral presentations wall thickness, bore (e.g., smooth, date specified in this notice. A party should participate in a prehearing enhanced with inner grooves or ridges), that filed a notice of appearance during conference to be held at 9:30 a.m. on manufacturing process (e.g., hot the preliminary phase of the June 14, 2021. Oral testimony and finished, cold-drawn, annealed), outer investigation need not file an additional written materials to be submitted at the surface (e.g., plain or enhanced with notice of appearance during this final public hearing are governed by sections grooves, ridges, fins, or gills), end finish phase. The Secretary will maintain a 201.6(b)(2), 201.13(f), and 207.24 of the (e.g., plain end, swaged end, flared end, public service list containing the names Commission’s rules. Parties must submit expanded end, crimped end, threaded), and addresses of all persons, or their any request to present a portion of their coating (e.g., plastic, paint), insulation, representatives, who are parties to the hearing testimony in camera no later attachments (e.g., plain, capped, investigation. than 7 business days prior to the date of plugged, with compression or other Please note the Secretary’s Office will the hearing. fitting), or physical configuration (e.g., accept only electronic filings during this Written submissions.—Each party straight, coiled, bent, wound on spools). time. Filings must be made through the who is an interested party shall submit The scope of this investigation covers, Commission’s Electronic Document a prehearing brief to the Commission. but is not limited to, seamless refined Information System (EDIS, https:// Prehearing briefs must conform with the copper pipe and tube produced or edis.usitc.gov). No in-person paper- provisions of § 207.23 of the comparable to the American Society for based filings or paper copies of any Commission’s rules; the deadline for Testing and Materials (ASTM) ASTM– electronic filings will be accepted until filing is June 7, 2021. Parties may also B42, ASTM–B68, ASTM–B75, ASTM– further notice. file written testimony in connection B88, ASTM–B88M, ASTM–B188, Limited disclosure of business with their presentation at the hearing, as ASTM–B251, ASTM–B251M, ASTM– proprietary information (BPI) under an provided in § 207.24 of the B280, ASTM–B302, ASTM–B306, administrative protective order (APO) Commission’s rules, and posthearing ASTM–B359, ASTM–B743, ASTM– and BPI service list.—Pursuant to briefs, which must conform with the B819, and ASTM–B903 specifications § 207.7(a) of the Commission’s rules, the provisions of section 207.25 of the and meeting the physical parameters Secretary will make BPI gathered in the Commission’s rules. The deadline for described therein.1 final phase of this investigation filing posthearing briefs is June 22, Background.—The final phase of this available to authorized applicants under 2021. In addition, any person who has investigation is being scheduled, the APO issued in the investigation, not entered an appearance as a party to pursuant to section 735(b) of the Tariff provided that the application is made the investigation may submit a written Act of 1930 (19 U.S.C. 1673d(b)), as a no later than 21 days prior to the statement of information pertinent to result of an affirmative preliminary hearing date specified in this notice. the subject of the investigation, determination by Commerce that Authorized applicants must represent including statements of support or imports of seamless refined copper pipe interested parties, as defined by 19 opposition to the petition, on or before and tube from Vietnam are being sold in U.S.C. 1677(9), who are parties to the June 22, 2021. On July 13, 2021, the the United States at less than fair value investigation. A party granted access to Commission will make available to within the meaning of § 733 of the Act BPI in the preliminary phase of the parties all information on which they (19 U.S.C. 1673b). The investigation was investigation need not reapply for such have not had an opportunity to requested in a petition filed on June 30, access. A separate service list will be comment. Parties may submit final 2020, by the American Copper Tube maintained by the Secretary for those comments on this information on or Coalition, consisting of the Mueller parties authorized to receive BPI under before July 15, 2021, but such final Group, Collierville, Tennessee, and the APO. comments must not contain new factual Cerro Flow Products, LLC, Sauget, Staff report.—The prehearing staff information and must otherwise comply Illinois. report in the final phase of this with § 207.30 of the Commission’s rules. For further information concerning investigation will be placed in the All written submissions must conform the conduct of this phase of the nonpublic record on May 27, 2021, and with the provisions of § 201.8 of the investigation, hearing procedures, and a public version will be issued Commission’s rules; any submissions rules of general application, consult the thereafter, pursuant to § 207.22 of the that contain BPI must also conform with Commission’s Rules of Practice and Commission’s rules. the requirements of §§ 201.6, 207.3, and Procedure, part 201, subparts A and B Hearing.—The Commission will hold 207.7 of the Commission’s rules. The (19 CFR part 201), and part 207, a hearing in connection with the final Commission’s Handbook on Filing subparts A and C (19 CFR part 207). phase of this investigation beginning at Procedures, available on the Participation in the investigation and 9:30 a.m. on June 15, 2021. Information Commission’s website at https:// public service list.—Persons, including about the place and form of the hearing, www.usitc.gov/documents/handbook_ industrial users of the subject including about how to participate in on_filing_procedures.pdf, elaborates merchandise and, if the merchandise is and/or view the hearing, will be posted upon the Commission’s procedures with sold at the retail level, representative on the Commission’s website at https:// respect to filings. consumer organizations, wishing to www.usitc.gov/calendarpad/ Additional written submissions to the participate in the final phase of this calendar.html. Interested parties should Commission, including requests investigation as parties must file an check the Commission’s website pursuant to § 201.12 of the periodically for updates. Requests to Commission’s rules, shall not be 1 For Commerce’s complete scope, see ‘‘Seamless appear at the hearing should be filed in accepted unless good cause is shown for Refined Copper Pipe and Tube From the Socialist writing with the Secretary to the accepting such submissions, or unless Republic of Vietnam: Preliminary Affirmative Determination of Sales at Less Than Fair Value and Commission on or before June 8, 2021. the submission is pursuant to a specific Preliminary Negative Determination of Critical A nonparty who has testimony that may request by a Commissioner or Circumstances,’’ 86 FR 7698, February 1, 2021. aid the Commission’s deliberations may Commission staff.
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In accordance with §§ 201.16(c) and FOR FURTHER INFORMATION CONTACT: Temporary Employment of H–2A 207.3 of the Commission’s rules, each Brian Pasternak, Administrator, Office Nonimmigrants in Non-Range document filed by a party to the of Foreign Labor Certification, Occupations in the United States, 85 FR investigation must be served on all other Employment and Training 70445 (2020 AEWR final rule), to parties to the investigation (as identified Administration, U.S. Department of establish a new methodology for setting by either the public or BPI service list), Labor, 200 Constitution Avenue NW, hourly AEWRs, effective December 21, and a certificate of service must be Room N–5311, Washington, DC 20210, 2020. On December 23, 2020, the U.S. timely filed. The Secretary will not telephone: (202) 693–8200 (this is not a District Court for the Eastern District of accept a document for filing without a toll-free number). Individuals with California issued an order enjoining the certificate of service. hearing or speech impairments may Department from implementing the Authority: This investigation is being access the telephone numbers above via 2020 AEWR final rule and ordering the conducted under authority of title VII of TTY/TDD by calling the toll-free Federal Department to operate under the 2010 the Tariff Act of 1930; this notice is Information Relay Service at 1 (877) rule, Temporary Agricultural published pursuant to § 207.21 of the 889–5627. Employment of H–2A Aliens in the Commission’s rules. SUPPLEMENTARY INFORMATION: The U.S. United States, 75 FR 6884 (Feb. 12, By order of the Commission. Citizenship and Immigration Services of 2010). Order Granting Plaintiffs’ Motion for a Preliminary Injunction, United Issued: February 18, 2021. the Department of Homeland Security will not approve an employer’s petition Farm Workers, et al. v. U.S. Dep’t of Lisa Barton, Labor, et al., No. 20–cv–1690 (E.D. Cal.), Secretary to the Commission. for the admission of H–2A nonimmigrant temporary and seasonal ECF No. 37. On January 12, 2021, the [FR Doc. 2021–03678 Filed 2–22–21; 8:45 am] agricultural workers in the United States district court issued a supplemental BILLING CODE 7020–02–P unless the petitioner has received an order requiring the Department to H–2A labor certification from the publish the AEWRs for 2021 in the Department. The labor certification Federal Register on or before February provides that: (1) There are not 25, 2021, using the methodology set DEPARTMENT OF LABOR sufficient U.S. workers who are able, forth in the 2010 rule, and to make those AEWRs effective upon their publication. Employment and Training willing, and qualified and who will be Supplemental Order Regarding Administration available at the time and place needed to perform the labor or services involved Preliminary Injunctive Relief, United Labor Certification Process for the in the petition; and (2) the employment Farm Workers, et al. v. U.S. Dep’t of Temporary Employment of Aliens in of the foreign worker(s) in such labor or Labor, et al., No. 20–cv–1690 (E.D. Cal.), Agriculture in the United States: 2021 services will not adversely affect the ECF No. 39. Pursuant to the district Adverse Effect Wage Rates for Non- wages and working conditions of court’s supplemental order, the Range Occupations workers in the United States similarly Department notified state workforce employed. 8 U.S.C. 1101(a)(15)(H)(ii)(a), agencies (SWAs), employers, and the AGENCY: Employment and Training 1184(c)(1), and 1188(a); 8 CFR general public that the AEWRs in effect Administration (ETA), Labor. 214.2(h)(5); 20 CFR 655.100. on December 20, 2020, remained in ACTION: Notice. effect during the interim period until Adverse Effect Wage Rates for 2021 the Department published this update of SUMMARY: The Employment and The Department’s H–2A regulations at the AEWRs for 2021 in the Federal Training Administration (ETA) of the 20 CFR 655.122(l) provide that Register. See, e.g., Announcements, Department of Labor (Department) is employers must pay their H–2A workers OFLC Announces Updates to issuing this notice to announce the 2021 and workers in corresponding Implementation of the H–2A Adverse Adverse Effect Wage Rates (AEWR) for employment at least the highest of: (i) Effect Wage Rate Methodology for Non- the employment of temporary or The AEWR; (ii) the prevailing hourly Range Occupations Final Rule; seasonal nonimmigrant foreign workers wage rate; (iii) the prevailing piece rate; Compliance with District Court Order (H–2A workers) to perform agricultural (iv) the agreed-upon collective (Jan. 15, 2021), available at https:// labor or services other than the herding bargaining wage rate; or (v) the federal www.dol.gov/agencies/eta/foreign-labor/ or production of livestock on the range. or state minimum wage rate in effect at news. As reflected in the Department’s AEWRs are the minimum wage rates the the time the work is performed. Further, announcement on the OFLC website at Department has determined must be when the AEWR is adjusted during a https://www.dol.gov/agencies/eta/ offered and paid by employers to H–2A work contract and is higher than the foreign-labor/news, the district court’s workers and workers in corresponding highest of the previous AEWR, the supplemental order also reserved employment for a particular occupation prevailing rate, the agreed-upon decision on whether an award of and area so that the wages and working collective bargaining wage, the Federal backpay to affected H–2A workers may conditions of similarly employed minimum wage rate, or the state be warranted based on the difference, if workers in the United States will not be minimum wage rate, the employer must any, between the applicable 2020 adversely affected. In this notice, the pay that adjusted AEWR upon the AEWRs and the 2021 AEWRs Department announces updates of the effective date of the new rate, as announced in this notice. AEWRs, which are effective provided in the applicable Federal Accordingly, the 2021 AEWRs for all immediately pursuant to a recent federal Register Notice. See 20 CFR 655.122(l) agricultural employment (except for the court order. Supplemental Order (requiring the applicable AEWR or other herding or production of livestock on Regarding Preliminary Injunctive Relief, wage rate to be paid based on the AEWR the range, which is covered by 20 CFR United Farm Workers, et al. v. U.S. or rate in effect ‘‘at the time work is 655.200–235) for which temporary H– Dep’t of Labor, et al., No. 20–cv–1690 performed’’). 2A certification is being sought is equal (E.D. Cal. Jan. 12, 2021), ECF No. 39. On November 5, 2020, the Department to the annual weighted average hourly DATES: These rates are applicable published a final rule, Adverse Effect wage rate for field and livestock workers February 23, 2021. Wage Rate Methodology for the (combined) in the state or region as
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published by the U.S. Department of TABLE—2021 ADVERSE EFFECT WAGE and Conflict of Interest and Disclosure Agriculture (USDA) in the 2020 Farm RATES—Continued Form outlined in this notice. OSHA Labor Report on February 11, 2021. sought approval of these requirements The 2021 AEWRs to be paid for State 2021 under the Paperwork Reduction Act of agricultural work performed by H–2A AEWRs 1995 (PRA), and, as required by that and U.S. workers on and after the Act, is announcing the approval effective date of this notice are set forth Rhode Island ...... 14.99 numbers and expiration dates for these South Carolina ...... 11.81 in the table below: South Dakota ...... 15.89 requirements and regulations. Tennessee ...... 12.96 DATES: Applicable February 23, 2021. TABLE—2021 ADVERSE EFFECT WAGE Texas ...... 13.03 RATES Utah ...... 14.82 FOR FURTHER INFORMATION CONTACT: Vermont ...... 14.99 Seleda Perryman or Theda Kenney, Virginia ...... 13.15 Directorate of Standards and Guidance, State 2021 AEWRs Washington ...... 16.34 OSHA, U.S. Department of Labor, West Virginia ...... 12.96 telephone (202) 693–2222. Alabama ...... $11.81 Wisconsin ...... 14.72 Arizona ...... 13.67 Wyoming ...... 14.55 SUPPLEMENTARY INFORMATION: In a series Arkansas ...... 11.88 of Federal Register notices, the agency California ...... 16.05 Dated: February 18, 2021. provided 60-day comment periods for Colorado ...... 14.82 the public to respond to OSHA’s burden Milton A. Stewart, Connecticut ...... 14.99 hour and cost estimates. The various Delaware ...... 14.05 Acting Secretary of Labor. information collection (paperwork) Florida ...... 12.08 [FR Doc. 2021–03752 Filed 2–19–21; 4:15 pm] Georgia ...... 11.81 requirements in the safety and health BILLING CODE 4510–FP–P Hawaii ...... 15.56 standards pertain to general industry, Idaho ...... 14.55 construction, shipyards and maritime Illinois ...... 15.31 (i.e., 29 CFR parts 1910, 1915, and DEPARTMENT OF LABOR Indiana ...... 15.31 1926), and its regulations on the OSHA Iowa ...... 15.37 Occupational Safety and Health Student Data Form and OSHA’s Conflict Kansas ...... 15.89 of Interest and Disclosure Form. Kentucky ...... 12.96 Administration Louisiana ...... 11.88 In accordance with the PRA (44 Maine ...... 14.99 Agency Information Collection U.S.C. 3501–3520), OMB approved Maryland ...... 14.05 Activities: Announcement of the Office these information collection Massachusetts ...... 14.99 of Management and Budget (OMB) requirements. The table provides the Michigan ...... 14.72 Control Numbers Under the Paperwork following information for each of these Minnesota ...... 14.72 Reduction Act requirements approved by OMB: The Mississippi ...... 11.88 title of the Federal Register notice; the Missouri ...... 15.37 AGENCY: Occupational Safety and Health Federal Register citation (date, volume, Montana ...... 14.55 Administration (OSHA), Labor. and leading page); OSHA docket Nebraska ...... 15.89 ACTION: Notice; announcement of the number; OMB’s Control Number; and Nevada ...... 14.82 Office of Management and Budget’s the new expiration date. New Hampshire ...... 14.99 (OMB) approval of information New Jersey ...... 14.05 collection requirements. In accordance with 5 CFR 1320.5(b), New Mexico ...... 13.67 an agency cannot conduct, sponsor, or New York ...... 14.99 SUMMARY: The Occupational Safety and require a response to a collection of North Carolina ...... 13.15 North Dakota ...... 15.89 Health Administration (OSHA) information unless the collection Ohio ...... 15.31 announces that OMB extended approval displays a valid OMB control number Oklahoma ...... 13.03 for information collection requirements and the agency informs respondents that Oregon ...... 16.34 found in OSHA’s standards and its they need not respond to the collection Pennsylvania ...... 14.05 regulations on the Student Data Form of information.
Date of Federal Register publication, OMB control Title of the information collection request Federal Register citation, and OSHA Docket No. No. Expiration date
1,3-Butadiene Standard (29 CFR 1910.1051)...... December 27, 2019, 84 FR 71477, Docket No. 1218–0170 07/31/2023 OSHA–2012–0027. 4,4’-Methylenedianiline for General Industry (29 CFR November 12, 2019, 84 FR 61077, Docket No. 1218–0184 07/31/3023 1910.1050). OSHA–2012–0040. Access to Employee Exposure and Medical Records February 2, 2020, 85 FR 6580, Docket No. OSHA– 1218–0065 10/31/2023 (29 CFR 1910.1020). 2009–0043. Aerial Lifts Standard (29 CFR 1926.453) ...... February 26, 2020, 85 FR 11110, Docket No. OSHA– 1218–0216 10/31/2023 2009–0045. Asbestos in General Industry Standard (29 CFR February 6, 2020, 85 FR 6979, Docket No. OSHA– 1218–0133 07/31/2023 1910.1001). 2010–0018. Asbestos in Shipyards Standard (29 CFR 1915.1001) November 29, 2019, 84 FR 65849, Docket No. 1218–0195 07/31/2023 OSHA–2012–0009. Benzene (29 CFR 1910.1028)...... November 29, 2019, 84 FR 65848, Docket No. 1218–0129 07/31/2023 OSHA–2013–0008. Cadmium in Construction Standard (29 CFR November 29, 2019, 84 FR 65844, Docket No. 1218–0186 06/30/2023 1926.1127). OSHA–2012–0004. Construction Fall Protection Systems Criteria, Prac- February 26, 2020, 85 FR 11118, Docket No. OSHA– 1218–0197 10/31/2023 tices, and Training Requirements. 2010–0008.
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Date of Federal Register publication, OMB control Title of the information collection request Federal Register citation, and OSHA Docket No. No. Expiration date
Crawler, Locomotive, and Truck Cranes Standard (29 February 26, 2020, 85 FR 11112, Docket No. OSHA– 1218–0221 10/31/2023 CFR 1910.180). 2010–0015. Derricks Standard (29 CFR 1910.181) ...... October 1, 2019, 84 FR 52143, Docket No. OSHA– 1218–0222 07/31/2023 2010–0016. Ethylene Oxide Standard (29 CFR 1910.1047) ...... May 27, 2020, 85 FR 31812, Docket No. OSHA– 1218–0108 12/31/2023 2009–0035. Formaldehyde Standard (29 CFR 1910.1048) ...... February 26, 2020, 85 FR 11107, Docket No. OSHA– 1218–0145 10/31/2023 2009–0041. Hazardous Waste Operations and Emergency Re- November 8, 2019, 84 FR 60455, Docket No. OSHA– 1218–0202 12/31/2023 sponse (HAZWOPER) Standard (29 CFR 2011–0862. 1910.120). Hexavalent Chromium Standards for General Industry October 25, 2019, 84 FR 57488, Docket No. OSHA– 1218–0252 06/30/2023 (29 CFR 1910.1026), Shipyard Employment (29 2012–0034. CFR 1915.1026), and Construction (29 CFR 1926.1126). Lead in General Industry Standard (29 CFR August 27, 2019, 84 FR 44931, Docket No. OSHA– 1218–0092 04/30/2023 1910.1025). 2012–0013. Logging Operations Standard (29 CFR 1910.266) ...... April 24, 2020, 85 FR 23068, Docket No. OSHA– 1218–0198 12/31/2023 2010–0041. Manlifts Standard (29 CFR 1910.68(e)) ...... June 2, 2020, 85 FR 33734, Docket No. OSHA– 1218–0226 12/31/2023 2010–0051. Occupational Safety and Health Administration Con- December 23, 2019, 84 FR 70572, Docket No. 1218–0255 10/31/2023 flict of Interest and Disclosure Form. OSHA–2009–0042. Presence Sensing Device Initiation (PSDI) Standard April 9, 2020, 85 FR 19961, Docket No. OSHA– 1218–0143 10/31/2023 (29 CFR 1910.217(h)). 2010–0009. Respirable Crystalline Silica Standards for General In- October 1, 2019, 84 FR 52144, Docket No. OSHA– 1218–0266 06/30/2023 dustry, Maritime (29 CFR 1910.1053) and Con- 2019–0002. struction (29 CFR 1926.1053). Rigging Equipment for Material Handling (29 CFR June 24, 2020, 85 FR 37960, Docker No. OSHA– 1218–0233 12/31/2023 1926.251). 2010–0038. Special Dipping and Coating Operations (Dip Tanks) November 8, 2019, 84 FR 60454, Docket No. OSHA– 1218–0237 06/30/2023 (29 CFR 1910.126(g)(4)). 2010–0020. Standard on 4,4′-Methylenedianiline for General In- November 12, 2019, 84 FR 61077, Docket No. 1218–0184 07/31/2023 dustry (29 CFR 1910.1050). OSHA–2012–0040. Student Data Form...... December 27, 2019, 84 FR 71478, Docket No. 1218–0172 07/31/2023 OSHA–2010–0022. Walking-Working Surfaces Standard (29 CFR part July 25, 2019, 84 FR 35888, Docket No. OSHA– 1218–0199 07/31/2023 1910, subpart D). 2013–0002. Welding, Cutting, and Brazing Standard (29 CFR part November 21, 2019, 84 FR 64348, Docket No. 1218–0207 07/31/2023 1910, subpart Q). OSHA–2010–0037.
Authority and Signature DEPARTMENT OF LABOR notice, or requests for an extension of time to make a submission, on or before Amanda L. Edens, Deputy Assistant Occupational Safety and Health March 10, 2021. Secretary of Labor for Occupational Administration ADDRESSES: Comments may be Safety and Health, directed the [Docket No. OSHA–2009–0025] submitted as follows: preparation of this notice. The authority Electronically: You may submit for this notice is the Paperwork UL LLC: Applications for Expansion of comments, including attachments, Reduction Act of 1995 (44 U.S.C. 3506 Recognition and Proposed electronically at http:// et seq.) and Secretary of Labor’s Order Modification to the NRTL Program’s www.regulations.gov, the Federal No. 1–2012 (77 FR 3912). List of Appropriate Test Standards eRulemaking Portal. Follow the online Signed at Washington, DC, on February 11, instructions for submitting comments. AGENCY: 2021. Occupational Safety and Health OSHA will place comments and Administration (OSHA), Labor. requests for a hearing, including Amanda L. Edens, ACTION: Notice. personal information, in the public Deputy Assistant Secretary of Labor for docket, which will be available online. Occupational Safety and Health. SUMMARY: In this notice, OSHA Therefore, OSHA cautions interested [FR Doc. 2021–03654 Filed 2–22–21; 8:45 am] announces the applications of UL LLC, parties about submitting personal BILLING CODE 4510–26–P for expansion of recognition as a information such as Social Security Nationally Recognized Testing numbers and birthdates. Laboratory (NRTL) and presents the Docket: To read or download agency’s preliminary finding to grant comments or other material in the the applications. Additionally, OSHA docket, go to http:// proposes to add eight test standards to www.regulations.gov. Documents in the the NRTL Program’s list of appropriate docket are listed in the http:// test standards. www.regulations.gov index; however, DATES: Submit comments, information, some information (e.g., copyrighted and documents in response to this material) is not publicly available to
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read or download through this website. Coordination Activities, Directorate of application and provides a preliminary All submissions, including copyrighted Technical Support and Emergency finding. In the second notice, the agency material, are available for inspection Management, Occupational Safety and provides the final decision on the through the OSHA Docket Office. Health Administration, U.S. Department application. These notices set forth the Contact the OSHA Docket Office for of Labor, phone: (202) 693–2110 or NRTL’s scope of recognition or assistance in locating docket email: [email protected]. modifications of that scope. OSHA submissions. SUPPLEMENTARY INFORMATION: maintains an informational web page for Instructions: All submissions must each NRTL, including UL, which details include the agency name and the OSHA I. Notice of the Application for Expansion the NRTL’s scope of recognition. These docket number (OSHA–2009–0025). pages are available from the OSHA OSHA places comments and other OSHA is providing notice that UL website at http://www.osha.gov/dts/ materials, including any personal LLC (UL) is applying for an expansion otpca/nrtl/index.html. information, in the public docket of their current recognition as a NRTL. without revision, and these materials UL requests the addition of fourteen test UL currently has thirteen facilities will be available online at http:// standards to the NRTL scope of (sites) recognized by OSHA for product www.regulations.gov. Therefore, the recognition. testing and certification, with its agency cautions commenters about OSHA recognition of a NRTL signifies headquarters located at: Underwriters submitting statements they do not want that the organization meets the Laboratories, Inc., 333 Pfingsten Road, made available to the public, or requirements specified in 29 CFR Northbrook, Illinois 60062. A complete submitting comments that contain 1910.7. Recognition is an list of UL sites recognized by OSHA is personal information (either about acknowledgment that the organization available at https://www.osha.gov/dts/ themselves or others) such as Social can perform independent safety testing otpca/nrtl/ul.html. and certification of the specific products Security numbers, birth dates, and II. General Background on the medical data. covered within the scope of recognition. Applications Extension of comment period: Submit Each NRTL’s scope of recognition requests for an extension of the includes (1) the type of products the UL submitted three applications to comment period on or before March 10, NRTL may test, with each type specified OSHA to expand their recognition as a 2021 to the Office of Technical by the applicable test standard; and (2) NRTL. The first application was Programs and Coordination Activities, the recognized site(s) that has/have the received on May 31, 2019 (OSHA–2009– Directorate of Technical Support and technical capability to perform the 0025–0032), the second application was Emergency Management, Occupational product-testing and product- received on July 2, 2019 (OSHA–2009– Safety and Health Administration, U.S. certification activities for test standards 0025–0033), and the third application Department of Labor, 200 Constitution within the NRTL’s scope. Recognition is was received on April 15, 2020 (OSHA– Avenue NW, Room N–3653, not a delegation or grant of government 2009–0025–0034). The expansion Washington, DC 20210, or by fax to authority; however, recognition enables applications would add fourteen (202) 693–1644. employers to use products approved by additional test standards to UL’s NRTL the NRTL to meet OSHA standards that FOR FURTHER INFORMATION CONTACT: recognition. OSHA staff performed a Information regarding this notice is require product testing and certification. The agency processes applications by detailed analysis of the application available from the following sources: packets and reviewed other pertinent Press inquiries: Contact Mr. Frank a NRTL for initial recognition and for an information. OSHA did not perform any Meilinger, Director, OSHA Office of expansion or renewal of this on-site reviews in relation to these Communications, U.S. Department of recognition, following requirements in applications. Labor, telephone: (202) 693–1999; Appendix A to 29 CFR 1910.7. This email: [email protected]. appendix requires that the agency Table 1 lists the appropriate test General and technical information: publish two notices in the Federal standards found in UL’s applications for Contact Mr. Kevin Robinson, Director, Register in processing an application. In expansion for testing and certification of Office of Technical Programs and the first notice, OSHA announces the products under the NRTL Program.
TABLE 1—PROPOSED LIST OF APPROPRIATE TEST STANDARDS FOR INCLUSION IN UL’S NRTL SCOPE OF RECOGNITION
Test standard Test standard title
UL 6141 ...... Standard for Wind Turbines Permitting Entry of Personnel. UL 2524 ...... In-Building 2-Way Emergency Radio Communication Enhancement Systems. UL 61010–2–020 ... Electrical Equipment for Measurement, Control and Laboratory Use—Part 2–020: Particular Requirements for Laboratory Centrifuges. UL 61010–2–81 ..... Standard for Safety Requirements for Electrical Equipment for Measurement, Control and Laboratory Use—Part 2–81: Particular Requirements for Automatic and Semi-Automatic Laboratory Equipment for Analysis and Other Purposes. UL 61010–2–101 ... Safety Requirements for Electrical Equipment for Measurement, Control and Laboratory Use—Part 2–101: Particular Re- quirements for In Vitro Diagnostic (IVD) Medical Equipment. UL 9540 ...... Standard for Energy Storage Systems and Equipment. UL 498C * ...... Flatiron and Appliance Plugs. UL 489B* ...... Molded-Case Circuit Breakers, Molded-Case Switches, and Circuit-Breaker Enclosures For Use With Photovoltaic (PV) Systems. UL 60320–1 * ...... Appliance Couplers for Household and Similar General Purposes—Part 1: General Requirements. UL 4248–19 * ...... Fuseholders—Part 19: Photovoltaic Fuseholders. UL 2231–1 * ...... Personnel Protection Systems for Electric Vehicle (EV) Supply Circuits: General Requirements. UL 2231–2 * ...... Personnel Protection Systems for Electric Vehicle (EV) Supply Circuits: Particular Requirements for Protection Devices for Use in Charging Systems. UL 879A * ...... LED Sign and Sign Refrofit Kits.
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TABLE 1—PROPOSED LIST OF APPROPRIATE TEST STANDARDS FOR INCLUSION IN UL’S NRTL SCOPE OF RECOGNITION— Continued
Test standard Test standard title
UL 60335–2–89* ... Household and Similar Electrical Appliances—Safety—Part 2–89: Particular Requirements for Commercial Refrigerating Appliances with an Incorporated or Remote Refrigerant Unit or Compressor. * Represents the standards that OSHA proposes to add to the NRTL Program’s List of Appropriate Test Standards.
III. Proposal To Add New Test operational performance specifications). the test standard is for a particular type Standards to the NRTL Program’s List OSHA becomes aware of new test of product that another test standard of Appropriate Test Standards standards through various avenues. For also covers or it covers a type of product Periodically, OSHA will propose to example, OSHA may become aware of that no standard previously covered. add new test standards to the NRTL list new test standards by: (1) Monitoring In this notice, OSHA proposes to add of appropriate test standards following notifications issued by certain eight new test standards to the NRTL an evaluation of the test standard Standards Development Organizations; Program’s list of appropriate test document. To qualify as an appropriate (2) reviewing applications by NRTLs or standards. Table 2, below, lists the test test standard, the agency evaluates the applicants seeking recognition to standards that are new to the NRTL document to: (1) Verify it represents a include new test standard in their Program. OSHA preliminarily product category for which OSHA scopes of recognition; and (3) obtaining determined that these test standards are requires certification by a NRTL; (2) notification from manufacturers, appropriate test standards and proposes verify the document represents a manufacturing organizations, to include them in the NRTL Program’s product and not a component; and (3) government agencies, or other parties. list of appropriate test standards. OSHA verify the document defines safety test OSHA may determine to include a new seeks public comment on this specifications (not installation or test standard in the list, for example, if preliminary determination.
TABLE 2—STANDARDS OSHA IS PROPOSING TO ADD TO THE NRTL PROGRAM’S LIST OF APPROPRIATE TEST STANDARDS
Test standard Test standard title
UL 498C ...... Flatiron and Appliance Plugs. UL 489B ...... Molded-Case Circuit Breakers, Molded-Case Switches, and Circuit-Breaker Enclosures For Use With Photovoltaic (PV) Systems. UL 60320–1 ...... Appliance Couplers for Household and Similar General Purposes—Part 1: General Requirements. UL 4248–19 ...... Fuseholders—Part 19: Photovoltaic Fuseholders. UL 2231–1 ...... Personnel Protection Systems for Electric Vehicle (EV) Supply Circuits: General Requirements. UL 2231–2 ...... Personnel Protection Systems for Electric Vehicle (EV) Supply Circuits: Particular Requirements for Protection Devices for Use in Charging Systems. UL 879A ...... LED Sign and Sign Refrofit Kits. UL 60335–2–89 ..... Household and Similar Electrical Appliances—Safety—Part 2–89: Particular Requirements for Commercial Refrigerating Appliances with an Incorporated or Remote Refrigerant Unit or Compressor.
IV. Preliminary Findings on the documents and exhibits. Commenters recommendation to the Assistant Applications needing more time to comment must Secretary for Occupational Safety and UL submitted acceptable applications submit a request in writing, stating the Health whether to grant UL’s for expansion of the scope of reasons for the request. Commenters application for expansion of the scope recognition. OSHA’s review of the must submit the written request for an of recognition. The Assistant Secretary application files, and pertinent extension by the due date for comments. will make the final decision on granting documentation, indicate that UL can OSHA will limit any extension to 10 the application. In making this decision, meet the requirements prescribed by 29 days unless the requester justifies a the Assistant Secretary may undertake CFR 1910.7 for expanding the longer period. OSHA may deny a other proceedings prescribed in recognition to include the addition of request for an extension if the request is Appendix A to 29 CFR 1910.7. not adequately justified. To obtain or these fourteen test standards for NRTL OSHA will publish a public notice of testing and certification listed above. review copies of the exhibits identified in this notice, as well as comments the final decision in the Federal This preliminary finding does not Register. constitute an interim or temporary submitted to the docket, contact the approval of UL’s applications. Docket Office, Occupational Safety and V. Authority and Signature OSHA welcomes public comment as Health Administration, U.S. Department to whether UL meets the requirements of Labor. These materials also are Amanda L. Edens, Deputy Assistant of 29 CFR 1910.7 for expansion of the available online at http:// Secretary of Labor for Occupational recognition as a NRTL. OSHA www.regulations.gov under Docket No. Safety and Health, 200 Constitution additionally welcomes comments on the OSHA–2009–0025. Avenue NW, Washington, DC 20210, proposal to add eight additional test OSHA staff will review all comments authorized the preparation of this standards to the NRTL Program’s list of to the docket submitted in a timely notice. Accordingly, the agency is appropriate test standards. Comments manner and, after addressing the issues issuing this notice pursuant to Section should consist of pertinent written raised by these comments, will make a 29 U.S.C. 655(6)(d), Secretary of Labor’s
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Order No. 8–2020 (85 FR 58393; Sept. Instructions: All submissions must the NRTL to meet OSHA standards that 18, 2020), and 29 CFR 1905.11. include the agency name and OSHA require product testing and certification. Signed at Washington, DC, on February 11, docket number (OSHA–2009–0026). All The agency processes applications by 2021. comments, including any personal a NRTL for initial recognition and for an Amanda L. Edens, information you provide, are placed in expansion or renewal of this Deputy Assistant Secretary of Labor for the public docket without change, and recognition, following requirements in Occupational Safety and Health. may be made available online at http:// Appendix A to 29 CFR 1910.7. This [FR Doc. 2021–03653 Filed 2–22–21; 8:45 am] www.regulations.gov. appendix requires that the agency Extension of comment period: Submit BILLING CODE 4510–26–P publish two notices in the Federal requests for an extension of the Register in processing an application. In comment period on or before March 10, the first notice, OSHA announces the DEPARTMENT OF LABOR 2021 to the Office of Technical application and provides a preliminary Programs and Coordination Activities, finding. In the second notice, the agency Occupational Safety and Health Directorate of Technical Support and provides the final decision on the Administration Emergency Management, Occupational application. These notices set forth the [Docket No. OSHA–2009–0026] Safety and Health Administration, U.S. NRTL’s scope of recognition or Department of Labor, 200 Constitution modifications of that scope. OSHA Bureau Veritas Consumer Products Avenue NW, Room N–3655, maintains an informational web page for Services, Inc.: Application for Washington, DC 20210, or by fax to each NRTL, including BVCPS, which Expansion of Recognition (202) 693–1644. details the NRTL’s scope of recognition. FOR FURTHER INFORMATION CONTACT: These pages are available from the AGENCY: Occupational Safety and Health Information regarding this notice is OSHA website at: http://www.osha.gov/ Administration (OSHA), Labor. available from the following sources: dts/otpca/nrtl/index.html. ACTION: Notice. Press inquiries: Contact Mr. Frank BVCPS currently has one facility (site) SUMMARY: In this notice, OSHA Meilinger, Director, OSHA Office of recognized by OSHA for product testing announces the application of Bureau Communications, U.S. Department of and certification, with headquarters Veritas Consumer Products Services, Labor, telephone: (202) 693–1999; located at: Bureau Veritas Consumer Inc. for expansion of the scope of email: [email protected]. Products Services, Inc., One recognition as a Nationally Recognized General and technical information: Distribution Circle, Suite #1, Littleton, Testing Laboratory (NRTL) and presents Contact Mr. Kevin Robinson, Director, MA 01460. A complete list of BVCPS’s the agency’s preliminary finding to Office of Technical Programs and scope of recognition is available at: grant the application. Coordination Activities, Directorate of https://www.osha.gov/dts/otpca/nrtl/ DATES: Submit comments, information, Technical Support and Emergency csl.html. and documents in response to this Management, Occupational Safety and Health Administration, U.S. Department II. General Background on the notice, or requests for an extension of Application time to make a submission, on or before of Labor, phone: (202) 693–2110 or March 10, 2021. email: [email protected]. BVCPS submitted an application, ADDRESSES: Comments may be SUPPLEMENTARY INFORMATION: dated June 28, 2018 (OSHA–2009– submitted as follows: 0026–0084), to expand recognition to I. Notice of the Application for include the addition of two recognized Electronically: You may submit Expansion comments, including attachments, testing and certification sites. BVCPS electronically at http:// OSHA is providing notice that Bureau amended this application on May 20, www.regulations.gov, the Federal Veritas Consumer Product Services, Inc. 2020, to include the addition of twenty- eRulemaking Portal. Follow the online (BVCPS), is applying for expansion of two recognized test standards. The first instructions for submitting comments. recognition as a NRTL. BVCPS requests site is located at: Bureau Veritas OSHA will place comments and the addition of two recognized testing Consumer Products Services (H.K.) Ltd. requests for a hearing, including sites and twenty-two test standards to Taoyuan Branch, No. 19, Hwa Ya 2nd personal information, in the public the NRTL scope of recognition. Rd., Wen Hwa Vil., Kewi Shan Dist., docket, which will be available online. OSHA recognition of a NRTL signifies Taoyuan City, Taiwan. The second site Therefore, OSHA cautions interested that the organization meets the is located at: LCIE China Company parties about submitting personal requirements specified in 29 CFR Limited, Building 4, No. 518, Xin Zhuan information such as Social Security 1910.7. Recognition is an Road, CaoHejiing Songjiang High-Tech numbers and birthdates. acknowledgment that the organization Park, Shanghai, 201612 China. One of Docket: To read or download can perform independent safety testing the standards requested in the comments or other material in the and certification of the specific products application, UL 962, is already included docket, go to http:// covered within the scope of recognition. in BVCPS’s current NRTL scope of www.regulations.gov. Documents in the Each NRTL’s scope of recognition recognition and will not be considered docket are listed in the http:// includes (1) the type of products the in this notice. OSHA staff performed on- www.regulations.gov index; however, NRTL may test, with each type specified site reviews of BVCPS’s Shanghai China some information (e.g., copyrighted by the applicable test standard; and (2) testing facility on February 27–28, 2019, material) is not publicly available to the recognized site(s) that has/have the and BVCPS Taoyuan Branch’s testing read or download through this website. technical capability to perform the facility on March 5–6, 2019, in which All submissions, including copyrighted product-testing and product- the assessors found some non- material, are available for inspection certification activities for test standards conformances with the requirements of through the OSHA Docket Office. within the NRTL’s scope. Recognition is 29 CFR 1910.7. BVCPS addressed these Contact the OSHA Docket Office for not a delegation or grant of government non-conformances satisfactorily, and assistance in locating docket authority; however, recognition enables OSHA has made a preliminary decision submissions. employers to use products approved by to approve the application.
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Table 1 below lists the appropriate application to expand BVCPS’s NRTL certification of products under the test standards found in BVCPS’s scope of recognition for testing and NRTL Program.
TABLE 1—PROPOSED LIST OF APPROPRIATE TEST STANDARDS FOR INCLUSION IN BVCPS’S NRTL SCOPE OF RECOGNITION
Test standard Test standard title
UL 1081 ...... Electric Swimming Pools Pumps, Filters and Chlorinators. UL 1450 ...... Motor-Operated Air Compressors, Vacuum Pumps and Painting Equipment. UL 1563 ...... Electric Spas, Equipment Assemblies and Associated Equipment. UL 60335–2–24 .... Household Refrigerators and Freezers. UL 471 ...... Commercial Refrigerators and Freezers. UL 484 ...... Room Air Conditioners. UL 60335–2–40 .... Household and Similar Electrical Appliances, Part 2: Particular Requirements for Electrical Heat Pumps, Air-Conditioners and Dehumidifiers. UL 778 ...... Motor-Operated Water Pumps. UL 859 ...... Personal Grooming Appliance. UL 867 ...... Electrostatic Air Cleaners. UL 1598C ...... Light Emitting Diode (LED) Retrofit Luminaire Conversion Kit. UL 1838 ...... Low Voltage Landscape Lighting Systems. UL 2108 ...... Low Voltage Lighting Systems. UL 60745–2–13 .... Particular Requirements for Chain Saws. UL 60745–2–14 .... Particular Requirements for Planers. UL 60745–2–15 .... Particular Requirements Hedge Trimmers. UL 60745–2–16 .... Particular Requirements for Tackers. UL 60745–2–17 .... Particular Requirements for Routers and Trimmers. UL 60745–2–22 .... Particular Requirements for Cut-Off Machines. UL 60745–2–8 ...... Particular Requirements for Shears and Nibblers. UL 60745–2–9 ...... Particular Requirements for Tappers.
III. Preliminary Findings on the Labor. These materials also are available Signed at Washington, DC, on February 12, Application online at http://www.regulations.gov 2021. Amanda L. Edens, BVCPS submitted an acceptable under Docket No. OSHA–2009–0026. application for expansion of the scope OSHA staff will review all comments Deputy Assistant Secretary of Labor for Occupational Safety and Health. of recognition. OSHA’s review of the to the docket submitted in a timely application file and pertinent manner. After addressing the issues [FR Doc. 2021–03650 Filed 2–22–21; 8:45 am] documentation indicates BVCPS can raised by these comments, the agency BILLING CODE 4510–26–P meet the requirements prescribed by 29 will make a recommendation to the CFR 1910.7 for expanding recognition to Assistant Secretary for Occupational DEPARTMENT OF LABOR include the addition of the twenty-one Safety and Health whether to grant test standards for NRTL testing and BVCPS’s application for expansion of Occupational Safety and Health certification, as well as the two testing the scope of recognition. The Assistant Administration sites listed above. This preliminary Secretary will make the final decision [Docket No. OSHA–2013–0030] finding does not constitute an interim or on granting the application. In making temporary approval of BVCPS’s this decision, the Assistant Secretary IAPMO Ventures, LLC dba IAPMO EGS: application. may undertake other proceedings Application for Expansion of OSHA welcomes public comment as prescribed in Appendix A to 29 CFR Recognition to whether BVCPS meets the 1910.7. requirements of 29 CFR 1910.7 for AGENCY: Occupational Safety and Health expansion of recognition as a NRTL. OSHA will publish a public notice of Administration (OSHA), Labor. Comments should consist of pertinent its final decision in the Federal ACTION: Notice. written documents and exhibits. Register. Commenters needing more time to SUMMARY: In this notice, OSHA IV. Authority and Signature comment must submit a request in announces the application of IAPMO writing, stating the reasons for the Amanda L. Edens, Deputy Assistant Ventures, LLC dba IAPMO EGS for request. Commenters must submit the Secretary of Labor for Occupational expansion of recognition as a Nationally Recognized Testing Laboratory (NRTL) written request for an extension by the Safety and Health, 200 Constitution and presents the agency’s preliminary due date for comments. OSHA will limit Avenue NW, Washington, DC 20210, finding to grant the application. any extension to 10 days unless the authorized the preparation of this DATES: requester justifies a longer period. notice. Accordingly, the agency is Submit comments, information, and documents in response to this OSHA may deny a request for an issuing this notice pursuant to Section extension if the request is not notice, or requests for an extension of 29 U.S.C. 655(6)(d), Secretary of Labor’s adequately justified. To obtain or review time to make a submission, on or before Order No. 8–2020 (85 FR 58393; Sept. copies of the exhibits identified in this March 10, 2021. 18, 2020), and 29 CFR 1905.11. notice, as well as comments submitted ADDRESSES: Comments may be to the docket, contact the Docket Office, submitted as follows: Occupational Safety and Health Electronically: You may submit Administration, U.S. Department of comments, including attachments,
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electronically at http:// Washington, DC 20210, or by fax to recognition, following requirements in www.regulations.gov, the Federal (202) 693–1644. Appendix A to 29 CFR 1910.7. This eRulemaking Portal. Follow the online FOR FURTHER INFORMATION CONTACT: appendix requires that the agency instructions for submitting comments. Information regarding this notice is publish two notices in the Federal OSHA will place comments and available from the following sources: Register in processing an application. In requests for a hearing, including Press inquiries: Contact Mr. Frank the first notice, OSHA announces the personal information, in the public Meilinger, Director, OSHA Office of application and provides a preliminary docket, which will be available online. Communications, U.S. Department of finding. In the second notice, the agency Therefore, OSHA cautions interested Labor, phone: (202) 693–1999 or email: provides the final decision on the parties about submitting personal [email protected]. application. These notices set forth the information such as Social Security General and technical information: NRTL’s scope of recognition or numbers and birthdates. Contact Mr. Kevin Robinson, Director, modifications of that scope. OSHA Docket: To read or download OSHA Office of Technical Programs and maintains an informational web page for comments or other material in the Coordination Activities, Directorate of each NRTL, including IAPMO, which docket, go to http:// Technical Support and Emergency details the NRTL’s scope of recognition. www.regulations.gov. Documents in the Management, U.S. Department of Labor, These pages are available from the docket are listed in the http:// phone: (202) 693–2110 or email: OSHA website at http://www.osha.gov/ www.regulations.gov index; however, [email protected]. dts/otpca/nrtl/index.html. some information (e.g., copyrighted SUPPLEMENTARY INFORMATION: IAPMO currently has one facility material) is not publicly available to (site) recognized by OSHA for product read or download through this website. I. Notice of the Application for testing and certification, with the All submissions, including copyrighted Expansion headquarters located at: IAPMO material, are available for inspection OSHA is providing notice that IAPMO Ventures, LLC dba IAPMO EGS, 5001 through the OSHA Docket Office. Ventures, LLC dba IAPMO EGS East Philadelphia Street, Ontario, Contact the OSHA Docket Office for (IAPMO) is applying for an expansion of California 91761. A complete list of assistance in locating docket current recognition as a NRTL. IAPMO IAPMO’s scope of recognition is submissions. requests the addition of six test available at https://www.osha.gov/dts/ Instructions: All submissions must standards to the NRTL scope of otpca/nrtl/iapmo.html. include the agency name and the OSHA recognition. docket number (OSHA–2013–0030). OSHA recognition of a NRTL signifies II. General Background on the OSHA places comments and other that the organization meets the Application materials, including any personal requirements specified in 29 CFR information, in the public docket 1910.7. Recognition is an IAPMO submitted two applications to without revision, and these materials acknowledgment that the organization OSHA to expand their NRTL will be available online at http:// can perform independent safety testing recognition. The first application to add www.regulations.gov. Therefore, the and certification of the specific products one standard to the NRTL scope of agency cautions commenters about covered within the scope of recognition. recognition was received on September submitting statements they do not want Each NRTL’s scope of recognition 29, 2019 (OSHA–2010–0030–0014), and made available to the public, or includes (1) the type of products the this application was amended on submitting comments that contain NRTL may test, with each type specified November 25, 2020 (OSHA–2010–0030– personal information (either about by the applicable test standard; and (2) 0015), to add five additional standards. themselves or others) such as Social the recognized site(s) that has/have the The applications would add six Security numbers, birth dates, and technical capability to perform the additional test standards to the NRTL medical data. product-testing and product- scope of recognition. OSHA staff Extension of comment period: Submit certification activities for test standards performed a detailed analysis of the requests for an extension of the within the NRTL’s scope. Recognition is application packets and reviewed other comment period on or before March 10, not a delegation or grant of government pertinent information. OSHA did not 2021 to the Office of Technical authority; however, recognition enables perform any on-site reviews in relation Programs and Coordination Activities, employers to use products approved by to these applications. Directorate of Technical Support and the NRTL to meet OSHA standards that Table 1 lists the appropriate test Emergency Management, Occupational require product testing and certification. standards found in IAPMO’s application Safety and Health Administration, U.S. The agency processes applications by for expansion for testing and Department of Labor, 200 Constitution a NRTL for initial recognition and for an certification of products under the Avenue NW, Room N–3653, expansion or renewal of this NRTL Program.
TABLE 1—PROPOSED LIST OF APPROPRIATE TEST STANDARDS FOR INCLUSION IN IAPMO’S NRTL SCOPE OF RECOGNITION
Test standard Test standard title
UL 197 ...... Standard for Commercial Electric Cooking Appliances. UL 962 ...... Standard for Household and Commercial Furnishings. UL 676 ...... Standard for Underwater Luminaires and Submersible Junction Boxes. UL 73 ...... Standard for Safety Motor-Operated Appliances. UL 763 ...... Standard for Commercial Safety for Motor-Operated Commercial Food Preparing Machines. UL 399 ...... Drinking Water Coolers.
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III. Preliminary Findings on the Order No. 8–2020 (85 FR 58393; Sept. Instructions: All submissions must Application 18, 2020), and 29 CFR 1905.11. include the agency name and OSHA Signed at Washington, DC, on February 11, docket number (OSHA–2006–0042). All IAPMO submitted acceptable comments, including any personal applications for expansion of the scope 2021. Amanda L. Edens, information you provide, are placed in of recognition. OSHA’s review of the the public docket without change, and application files, and pertinent Deputy Assistant Secretary of Labor for Occupational Safety and Health. may be made available online at http:// documentation, indicate that IAPMO www.regulations.gov. For further [FR Doc. 2021–03652 Filed 2–22–21; 8:45 am] can meet the requirements prescribed by information on submitting comments, 29 CFR 1910.7 for expanding the BILLING CODE 4510–26–P see the section of this notice titled recognition to include the addition of SUPPLEMENTARY INFORMATION. the six test standards for NRTL testing DEPARTMENT OF LABOR Extension of comment period: Submit and certification listed above. This requests for an extension of the preliminary finding does not constitute Occupational Safety and Health comment period on or before March 10, an interim or temporary approval of Administration 2021 to the Office of Technical IAPMO’s applications. Programs and Coordination Activities, OSHA welcomes public comment as [Docket No. OSHA–2006–0042] Directorate of Technical Support and to whether IAPMO meets the CSA Group Testing & Certification Inc.: Emergency Management, Occupational requirements of 29 CFR 1910.7 for Safety and Health Administration, U.S. expansion of the recognition as a NRTL. Application for Expansion of Recognition Department of Labor, 200 Constitution Comments should consist of pertinent Avenue NW, Room N–3655, written documents and exhibits. AGENCY: Occupational Safety and Health Washington, DC 20210, or by fax to Commenters needing more time to Administration (OSHA), Labor. (202) 693–1644. comment must submit a request in ACTION: Notice. FOR FURTHER INFORMATION CONTACT: writing, stating the reasons for the Information regarding this notice is request. Commenters must submit the SUMMARY: In this notice, OSHA available from the following sources: written request for an extension by the announces the application of CSA Press inquiries: Contact Mr. Frank due date for comments. OSHA will limit Group Testing & Certification Inc. for Meilinger, Director, OSHA Office of any extension to 10 days unless the expansion of recognition as a Nationally Communications, U.S. Department of requester justifies a longer period. Recognized Testing Laboratory (NRTL) Labor by phone (202) 693–1999 or email OSHA may deny a request for an and presents the agency’s preliminary [email protected]. extension if the request is not finding to grant the application. General and technical information: adequately justified. To obtain or review DATES: Submit comments, information, Contact Mr. Kevin Robinson, Director, copies of the exhibits identified in this and documents in response to this Office of Technical Programs and notice, as well as comments submitted notice, or requests for an extension of Coordination Activities, Directorate of to the docket, contact the Docket Office, time to make a submission, on or before Technical Support and Emergency Occupational Safety and Health March 10, 2021. Management, Occupational Safety and Administration, U.S. Department of ADDRESSES: Comments may be Health Administration, U.S. Department Labor. These materials also are available submitted as follows: of Labor by phone (202) 693–2110 or online at http://www.regulations.gov Electronically: You may submit email [email protected]. under Docket No. OSHA–2010–0030. comments, including attachments, SUPPLEMENTARY INFORMATION: OSHA staff will review all comments electronically at http:// to the docket submitted in a timely www.regulations.gov, the Federal I. Notice of the Application for manner and, after addressing the issues eRulemaking Portal. Follow the online Expansion raised by these comments, will make a instructions for submitting comments. OSHA is providing notice that CSA recommendation to the Assistant OSHA will place comments and Group Testing & Certification Inc. (CSA) Secretary for Occupational Safety and requests for a hearing, including is applying for expansion of their Health whether to grant IAPMO’s personal information, in the public current recognition as a NRTL. CSA application for expansion of the scope docket, which will be available online. requests the addition of four test of recognition. The Assistant Secretary Therefore, OSHA cautions interested standards to the NRTL scope of will make the final decision on granting parties about submitting personal recognition. the application. In making this decision, information such as Social Security OSHA recognition of a NRTL signifies the Assistant Secretary may undertake numbers and birthdates. that the organization meets the other proceedings prescribed in Docket: To read or download requirements specified in 29 CFR Appendix A to 29 CFR 1910.7. comments or other material in the 1910.7. Recognition is an OSHA will publish a public notice of docket, go to http:// acknowledgment that the organization the final decision in the Federal www.regulations.gov. Documents in the can perform independent safety testing Register. docket are listed in the http:// and certification of the specific products IV. Authority and Signature www.regulations.gov index; however, covered within the scope of recognition. some information (e.g., copyrighted Each NRTL’s scope of recognition Amanda L. Edens, Deputy Assistant material) is not publicly available to includes (1) the type of products the Secretary of Labor for Occupational read or download through this website. NRTL may test, with each type specified Safety and Health, 200 Constitution All submissions, including copyrighted by the applicable test standard; and (2) Avenue NW, Washington, DC 20210, material, are available for inspection the recognized site(s) that has/have the authorized the preparation of this through the OSHA Docket Office. technical capability to perform the notice. Accordingly, the agency is Contact the OSHA Docket Office for product-testing and product- issuing this notice pursuant to Section assistance in locating docket certification activities for test standards 29 U.S.C. 655(6)(d), Secretary of Labor’s submissions. within the NRTL’s scope. Recognition is
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not a delegation or grant of government recognition or modifications of that II. General Background on the authority; however, recognition enables scope. OSHA maintains an Application employers to use products approved by informational web page for each NRTL, the NRTL to meet OSHA standards that including CSA, which details the CSA submitted an application, dated require product testing and certification. NRTL’s scope of recognition. These July 17, 2019 (OSHA–2006–0042–0018), The agency processes an application pages are available from the OSHA to expand their recognition to include by a NRTL for initial recognition and for website at http://www.osha.gov/dts/ four additional test standards. OSHA an expansion or renewal of this otpca/nrtl/index.html. staff performed detailed analysis of the recognition, following requirements in application packet and reviewed other Appendix A, 29 CFR 1910.7. This CSA currently has seven facilities pertinent information. OSHA did not (sites) recognized by OSHA for product appendix requires that the agency perform any on-site reviews in relation testing and certification. The publish two notices in the Federal to this application. Register in processing an application. In headquarters location is Canadian the first notice, OSHA announces the Standards Association, 178 Rexdale Table 1 below lists the appropriate application and provides the Boulevard, Etobicoke, Ontario, M9W test standards found in CSA’s preliminary finding. In the second 1R3, Canada. A complete list of CSA’s application for expansion for testing and notice, the agency provides the final scope of recognition is available at certification of products under the decision on the application. These https://www.osha.gov/dts/otpca/nrtl/ NRTL Program. notices set forth the NRTL’s scope of csa.html.
TABLE 1—PROPOSED LIST OF APPROPRIATE TEST STANDARDS FOR INCLUSION IN CSA’S NRTL SCOPE OF RECOGNITION
Test standard Test standard title
UL 2271 ...... Standard for Batteries for Use in Light Electric Vehicle (LEV) Applications. UL 9540 ...... Standard for Energy Storage Systems and Equipment. UL 2054 ...... Standard for Household and Commercial Batteries. UL 1973 ...... Standard for Batteries for Use in Stationary, Vehicle Auxiliary Power and Light Electric Rail (LER) Applications.
III. Preliminary Findings on the OSHA staff will review all comments DEPARTMENT OF LABOR Application to the docket submitted in a timely manner and, after addressing the issues Occupational Safety and Health CSA submitted an acceptable raised by these comments, will make a Administration application for expansion of the scope recommendation to the Assistant of recognition. OSHA’s review of the Secretary for Occupational Safety and [Docket No. OSHA–2006–0042] application file and pertinent Health as to whether to grant CSA’s documentation indicates that CSA can CSA Group Testing & Certification Inc.: application for expansion of the scope meet the requirements prescribed by 29 Application for Expansion of of recognition. The Assistant Secretary CFR 1910.7 for expanding their Recognition and Proposed recognition to include the addition of will make the final decision on granting Modification to the NRTL Program’s the four test standards for NRTL testing the application. In making this decision, List of Appropriate Test Standards and certification listed above. This the Assistant Secretary may undertake preliminary finding does not constitute other proceedings prescribed in AGENCY: Occupational Safety and Health an interim or temporary approval of Appendix A to 29 CFR 1910.7. Administration (OSHA), Labor. CSA’s application. OSHA will publish a public notice of ACTION: Notice. the final decision in the Federal OSHA welcomes public comment as SUMMARY: In this notice, OSHA to whether CSA meets the requirements Register. announces the application of CSA of 29 CFR 1910.7 for expansion of the IV. Authority and Signature Group Testing & Certification Inc. for recognition as a NRTL. Comments expansion of recognition as a Nationally should consist of pertinent written Amanda L. Edens, Deputy Assistant Recognized Testing Laboratory (NRTL) documents and exhibits. Commenters Secretary of Labor for Occupational and presents the agency’s preliminary needing more time to comment must Safety and Health, 200 Constitution finding to grant the application. submit a request in writing, stating the Avenue NW, Washington, DC 20210, Additionally, OSHA proposes to add reasons for the request. Commenters authorized the preparation of this four new test standards to the NRTL must submit the written request for an notice. Accordingly, the agency is program’s list of appropriate test extension by the due date for comments. issuing this notice pursuant to Section standards. OSHA will limit any extension to 10 days unless the requester justifies a 29 U.S.C. 655(6)(d), Secretary of Labor’s DATES: Submit comments, information, longer period. OSHA may deny a Order No. 8–2020 (85 FR 58393; Sept. and documents in response to this request for an extension if the request is 18, 2020), and 29 CFR 1905.11. notice, or requests for an extension of not adequately justified. To obtain or Signed at Washington, DC, on February 11, time to make a submission, on or before review copies of the exhibits identified 2021. March 10, 2021. in this notice, as well as comments Amanda L. Edens, ADDRESSES: Comments may be submitted to the docket, contact the Deputy Assistant Secretary of Labor for submitted as follows: Docket Office. These materials also are Occupational Safety and Health. Electronically: You may submit available online at http:// [FR Doc. 2021–03649 Filed 2–22–21; 8:45 am] comments, including attachments, www.regulations.gov under Docket No. electronically at http:// OSHA–2006–0042. BILLING CODE 4510–26–P www.regulations.gov, the Federal
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eRulemaking Portal. Follow the online Press inquiries: Contact Mr. Frank an expansion or renewal of this instructions for submitting comments. Meilinger, Director, OSHA Office of recognition, following requirements in OSHA will place comments and Communications, U.S. Department of Appendix A, 29 CFR 1910.7. This requests for a hearing, including Labor by phone (202) 693–1999 or email appendix requires that the agency personal information, in the public [email protected]. publish two notices in the Federal docket, which will be available online. General and technical information: Register in processing an application. In Therefore, OSHA cautions interested Contact Mr. Kevin Robinson, Director, the first notice, OSHA announces the parties about submitting personal Office of Technical Programs and application and provides the information such as Social Security Coordination Activities, Directorate of preliminary finding. In the second numbers and birthdates. Technical Support and Emergency notice, the agency provides the final Management, Occupational Safety and decision on the application. These Docket: To read or download Health Administration, U.S. Department notices set forth the NRTL’s scope of comments or other material in the of Labor by phone (202) 693–2110 or recognition or modifications of that docket, go to http:// email [email protected]. scope. OSHA maintains an www.regulations.gov. Documents in the SUPPLEMENTARY INFORMATION: informational web page for each NRTL, docket are listed in the http:// including CSA, which details the www.regulations.gov index; however, I. Notice of the Application for NRTL’s scope of recognition. These some information (e.g., copyrighted Expansion pages are available from the OSHA material) is not publicly available to OSHA is providing notice that CSA website at http://www.osha.gov/dts/ read or download through this website. Group Testing & Certification Inc. (CSA) otpca/nrtl/index.html. All submissions, including copyrighted is applying for expansion of their CSA currently has seven facilities material, are available for inspection current recognition as a NRTL. CSA (sites) recognized by OSHA for product through the OSHA Docket Office. requests the addition of twenty-two test testing and certification. The Contact the OSHA Docket Office for standards to the NRTL scope of headquarters location is Canadian assistance in locating docket recognition. submissions. OSHA recognition of a NRTL signifies Standards Association, 178 Rexdale Boulevard, Etobicoke, Ontario, M9W Instructions: All submissions must that the organization meets the requirements specified in 29 CFR 1R3, Canada. A complete list of CSA’s include the agency name and OSHA scope of recognition is available at docket number (OSHA–2006–0042). All 1910.7. Recognition is an acknowledgment that the organization https://www.osha.gov/dts/otpca/nrtl/ comments, including any personal csa.html. information you provide, are placed in can perform independent safety testing the public docket without change, and and certification of the specific products II. General Background on the may be made available online at http:// covered within the scope of recognition. Application www.regulations.gov. Therefore, the Each NRTL’s scope of recognition CSA submitted an application, dated agency cautions commenters about includes (1) the type of products the January 24, 2018 (OSHA–2006–0042– submitting statements they do not want NRTL may test, with each type specified 0019), to expand their recognition to made available to the public, or by the applicable test standard; and (2) include twenty-two additional test submitting comments that contain the recognized site(s) that has/have the standards. OSHA staff performed personal information (either about technical capability to perform the detailed analysis of the application themselves or others) such as Social product-testing and product- packet and reviewed other pertinent Security numbers, birth dates, and certification activities for test standards information. OSHA did not perform any medical data. For further information on within the NRTL’s scope. Recognition is on-site reviews in relation to this submitting comments, see the section of not a delegation or grant of government application. this notice titled SUPPLEMENTARY authority; however, recognition enables INFORMATION. employers to use products approved by Table 1 below lists the appropriate the NRTL to meet OSHA standards that test standards found in CSA’s FOR FURTHER INFORMATION CONTACT: require product testing and certification. application for expansion for testing and Information regarding this notice is The agency processes an application certification of products under the available from the following sources: by a NRTL for initial recognition and for NRTL Program.
TABLE 1—PROPOSED LIST OF APPROPRIATE TEST STANDARDS FOR INCLUSION IN CSA’S NRTL SCOPE OF RECOGNITION
Test standard Test standard title
UL 61010–2–030 ... Standard for Safety Requirements for Electrical Equipment for Measurement, Control and Laboratory Use—Part 2–030: Particular Requirements for Testing and Measuring Circuits. UL 61010–2–032* Standard for Safety Requirements for Electrical Equipment for Measurement, Control and Laboratory Use—Part 2–032: Particular Requirements for Hand-Held and Hand-Manipulated Current Sensors for Electrical Test and Measurement. UL 61010–2–033* Standard for Safety Requirements for Electrical Equipment for Measurement, Control and Laboratory Use—Part 2–033: Particular Requirements for Hand-Held Multimeters for Domestic and Professional Use, Capable of Measuring Mains Voltage. UL 61010–2–040 * Safety Requirements for Electrical Equipment for Measurement, Control and Laboratory Use—Part 2–040: Particular Re- quirements for Sterilizers and Washer-Disinfectors Used to Treat Medical Materials. UL 61010–2–081 ... Standard for Safety Requirements for Electrical Equipment for Measurement, Control and Laboratory Use—Part 2–081: Particular Requirements for Automatic and Semi-Automatic Laboratory Equipment for Analysis and Other Purposes. UL 61010–2–101 ... Safety Requirements for Electrical Equipment for Measurement, Control and Laboratory Use—Part 2–101: Particular Re- quirements for In Vitro Diagnostic (IVD) Medical Equipment. UL 61010–2–201 * Safety Requirements for Electrical Equipment for Measurement, Control and Laboratory Use—Part 2–201: Particular Re- quirements for Control Equipment. UL 61010–031 ...... Standard for Safety Requirements for Electrical Equipment for Measurement, Control and Laboratory Use—Part 031: Safety Requirements for Hand-Held and Hand-Manipulated Probe Assemblies for Electrical Test and Measurement.
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TABLE 1—PROPOSED LIST OF APPROPRIATE TEST STANDARDS FOR INCLUSION IN CSA’S NRTL SCOPE OF RECOGNITION—Continued
Test standard Test standard title
UL 62841–1 ...... Standard for Electric Motor-Operated Hand-Held Tools, Transportable Tools and Lawn and Garden Machinery—Safety— Part 1: General Requirements. UL 62841–2–2 ...... Standard for Electric Motor-Operated Hand-Held Tools, Transportable Tools and Lawn and Garden Machinery—Safety— Part 2–2: Particular Requirements for Hand-Held Screwdrivers and Impact Wrenches. UL 62841–2–4 ...... Standard for Electric Motor-Operated Hand-Held Tools, Transportable Tools and Lawn and Garden Machinery—Safety— Part 2–4: Particular Requirements for Hand-Held Sanders and Polishers Other than Disc Type. UL 62841–2–5 ...... Standard for Electric Motor-Operated Hand-Held Tools, Transportable Tools and Law and Garden Machinery—Safety— Part 2–5: Particular Requirements for Hand-Held Circular Saws. UL 62841–2–8 ...... Standard for Electric Motor-Operated Hand-Held Tools, Transportable Tools and Lawn and Garden Machinery—Safety— Part 2–8: Particular Requirements for Hand-Held Shears and Nibblers. UL 62841–2–9 ...... Standard for Electric Motor-Operated Hand-Held Tools, Transportable Tools and Lawn and Garden Machinery—Safety— Part 2–9: Particular Requirements for Hand-Held Tappers and Threaders. UL 62841–2–14 ..... Standard for Electric Motor-Operated Hand-Held Tools, Transportable Tools and Lawn and Garden Machinery—Safety— Part 2–14: Particular Requirements for Hand-Held Planers. UL 62841–3–1 ...... Standard for Electric Motor-Operated Hand-Held Tools, Transportable Tools and Lawn and Garden Machinery—Safety— Part 3–1: Particular Requirements for Transportable Table Saws. UL 62841–3–6 ...... Standard for Electric Motor-Operated Hand-Held Tools, Transportable Tools and Lawn and Garden Machinery—Safety— Part 3–6: Particular Requirements for Transportable Diamond Drills with Liquid System. UL 62841–3–9 ...... Standard for Electric Motor-Operated Hand-Held Tools, and Transportable Tools and Lawn and Garden Machinery—Safe- ty—Part 3–9: Particular Requirement for Transportable Mitre Saws. UL 62841–3–10 ..... Standard for Electric Motor-Operated Hand-Held Tools, Transportable Tools and Lawn and Garden Machinery—Safety— Part 3–10: Particular Requirement for Transportable Cut-Off Machines. UL 60950–22 ...... Information Technology Equipment—Safety—Part 22: Equipment to be Installed Outdoors. UL 347A ...... Medium Voltage Power Conversion Equipment. UL 8750 ...... Light Emitting Diode (LED) Equipment for Use in Lighting Products. * Represents the standards that OSHA proposes to add to the NRTL Program’s List of Appropriate Test Standards.
III. Proposal To Add New Test operational performance specifications). the test standard is for a particular type Standards to the NRTL Program’s List OSHA becomes aware of new test of product that another test standard of Appropriate Test Standards standards through various avenues. For also covers or it covers a type of product Periodically, OSHA will propose to example, OSHA may become aware of that no standard previously covered. add new test standards to the NRTL list new test standards by: (1) Monitoring In this notice, OSHA proposes to add of appropriate test standards following notifications issued by certain four new test standards to the NRTL an evaluation of the test standard Standards Development Organizations; Program’s List of Appropriate Test document. To qualify as an appropriate (2) reviewing applications by NRTLs or Standards. Table 2, below, lists the test test standard, the agency evaluates the applicants seeking recognition to standards that are new to the NRTL document to: (1) Verify it represents a include new test standards in their Program. OSHA preliminarily product category for which OSHA scopes of recognition; and (3) obtaining determined that these test standards are requires certification by a NRTL; (2) notification from manufacturers, appropriate test standards and proposes verify the document represents an end manufacturing organizations, to include them in the NRTL Program’s product and not a component; and (3) government agencies, or other parties. List of Appropriate Test Standards. verify the document defines safety test OSHA may determine to include a new OSHA seeks public comment on this specifications (not installation or test standard in the list, for example, if preliminary determination.
TABLE 2—TEST STANDARDS OSHA IS PROPOSING TO ADD TO THE NRTL PROGRAM’S LIST OF APPROPRIATE TEST STANDARDS
Test standard Test standard title
UL 61010–2–032 ... Standard for Safety Requirements for Electrical Equipment for Measurement, Control and Laboratory Use—Part 2–032: Particular Requirements for Hand-Held and Hand-Manipulated Current Sensors for Electrical Test and Measurement. UL 61010–2–033 ... Standard for Safety Requirements for Electrical Equipment for Measurement, Control and Laboratory Use—Part 2–033: Particular Requirements for Hand-Held Multimeters for Domestic and Professional Use, Capable of Measuring Mains Voltage. UL 61010–2–040 ... Safety Requirements for Electrical Equipment for Measurement, Control and Laboratory Use—Part 2–040: Particular Re- quirements for Sterilizers and Washer-Disinfectors Used to Treat Medical Materials. UL 61010–2–201 ... Safety Requirements for Electrical Equipment for Measurement, Control and Laboratory Use—Part 2–201: Particular Re- quirements for Control Equipment.
IV. Preliminary Findings on the of recognition. OSHA’s review of the recognition to include the addition of Application application file and pertinent the twenty-two test standards for NRTL documentation indicates that CSA can testing and certification listed above. CSA submitted an acceptable meet the requirements prescribed by 29 This preliminary finding does not application for expansion of the scope CFR 1910.7 for expanding their
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constitute an interim or temporary OFFICE OF MANAGEMENT AND OFFICE OF MANAGEMENT AND approval of CSA’s application. BUDGET BUDGET OSHA welcomes public comment as Fiscal Year 2020 Cost of Inpatient to whether CSA meets the requirements Calendar Year 2020 Cost of Outpatient Hospital and Medical Care Treatment of 29 CFR 1910.7 for expansion of the Medical, Dental, and Cosmetic Surgery Services Furnished by the Department Furnished by the Department of recognition as a NRTL. OSHA Defense Medical Treatment Facilities; additionally welcomes comments on the of Defense Medical Treatment Facilities; Certain Rates Regarding Certain Rates Regarding Recovery proposal to add four additional test From Tortiously Liable Third Persons standards to the NRTL Program’s list of Recovery From Tortiously Liable Third appropriate test standards. Comments Persons AGENCY: Office of Management and should consist of pertinent written Budget, Executive Office of the documents and exhibits. Commenters AGENCY: Office of Management and President. needing more time to comment must Budget (OMB), Executive Office of the ACTION: Notice. submit a request in writing, stating the President. By virtue of the authority vested in reasons for the request. Commenters ACTION: Notice. the President by 42 U.S.C. 2652, the must submit the written request for an rates referenced below are hereby extension by the due date for comments. By virtue of the authority vested in established. These rates are for use in OSHA will limit any extension to 10 the President by 42 U.S.C. 2652, the connection with the recovery from days unless the requester justifies a rates referenced below are hereby tortiously liable third persons for the longer period. OSHA may deny a established. These rates are for use in inpatient medical services furnished by request for an extension if the request is connection with the recovery from military treatment facilities through the not adequately justified. To obtain or tortiously liable third persons for the Department of Defense. They are the review copies of the exhibits identified outpatient medical, dental and cosmetic same rates as the inpatient third party in this notice, as well as comments surgery services furnished by military reimbursement rates that were set on submitted to the docket, contact the treatment facilities through the October 1, 2019 for billing medical Docket Office. These materials also are Department of Defense. They are the insurers, but require a different approval available online at http:// same rates as the outpatient third party authority for the purpose of billing for www.regulations.gov under Docket No. reimbursement rates that were set on tort liability. The rates were established OSHA–2006–0042. July 1, 2020 for billing medical insurers, in accordance with the requirements of OSHA staff will review all comments but require a different approval OMB Circular A–25, requiring reimbursement of the full cost of all to the docket submitted in a timely authority for the purpose of billing for services provided. The fiscal year 2020 manner and, after addressing the issues tort liability. The rates were established inpatient medical rates referenced are raised by these comments, will make a in accordance with the requirements of recommendation to the Assistant effective for billing tort liability upon OMB Circular A–25, requiring publication of this notice in the Federal Secretary for Occupational Safety and reimbursement of the full cost of all Health as to whether to grant CSA’s Register and will remain in effect until services provided. The Calendar Year further notice. Previously published application for expansion of the scope 2020 outpatient medical, dental and of recognition. The Assistant Secretary outpatient medical and dental, and cosmetic surgery services referenced are cosmetic surgery rates remain in effect will make the final decision on granting effective for billing tort liability upon the application. In making this decision, until further notice. Pharmacy rates are publication of this notice in the Federal the Assistant Secretary may undertake updated periodically. A full disclosure Register and will remain in effect until other proceedings prescribed in of the rates is posted at Health.mil further notice. Previously published Appendix A to 29 CFR 1910.7. website in the Defense Health Agency inpatient rates remain in effect until Uniform Business Office section (http:// OSHA will publish a public notice of further notice. Pharmacy rates are health.mil/Military-Health-Topics/ the final decision in the Federal updated periodically. A full disclosure Business-Support/Uniform-Business- Register. of the rates is posted at Health.mil Office/Billing/Medical-Affirmative- IV. Authority and Signature website in the Defense Health Agency Claims). Uniform Business Office section (http:// Robert S. Fairweather, Amanda L. Edens, Deputy Assistant health.mil/Military-Health-Topics/ Acting Director. Secretary of Labor for Occupational Business-Support/Uniform-Business- [FR Doc. 2021–03633 Filed 2–22–21; 8:45 am] Safety and Health, 200 Constitution Office/Billing/Medical-Affirmative- BILLING CODE 3110–01–P Avenue NW, Washington, DC 20210, Claims). authorized the preparation of this notice. Accordingly, the agency is Robert S. Fairweather, issuing this notice pursuant to Section Deputy Associate Director, International NUCLEAR REGULATORY 29 U.S.C. 655(6)(d), Secretary of Labor’s Affairs Division, Acting Director. COMMISSION Order No. 8–2020 (85 FR 58393; Sept. [FR Doc. 2021–03634 Filed 2–22–21; 8:45 am] [NRC–2020–0210] 18, 2020), and 29 CFR 1905.11. BILLING CODE 3110–01–P Information Collection: NRC Form 64, Signed at Washington, DC, on February 11, Travel Voucher 2021. Amanda L. Edens, AGENCY: Nuclear Regulatory Commission. Deputy Assistant Secretary of Labor for Occupational Safety and Health. ACTION: Notice of submission to the [FR Doc. 2021–03651 Filed 2–22–21; 8:45 am] Office of Management and Budget; request for comment. BILLING CODE 4510–26–P
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SUMMARY: The U.S. Nuclear Regulatory • Attention: The PDR, where you may period on this information collection on Commission (NRC) has recently examine and order copies of public October 16, 2020, 85 FR 65879. submitted a request for renewal of an documents, is currently closed. You 1. The title of the information existing collection of information to the may submit your request to the PDR via collection: NRC Form 64, Travel Office of Management and Budget email at [email protected] or call Voucher (Part 1); NRC Form 64A, Travel (OMB) for review. The information 1–800–397–4209 or 301–415–4737, Voucher (Part 2). collection is entitled, NRC Form 64, between 8:00 a.m. and 4:00 p.m. (EST), 2. OMB approval number: 3150–0192. ‘‘Travel Voucher.’’ Monday through Friday, except Federal 3. Type of submission: Revision. 4. The form number, if applicable: DATES: Submit comments by March 25, holidays. • NRC Form 64. 2021. Comments received after this date NRC’s Clearance Officer: A copy of the collection of information and related 5. How often the collection is required will be considered if it is practical to do or requested: On occasion, to apply for so, but the Commission is able to ensure instructions may be obtained without charge by contacting the NRC’s reimbursement for travel. consideration only for comments 6. Who will be required or asked to received on or before this date. Clearance Officer, David Cullison, Office of the Chief Information Officer, respond: Agreement State personnel, ADDRESSES: Written comments and U.S. Nuclear Regulatory Commission, State Liaison Officers, and Tribal recommendations for the proposed Washington, DC 20555–0001; telephone: representatives traveling in the course of information collection should be sent 301–415–2084; email: conducting business with the NRC. within 30 days of publication of this [email protected]. Travelers conduct reviews and notice to https://www.reginfo.gov/ inspections and attend NRC-sponsored public/do/PRAMain. Find this B. Submitting Comments training. particular information collection by The NRC encourages electronic 7. The estimated number of annual selecting ‘‘Currently under Review— comment submission through the responses: 500. Open for Public Comments’’ or by using Federal Rulemaking Website (https:// 8. The estimated number of annual the search function. www.regulations.gov). Please include respondents: 500. FOR FURTHER INFORMATION CONTACT: Docket ID NRC–2020–0210 in your 9. The estimated number of hours David Cullison, NRC Clearance Officer, comment submission. needed annually to comply with the U.S. Nuclear Regulatory Commission, The NRC cautions you not to include information collection requirement or Washington, DC 20555–0001; telephone: identifying or contact information in request: 500. 301–415–2084; email: comment submissions that you do not 10. Abstract: Agreement State [email protected]. want to be publicly disclosed in your personnel traveling to participate in NRC-sponsored training, participate SUPPLEMENTARY INFORMATION: comment submission. The NRC will post all comment submissions at https:// with the NRC Integrated Materials I. Obtaining Information and www.regulations.gov as well as enter the Performance Evaluation Program, and Submitting Comments comment submissions into ADAMS. other business with the NRC, must file travel vouchers on NRC Form 64 in A. Obtaining Information The NRC does not routinely edit comment submissions to remove order to be reimbursed for their travel Please refer to Docket ID NRC–2020– identifying or contact information. expenses. The information collected 0210 when contacting the NRC about If you are requesting or aggregating includes the name, address, the amount the availability of information for this comments from other persons for to be reimbursed and the traveler’s action. You may obtain publicly submission to the OMB, then you signature. Travel expenses that are available information related to this should inform those persons not to reimbursed are confined to those action by any of the following methods: include identifying or contact expenses essential to the transaction of • Federal Rulemaking Website: Go to information that they do not want to be official business for an approved trip. https://www.regulations.gov and search publicly disclosed in their comment Dated: February 17, 2021. for Docket ID NRC–2020–0210. A copy submission. Your request should state For the Nuclear Regulatory Commission. of the collection of information and that comment submissions are not David C. Cullison, related instructions may be obtained routinely edited to remove such without charge by accessing Docket ID NRC Clearance Officer, Office of the Chief information before making the comment Information Officer. NRC–2020–0210 on this website. submissions available to the public or • [FR Doc. 2021–03551 Filed 2–22–21; 8:45 am] NRC’s Agencywide Documents entering the comment into ADAMS. Access and Management System BILLING CODE 7590–01–P (ADAMS): You may obtain publicly II. Background available documents online in the Under the provisions of the NUCLEAR REGULATORY ADAMS Public Documents collection at Paperwork Reduction Act of 1995 (44 COMMISSION https://www.nrc.gov/reading-rm/ U.S.C. chapter 35), the NRC recently adams.html. To begin the search, select submitted a request for renewal of an [NRC–2021–0049] ‘‘Begin Web-based ADAMS Search.’’ For existing collection of information to problems with ADAMS, please contact OMB for review entitled, NRC Form 64, Monthly Notice; Applications and the NRC’s Public Document Room (PDR) Travel Voucher (Part 1); NRC Form 64A, Amendments to Facility Operating reference staff at 1–800–397–4209, 301– Travel Voucher (Part 2). The NRC Licenses and Combined Licenses 415–4737, or by email to pdr.resource@ hereby informs potential respondents Involving No Significant Hazards nrc.gov. A copy of the collection of that an agency may not conduct or Considerations information and related instructions sponsor, and that a person is not AGENCY: Nuclear Regulatory may be obtained without charge by required to respond to, a collection of Commission. accessing ADAMS Accession No. information unless it displays a ACTION: Monthly notice. ML20261H559. The supporting currently valid OMB control number. statement is available in ADAMS under The NRC published a Federal SUMMARY: Pursuant to section 189.a.(2) Accession No. ML21011A150. Register notice with a 60-day comment of the Atomic Energy Act of 1954, as
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amended (the Act), the U.S. Nuclear subject when contacting the NRC about II. Notice of Consideration of Issuance Regulatory Commission (NRC) is the availability of information for this of Amendments to Facility Operating publishing this regular monthly notice. action. You may obtain publicly Licenses and Combined Licenses and The Act requires the Commission to available information related to this Proposed No Significant Hazards publish notice of any amendments action by any of the following methods: Consideration Determination • issued, or proposed to be issued, and Federal Rulemaking Website: Go to For the facility-specific amendment grants the Commission the authority to https://www.regulations.gov and search requests shown below, the Commission issue and make immediately effective for Docket ID NRC–2021–0049. finds that the licensees’ analyses • any amendment to an operating license NRC’s Agencywide Documents provided, consistent with title 10 of the or combined license, as applicable, Access and Management System Code of Federal Regulations (10 CFR) upon a determination by the (ADAMS): You may obtain publicly section 50.91, are sufficient to support Commission that such amendment available documents online in the the proposed determinations that these involves no significant hazards ADAMS Public Documents collection at amendment requests involve NSHC. consideration (NSHC), notwithstanding https://www.nrc.gov/reading-rm/ Under the Commission’s regulations in the pendency before the Commission of adams.html. To begin the search, select 10 CFR 50.92, operation of the facilities a request for a hearing from any person. ‘‘Begin Web-based ADAMS Search.’’ For in accordance with the proposed This monthly notice includes all problems with ADAMS, please contact amendments would not (1) involve a amendments issued, or proposed to be the NRC’s Public Document Room (PDR) significant increase in the probability or issued, from January 8, 2021, to reference staff at 1–800–397–4209, 301– consequences of an accident previously February 4, 2021. The last monthly 415–4737, or by email to pdr.resource@ evaluated; or (2) create the possibility of notice was published on January 26, nrc.gov. The ADAMS accession number a new or different kind of accident from 2021. for each document referenced (if it is any accident previously evaluated; or DATES: Comments must be filed by available in ADAMS) is provided the (3) involve a significant reduction in a March 25, 2021. A request for a hearing first time that it is mentioned in this margin of safety. or petitions for leave to intervene must document. The Commission is seeking public be filed by April 26, 2021. • Attention: The PDR, where you may comments on these proposed ADDRESSES: You may submit comments examine and order copies of public determinations. Any comments received by any of the following methods; documents, is currently closed. You within 30 days after the date of however, the NRC encourages electronic may submit your request to the PDR via publication of this notice will be comment submission through the email at [email protected] or call 1– considered in making any final Federal Rulemaking Website: 800–397–4209 or 301–415–4737, determinations. • Federal Rulemaking Website: Go to between 8:00 a.m. and 4:00 p.m. (EST), Normally, the Commission will not https://www.regulations.gov and search Monday through Friday, except Federal issue the amendments until the for Docket ID NRC–2021–0049. Address holidays. expiration of 60 days after the date of questions about Docket IDs in B. Submitting Comments publication of this notice. The Regulations.gov to Stacy Schumann; Commission may issue any of these telephone: 301–415–0624; email: The NRC encourages electronic license amendments before expiration of [email protected]. For technical comment submission through the the 60-day period provided that its final questions, contact the individual listed Federal Rulemaking Website (https:// determination is that the amendment www.regulation.gov). Please include in the FOR FURTHER INFORMATION involves NSHC. In addition, the Docket ID NRC–2021–0049, facility CONTACT section of this document. Commission may issue any of these • Mail comments to: Office of name, unit number(s), docket amendments prior to the expiration of Administration, Mail Stop: TWFN–7– number(s), application date, and the 30-day comment period if A60M, U.S. Nuclear Regulatory subject, in your comment submission. circumstances change during the 30-day Commission, Washington, DC 20555– The NRC cautions you not to include comment period such that failure to act 0001, ATTN: Program Management, identifying or contact information that in a timely way would result, for Announcements and Editing Staff. you do not want to be publicly example, in derating or shutdown of the For additional direction on obtaining disclosed in your comment submission. facility. If the Commission takes action information and submitting comments, The NRC will post all comment on any of these amendments prior to the see ‘‘Obtaining Information and submissions at https:// expiration of either the comment period Submitting Comments’’ in the www.regulations.gov as well as enter the or the notice period, it will publish in SUPPLEMENTARY INFORMATION section of comment submissions into ADAMS. the Federal Register a notice of this document. The NRC does not routinely edit issuance. If the Commission makes a comment submissions to remove FOR FURTHER INFORMATION CONTACT: final NSHC determination for any of identifying or contact information. Janet Burkhardt, Office of Nuclear these amendments, any hearing will Reactor Regulation, U.S. Nuclear If you are requesting or aggregating take place after issuance. The Regulatory Commission, Washington, comments from other persons for Commission expects that the need to DC 20555–0001, telephone: 301–415– submission to the NRC, then you should take action on any amendment before 60 1384, email: [email protected]. inform those persons not to include days have elapsed will occur very identifying or contact information that infrequently. SUPPLEMENTARY INFORMATION: they do not want to be publicly A. Opportunity To Request a Hearing I. Obtaining Information and disclosed in their comment submission. and Petition for Leave To Intervene Submitting Comments Your request should state that the NRC does not routinely edit comment Within 60 days after the date of A. Obtaining Information submissions to remove such information publication of this notice, any persons Please refer to Docket ID NRC–2021– before making the comment (petitioner) whose interest may be 0049, facility name, unit number(s), submissions available to the public or affected by any of these actions may file docket number(s), application date, and entering the comment into ADAMS. a request for a hearing and petition for
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leave to intervene (petition) with respect evidence, consistent with the NRC’s is not affiliated with or represented by to that action. Petitions shall be filed in regulations, policies, and procedures. a party may, at the discretion of the accordance with the Commission’s Petitions must be filed no later than presiding officer, be permitted to make ‘‘Agency Rules of Practice and 60 days from the date of publication of a limited appearance pursuant to the Procedure’’ in 10 CFR part 2. Interested this notice. Petitions and motions for provisions of 10 CFR 2.315(a). A person persons should consult a current copy leave to file new or amended making a limited appearance may make of 10 CFR 2.309. The NRC’s regulations contentions that are filed after the an oral or written statement of his or her are accessible electronically from the deadline will not be entertained absent position on the issues but may not NRC Library on the NRC’s website at a determination by the presiding officer otherwise participate in the proceeding. https://www.nrc.gov/reading-rm/doc- that the filing demonstrates good cause A limited appearance may be made at collections/cfr/. If a petition is filed, the by satisfying the three factors in 10 CFR any session of the hearing or at any Commission or a presiding officer will 2.309(c)(1)(i) through (iii). The petition prehearing conference, subject to the rule on the petition and, if appropriate, must be filed in accordance with the limits and conditions as may be a notice of a hearing will be issued. filing instructions in the ‘‘Electronic imposed by the presiding officer. Details As required by 10 CFR 2.309(d) the Submissions (E-Filing)’’ section of this regarding the opportunity to make a petition should specifically explain the document. limited appearance will be provided by reasons why intervention should be If a hearing is requested, and the the presiding officer if such sessions are permitted with particular reference to Commission has not made a final scheduled. determination on the issue of NSHC, the the following general requirements for B. Electronic Submissions (E-Filing) standing: (1) The name, address, and Commission will make a final telephone number of the petitioner; (2) determination on the issue of NSHC. All documents filed in NRC adjudicatory proceedings, including a the nature of the petitioner’s right to be The final determination will serve to request for hearing and petition for made a party to the proceeding; (3) the establish when the hearing is held. If the leave to intervene (petition), any motion nature and extent of the petitioner’s final determination is that the amendment request involves NSHC, the or other document filed in the property, financial, or other interest in Commission may issue the amendment proceeding prior to the submission of a the proceeding; and (4) the possible and make it immediately effective, request for hearing or petition to effect of any decision or order which notwithstanding the request for a intervene, and documents filed by may be entered in the proceeding on the hearing. Any hearing would take place interested governmental entities that petitioner’s interest. after issuance of the amendment. If the request to participate under 10 CFR In accordance with 10 CFR 2.309(f), final determination is that the 2.315(c), must be filed in accordance the petition must also set forth the amendment request involves a with the NRC’s E-Filing rule (72 FR specific contentions that the petitioner significant hazards consideration, then 49139; August 28, 2007, as amended at seeks to have litigated in the any hearing held would take place 77 FR 46562; August 3, 2012). The E- proceeding. Each contention must before the issuance of the amendment Filing process requires participants to consist of a specific statement of the unless the Commission finds an submit and serve all adjudicatory issue of law or fact to be raised or imminent danger to the health or safety documents over the internet, or in some controverted. In addition, the petitioner of the public, in which case it will issue cases to mail copies on electronic must provide a brief explanation of the an appropriate order or rule under 10 storage media. Detailed guidance on bases for the contention and a concise CFR part 2. making electronic submissions may be statement of the alleged facts or expert A State, local governmental body, found in the Guidance for Electronic opinion that support the contention and Federally recognized Indian Tribe, or Submissions to the NRC and on the NRC on which the petitioner intends to rely agency thereof, may submit a petition to website at https://www.nrc.gov/site- in proving the contention at the hearing. the Commission to participate as a party help/e-submittals.html. Participants The petitioner must also provide under 10 CFR 2.309(h)(1). The petition may not submit paper copies of their references to the specific sources and should state the nature and extent of the filings unless they seek an exemption in documents on which the petitioner petitioner’s interest in the proceeding. accordance with the procedures intends to rely to support its position on The petition should be submitted to the described below. the issue. The petition must include Commission no later than 60 days from To comply with the procedural sufficient information to show that a the date of publication of this notice. requirements of E-Filing, at least 10 genuine dispute exists with the The petition must be filed in accordance days prior to the filing deadline, the applicant or licensee on a material issue with the filing instructions in the participant should contact the Office of of law or fact. Contentions must be ‘‘Electronic Submissions (E-Filing)’’ the Secretary by email at limited to matters within the scope of section of this document, and should [email protected], or by telephone the proceeding. The contention must be meet the requirements for petitions set at 301–415–1677, to (1) request a digital one that, if proven, would entitle the forth in this section, except that under identification (ID) certificate, which petitioner to relief. A petitioner who 10 CFR 2.309(h)(2) a State, local allows the participant (or its counsel or fails to satisfy the requirements at 10 governmental body, or Federally representative) to digitally sign CFR 2.309(f) with respect to at least one recognized Indian Tribe, or agency submissions and access the E-Filing contention will not be permitted to thereof does not need to address the system for any proceeding in which it participate as a party. standing requirements in 10 CFR is participating; and (2) advise the Those permitted to intervene become 2.309(d) if the facility is located within Secretary that the participant will be parties to the proceeding, subject to any its boundaries. Alternatively, a State, submitting a petition or other limitations in the order granting leave to local governmental body, Federally adjudicatory document (even in intervene. Parties have the opportunity recognized Indian Tribe, or agency instances in which the participant, or its to participate fully in the conduct of the thereof may participate as a non-party counsel or representative, already holds hearing with respect to resolution of under 10 CFR 2.315(c). an NRC issued digital ID certificate). that party’s admitted contentions, If a petition is submitted, any person Based upon this information, the including the opportunity to present who is not a party to the proceeding and Secretary will establish an electronic
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docket for the hearing in this proceeding through the ‘‘Contact Us’’ link located Documents submitted in adjudicatory if the Secretary has not already on the NRC’s public website at https:// proceedings will appear in the NRC’s established an electronic docket. www.nrc.gov/site-help/e- electronic hearing docket which is Information about applying for a submittals.html, by email to available to the public at https:// digital ID certificate is available on the [email protected], or by a toll- adams.nrc.gov/ehd, unless excluded NRC’s public website at https:// free call at 1–866–672–7640. The NRC pursuant to an order of the Commission www.nrc.gov/site-help/e-submittals/ Electronic Filing Help Desk is available or the presiding officer. If you do not getting-started.html. Once a participant between 9 a.m. and 6 p.m., Eastern have an NRC issued digital ID certificate has obtained a digital ID certificate and Time, Monday through Friday, as described above, click ‘‘cancel’’ when a docket has been created, the excluding government holidays. the link requests certificates and you participant can then submit will be automatically directed to the Participants who believe that they adjudicatory documents. Submissions NRC’s electronic hearing dockets where have a good cause for not submitting must be in Portable Document Format you will be able to access any publicly documents electronically must file an (PDF). Additional guidance on PDF available documents in a particular submissions is available on the NRC’s exemption request, in accordance with hearing docket. Participants are public website at https://www.nrc.gov/ 10 CFR 2.302(g), with their initial paper requested not to include personal site-help/electronic-sub-ref-mat.html. A filing stating why there is good cause for privacy information, such as social filing is considered complete at the time not filing electronically and requesting security numbers, home addresses, or the document is submitted through the authorization to continue to submit personal phone numbers in their filings, NRC’s E-Filing system. To be timely, an documents in paper format. Such filings unless an NRC regulation or other law electronic filing must be submitted to must be submitted by: (1) First class requires submission of such the E-Filing system no later than 11:59 mail addressed to the Office of the information. For example, in some p.m. Eastern Time on the due date. Secretary of the Commission, U.S. instances, individuals provide home Upon receipt of a transmission, the E- Nuclear Regulatory Commission, addresses in order to demonstrate Filing system time stamps the document Washington, DC 20555–0001, Attention: proximity to a facility or site. With and sends the submitter an email notice Rulemaking and Adjudications Staff; or respect to copyrighted works, except for confirming receipt of the document. The (2) courier, express mail, or expedited limited excerpts that serve the purpose E-Filing system also distributes an email delivery service to the Office of the of the adjudicatory filings and would notice that provides access to the Secretary, 11555 Rockville Pike, constitute a Fair Use application, document to the NRC’s Office of the Rockville, Maryland 20852, Attention: participants are requested not to include General Counsel and any others who Rulemaking and Adjudications Staff. copyrighted materials in their have advised the Office of the Secretary Participants filing adjudicatory submission. that they wish to participate in the documents in this manner are The table below provides the plant proceeding, so that the filer need not responsible for serving the document on name, docket number, date of serve the document on those all other participants. Filing is application, ADAMS accession number, participants separately. Therefore, considered complete by first-class mail and location in the application of the applicants and other participants (or as of the time of deposit in the mail, or licensees’ proposed NSHC their counsel or representative) must by courier, express mail, or expedited determinations. For further details with apply for and receive a digital ID delivery service upon depositing the respect to these license amendment certificate before adjudicatory document with the provider of the applications, see the applications for documents are filed so that they can service. A presiding officer, having amendment, which are available for obtain access to the documents via the granted an exemption request from public inspection in ADAMS. For E-Filing system. using E-Filing, may require a participant additional direction on accessing A person filing electronically using or party to use E-Filing if the presiding information related to this document, the NRC’s adjudicatory E-Filing system officer subsequently determines that the see the ‘‘Obtaining Information and may seek assistance by contacting the reason for granting the exemption from Submitting Comments’’ section of this NRC’s Electronic Filing Help Desk use of E-Filing no longer exists. document.
LICENSE AMENDMENT REQUEST(S)
Dominion Energy Nuclear Connecticut, Inc.; Millstone Power Station, Unit No. 3; New London County, CT
Docket No(s) ...... 50–423. Application date ...... December 8, 2020. ADAMS Accession No ...... ML20343A243. Location in Application of NSHC ...... Pages 5–8 of Attachment 1. Brief Description of Amendment(s) ...... The proposed license amendment would revise the Millstone Power Station Unit No. 3 Tech- nical Specification (TS) 2.1.1, ‘‘Safety Limit, Reactor Core,’’ Safety Limit 2.1.1.2 to reflect the peak fuel centerline melt temperature specified in Topical Report WCAP–17642–P–A, Revi- sion 1, ‘‘Westinghouse Performance Analysis and Design Model (PAD5),’’ dated November 2017 (non-proprietary version available in ADAMS under Accession No. ML17338A396). Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address Lillian M. Cuoco, Esq., Senior Counsel, Dominion Energy, Inc., 120 Tredegar Street, RS–2, Richmond, VA 23219. NRC Project Manager, Telephone Number ...... Richard Guzman, 301–415–1030.
Energy Harbor Nuclear Corp. and Energy Harbor Nuclear Generation LLC; Perry Nuclear Power Plant, Unit 1; Lake County, OH
Docket No(s) ...... 50–440. Application date ...... December 28, 2020.
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LICENSE AMENDMENT REQUEST(S)—Continued ADAMS Accession No ...... ML20365A028. Location in Application of NSHC ...... Pages 31–33 of the Enclosure. Brief Description of Amendment(s) ...... The proposed amendment would revise the Perry Nuclear Power Plant emergency plan to eliminate on-shift staffing positions, increase emergency response facility (ERF) augmenta- tion times, revise ERF staffing positions, revise facility position titles to be consistent with the Energy Harbor Nuclear Corp. fleet, and eliminate information from the emergency plan contained in implementing procedures and instructions. Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address Rick Giannantonio, General Counsel, Energy Harbor Nuclear Corp., Mail Stop A–GO–15, 76 South Main Street, Akron, OH 44308. NRC Project Manager, Telephone Number ...... Scott Wall, 301–415–2855.
Energy Harbor Nuclear Corp. and Energy Harbor Nuclear Generation LLC; Perry Nuclear Power Plant, Unit 1; Lake County, OH
Docket No(s) ...... 50–440. Application date ...... December 14, 2020. ADAMS Accession No ...... ML20350B499. Location in Application of NSHC ...... Pages 12–13 of the Enclosure. Brief Description of Amendment(s) ...... The proposed amendment would modify technical specification requirements related to actions for inoperable residual heat removal (RHR) shutdown cooling subsystems. The changes are similar to Technical Specifications Task Force (TSTF) Traveler TSTF–566–A, ‘‘Revise Ac- tions for Inoperable RHR Shutdown Cooling Subsystems,’’ that was approved on February 21, 2019 (ADAMS Accession No. ML19028A287), but also incorporate TSTF–580, ‘‘Provide Exception from Entering Mode 4 with no Operable RHR Shutdown Cooling,’’ that was sub- mitted to the NRC on August 7, 2020 (ADAMS Accession No. ML20181A221). Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address Rick Giannantonio, General Counsel, Energy Harbor Nuclear Corp., Mail Stop A–GO–15, 76 South Main Street, Akron, OH 44308. NRC Project Manager, Telephone Number ...... Scott Wall, 301–415–2855.
Entergy Operations, Inc.; Arkansas Nuclear One, Unit 2; Pope County, AR
Docket No(s) ...... 50–368. Application date ...... November 17, 2020. ADAMS Accession No ...... ML20322A426. Location in Application of NSHC ...... Pages 28–30 of the Enclosure. Brief Description of Amendment(s) ...... The proposed amendment would modify the Arkansas Nuclear One, Unit 2 technical specifica- tions (TS) to incorporate the provisions of Limiting Condition for Operation (LCO) 3.0.6 of the Improved Standard Technical Specifications, which provide the actions to be taken when the inoperability of a support system results in the inoperability of a related supported sys- tem(s). The proposed change would also add a new Safety Function Determination Program to the Administrative Controls section of the TS to ensure that a loss of safety function is detected and appropriate actions are taken when using the provisions of the LCO. Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address Anna Vinson Jones, Senior Counsel, Entergy Services, Inc., 101 Constitution Avenue NW, Suite 200 East, Washington, DC 20001. NRC Project Manager, Telephone Number ...... Thomas Wengert, 301–415–4037.
Exelon FitzPatrick, LLC and Exelon Generation Company, LLC; James A FitzPatrick Nuclear Power Plant; LLC; Oswego County, NY
Docket No(s) ...... 50–333. Application date ...... December 11, 2020. ADAMS Accession No ...... ML20346A025. Location in Application of NSHC ...... Pages 4–6 of Attachment 1. Brief Description of Amendment(s) ...... The proposed amendment would revise the technical specifications (TS) to adopt Technical Specifications Task Force (TSTF) Traveler TSTF–545, Revision 3, ‘‘TS Inservice Testing Program Removal & Clarify SR [Surveillance Requirement] Usage Rule Application to Sec- tion 5.5 Testing.’’ Specifically, the amendment would remove TS 5.5.7, ‘‘Inservice Testing Program,’’ add a new defined term, ‘‘INSERVICE TESTING PROGRAM,’’ to TS 1.1, ‘‘Defini- tions,’’ and make corresponding edits throughout the TS. Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address Donald P. Ferraro, Assistant General Counsel, Exelon Generation Company, LLC, 200 Exelon Way, Suite 305, Kennett Square, PA 19348. NRC Project Manager, Telephone Number ...... Justin Poole, 301–415–2048.
Exelon Generation Company, LLC; Calvert Cliffs Nuclear Power Plant, Units 1 and 2; Calvert County, MD
Docket No(s) ...... 50–317, 50–318. Application date ...... November 24, 2020. ADAMS Accession No ...... ML20329A334. Location in Application of NSHC ...... Pages 2–5 of Attachment 1.
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LICENSE AMENDMENT REQUEST(S)—Continued Brief Description of Amendment(s) ...... The proposed amendment would adopt Technical Specifications Task Force (TSTF) Traveler TSTF–567, Revision 1, ‘‘Add Containment Sump TS [Technical Specification] to Address GSl [Generic Safety Issue]-191 Issues.’’ Specifically, the amendment request proposes to (1) add a new TS section for the containment emergency sump, (2) move the surveillance requirement for containment emergency sump, and (3) revise the safety function determina- tion program description to clarify its application when a supported system is made inoper- able by the inoperability of a single TS support system. Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address Tamra Domeyer, Associate General Counsel, Exelon Generation Company, LLC, 4300 Win- field Road, Warrenville, IL 60555. NRC Project Manager, Telephone Number ...... Michael L. Marshall, Jr., 301–415–2871.
Tennessee Valley Authority; Watts Bar Nuclear Plant, Units 1 and 2; Rhea County, TN
Docket No(s) ...... 50–390, 50–391. Application date ...... December 15, 2020. ADAMS Accession No ...... ML20350B764. Location in Application of NSHC ...... Pages E7–E8 of the Enclosure. Brief Description of Amendment(s) ...... The proposed amendments would revise Watts Bar Nuclear Plant, Units 1 and 2 Technical Specification Surveillance Requirement 3.6.15.4 to revise the shield building annulus pres- sure requirement, replace the inleakage requirement with a time requirement, and delete the shield building inleakage requirement of less than or equal to 250 cubic feet per minute. Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address Sherry Quirk, Executive VP and General Counsel, Tennessee Valley Authority, 400 West Summit Hill Drive, WT 6A, Knoxville, TN 37902. NRC Project Manager, Telephone Number ...... Kimberly Green, 301–415–1627.
Vistra Operations Company LLC; Comanche Peak Nuclear Power Plant, Unit Nos. 1 and 2; Somervell County, TX
Docket No(s) ...... 50–445, 50–446. Application date ...... August 31, 2020, as supplemented by letter dated January 27, 2021. ADAMS Accession No ...... ML20244A338, ML21027A249. Location in Application of NSHC ...... Pages 2–4 of the Enclosure. Brief Description of Amendment(s) ...... The proposed amendments would adopt Technical Specifications Task Force (TSTF) Traveler TSTF–567, ‘‘Add Containment Sump TS [Technical Specification] to Address GSI [Generic Safety Issue]-191 Issues.’’ The amendments would revise the TS to address the condition of the containment sump made inoperable due to containment accident generated and trans- ported debris exceeding the analyzed limits. Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address Timothy P. Matthews, Esq., Morgan, Lewis and Bockius, 1111 Pennsylvania Avenue NW, Washington, DC 20004. NRC Project Manager, Telephone Number ...... Dennis Galvin, 301–415–6256.
III. Notice of Issuance of Amendments license or combined license, as made a determination based on that to Facility Operating Licenses and applicable, proposed NSHC assessment, it is so indicated in the Combined Licenses determination, and opportunity for a safety evaluation for the amendment. During the period since publication of hearing in connection with these For further details with respect to the last monthly notice, the Commission actions, was published in the Federal each action, see the amendment and Register as indicated in the safety has issued the following amendments. associated documents such as the evaluation for each amendment. The Commission has determined for Commission’s letter and safety Unless otherwise indicated, the each of these amendments that the evaluation, which may be obtained Commission has determined that these application complies with the standards using the ADAMS accession numbers amendments satisfy the criteria for and requirements of the Atomic Energy indicated in the table below. The safety Act of 1954, as amended (the Act), and categorical exclusion in accordance evaluation will provide the ADAMS the Commission’s rules and regulations. with 10 CFR 51.22. Therefore, pursuant accession numbers for the application The Commission has made appropriate to 10 CFR 51.22(b), no environmental findings as required by the Act and the impact statement or environmental for amendment and the Federal Register Commission’s rules and regulations in assessment need be prepared for these citation for any environmental 10 CFR chapter I, which are set forth in amendments. If the Commission has assessment. All of these items can be the license amendment. prepared an environmental assessment accessed as described in the ‘‘Obtaining A notice of consideration of issuance under the special circumstances Information and Submitting Comments’’ of amendment to facility operating provision in 10 CFR 51.22(b) and has section of this document.
LICENSE AMENDMENT ISSUANCE(S)
Duke Energy Carolinas, LLC; Oconee Nuclear Station, Units 1, 2, and 3; Oconee County, SC
Docket No(s) ...... 50–269, 50–270, 50–287. Amendment Date ...... January 26, 2021. ADAMS Accession No ...... ML20335A001.
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LICENSE AMENDMENT ISSUANCE(S)—Continued Amendment No(s) ...... 420 (Unit 1), 422 (Unit 2), and 421 (Unit 3). Brief Description of Amendment(s) ...... The amendments revised the Oconee renewed facility operating licenses and technical speci- fications to implement a measurement uncertainty recapture power uprate. Specifically, the amendments authorized an increase in the maximum licensed rated thermal power from 2,568 megawatts thermal (MWt) to 2,610 MWt, which is an increase of approximately 1.64 percent. Public Comments Received as to Proposed No. NSHC (Yes/No).
Duke Energy Progress, LLC; Brunswick Steam Electric Plant, Units 1 and 2; Brunswick County, NC
Docket No(s) ...... 50–325, 50–324. Amendment Date ...... January 26, 2021. ADAMS Accession No ...... ML20253A321. Amendment No(s) ...... 302 (Unit 1) and 330 (Unit 2). Brief Description of Amendment(s) ...... The amendments revised Technical Specification (TS) 3.6.3.1, ‘‘Primary Containment Oxygen Concentration,’’ and present the requirements in a manner more consistent with the Stand- ard Technical Specifications format and content, consistent with Technical Specifications Task Force (TSTF) Traveler TSTF–568, Revision 2, ‘‘Revise Applicability of BWR [Boiling- Water Reactor]/4 TS 3.6.2.5 and TS 3.6.3.2.’’ Public Comments Received as to Proposed No. NSHC (Yes/No).
Energy Harbor Nuclear Corp. and Energy Harbor Nuclear Generation LLC; Beaver Valley Power Station, Units 1 and 2; Beaver County, PA
Docket No(s) ...... 50–334, 50–412. Amendment Date ...... January 28, 2021. ADAMS Accession No ...... ML20345A236. Amendment No(s) ...... 307 (Unit 1) and 197 (Unit 2). Brief Description of Amendment(s) ...... The amendments revised Technical Specification (TS) 3.5.2, ‘‘ECCS [Emergency Core Cooling System]—Operating,’’ and TS 3.5.3, ‘‘ECCS—Shutdown.’’ The amendments also added new TS 3.6.9, ‘‘Containment Sump,’’ to Section 3.6, ‘‘Containment Systems.’’ The changes are based on Technical Specifications Task Force (TSTF) Traveler TSTF–567, Revision 1, ‘‘Add Containment Sump TS to Address GSI [Generic Safety Issue]-191 Issues.’’ Public Comments Received as to Proposed No. NSHC (Yes/No).
Energy Northwest; Columbia Generating Station; Benton County, WA
Docket No(s) ...... 50–397. Amendment Date ...... January 25, 2021. ADAMS Accession No ...... ML21005A178. Amendment No(s) ...... 263. Brief Description of Amendment(s) ...... The amendment revised the Columbia Generating Station technical specification actions appli- cable when a residual heat removal (RHR) shutdown cooling subsystem is inoperable. The changes are based on Technical Specifications Task Force (TSTF) Traveler TSTF–566, Re- vision 0, ‘‘Revise Actions for Inoperable RHR Shutdown Cooling Subsystems,’’ dated Janu- ary 19, 2018 (ADAMS Accession No. ML18019B187), using the consolidated line item im- provement process. Public Comments Received as to Proposed No. NSHC (Yes/No).
Entergy Louisiana, LLC, and Entergy Operations, Inc.; River Bend Station, Unit 1; West Feliciana Parish, LA; Entergy Operations, Inc., System Energy Resources, Inc., Cooperative Energy, A Mississippi Electric Cooperative, and Entergy Mississippi, LLC; Grand Gulf Nuclear Station, Unit 1; Claiborne County, MS
Docket No(s) ...... 50–416, 50–458. Amendment Date ...... February 1, 2021. ADAMS Accession No ...... ML21011A048. Amendment No(s) ...... Grand Gulf—225 and River Bend—204. Brief Description of Amendment(s) ...... The amendments adopted Technical Specifications Task Force (TSTF) Traveler TSTF–566, Revision 0, ‘‘Revise Actions for Inoperable RHR [Residual Heat Removal] Shutdown Cooling Subsystems,’’ dated January 19, 2018 (ADAMS Accession No. ML18019B187), which is an approved change to the Improved Standard Technical Specifications, into the Grand Gulf Nuclear Station, Unit 1 and River Bend Station, Unit 1 technical specifications. The model safety evaluation was approved by the NRC in a letter dated February 21, 2019 (ADAMS Accession No. ML19028A287), using the consolidated line item improvement process. Public Comments Received as to Proposed No. NSHC (Yes/No).
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LICENSE AMENDMENT ISSUANCE(S)—Continued Entergy Louisiana, LLC, and Entergy Operations, Inc.; River Bend Station, Unit 1; West Feliciana Parish, LA; Entergy Operations, Inc., System Energy Resources, Inc., Cooperative Energy, A Mississippi Electric Cooperative, and Entergy Mississippi, LLC; Grand Gulf Nuclear Station, Unit 1; Claiborne County, MS
Docket No(s) ...... 50–416, 50–458. Amendment Date ...... February 2, 2021. ADAMS Accession No ...... ML21011A068. Amendment No(s) ...... Grand Gulf—226 and River Bend—205. Brief Description of Amendment(s) ...... The amendments adopted Technical Specifications Task Force (TSTF) Traveler TSTF–439, ‘‘Eliminate Second Completion Times Limiting Time from Discovery of Failure to Meet an LCO [Limiting Condition for Operation],’’ Revision 2, dated June 20, 2005 (ADAMS Acces- sion No. ML051860296), into the technical specifications for Grand Gulf Nuclear Station, Unit 1 and River Bend Station, Unit 1. Public Comments Received as to Proposed No. NSHC (Yes/No).
Exelon Generation Company, LLC; Calvert Cliffs Nuclear Power Plant, Units 1 and 2; Calvert County, MD
Docket No(s) ...... 50–317, 50–318. Amendment Date ...... January 26, 2021. ADAMS Accession No ...... ML20363A242. Amendment No(s) ...... 339 (Unit 1) and 317 (Unit 2). Brief Description of Amendment(s) ...... The amendments permit the use of accident tolerant fuel lead test assemblies and made an administrative change to the technical specifications. Up to two lead test assemblies of the Framatome PROtectTM fuel design are allowed to be loaded into the Calvert Cliffs Nuclear Power Plant, Unit 1 and Unit 2, reactors for up to three cycles. Public Comments Received as to Proposed No. NSHC (Yes/No).
Exelon Generation Company, LLC; Dresden Nuclear Power Station, Units 2 and 3; Grundy County, IL; Exelon Generation Company, LLC; LaSalle County Station, Units 1 and 2; LaSalle County, IL; Exelon Generation Company, LLC; Limerick Generating Station, Units 1 and 2; Montgomery County, PA; Exelon Generation Company, LLC; Peach Bottom Atomic Power Station, Units 2 and 3; York County, PA; Exelon Generation Company, LLC; Quad Cities Nuclear Power Station, Units 1 and 2; Rock Island County, IL; Nine Mile Point Nuclear Station, LLC and Exelon Generation Company, LLC; Nine Mile Point Nuclear Station, Unit 2; Oswego County, NY
Docket No(s) ...... 50–237, 50–249, 50–373, 50–374, 50–352, 50–353, 50–410, 50–277, 50–278, 50–254, 50– 265. Amendment Date ...... February 4, 2021. ADAMS Accession No ...... ML21013A005. Amendment No(s) ...... Dresden—273 (Unit 2) and 266 (Unit 3); LaSalle—247 (Unit 1) and 233 (Unit 2); Limerick— 251 (Unit 1) and 213 (Unit 2); Peach Bottom—336 (Unit 2) and 339 (Unit 3); Quad Cities— 285 (Unit 1) and 281 (Unit 2); Nine Mile Point—184 (Unit 2). Brief Description of Amendment(s) ...... The amendments revised certain technical specification requirements for the following physical parameters: (1) The drywell-to-suppression chamber differential pressure at Dresden and Quad Cities; (2) the primary containment oxygen concentration at Dresden, LaSalle, Nine Mile Point, Peach Bottom, and Quad Cities; and (3) the drywell and suppression chamber oxygen concentration at Limerick. The changes are based, in part, on Technical Specifica- tions Task Force (TSTF) Traveler TSTF–568, Revision 2, ‘‘Revise Applicability of BWR [Boil- ing-Water Reactor]/4 TS 3.6.2.5 and TS 3.6.3.2’’ (ADAMS Accession No. ML19141A122). Public Comments Received as to Proposed No. NSHC (Yes/No).
Indiana Michigan Power Company; Donald C. Cook Nuclear Plant, Unit 1; Berrien County, MI
Docket No(s) ...... 50–315. Amendment Date ...... January 12, 2021. ADAMS Accession No ...... ML20329A001. Amendment No(s) ...... 356. Brief Description of Amendment(s) ...... The amendment revised the reactor coolant system heatup and cooldown curves and the low temperature overpressure protection (LTOP) requirements in Technical Specification (TS) 3.4.3 and TS 3.4.12, respectively. The changes to the LTOP requirements in TS 3.4.12 also required conforming changes to be made to TSs 3.4.6, 3.4.7, and 3.4.10. Public Comments Received as to Proposed No. NSHC (Yes/No).
Indiana Michigan Power Company; Donald C. Cook Nuclear Plant, Units 1 and 2; Berrien County, MI
Docket No(s) ...... 50–315, 50–316. Amendment Date ...... January 15, 2021. ADAMS Accession No ...... ML20366A155. Amendment No(s) ...... 357 (Unit 1) and 336 (Unit 2). Brief Description of Amendment(s) ...... The amendments revised Technical Specification 5.5.12, ‘‘Technical Specifications (TS) Bases Control Program,’’ to align it with the Updated Final Safety Analysis Report update fre- quency and schedule.
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LICENSE AMENDMENT ISSUANCE(S)—Continued Public Comments Received as to Proposed No. NSHC (Yes/No).
Nine Mile Point Nuclear Station, LLC and Exelon Generation Company, LLC; Nine Mile Point Nuclear Station, Unit 2; Oswego County, NY
Docket No(s) ...... 50–410. Amendment Date ...... January 29, 2021. ADAMS Accession No ...... ML20332A115. Amendment No(s) ...... 183. Brief Description of Amendment(s) ...... The amendment permits the implementation of a risk-informed process for the categorization and treatment of structures, systems, and components, subject to special treatment controls. Also, the amendment added a license condition to the license that identifies action items that need to be completed prior to implementing the risk-informed categorization process and identifies possible changes to the risk-informed categorization process that would re- quire prior NRC approval. Public Comments Received as to Proposed No. NSHC (Yes/No).
Northern States Power Company; Monticello Nuclear Generating Plant; Wright County, MN
Docket No(s) ...... 50–263. Amendment Date ...... January 8, 2021. ADAMS Accession No ...... ML20352A349. Amendment No(s) ...... 205. Brief Description of Amendment(s) ...... The amendment revised the technical specifications related to reactor pressure vessel (RPV) water inventory control (WIC) based on Technical Specifications Task Force (TSTF) Trav- elers TSTF–582, Revision 0, ‘‘RPV WIC Enhancements,’’ and TSTF–583–T, Revision 0, ‘‘TSTF–582 Diesel Generator Variation.’’ Public Comments Received as to Proposed No. NSHC (Yes/No).
Susquehanna Nuclear, LLC and Allegheny Electric Cooperative, Inc.; Susquehanna Steam Electric Station, Units 1 and 2; Luzerne County, PA
Docket No(s) ...... 50–387, 50–388. Amendment Date ...... January 21, 2021. ADAMS Accession No ...... ML20168B004. Amendment No(s) ...... 278 (Unit 1) and 260 (Unit 2). Brief Description of Amendment(s) ...... The amendments revised the renewed facility operating licenses and technical specifications to allow application of the Framatome analysis methodologies necessary to support a planned transition to ATRIUM 11 fuel under the currently licensed Maximum Extended Load Line Limit Analysis operating domain. Public Comments Received as to Proposed No. NSHC (Yes/No).
Tennessee Valley Authority; Browns Ferry Nuclear Plant, Units 1, 2, and 3; Limestone County, AL; Tennessee Valley Authority; Sequoyah Nuclear Plant, Units 1 and 2; Hamilton County, TN; Tennessee Valley Authority; Watts Bar Nuclear Plant, Units 1 and 2; Rhea County, TN
Docket No(s) ...... 50–259, 50–260, 50–296, 50–327, 50–328, 50–390, 50–391. Amendment Date ...... January 12, 2021. ADAMS Accession No ...... ML20268A082. Amendment No(s) ...... Browns Ferry—314 (Unit 1), 337 (Unit 2), and 297 (Unit 3); Sequoyah—351 (Unit 1) and 345 (Unit 2); and Watts Bar—140 (Unit 1) and 46 (Unit 2). Brief Description of Amendment(s) ...... The amendments revised the technical specifications (TS) for Browns Ferry Nuclear Plant, Units 1, 2, and 3; Sequoyah Nuclear Plant, Units 1 and 2; and Watts Bar Nuclear Plant, Units 1 and 2, to remove the tables of contents from the TS and place them under licensee control. In addition, the amendments made two other administrative changes to the Sequoyah Nuclear Plant, Units 1 and 2; and Watts Bar Nuclear Plant, Units 1 and 2 TSs. Public Comments Received as to Proposed No. NSHC (Yes/No).
Tennessee Valley Authority; Sequoyah Nuclear Plant, Unit 1; Hamilton County, TN
Docket No(s) ...... 50–327. Amendment Date ...... February 1, 2021. ADAMS Accession No ...... ML20337A037. Amendment No(s) ...... 353. Brief Description of Amendment(s) ...... The amendments modified the technical specifications to reduce the steam generator tube in- spection frequency. Public Comments Received as to Proposed No. NSHC (Yes/No).
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LICENSE AMENDMENT ISSUANCE(S)—Continued Tennessee Valley Authority; Sequoyah Nuclear Plant, Units 1 and 2; Hamilton County, TN; Tennessee Valley Authority; Watts Bar Nuclear Plant, Units 1 and 2; Rhea County, TN
Docket No(s) ...... 50–327, 50–328, 50–390, 50–391. Amendment Date ...... January 25, 2021. ADAMS Accession No ...... ML20350B493. Amendment No(s) ...... Sequoyah—352 (Unit 1), 346 (Unit 2); Watts Bar—141 (Unit 1), and 47 (Unit 2). Brief Description of Amendment(s) ...... The amendments revised the technical specifications to adopt Technical Specifications Task Force (TSTF) Traveler TSTF–569, Revision 2, ‘‘Revise Response Time Testing Definition’’ (ADAMS Accession No. ML19176A034). Public Comments Received as to Proposed No. NSHC (Yes/No).
Vistra Operations Company LLC; Comanche Peak Nuclear Power Plant, Unit Nos. 1 and 2; Somervell County, TX
Docket No(s) ...... 50–445, 50–446. Amendment Date ...... February 1, 2021. ADAMS Accession No ...... ML20346A019. Amendment No(s) ...... 177 (Unit 1) and 177 (Unit 2). Brief Description of Amendment(s) ...... The amendments revised Technical Specification (TS) 3.8.1, ‘‘AC [Alternating Current] Sources—Operating,’’ to change the emergency diesel generator surveillance requirement (SR) steady-state frequency band in multiple SRs from a band from 58.8 hertz (Hz) to 61.2 Hz to a band from 59.9 Hz to 60.1 Hz. The amendments also removed historical information from TS 3.8.1 and a Note from SR 3.8.1.13. Public Comments Received as to Proposed No. NSHC (Yes/No).
IV. Previously Published Notices of notices. They were published as For details, including the applicable Consideration of Issuance of individual notices either because time notice period, see the individual notice Amendments to Facility Operating did not allow the Commission to wait in the Federal Register on the day and Licenses and Combined Licenses, for this monthly notice or because the page cited. Proposed No Significant Hazards action involved exigent circumstances. Consideration Determination, and They are repeated here because the Opportunity for a Hearing monthly notice lists all amendments The following notices were previously issued or proposed to be issued published as separate individual involving NSHC.
LICENSE AMENDMENT REQUEST(S)—REPEAT OF INDIVIDUAL FEDERAL REGISTER NOTICE
Indiana Michigan Power Company; Donald C. Cook Nuclear Plant, Unit 2; Berrien County, MI
Docket No(s) ...... 50–316. Application Date ...... December 14, 2020. ADAMS Accession No ...... ML20363A011. Brief Description of Amendment(s) ...... The proposed amendment would revise the Donald C. Cook Nuclear Plant, Unit 2, technical specifications to allow a one-time change to permit the current integrated leak rate test in- terval of 15 years to be extended by approximately 18 months to no later than the plant startup after the fall 2022 refueling outage. Date & Cite of Federal Register Individual No- January 12, 2021 (86 FR 2460). tice. Expiration Dates for Public Comments & Hear- February 11, 2021 (Public Comments); March 15, 2021 (Hearing Requests). ing Requests.
Tennessee Valley Authority; Watts Bar Nuclear Plant, Unit 2; Rhea County, TN
Docket No(s) ...... 50–391. Application Date ...... December 23, 2020. ADAMS Accession No ...... ML20358A141. Brief Description of Amendment(s) ...... The proposed amendment would revise the Watts Bar Updated Final Safety Analysis Report to apply alternate eddy current probabilities of detection to indications of axial outer diame- ter stress corrosion cracking at tube support plates in the Watts Bar, Unit 2, steam genera- tors for the beginning-of-cycle voltage distribution in support of the Watts Bar, Unit 2, oper- ational assessment. The proposed probability of determination values will only be used until the Watts Bar, Unit 2, steam generators are replaced. Date & Cite of Federal Register Individual No- January 8, 2021 (86 FR 1545). tice. Expiration Dates for Public Comments & Hear- February 8, 2021 (Public Comments); March 9, 2021 (Hearing Requests). ing Requests.
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Dated: February 10, 2021. • Federal Rulemaking Website: Go to II. Background For the Nuclear Regulatory Commission. https://www.regulations.gov and search Under the provisions of the Philip J. McKenna, for Docket ID NRC–2020–0218. Paperwork Reduction Act of 1995 (44 • NRC’s Agencywide Documents Acting Deputy Director, Division of Operating U.S.C. Chapter 35), the NRC recently Access and Management System Reactor Licensing, Office of Nuclear Reactor submitted a request for renewal of an (ADAMS): You may obtain publicly Regulation. existing collection of information to available documents online in the [FR Doc. 2021–03107 Filed 2–22–21; 8:45 am] OMB for review entitled, part 19 of title ADAMS Public Documents collection at BILLING CODE 7590–01–P 10 of the Code of Federal Regulations https://www.nrc.gov/reading-rm/ (10 CFR), ‘‘Notices, Instructions and adams.html. To begin the search, select Reports to Workers: Inspection and ‘‘Begin Web-based ADAMS Search.’’ For NUCLEAR REGULATORY Investigations.’’ The NRC hereby COMMISSION problems with ADAMS, please contact the NRC’s Public Document Room (PDR) informs potential respondents that an reference staff at 1–800–397–4209, 301– agency may not conduct or sponsor, and [NRC–2020–0218] 415–4737, or by email to pdr.resource@ that a person is not required to respond to, a collection of information unless it Information Collection: Notices, nrc.gov. The supporting statement is available in ADAMS under Accession displays a currently valid OMB control Instructions and Reports to Workers: number. Inspection and Investigations No. ML20357A054. • Attention: The PDR, where you may The NRC published a Federal AGENCY: Nuclear Regulatory examine and order copies of public Register notice with a 60-day comment Commission. documents, is currently closed. You period on this information collection on November 4, 2020 (85 FR 70202). ACTION: Notice of submission to the may submit your request to the PDR via email at [email protected] or call 1– 1. The title of the information Office of Management and Budget; collection: 10 CFR part 19, ‘‘Notices, request for comment. 800–397–4209 or 301–415–4737, between 8:00 a.m. and 4:00 p.m. (EST), Instructions and Reports to Workers: Inspection and Investigations.’’ SUMMARY: The U.S. Nuclear Regulatory Monday through Friday, except Federal Commission (NRC) has recently holidays. 2. OMB approval number: 3150–0044. 3. Type of submission: Revision. submitted a request for renewal of an • NRC’s Clearance Officer: A copy of 4. The form number if applicable: Not existing collection of information to the the collection of information and related applicable. Office of Management and Budget instructions may be obtained without 5. How often the collection is required (OMB) for review. The information charge by contacting the NRC’s or requested: As necessary in order that collection is entitled, ‘‘Notices, Clearance Officer, David Cullison, adequate and timely reports of radiation Instructions and Reports to Workers: Office of the Chief Information Officer, exposure be made to individuals in Inspection and Investigations.’’ U.S. Nuclear Regulatory Commission, Washington, DC 20555–0001; telephone: applicable NRC-licensed activities. DATES: Submit comments by March 25, 6. Who will be required or asked to 2021. Comments received after this date 301–415–2084; email: [email protected]. respond: Licensees authorized to will be considered if it is practical to do receive, possess, use, or transfer so, but the Commission is able to ensure B. Submitting Comments material licensed by the NRC. consideration only for comments The NRC encourages electronic 7. The estimated number of annual received on or before this date. comment submission through the responses: 1,899,235. ADDRESSES: Written comments and Federal Rulemaking Website (https:// 8. The estimated number of annual recommendations for the proposed www.regulations.gov). Please include respondents: 19,500. information collection should be sent Docket ID NRC–2020–0218 in your 9. An estimate of the total number of within 30 days of publication of this comment submission. hours needed annually to comply with notice to https://www.reginfo.gov/ The NRC cautions you not to include the information collection requirement public/do/PRAMain. Find this identifying or contact information in or request: 579,661. particular information collection by comment submissions that you do not 10. Abstract: 10 CFR part 19 selecting ‘‘Currently under Review— want to be publicly disclosed in your establishes requirements for notices, Open for Public Comments’’ or by using comment submission. The NRC will instructions, and reports by licensees the search function. post all comment submissions at https:// and regulated entities to individuals FOR FURTHER INFORMATION CONTACT: www.regulations.gov as well as enter the participating in NRC-licensed and David Cullison, NRC Clearance Officer, comment submissions into ADAMS. regulated activities and options U.S. Nuclear Regulatory Commission, The NRC does not routinely edit available to these individuals in Washington, DC 20555–0001; telephone: comment submissions to remove connection with Commission 301–415–2084; email: identifying or contact information. inspections of licensees and regulated [email protected]. If you are requesting or aggregating entities, and to ascertain compliance comments from other persons for with the provisions of the Atomic SUPPLEMENTARY INFORMATION: submission to the OMB, then you Energy Act of 1954, as amended, Titles I. Obtaining Information and should inform those persons not to II and IV of the Energy Reorganization Submitting Comments include identifying or contact Act of 1974, and regulations, orders, and information that they do not want to be licenses thereunder. The regulations in A. Obtaining Information publicly disclosed in their comment this part also establish the rights and Please refer to Docket ID NRC–2020– submission. Your request should state responsibilities of the Commission and 0218 when contacting the NRC about that comment submissions are not individuals during interviews the availability of information for this routinely edited to remove such compelled by subpoena as part of the action. You may obtain publicly information before making the comment agency’s inspections or investigations available information related to this submissions available to the public or under Section 161c of the Atomic action by any of the following methods: entering the comment into ADAMS. Energy Act of 1954, as amended, on any
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matter within the Commission’s SECURITIES AND EXCHANGE purpose of and basis for the proposed jurisdiction. COMMISSION rule change and discussed any comments it received on the proposed Dated: February 17, 2021. [Release No. 34–91144; File No. SR–CFE– For the Nuclear Regulatory Commission. 2021–002] rule change. The text of these statements may be examined at the places specified David C. Cullison, in Item IV below. CFE has prepared NRC Clearance Officer, Office of the Chief Self-Regulatory Organizations; Cboe Information Officer. Futures Exchange, LLC; Notice of a summaries, set forth in Sections A, B, Filing of a Proposed Rule Change and C below, of the most significant [FR Doc. 2021–03557 Filed 2–22–21; 8:45 am] aspects of such statements. BILLING CODE 7590–01–P Regarding Rule Consolidation February 17, 2021. A. Self-Regulatory Organization’s Pursuant to Section 19(b)(7) of the Statement of the Purpose of, and OCCUPATIONAL SAFETY AND Securities Exchange Act of 1934 Statutory Basis for, the Proposed Rule HEALTH REVIEW COMMISSION (‘‘Act’’),1 notice is hereby given that on Change February 3, 2021 Cboe Futures Senior Executive Service Performance 1. Purpose Exchange, LLC (‘‘CFE’’ or ‘‘Exchange’’) Review Board Membership Chapter 5 (Obligations of Trading filed with the Securities and Exchange Privilege Holders) of the CFE Rulebook AGENCY: Occupational Safety and Health Commission (‘‘Commission’’) the currently includes a lengthy Appendix Review Commission. proposed rule change described in Items that contains twenty CFE rules ACTION: Annual notice. I, II, and III below, which Items have numbered Rules 518 through 537. Each been prepared by CFE.2 The SUMMARY: Notice is given of the of these rules provides that any TPH Commission is publishing this notice to subject to an enumerated CFTC appointment of members to the solicit comments on the proposed rule Performance Review Board (PRB) of the Regulation that violates the specified change from interested persons. CFE Regulation shall be deemed to have Occupational Safety and Health Review also has filed this proposed rule change Commission. violated that CFE rule. The CFTC with the Commodity Futures Trading Regulations referenced in the Appendix DATE: Membership is effective on Commission (‘‘CFTC’’). CFE filed a February 23, 2021. relate to minimum financial standards written certification with the CFTC for intermediaries, the segregation of FOR FURTHER INFORMATION CONTACT: under Section 5c(c) of the Commodity customer and proprietary funds, the Linda M. Beard, Human Resources 3 Exchange Act (‘‘CEA’’) on January 28, custody of customer funds, the Specialist, U.S. Occupational Safety and 2021. investment standards for customer Health Review Commission, 1120 20th funds, intermediary default procedures, Street NW, Washington, DC 20036, (202) I. Self-Regulatory Organization’s and related recordkeeping. The 606–5393. Description of the Proposed Rule Change Appendix is lengthy because it includes SUPPLEMENTARY INFORMATION: The twenty separate CFE rules. The The Exchange proposes to streamline Review Commission, as required by 5 Appendix is also lengthy because each the manner in which CFE’s rules require U.S.C. 4314(c)(1) through (5), has of these CFE rules includes CFE rule CFE Trading Privilege Holders (‘‘TPHs’’) established a Senior Executive Service language as well as a restatement of the to comply with CFTC regulations PRB. The PRB reviews and evaluates the provisions of the applicable CFTC relating to minimum financial initial appraisal of a senior executive’s Regulation that is referenced in the rule performance by the supervisor, and requirements, financial reporting which follows after the CFE rule makes recommendations to the requirements, and protection of language. customer funds. The scope of this filing Chairman of the Review Commission The proposed rule change streamlines is limited solely to the application of the regarding performance ratings, the manner in which the requirements proposed rule change to security futures performance awards, and pay-for- under the Appendix to Chapter 5 are that may be traded on CFE. Although no performance adjustments. Members of presented in the CFE Rulebook while security futures are currently listed for the PRB serve for a period of 24 months. maintaining the same requirements In the case of an appraisal of a career trading on CFE, CFE may list security within the Rulebook that are currently appointee, more than half of the futures for trading in the future. The text provided for under the Appendix. members shall consist of career of the proposed rule change is attached Specifically, the proposed rule change appointees, pursuant to 5 U.S.C. as Exhibit 4 to the filing but is not consolidates those requirements by 4314(c)(5). The names and titles of the attached to the publication of this enumerating all of them within current PRB members are as follows: notice. • Tim English, Associate CFE Rule 518 (Compliance with Administrator, Regional Operations and II. Self-Regulatory Organization’s Minimum Financial Requirements, Support, United States Department of Statement of the Purpose of, and Financial Reporting Requirements, and Agriculture, Food and Nutrition Service; Statutory Basis for, the Proposed Rule Requirements Relating to Protection of • Yvette Hatfield, Assistant General Change Customer Funds) instead of within an Counsel, Division of Operations- In its filing with the Commission, CFE Appendix to Chapter 5. The proposed Management, National Labor Relations included statements concerning the rule change also deletes the restatement Board; of all of the provisions of the CFTC • Michael A. McCord, General 1 15 U.S.C. 78s(b)(7). Regulations referenced in the Appendix Counsel, Federal Mine Safety and 2 The Commission notes that the Exchange while maintaining within Rule 518 Health Review Commission. originally filed its proposed rule change regarding reference to those same CFTC rule consolidation on January 29, 2021 (SR–CFE– Regulations and to the subject matter of Cynthia L. Attwood, 2021–001). SR–CFE–2021–001 was subsequently those regulations. Chairman. withdrawn and replaced by this filing in order to correct certain typographical errors in the Exhibit The following table identifies for each [FR Doc. 2021–03669 Filed 2–22–21; 8:45 am] 1 and proposed rule text. of the current CFE rules that is proposed BILLING CODE 7600–01–P 3 7 U.S.C. 7a–2(c). to be consolidated into Rule 518 the rule
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number of the current rule, the of the current rule, and the CFTC description of the subject matter of each subsection of amended Rule 518 that is regulation underlying the current rule. of those rules as provided for under proposed to address the subject matter The table also includes a high level applicable CFTC regulation.
Current CFE rule New CFE rule CFTC regulation Summary of rule
519 ...... 518(a) 4 1.10 Requires TPHs subject to CFTC Regulation 1.10 to comply with financial reporting re- quirements, including the requirement to file CFTC Form 1–FR. 520 ...... 518(b) 5 1.11 Requires TPHs subject to CFTC Regulation 1.11 to comply with the requirement that futures commission merchants (‘‘FCMs’’) establish, maintain, and enforce a system of risk management policies and procedures. 521 ...... 518(c) 6 1.12 Requires TPHs subject to CFTC Regulation 1.12 to comply with the requirement to no- tify the CFTC if the TPH fails to maintain an adjusted net capital above certain speci- fied thresholds. 522 ...... 518(d) 7 1.17 Requires TPHs subject to CFTC Regulation 1.17 to comply with certain minimum finan- cial requirements. 523 ...... 518(e) 8 1.18 Requires TPHs subject to CFTC Regulation 1.18 to comply with the requirement to maintain records for and relating to financial reporting and a monthly computation re- garding the TPH’s assets, liabilities, and capital. 524 ...... 518(f) 9 1.20 Requires TPHs subject to CFTC Regulation 1.20 to comply with the requirement to separately account for all future customer funds and segregate those funds as be- longing to the TPH’s futures customers. 525 ...... 518(g) 10 1.21 Requires TPHs subject to CFTC Regulation 1.21 to comply with the requirement to treat all money and equities accruing to an FCM on behalf of any futures customer as accruing to the futures customer. 526 ...... 518(h) 11 1.22 Requires TPHs subject to CFTC Regulation 1.22 to comply with a prohibition on using or permitting the use of the customer funds of one futures customer to purchase, margin, or settle the trades of or to secure credit of any person other than that fu- tures customer. 527 ...... 518(i) 12 1.23 Requires TPHs subject to CFTC Regulation 1.23 to comply with a prohibition on the commingling of futures customer funds with the funds of an FCM. 528 ...... 518(j) 13 1.24 Requires TPHs subject to CFTC Regulation 1.24 to comply with an exclusion that money held in a segregated account shall not include money invested in obligations or stocks of any clearing organization or contract market. 529 ...... 518(k) 14 1.25 Requires TPHs subject to CFTC Regulation 1.25 to comply with the requirements and restrictions regarding the investments of customer funds. 530 ...... 518(l) 15 1.26 Requires TPHs subject to CFTC Regulation 1.26 to comply with the requirement that each FCM that invests customer funds in instruments described in CFTC Regulation 1.25, except for investments in money market mutual funds, shall separately account for those instruments as futures customer funds and segregate those instruments as funds belonging to customers. 531 ...... 518(m) 16 1.27 Requires TPHs subject to CFTC Regulation 1.27 to comply with the requirement that each FCM which invests customer funds shall keep certain records of the invest- ment. 532 ...... 518(n) 17 1.28 Requires TPHs subject to CFTC Regulation 1.28 to comply with the requirement that FCMs that invest customer funds in instruments described in CFTC Regulation 1.25 shall include those instruments in segregated account records and reports at values not exceeding current market values. 533 ...... 518(o) 18 1.29 Requires TPHs subject to CFTC Regulation 1.29 to comply with the provision that an FCM may invest customer funds and retain as the TPH’s own incremental income or interest resulting therefrom and the requirement that an FCM shall bear sole respon- sibility for any losses resulting from the investment of customer funds in instruments described in CFTC Regulation 1.25. 534 ...... 518(p) 19 1.30 Requires TPHs subject to CFTC Regulation 1.30 to comply with a prohibition against an FCM lending funds on an unsecured basis to finance customers’ trading or lend- ing funds to customers secured by the customers’ accounts. 535 ...... 518(q) 20 1.31 Requires TPHs subject to CFTC Regulation 1.31 to comply with the requirement to maintain electronic records in accordance with certain provisions and to further es- tablish appropriate systems and controls that ensure the authority and reliability of electronic regulatory records. 536 ...... 518(r) 21 1.32 Requires TPHs subject to CFTC Regulation 1.32 to comply with the requirement each FCM compute as of the close of each business day the total amount of futures cus- tomer funds on deposit in segregated accounts as well as other specified details. 537 ...... 518(s) 22 1.36 Requires TPHs subject to CFTC Regulation 1.36 to comply with the requirement that each FCM maintain a record of all securities and property received from customers in lieu of money to margin, purchase, guarantee, or secure the transactions of those customers.
4 17 CFR 1.10. 11 17 CFR 1.22. 18 17 CFR 1.29. 5 17 CFR 1.11. 12 17 CFR 1.23. 19 17 CFR 1.30. 6 17 CFR 1.12. 13 17 CFR 1.24. 20 17 CFR 1.31. 7 14 17 CFR 1.17. 17 CFR 1.25. 21 17 CFR 1.32. 8 17 CFR 1.18. 15 17 CFR 1.26. 22 17 CFR 1.36. 9 17 CFR 1.20. 16 17 CFR 1.27. 10 17 CFR 1.21. 17 17 CFR 1.28.
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CFE believes that its proposed furthering compliance with those All submissions should refer to File approach to amending the Appendix to requirements by TPHs. Number SR–CFE–2021–002. This file Chapter 5 simplifies the CFE Rulebook number should be included on the B. Self-Regulatory Organization’s by streamlining a lengthy portion of the subject line if email is used. To help the Statement on Burden on Competition Rulebook that contains twenty separate Commission process and review your rules into one straightforward rule that CFE does not believe that the comments more efficiently, please use reflects all of the same requirements that proposed rule change will impose any only one method. The Commission will exist under the consolidated rules burden on competition not necessary or post all comments on the Commission’s thereby making it easier for TPHs to appropriate in furtherance of the internet website (http://www.sec.gov/ reference these requirements within purposes of the Act, in that the rules/sro.shtml). Copies of the CFE’s Rulebook because they will all be Exchange believes that the proposed submission, all subsequent enumerated in a single rule. rule change will contribute to furthering amendments, all written statements compliance by TPHs with CFTC with respect to the proposed rule 2. Statutory Basis regulations relating to minimum change that are filed with the The Exchange believes that the financial requirements, financial Commission, and all written proposed rule change is consistent with reporting requirements, and protection communications relating to the Section 6(b) of the Act,23 in general, and of customer funds. The Exchange proposed rule change between the furthers the objectives of Sections believes that the proposed rule change Commission and any person, other than 6(b)(1) 24 and 6(b)(5) 25 in particular, in is equitable and not unfairly those that may be withheld from the that it is designed: discriminatory in that it would apply public in accordance with the • To enable the Exchange to enforce equally to all TPHs subject to the provisions of 5 U.S.C. 552, will be compliance by its TPHs and persons relevant CFTC regulations. available for website viewing and associated with its TPHs with the C. Self-Regulatory Organization’s printing in the Commission’s Public provisions of the rules of the Exchange, Statement on Comments on the Reference Room, 100 F Street NE, • to prevent fraudulent and Proposed Rule Change Received From Washington, DC 20549, on official manipulative acts and practices, Members, Participants, or Others business days between the hours of • 10:00 a.m. and 3:00 p.m. Copies of the to promote just and equitable No written comments were solicited principles of trade, filing also will be available for or received with respect to the proposed inspection and copying at the principal • to remove impediments to and rule change. office of the Exchange. All comments perfect the mechanism of a free and received will be posted without change. open market and a national market III. Date of Effectiveness of the Persons submitting comments are system, Proposed Rule Change and Timing for • Commission Action cautioned that we do not redact or edit and in general, to protect investors personal identifying information from The proposed rule change will and the public interest. comment submissions. You should become operative on February 11, 2021. The proposed rule change retains submit only information that you wish At any time within 60 days of the date within the CFE Rulebook rule to make available publicly. All of effectiveness of the proposed rule provisions that address minimum submissions should refer to File change, the Commission, after financial requirements, financial Number SR–CFE–2021–002, and should consultation with the CFTC, may reporting requirements, and protection be submitted on or before March 16, summarily abrogate the proposed rule of customer funds, including rules 2021. relating to appropriate minimum change and require that the proposed financial standards for intermediaries, rule change be refiled in accordance For the Commission, by the Division of with the provisions of Section 19(b)(1) Trading and Markets, pursuant to delegated the segregation of customer and 27 of the Act.26 authority. proprietary funds, the custody of J. Matthew DeLesDernier, customer funds, the investment IV. Solicitation of Comments Assistant Secretary. standards for customer funds, intermediary default procedures, and Interested persons are invited to [FR Doc. 2021–03546 Filed 2–22–21; 8:45 am] submit written data, views, and related recordkeeping as required by BILLING CODE 8011–01–P arguments concerning the foregoing, CFTC regulations, all in furtherance of including whether the proposed rule TPH compliance with those rule change is consistent with the Act. SECURITIES AND EXCHANGE provisions and their enforcement by the Comments may be submitted by any of COMMISSION Exchange. In particular, the proposed the following methods: rule change streamlines a lengthy [Release No. 34–91146; File No. SR– portion of the Rulebook that contains Electronic Comments PEARL–2021–03] twenty separate rules into one • Use the Commission’s internet Self-Regulatory Organizations; MIAX straightforward rule that reflects all of comment form (http://www.sec.gov/ PEARL, LLC; Notice of Filing and the same requirements that exist under rules/sro.shtml); or Immediate Effectiveness of a Proposed the consolidated rules thereby making it • Send an email to rule-comments@ Rule Change To Amend Exchange easier for TPHs to reference those sec.gov. Please include File Number SR– Rule 200, Trading Permits requirements within CFE’s Rulebook CFE–2021–002 on the subject line. because they will all be enumerated in February 17, 2021. Paper Comments a single rule. The Exchange believes that Pursuant to Section 19(b)(1) of the making it easier for TPHs to reference • Send paper comments in triplicate Securities Exchange Act of 1934 those requirements will contribute to to Secretary, Securities and Exchange (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 Commission, 100 F Street NE, 23 15 U.S.C. 78f(b). Washington, DC 20549–1090. 27 17 CFR 200.30–3(a)(73). 24 15 U.S.C. 78f(b)(1). 1 15 U.S.C. 78s(b)(1). 25 15 U.S.C. 78f(b)(5). 26 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4.
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notice is hereby given that on February under the Exchange Act, to examine facilitating transactions in securities, to 11, 2021, MIAX PEARL, LLC (‘‘MIAX Members for compliance with financial remove impediments to and perfect the PEARL’’ or ‘‘Exchange’’) filed with the responsibility rules. Exchange Rule mechanism of a free and open market Securities and Exchange Commission 200(d), therefore, does not allow a and a national market system, and, in (‘‘Commission’’) a proposed rule change Trading Permit Holder that is not a general, to protect investors and the as described in Items I and II below, FINRA member 4 to satisfy this public interest. which Items have been prepared by the requirement by being a member of a The Exchange believes that the Exchange. The Commission is registered equities exchange. The proposed rule change would remove publishing this notice to solicit Exchange believes that requiring impediments to, and perfect the comments on the proposed rule change membership in another registered mechanisms of, a free and open market from interested persons. options exchange is unnecessarily too and a national market system and, in restrictive and is also not in line with general, protect investors and the public I. Self-Regulatory Organization’s interest by expanding the number of Statement of the Terms of Substance of similar membership requirements at 5 registered brokers-dealers that would be the Proposed Rule Change other exchanges. Therefore, to enable more broker-dealers to become Trading eligible to become Trading Permit The Exchange is filing a proposed rule Permit holders, the Exchange proposes holders and trade on the Exchange, change to Exchange Rule 200(d) to amend Exchange Rule 200(d) to while maintaining high regulatory requiring membership in another require membership in a registered standards and a comprehensive national securities exchange or national securities exchange, rather than regulatory regime with respect to such association. only registered options exchanges.6 firms. Exchange Rule 200(d) was too The text of the proposed rule change Exchange Rule 200(d) will continue to restrictive by limiting membership in is available on the Exchange’s website at require Trading Permit holders to be another registered national securities http://www.miaxoptions.com/rule- FINRA members where the registered exchange to only registered options filings/pearl at MIAX PEARL’s principal national securities exchange that they exchanges and, therefore, unnecessarily office, and at the Commission’s Public maintain membership is not designated precluded broker-dealers who were Reference Room. by the Commission to examine members members of a registered equities II. Self-Regulatory Organization’s for compliance with financial exchange from becoming Trading Permit Statement of the Purpose of, and responsibility rules pursuant to Rule holders. As mentioned above, Exchange Statutory Basis for, the Proposed Rule 17d–1 of the Exchange Act.7 Rule 200(d) will continue to require Change Trading Permit holders to be FINRA 2. Statutory Basis members where the registered national In its filing with the Commission, the The proposed rule change is securities exchange that they maintain Exchange included statements consistent with Section 6(b) of the Act,8 membership is not designated by the concerning the purpose of and basis for in general, and furthers the objectives of Commission to examine members for the proposed rule change and discussed Section 6(b)(5),9 in particular, because it compliance with financial responsibility any comments it received on the is designed to prevent fraudulent and rules pursuant to Rule 17d–1 of the proposed rule change. The text of these manipulative acts and practices, to Exchange Act. This will ensure that statements may be examined at the promote just and equitable principles of those Trading Permit holders that are places specified in Item IV below. The trade, to foster cooperation and not FINRA members maintain Exchange has prepared summaries, set coordination with persons engaged in membership at a registered options or forth in sections A, B, and C below, of regulating, clearing, settling, processing equities exchange that may be the most significant aspects of such information with respect to, and designated as their DEA by the statements. Commission. The proposed rule change A. Self-Regulatory Organization’s 4 A Trading Permit Holder that does not transact would also contribute to perfecting the Statement of the Purpose of, and business with the public is not required to become mechanism of a free and open market a FINRA member. Section 15(b)(8) of the Act that and a national market system, which Statutory Basis for, the Proposed Rule requires members that transact business with the Change public to be a member of FINRA. 15 U.S.C. outcomes are also consistent with the 78o(b)(8). protection of investors and the public 1. Purpose 5 See Cboe EDGX Exchange, Inc. (‘‘EDGX’’) Rule interest, by aligning the Exchange’s The purpose of the proposed rule 2.5(a)(4), Cboe EDGA Exchange, Inc. (‘‘EDGA’’) Rule membership requirements more closely change is to amend Exchange Rule 2.5(a)(4), Cboe BZX Exchange, Inc. (‘‘BZX’’) Rule with those of other national securities 2.5(a)(4), Cboe BYX Exchange, Inc. (‘‘BYX’’, 10 200(d) requiring membership in another collectively with EDGX, EDGA, and BZX, the ‘‘Cboe exchanges. national securities exchange or Equity Exchanges’’) Rule 2.5(a)(4), MEMX LLC The proposed rule change would also association. In sum, Exchange Rule (‘‘MEMX’’) Rule 2.5(a)(4), Investors Exchange, Inc. not unfairly discriminate between or (‘‘IEX’’) Rule 2.130(a), Long Term Stock Exchange, among market participants because both 200(d) currently requires that Trading Inc. (‘‘LTSE’’) Rule 2.130 and BOX Exchange LLC Permit 3 holders be a member in another (‘‘BOX’’) Rule 2020(a). current and prospective Trading Permit registered options exchange, other than 6 The Exchange also propose to include the holders would be subject to the rule. All the Exchange’s affiliates, the Miami phrase ‘‘or FINRA’’ at the end of Exchange Rule Trading Permit holders would be International Securities Exchange, LLC 200(d)’s title. regulated in the same manner by the 7 Rule 17d–1 of the Act authorizes the Exchange should they be a member of (‘‘MIAX’’) or MIAX Emerald, LLC Commission to name a single Self-Regulatory (‘‘Emerald’’), or the Financial Industry Organization (‘‘SRO’’) as the Designated Examining another registered national options or Regulatory Authority, Inc. (‘‘FINRA’’) Authority (‘‘DEA’’) to examine members of more equities exchange. where such other registered options than one SRO (‘‘common member’’) for compliance with the financial responsibility requirements B. Self-Regulatory Organization’s exchange has not been designated by the imposed by the Exchange Act, or by Commission Statement on Burden on Competition Commission, pursuant to Rule 17d–1 or SRO rules. 17 CFR 240.17d–1. The Exchange does not currently act as the DEA for any Trading The Exchange does not believe that 3 The term ‘‘Trading Permit’’ means a permit Permit holder. the proposed rule change will impose issued by the Exchange that confers the ability to 8 15 U.S.C. 78f(b). transact on the Exchange. See Exchange Rule 100. 9 15 U.S.C. 78f(b)(5). 10 See supra note 5.
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any burden on competition that is not exchanges.16 For this reason, and proposed rule change between the necessary or appropriate in furtherance because the proposal does not raise any Commission and any person, other than of the purposes of the Act. The novel regulatory issues, the Commission those that may be withheld from the proposed rule change is designed to believes that waiver of the 30-day public in accordance with the enhance competition by expanding the operative delay is consistent with the provisions of 5 U.S.C. 552, will be number of registered brokers-dealers protection of investors and the public available for website viewing and that would be eligible to become interest. Accordingly, the Commission printing in the Commission’s Public Trading Permit holders and trade on the hereby waives the operative delay and Reference Room, 100 F Street NE, Exchange by aligning Exchange Rule designates the proposed rule change Washington, DC 20549, on official 200(d) with that of other national operative upon filing.17 business days between the hours of securities exchanges.11 At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the filing of the proposed rule change, the filing also will be available for C. Self-Regulatory Organization’s Commission summarily may inspection and copying at the principal Statement on Comments on the temporarily suspend such rule change if office of the Exchange. All comments Proposed Rule Change Received From it appears to the Commission that such received will be posted without change. Members, Participants, or Others action is necessary or appropriate in the Persons submitting comments are Written comments were neither public interest, for the protection of cautioned that we do not redact or edit solicited nor received. investors, or otherwise in furtherance of personal identifying information from the purposes of the Act. If the comment submissions. You should III. Date of Effectiveness of the Commission takes such action, the submit only information that you wish Proposed Rule Change and Timing for Commission shall institute proceedings to make available publicly. All Commission Action to determine whether the proposed rule submissions should refer to File Because the foregoing proposed rule change should be approved or Number SR–PEARL–2021–03 and change does not: (i) Significantly affect disapproved. should be submitted on or before March the protection of investors or the public IV. Solicitation of Comments 16, 2021. interest; (ii) impose any significant Interested persons are invited to For the Commission, by the Division of burden on competition; and (iii) become submit written data, views, and Trading and Markets, pursuant to delegated operative for 30 days from the date on 18 arguments concerning the foregoing, authority. which it was filed, or such shorter time including whether the proposed rule J. Matthew DeLesDernier, as the Commission may designate, it has change is consistent with the Act. Assistant Secretary. become effective pursuant to Section Comments may be submitted by any of [FR Doc. 2021–03543 Filed 2–22–21; 8:45 am] 19(b)(3)(A) of the Act 12 and Rule 19b– the following methods: BILLING CODE 8011–01–P 4(f)(6) thereunder.13 A proposed rule change filed Electronic Comments pursuant to Rule 19b–4(f)(6) under the • Use the Commission’s internet SECURITIES AND EXCHANGE Act 14 normally does not become comment form (http://www.sec.gov/ COMMISSION operative for 30 days after the date of its rules/sro.shtml); or filing. However, Rule 19b–4(f)(6)(iii) 15 • Send an email to rule-comments@ [Release No. 34–91143; File No. SR–NYSE– permits the Commission to designate a sec.gov. Please include File Number SR– 2021–13] shorter time if such action is consistent PEARL–2021–03 on the subject line. with the protection of investors and the Self-Regulatory Organizations; New public interest. The Exchange has asked Paper Comments York Stock Exchange LLC; Notice of the Commission to waive the 30-day • Send paper comments in triplicate Filing and Immediate Effectiveness of operative delay so that the proposed to Secretary, Securities and Exchange Proposed Rule Change Amending Rule rule change may become operative Commission, 100 F Street NE, 7.35C To Change the Auction immediately. The Exchange states that Washington, DC 20549–1090. Reference Price for Exchange- Facilitated Core Open Auctions waiver of the operative delay is All submissions should refer to File consistent with the protection of Number SR–PEARL–2021–03. This file February 17, 2021. investors and the public interest number should be included on the Pursuant to Section 19(b)(1) 1 of the because it will allow the Exchange to subject line if email is used. To help the Securities Exchange Act of 1934 (the immediately expand the number of Commission process and review your ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 registered broker-dealers that would be comments more efficiently, please use notice is hereby given that on February eligible to become Trading Permit only one method. The Commission will 8, 2021, New York Stock Exchange LLC holders on the Exchange and align its post all comments on the Commission’s (‘‘NYSE’’ or the ‘‘Exchange’’) filed with membership requirements more closely internet website (http://www.sec.gov/ the Securities and Exchange with those of other national securities rules/sro.shtml). Copies of the Commission (the ‘‘Commission’’) the submission, all subsequent proposed rule change as described in 11 Id. amendments, all written statements Items I and II below, which Items have 12 15 U.S.C. 78s(b)(3)(A). with respect to the proposed rule been prepared by the self-regulatory 13 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– change that are filed with the organization. The Commission is 4(f)(6)(iii) requires a self-regulatory organization to Commission, and all written give the Commission written notice of its intent to publishing this notice to solicit file the proposed rule change, along with a brief communications relating to the comments on the proposed rule change description and text of the proposed rule change, from interested persons. at least five business days prior to the date of filing 16 See supra note 5. of the proposed rule change, or such shorter time 17 For purposes only of waiving the 30-day 18 as designated by the Commission. The Exchange operative delay, the Commission also has 17 CFR 200.30–3(a)(12). has satisfied this requirement. considered the proposed rule’s impact on 1 15 U.S.C. 78s(b)(1). 14 17 CFR 240.19b–4(f)(6). efficiency, competition, and capital formation. See 2 15 U.S.C. 78a. 15 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f). 3 17 CFR 240.19b–4.
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I. Self-Regulatory Organization’s provide that the Auction Collars for Reference Price for Exchange-facilitated Statement of the Terms of Substance of Exchange-facilitated Core Open Core Open Auctions would be the Proposed Rule Change Auctions would be the greater of $1.00 determined. Specifically, the Exchange The Exchange proposes to amend or 10% away from the Auction proposes to determine Auction 6 Rule 7.35C (Exchange-Facilitated Reference Price. The Exchange added Reference Prices for Exchange- Auctions) to change the Auction this Commentary to reduce the number facilitated Core Open Auctions in the Reference Price for Exchange-facilitated of securities subject to a collared same manner that the Exchange’s Core Open Auctions. The proposed rule Exchange-facilitated Core Open affiliates, NYSE Arca, Inc. (‘‘NYSE 7 change is available on the Exchange’s Auction. The Exchange observed that Arca’’) and NYSE American LLC website at www.nyse.com, at the from June 4, 2020 up to June 17, 2020, (‘‘NYSE American’’), determine the principal office of the Exchange, and at when DMMs returned staff to the Auction Reference Price for their the Commission’s Public Reference Trading Floor, even with the widened electronic Core Open Auctions. Room. Auction Collars, if there were significant NYSE Arca Rule 7.35–E(a)(8)(A) and overnight market-wide volatility, NYSE American Rule 7.35E(a)(8)(A) II. Self-Regulatory Organization’s Exchange-facilitated Core Open both provide that the Auction Reference Statement of the Purpose of, and Auctions had a greater likelihood of Price for Core Open Auctions on those Statutory Basis for, the Proposed Rule being subject to an Auction Collar. For exchanges is, ‘‘[t]he midpoint of the Change example, for that same June 4–June 16 Auction NBBO or, if the Auction NBBO In its filing with the Commission, the period, when the price of the SPDR S&P is locked, the locked price. If there is no self-regulatory organization included 500 ETF Trust (‘‘SPY’’) 8 moved over 1% Auction NBBO, the prior day’s Official statements concerning the purpose of, from the prior day’s close, 1.4% of the Closing Price.’’ The NYSE Arca and and basis for, the proposed rule change Exchange-facilitated Core Open NYSE American rules define the term and discussed any comments it received Auctions were subject to an Auction ‘‘Auction NBBO’’ to mean: on the proposed rule change. The text Collar, as compared to only .5% of the An NBBO that is used for purposes of of those statements may be examined at Exchange-facilitated Core Open pricing an auction. An NBBO is an Auction the places specified in Item IV below. Auctions being subject to an Auction NBBO when (i) there is an NBB above zero The Exchange has prepared summaries, Collar when SPY moved less than 1% and NBO for the security and (ii) the NBBO from the prior day’s close. is not crossed. In addition, for the Core Open set forth in sections A, B, and C below, Auction, an NBBO is an Auction NBBO when of the most significant parts of such The Exchange believes that adjusting the midpoint of the NBBO when multiplied statements. the Auction Reference Price to align by a designated percentage, is greater than or more closely with the anticipated price equal to the spread of that NBBO. The A. Self-Regulatory Organization’s of the Core Open Auction, rather than designated percentage will be determined by Statement of the Purpose of, and the widening the Auction Collars, would the Exchange from time to time upon prior Statutory Basis for, the Proposed Rule reduce the potential for an Exchange- notice to ETP Holders.9 Change facilitated Core Open Auction to be The Exchange proposes to amend 1. Purpose subject to an Auction Collar on all Rule 7.35C(b)(1) to provide that the trading days, including when there is The Exchange proposes to amend Auction Reference Price for an significant overnight market-wide Rule 7.35C (Exchange-Facilitated Exchange-facilitated Core Open Auction volatility. Accordingly, rather than Auctions) to change the Auction would be: ‘‘The midpoint of the Auction providing for a wider Auction Collar, as Reference Price for Exchange-facilitated NBBO or, if the Auction NBBO is set forth in Commentary .04 to Rule Core Open Auctions. locked, the locked price. If there is no For Exchange-facilitated Auctions, the 7.35C, the Exchange proposes to amend Auction NBBO, the Official Closing Exchange determines an Auction Price Rule 7.35C to update how the Auction Price from the prior trading day.’’ This based on the Indicative Match Price for rule text is based on NYSE Arca Rule 6 See Securities Exchange Act Release No. 89059 7.35–E(a)(8)(A) and NYSE American a security, which is bound by Auction (June 12, 2020), 85 FR 36911 (June 18, 2020) (SR– 4 Rule 7.35E(a)(8)(A) without any Collars. Rule 7.35C(b)(1) specifies the NYSE–2020–50) (amending Rule 7.35C to add Auction Reference Price that is used for Commentary .04) (‘‘Rule 7.35C Filing’’). differences. determining Auction Collars for Commentary .04 is in effect for a temporary period The Exchange further proposes to Exchange-facilitated Core Open that began on June 4, 2020 and ends on the earlier amend Rule 7.35(a) to add a definition of a full reopening of the Trading Floor facilities to for the term ‘‘Auction NBBO,’’ which Auctions, which is the Imbalance DMMs or after the Exchange closes on April 30, would similarly be based on the Reference Price, as determined under 2021. definition of that term in the NYSE Arca Rule 7.35A(e)(3).5 Currently, the 7 In the Rule 7.35C Filing, id., the Exchange and NYSE American rules without any Auction Collars for the Core Open explained that for the period while the Trading Floor had been temporarily closed preceding that substantive differences, as follows: Auction are at a price that is the greater filing, the Exchange had facilitated 2.35% of the of $0.15 or 10% away from the Auction Core Open Auctions and that approximately 30% ‘‘Auction NBBO’’ means an NBBO that is Reference Price. of the Exchange-facilitated Core Open Auctions had used for purposes of pricing an auction. An On June 4, 2020, the Exchange added an Indicative Match Price that was subject to an NBBO is an Auction NBBO when (i) there is Auction Collar, and approximately 50% of these an NBB above zero and NBO for the security Commentary .04 to Rule 7.35C to collared Exchange-facilitated Core Open Auctions and (ii) the NBBO is not crossed. In addition, were in securities trading at prices under $10.00. for the Core Open Auction, an NBBO is an 4 See Rule 7.35C(b)(2). The Exchange further noted that if Auction Collars Auction NBBO when the midpoint of the 5 See Rule 7.35C(b)(3)(A)(i). Pursuant to Rule had not been applied to these securities priced NBBO when multiplied by a designated 7.35A(e)(3), the Imbalance Reference Price for a under $10.00, they would have opened at a price percentage, is greater than or equal to the Core Open Auction is the Consolidated Last Sale between $0.15 and $1.00 away from the Auction Reference Price. spread of that NBBO. The designated Price, unless a pre-opening indication has been percentage will be determined by the published. Pursuant to Rule 7.35(a)(11)(A), the term 8 Because SPY is priced based on the securities ‘‘Consolidated Last Sale Price’’ means the most included in the S&P 500 Index, the Exchange Exchange from time to time upon prior notice recent consolidated last-sale eligible trade in a believes that SPY’s price as compared to its prior to member organizations. security during Core Trading Hours on that trading day’s closing price is indicative of the scope of day, and if none, the Official Closing Price from the market-wide volatility leading into the open of the 9 See NYSE Arca Rule 7.35–E(a)(5) and NYSE prior trading day for that security. Core Trading Session. American Rule 7.35E(a)(5).
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The Exchange proposes to add the when there has been significant C. Self-Regulatory Organization’s term ‘‘Auction NBBO’’ as Rule 7.35(a)(5) overnight market-wide volatility. The Statement on Comments on the and make non-substantive changes to Exchange believes that aligning the Proposed Rule Change Received From renumber the definitions currently set Auction Reference Price more closely Members, Participants, or Others forth in Rules 7.35(a)(5)–(12) as Rules with the anticipated opening price by No written comments were solicited 7.35(a)(6)–(13). using the midpoint of the Auction or received with respect to the proposed Because there are technology changes NBBO as the Auction Reference Price rule change. associated with this proposed rule (or Official Closing Price of the prior change, the Exchange proposes to Trading Day if no Auction NBBO) III. Date of Effectiveness of the announce the implementation date of would reduce the potential for an Proposed Rule Change and Timing for this change by Trader Update. The Exchange-facilitated Core Open Action Commission Action Exchange anticipates that the Exchange to be subject to an Auction Collar on all The Exchange has filed the proposed will implement this technology change trading days, including when there is rule change pursuant to Section in the first quarter of 2021. significant overnight market-wide 19(b)(3)(A)(iii) of the Act 12 and Rule To provide continuity, the Exchange volatility. The Exchange further believes 19b–4(f)(6) thereunder.13 Because the further proposes to amend Commentary that this proposed rule change would proposed rule change does not (i) .04 to Rule 7.35C to provide that such reduce the potential number of significantly affect the protection of Commentary would end on the earlier of securities that would open at a price investors or the public interest; (ii) when the Exchange implements its that may not represent the current value impose any significant burden on technology change to use the midpoint of the security due to unfilled competition; or (iii) become operative of the Auction NBBO as the Auction marketable auction interest, while still prior to 30 days from the date on which Reference Price for the Core Open preserving investor protections by it was filed, or such shorter time as the Auction or after the Exchange closes on Commission may designate, if April 30, 2020. With this proposed rule preventing significantly dislocated openings. This proposed rule change consistent with the protection of change, the widened Auction Collars investors and the public interest, the specified in that Commentary would would therefore promote the fair and orderly operation of Exchange- proposed rule change has become continue to be operative until such time effective pursuant to Section that the proposed changes to the facilitated Core Open Auctions by allowing such securities to open at a 19(b)(3)(A)(iii) of the Act 14 and Rule Auction Reference Price for Exchange- 19b–4(f)(6)(iii) thereunder.15 facilitated Core Open Auctions are price that is consistent with the buy and sell interest in the security, which A proposed rule change filed under operative and implemented. 16 would also allow more buy and sell Rule 19b–4(f)(6) normally does not 2. Statutory Basis interest to participate in such Auction. become operative prior to 30 days after the date of the filing. However, pursuant The proposed rule change is The Exchange notes that this to Rule 19b4(f)(6)(iii),17 the Commission consistent with Section 6(b) of the proposed change is not novel and is may designate a shorter time if such Act,10 in general, and furthers the based on how NYSE Arca and NYSE action is consistent with the protection objectives of Section 6(b)(5) of the Act,11 American determine the Auction of investors and the public interest. The in particular, in that it is designed to Reference Price for their respective Exchange has asked the Commission to prevent fraudulent and manipulative electronic Core Open Auctions. waive the 30-day operative delay so that acts and practices, to promote just and Accordingly, this proposed change the proposal may become operative equitable principles of trade, to foster would align how Auction Reference immediately upon filing. The Exchange cooperation and coordination with Prices are determined for electronic has represented that the technology to persons engaged in facilitating Exchange-facilitated Auctions across implement this proposed rule change transactions in securities, and to remove NYSE, NYSE Arca, and NYSE will be available in less than 30 days impediments to and perfect the American. from filing and that a waiver of the mechanism of a free and open market operative delay would allow the and a national market system. B. Self-Regulatory Organization’s Exchange to implement this proposed The Exchange believes that the Statement on Burden on Competition rule change as soon as the technology is proposal to change the Auction available. The Commission notes that Reference Price for Exchange-facilitated The Exchange does not believe that the proposal was previously included in Core Open Auctions would remove the proposed rule change would impose another filing and afforded a public impediments to and perfect the any burden on competition that is not comment period under that filing of mechanism of a free and open market necessary or appropriate in furtherance greater than 30 days.18 and a national market system because it of the purposes of the Act. The The Commission would reduce the potential number of proposed rule change is not designed to address any competitive issues but 12 15 U.S.C. 78s(b)(3)(A)(iii). securities that would be subject to a 13 rather is designed to provide the 17 CFR 240.19b–4(f)(6). collared Exchange-facilitated Core Open 14 15 U.S.C. 78s(b)(3)(A)(iii). Auction, including when there is Exchange with additional tools for when 15 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– significant overnight market-wide it facilitates an Auction, including by 4(f)(6)(iii) requires a self-regulatory organization to volatility. Commentary .04 to Rule aligning the Auction Reference Price for give the Commission written notice of its intent to an Exchange-facilitated Core Open file the proposed rule change, along with a brief 7.35C sought to achieve this goal by description and text of the proposed rule change, widening the Auction Collars, but as Auction with the Auction Reference at least five business days prior to the date of filing noted above, these temporary widened Price used for NYSE Arca and NYSE of the proposed rule change, or such shorter time Auction Collars would not prevent an American electronic Core Open as designated by the Commission. The Exchange Exchange-facilitated Core Open Auction Auctions. The proposed rule change has complied with this requirement. 16 17 CFR 240.19b–4(f)(6). from being subject to an Auction Collar does not implicate any intermarket 17 competition concerns because it relates 17 CFR 240.19b–4(f)(6)(iii). 18 The proposal was originally included in SR– 10 15 U.S.C. 78f(b). to how the Exchange would facilitate NYSE–2020–89, and published for public notice 11 15 U.S.C. 78f(b)(5). Auctions in Exchange-listed securities. and comment on November 5, 2020. See Securities
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believes that a waiver of the operative All submissions should refer to File (‘‘Act’’) 2 and Rule 19b 4 thereunder,3 delay is consistent with the protection Number SR–NYSE–2021–13. This file notice is hereby given that, on February of investors and the public interest number should be included on the 10, 2021, NYSE Arca, Inc. (‘‘NYSE because the proposal was published subject line if email is used. To help the Arca’’ or the ‘‘Exchange’’) filed with the previously for a substantial period time Commission process and review your Securities and Exchange Commission for public comment and no comments comments more efficiently, please use (‘‘Commission’’) the proposed rule were received on the proposal, and only one method. The Commission will change as described in Items I, II, and because a waiver will allow the post all comments on the Commission’s III below, which Items have been proposed rules to become effective in internet website (http://www.sec.gov/ prepared by the self-regulatory time for the Exchange to implement its rules/sro.shtml). Copies of the organization. The Commission is related technological changes. submission, all subsequent publishing this notice to solicit Accordingly, the Commission hereby amendments, all written statements comments on the proposed rule change waives the 30-day operative delay and with respect to the proposed rule from interested persons. designates the proposal operative upon change that are filed with the filing.19 Commission, and all written I. Self-Regulatory Organization’s At any time within 60 days of the communications relating to the Statement of the Terms of Substance of filing of such proposed rule change, the proposed rule change between the the Proposed Rule Change Commission summarily may Commission and any person, other than temporarily suspend such rule change if The Exchange proposes to amend the those that may be withheld from the NYSE Arca Equities Fees and Charges it appears to the Commission that such public in accordance with the (‘‘Fee Schedule’’) to adopt a new pricing action is necessary or appropriate in the provisions of 5 U.S.C. 552, will be tier, Tape B Tier 3, and make non- public interest, for the protection of available for website viewing and substantive changes to the Fee investors, or otherwise in furtherance of printing in the Commission’s Public Schedule. The Exchange proposes to the purposes of the Act. If the Reference Room, 100 F Street NE, implement the fee changes effective Commission takes such action, the Washington, DC 20549 on official February 10, 2021. The proposed rule Commission shall institute proceedings business days between the hours of 20 change is available on the Exchange’s under Section 19(b)(2)(B) of the Act to 10:00 a.m. and 3:00 p.m. Copies of the website at www.nyse.com, at the determine whether the proposed rule filing also will be available for principal office of the Exchange, and at change should be approved or inspection and copying at the principal the Commission’s Public Reference disapproved. office of the Exchange. All comments Room. IV. Solicitation of Comments received will be posted without change. Interested persons are invited to Persons submitting comments are II. Self-Regulatory Organization’s submit written data, views, and cautioned that we do not redact or edit Statement of the Purpose of, and arguments concerning the foregoing, personal identifying information from Statutory Basis for, the Proposed Rule including whether the proposed rule comment submissions. You should Change change is consistent with the Act. submit only information that you wish In its filing with the Commission, the Comments may be submitted by any of to make available publicly. All self-regulatory organization included the following methods: submissions should refer to File Number SR–NYSE–2021–13 and should statements concerning the purpose of, Electronic Comments be submitted on or before March 16, and basis for, the proposed rule change • Use the Commission’s internet 2021. and discussed any comments it received comment form (http://www.sec.gov/ For the Commission, by the Division of on the proposed rule change. The text rules/sro.shtml); or Trading and Markets, pursuant to delegated of those statements may be examined at • Send an email to rule-comments@ authority.21 the places specified in Item IV below. sec.gov. Please include File Number SR– J. Matthew DeLesDernier, The Exchange has prepared summaries, NYSE–2021–13 on the subject line. Assistant Secretary. set forth in sections A, B, and C below, of the most significant parts of such Paper Comments [FR Doc. 2021–03545 Filed 2–22–21; 8:45 am] statements. • Send paper comments in triplicate BILLING CODE 8011–01–P to: Secretary, Securities and Exchange A. Self-Regulatory Organization’s Statement of the Purpose of, and the Commission, 100 F Street NE, SECURITIES AND EXCHANGE Washington, DC 20549–1090. Statutory Basis for, the Proposed Rule COMMISSION Change Exchange Act Release No. 90363 (Nov. 5, 2020), 85 1. Purpose FR 71964 (Nov. 12, 2020). The comment period for [Release No. 34–91147; File No. SR– SR–NYSE–2020–89 was extended to February 10, NYSEARCA–2021–12] 2021. See Securities Exchange Act Release No. The Exchange proposes to adopt a 90726 (Dec. 18, 2020), 85 FR 84431 (Dec. 28, 2020). Self-Regulatory Organizations; NYSE new pricing tier, Tape B Tier 3, and The Exchange amended SR–NYSE–2020–89 on Arca, Inc.; Notice of Filing and make non-substantive changes to the February 5, 2021 to remove the proposal from that Fee Schedule. filing, see Securities Exchange Act Release No. Immediate Effectiveness of Proposed 91095 (Feb. 10, 2021), 86 FR 9978 (Feb. 17, 2021), Rule Change To Amend the NYSE Arca The proposed change to adopt a new and then subsequently filed the proposal as SR– Equities Fees and Charges pricing tier responds to the current NYSE–2021–13 on February 13, 2021. The competitive environment where order Commission notes that it received no comments on February 17, 2021. the proposal under SR–NYSE–2020–89. flow providers have a choice of where 19 For purposes only of accelerating the operative Pursuant to Section 19(b)(1) 1 of the to direct liquidity-providing orders by date of this proposal, the Commission has Securities Exchange Act of 1934 offering further incentives for ETP considered the proposed rule’s impact on efficiency, competition, and capital formation. 15 U.S.C. 78c(f). 21 17 CFR 200.30–3(a)(12). 2 15 U.S.C. 78a. 20 15 U.S.C. 78s(b)(2)(B). 1 15 U.S.C. 78s(b)(1). 3 17 CFR 240.19b–4.
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Holders 4 to send additional liquidity to share of executed volume of equities qualify for the proposed Tape B Tier 3 the Exchange. trading.11 would receive a credit of $0.0025 per The Exchange proposes to implement The Exchange believes that the ever- share for orders that provide liquidity in the fee changes effective February 10, shifting market share among the Tape B securities. 2021.5 exchanges from month to month As with the current Tape B Tier 1 and demonstrates that market participants Tape B Tier 2 pricing tiers, Lead Market Background can move order flow, or discontinue or Makers (‘‘LMMs’’) cannot qualify for the The Exchange operates in a highly reduce use of certain categories of proposed Tape B Tier 3 pricing tier. For competitive market. The Commission products. While it is not possible to all other fees and credits, tiered or basic has repeatedly expressed its preference know a firm’s reason for shifting order rates would apply based on a firm’s for competition over regulatory flow, the Exchange believes that one qualifying levels. intervention in determining prices, such reason is because of fee changes at The purpose of this proposed rule products, and services in the securities any of the registered exchanges or non- change is to incentivize ETP Holders to markets. In Regulation NMS, the exchange venues to which a firm routes increase the liquidity-providing orders Commission highlighted the importance order flow. With respect to non- they send to the Exchange, which would of market forces in determining prices marketable order flow that would support the quality of price discovery and SRO revenues and, also, recognized provide liquidity on an Exchange on the Exchange and provide additional that current regulation of the market against which market makers can quote, liquidity for incoming orders. The system ‘‘has been remarkably successful ETP Holders can choose from any one Exchange believes that the proposal in promoting market competition in its of the 16 currently operating registered would create an added incentive for broader forms that are most important to exchanges to route such order flow. ETP Holders to bring additional order investors and listed companies.’’ 6 Accordingly, competitive forces flow to a public market. The Exchange While Regulation NMS has enhanced constrain exchange transaction fees that further believes that providing credits to competition, it has also fostered a relate to orders that would provide ETP Holders that are affiliated with an ‘‘fragmented’’ market structure where liquidity on an exchange. OTP Holder or OTP Firm could lead to trading in a single stock can occur increased trading on the Exchange’s across multiple trading centers. When Proposed Rule Change equities and options markets.13 multiple trading centers compete for Tape B Tier 3 The Exchange believes that the order flow in the same stock, the The Exchange proposes to introduce a proposed pricing tier would provide an Commission has recognized that ‘‘such new pricing tier—Tape B Tier 3—for incentive for a greater number of ETP competition can lead to the securities with a per share price of $1.00 Holders to send additional liquidity to fragmentation of order flow in that and above. The proposed rule change is the Exchange in order to qualify for the stock.’’ 7 Indeed, equity trading is designed to be available to ETP Holders proposed new credit because, although currently dispersed across 16 that are affiliated with an OTP Holder the proposed pricing tier has a exchanges,8 numerous alternative or OTP Firm that has a market maker requirement of a minimum of options trading systems,9 and broker-dealer account on the Exchange’s options volume, it also requires an ETP Holder internalizers and wholesalers, all platform (‘‘NYSE Arca Options’’) and is to provide liquidity in Tape B securities competing for order flow. Based on intended to provide such ETP Holders at a level below the requirement under publicly-available information, no with an incentive to direct their both the Tape B Tier 1 and Tape B Tier single exchange currently has more than 14 liquidity-providing orders in Tape B 2 pricing tiers. 18% market share.10 Therefore, no securities to the Exchange. The Exchange believes that this exchange possesses significant pricing As proposed, ETP Holders would proposed change will provide a greater power in the execution of equity order qualify for the new Tape B Tier 3 incentive to attract additional liquidity flow. More specifically, the Exchange pricing tier if, on a daily basis, from additional ETP Holders so as to currently has less than 10% market measured monthly, they directly qualify for the Tape B Tier 3 credit. The execute providing volume in Tape B Exchange anticipates a small number of 4 All references to ETP Holders in connection Securities during the billing month that ETP Holders could qualify for Tape B with this proposed fee change include Market Tier 3 if they choose to route their Makers. is equal to 0.20% or more of the US 5 The Exchange originally filed to amend the Fee consolidated average daily volume (‘‘US orders to the Exchange. The Exchange Schedule on February 1, 2021 (SR–NYSEArca– CADV’’) 12 in Tape B Securities and are does not know how much order flow 2021–10). SR–NYSEArca–2021–10 was affiliated with an OTP Holder or OTP ETP Holders choose to route to other subsequently withdrawn and replaced by this filing. exchanges or to off-exchange venues. 6 See Securities Exchange Act Release No. 51808 Firm that provides an ADV of electronic (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) posted executions for the account of a Without having a view of ETP Holders’ (File No. S7–10–04) (Final Rule) (‘‘Regulation market maker in all issues on NYSE activity on other exchanges and off- NMS’’). Arca Options of at least 0.50% of total exchange venues, the Exchange has no 7 See Securities Exchange Act Release No. 61358, Customer equity and ETF option ADV way of knowing whether this proposed 75 FR 3594, 3597 (January 21, 2010) (File No. S7– rule change would result in any ETP 02–10) (Concept Release on Equity Market as reported by The Options Clearing Structure). Corporation (‘‘OCC’’). ETP Holders that Holder directing orders to the Exchange 8 See Cboe Global Markets, U.S Equities Market Volume Summary, available at https:// 11 See id. 13 There are currently 54 firms that are both ETP _ markets.cboe.com/us/equities/market share. See 12 US CADV means the United States Holders and OTP Holders. generally https://www.sec.gov/fast-answers/ Consolidated Average Daily Volume for 14 For example, Tape B Tier 1 requires ETP divisionsmarketregmrexchangesshtml.html. transactions reported to the Consolidated Tape, Holders to execute providing volume in Tape B 9 See FINRA ATS Transparency Data, available at excluding odd lots through January 31, 2014 (except Securities that is equal to at least 1.50% of US Tape https://otctransparency.finra.org/otctransparency/ for purposes of Lead Market Maker pricing), and B CADV. While Tape B Tier 2 provides ETP Holders AtsIssueData. A list of alternative trading systems excludes volume on days when the market closes multiple ways to earn Tape B Tier 2 credit, at a registered with the Commission is available at early and on the date of the annual reconstitution minimum, ETP Holders must execute providing https://www.sec.gov/foia/docs/atslist.htm. of the Russell Investments Indexes. Transactions volume equal to at least 0.20% of the US Tape B 10 See Cboe Global Markets, U.S. Equities Market that are not reported to the Consolidated Tape are CADV over the ETP Holder’s baseline, which for Volume Summary, available at http:// not included in US CADV. See Fee Schedule, Tape B Tier 2 is the ETP Holder’s Q2 2015 markets.cboe.com/us/equities/market_share/. footnote 3. providing ADV.
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in order to qualify for the proposed new broader forms that are most important to may direct their order flow, and it pricing tier. investors and listed companies.’’ 17 represents a small percentage of the The Exchange believes that the ever- overall market. Competing exchanges Non-Substantive Change shifting market share among the offer similar tiered pricing structures to The Exchange proposes to make a exchanges from month to month that of the Exchange, including non-substantive change by deleting the demonstrates that market participants schedules of rebates and fees that apply words ‘‘to the Book,’’ ‘‘from the Book,’’ can shift order flow, or discontinue to based on members achieving certain and ‘‘outside the Book’’ from the Fee reduce use of certain categories of volume thresholds across asset classes. Schedule. Specifically, in the context of products, in response to fee changes. Moreover, the Exchange believes the a credit provided by the Exchange, a fee With respect to non-marketable orders proposed pricing tier is a reasonable charged by the Exchange, or routing fees that provide liquidity on an Exchange, means to encourage ETP Holders charged by the Exchange, the Fee ETP Holders can choose from any one affiliated with an OTP Holder or OTP Schedule currently utilizes the words of the 16 currently operating registered Firm that has a market maker account ‘‘to the Book,’’ ‘‘from the Book,’’ and exchanges to route such order flow. on NYSE Arca Options to increase their ‘‘outside the Book,’’ respectively. The Accordingly, competitive forces liquidity on the Exchange and their Exchange believes these phrases are reasonably constrain exchange participation on NYSE Arca Options. superfluous. ETP Holders understand transaction fees that relate to orders that The Exchange believes adopting the that when they provide liquidity, they would provide liquidity on an proposed pricing tier may encourage provide it ‘‘to the Book.’’ And when exchange. Stated otherwise, changes to those ETP Holders who could not they take liquidity, they take it ‘‘from exchange transaction fees can have a previously achieve the requirements to the Book.’’ Similarly, when their orders direct effect on the ability of an qualify for Tape B credits to increase are routed, they are routed ‘‘outside the exchange to compete for order flow. their order flow on both the Exchange Book.’’ Therefore, the Exchange Tape B Tier 3 and on NYSE Arca Options. Increased proposes to delete these three phrases liquidity benefits all investors by Given this competitive environment, from the Fee Schedule. The Exchange deepening the Exchange’s liquidity the proposed rule change represents a believes this non-substantive change pool, offering additional flexibility for reasonable attempt to attract additional would streamline the Fee Schedule and all investors to enjoy cost savings, order flow to the Exchange. In promote clarity. supporting the quality of price particular, the Exchange believes the discovery, promoting market The proposed changes are not proposed introduction of the Tape B transparency and improving investor otherwise intended to address any other Tier 3 pricing tier is reasonable because protection. issues, and the Exchange is not aware of it provides ETP Holders affiliated with any significant problems that market an OTP Holder or OTP Firm that has a Non-Substantive Change participants would have in complying market maker account on NYSE Arca The Exchange believes that the with the proposed changes. Options with an opportunity to qualify proposed rule change to delete the for the Tape B Tier 3 credit through 2. Statutory Basis phrases ‘‘to the Book,’’ ‘‘from the Book,’’ equity and options orders. The and ‘‘outside the Book’’ from the Fee The Exchange believes that the Exchange believes that the proposed Schedule is reasonable because each of proposed rule change is consistent with pricing tier utilizing a lower equity 15 the phrases are superfluous and Section 6(b) of the Act, in general, and adding volume requirement coupled extraneous. As noted above, ETP furthers the objectives of Sections with a minimum options volume 16 Holders understand that when they 6(b)(4) and (5) of the Act, in particular, requirement is reasonable because the because it provides for the equitable proposal provides firms with greater provide liquidity, they provide it ‘‘to the allocation of reasonable dues, fees, and flexibility to reach volume tiers across Book,’’ when they take liquidity, they other charges among its members, asset classes, thereby creating an added take it ‘‘from the Book,’’ and when their issuers and other persons using its incentive for ETP Holders affiliated with orders are routed, they are routed facilities and does not unfairly an OTP Holder or OTP Firm that has a ‘‘outside the Book.’’ The Exchange discriminate between customers, market maker account on NYSE Arca believes it is reasonable to delete these issuers, brokers or dealers. Options to bring additional order flow phrases in an effort to streamline the Fee Schedule. The Exchange believes The Proposed Fee Change Is Reasonable to a public exchange, consequently encouraging greater participation and deleting these phrases would also As discussed above, the Exchange liquidity. promote clarity to the Fee Schedule and operates in a highly fragmented and The Exchange notes that volume- simplify the Fee Schedule. competitive market. The Commission based incentives and discounts have The Proposed Fee Change Is an has repeatedly expressed its preference been widely adopted by exchanges, Equitable Allocation of Fees and Credits for competition over regulatory including the Exchange. They also Tape B Tier 3 intervention in determining prices, provide additional benefits or discounts products, and services in the securities that are reasonably related to the value The Exchange believes the proposed markets. Specifically, in Regulation of the Exchange’s market quality and rule change to adopt a new pricing tier NMS, the Commission highlighted the associated higher levels of market equitably allocates its fees and credits importance of market forces in activity, such as higher levels of among market participants because it is determining prices and SRO revenues liquidity provision and/or growth reasonably related to the value of the and, also, recognized that current patterns. Additionally, as noted above, Exchange’s market quality associated regulation of the market system ‘‘has the Exchange operates in a highly with higher equities and options been remarkably successful in competitive market. The Exchange is volume. promoting market competition in its one of many venues and off-exchange The proposed pricing tier would be venues to which market participants available to ETP Holders that are 15 15 U.S.C. 78f(b). affiliated with OTP Holders or OTP 16 15 U.S.C. 78f(b)(4) and (5). 17 See Regulation NMS, 70 FR at 37499. Firms that have a market maker account
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on NYSE Arca Options. A number of would continue to apply to ETP Holders because the Exchange is not adopting ETP Holders have a reasonable as it does currently because the any new fees or credits or removing any opportunity to satisfy the tier’s Exchange is not adopting any new fees current fees or credits from the Fee criteria.18 The Exchange does not know or credits or removing any current fees Schedule. All ETP Holders would how much order flow ETP Holders or credits from the Fee Schedule. All continue to be subject to the same fees choose to route to other exchanges or to ETP Holders would continue to be and credits that currently apply to them. off-exchange venues. Without having a subject to the same fees and credits that Finally, the submission of orders to view of an ETP Holder’s activity on currently apply to them. the Exchange is optional for ETP other markets and off-exchange venues, Holders in that they could choose the Exchange has no way of knowing The Proposed Fee Change Is Not whether to submit orders to the whether this proposed rule change Unfairly Discriminatory Exchange and, if they do, the extent of would result in any ETP Holder Tape B Tier 3 its activity in this regard. The Exchange believes that it is subject to significant affiliated with an OTP Holder or OTP The Exchange believes that the competitive forces, as described below Firm that has a market maker account proposal is not unfairly discriminatory. in the Exchange’s statement regarding on NYSE Arca Options to increase In the prevailing competitive the burden on competition. participation in the Exchange’s equities environment, ETP Holders are free to and options markets to qualify for the For the foregoing reasons, the disfavor the Exchange’s pricing if they proposed Tape B Tier 3 credit. The Exchange believes that the proposal is believe that alternatives offer them Exchange believes the proposed pricing consistent with the Act. better value. tier could provide an incentive for other The Exchange believes it is not B. Self-Regulatory Organization’s ETP Holders that are affiliated with an unfairly discriminatory to adopt the Statement on Burden on Competition OTP Holder or OTP Firm that has a Tape B Tier 3 pricing tier as it would market maker account on NYSE Arca In accordance with Section 6(b)(8) of be available on an equal basis to ETP 19 Options to submit additional liquidity the Act, the Exchange believes that the Holders that are affiliated with an OTP on the Exchange and on NYSE Arca proposed rule change would not impose Holder or OTP Firm that has a market Options to qualify for the Tape B Tier any burden on competition that is not 3 credit. To the extent that such maker account on NYSE Arca Options necessary or appropriate in furtherance participants direct significant order flow that meet the requirement of the of the purposes of the Act. Instead, as to the Exchange’s equities and options proposed Tape B Tier 3 pricing tier. discussed above, the Exchange believes markets, the Exchange believes such Further, the Exchange believes the that the proposed changes would participants should receive the credit proposed pricing tier would incentivize encourage the submission of additional proposed by the new pricing tier. To the such ETP Holders to send their options liquidity to a public exchange, thereby extent an ETP Holder participates on the orders to the Exchange to qualify for the promoting market depth, price Exchange but not on NYSE Arca proposed new credit. The Exchange discovery and transparency and Options, the Exchange believes that the believes that, to the extent that ETP enhancing order execution proposal is still reasonable, equitable Holders affiliated with an OTP Holder opportunities for ETP Holders. As a and not unfairly discriminatory with or OTP Firm that has a market maker result, the Exchange believes that the respect to such ETP Holder based on the account on NYSE Arca Options, direct proposed change furthers the overall benefit to the Exchange resulting significant order flow to the Exchange’s Commission’s goal in adopting from the success of NYSE Arca Options. equities and options markets, such Regulation NMS of fostering integrated In particular, such success would allow participants should receive the credit competition among orders, which the Exchange to continue to provide and proposed by the new pricing tier. The promotes ‘‘more efficient pricing of potentially expand its existing incentive Exchange also believes that the individual stocks for all types of orders, programs to the benefit of all proposed change is not unfairly large and small.’’ 20 participants on the Exchange, whether discriminatory because it is reasonably Intramarket Competition. The they participate on NYSE Arca Options related to the value to the Exchange’s proposed change is designed to attract or not. market quality associated with higher additional equities and options order While the proposal is intended to volume. flow to the Exchange. The Exchange incentivize ETP Holders that are The proposed rule change is intended believes that the proposed introduction affiliated with an OTP Holder or OTP to incentivize ETP Holders that are of the Tape B Tier 3 pricing tier would Firm that has a market maker account affiliated with an OTP Holder or OTP incentivize market participants to direct on NYSE Arca Options, ETP Holders Firm that has a market maker account providing order flow to the Exchange that do not meet the criteria for the on NYSE Arca Options. As such, it does and greater participation on NYSE Arca proposed tier can still qualify for credits not permit unfair discrimination Options. Greater liquidity benefits all available under the other Tape B pricing because the requirement to qualify for market participants on the Exchange by tiers which do not require it to have any the new pricing tier would be applied providing more trading opportunities affiliation with an OTP Holder or OTP to all similarly situated ETP Holders, and encourages ETP Holders affiliated Firm and conduct options trading on who would all be eligible for the same with an OTP Holder or OTP Firm that NYSE Arca Options. credit on an equal basis. has a market maker account on NYSE Non-Substantive Change Arca Options to send orders to the Non-Substantive Change Exchange, thereby contributing to robust The Exchange believes that the The Exchange believes that the levels of liquidity, which benefits all proposed rule change to delete the proposed rule change to delete the market participants. The proposed phrases ‘‘to the Book,’’ ‘‘from the Book,’’ phrases ‘‘to the Book,’’ ‘‘from the Book,’’ volume requirement would be and ‘‘outside the Book’’ from the Fee and ‘‘outside the Book’’ from the Fee applicable to all similarly-situated Schedule is equitable because the Schedule is not unfairly discriminatory market participants, and, as such, the resulting streamlined Fee Schedule because the resulting streamlined Fee Schedule would continue to apply to 19 15 U.S.C. 78f(b)(8). 18 See supra note 13. ETP Holders as it does currently 20 See Regulation NMS, 70 FR at 37498–99.
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proposed change would not impose a C. Self-Regulatory Organization’s internet website (http://www.sec.gov/ disparate burden on competition among Statement on Comments on the rules/sro.shtml). Copies of the market participants on the Exchange. As Proposed Rule Change Received From submission, all subsequent such, the Exchange believes the Members, Participants, or Others amendments, all written statements proposed new pricing tier would not No written comments were solicited with respect to the proposed rule impose any burden on intramarket or received with respect to the proposed change that are filed with the competition that is not necessary or rule change. Commission, and all written appropriate in furtherance of the communications relating to the III. Date of Effectiveness of the purposes of the Act. The Exchange does proposed rule change between the Proposed Rule Change and Timing for Commission and any person, other than not believe the proposed rule change Commission Action those that may be withheld from the places a burden on competition among The foregoing rule change is effective public in accordance with the participants that are not affiliated with provisions of 5 U.S.C. 552, will be an OTP Holder or OTP Firm with a upon filing pursuant to Section 21 available for website viewing and market maker account on NYSE Arca 19(b)(3)(A) of the Act and subparagraph (f)(2) of Rule 19b–4 22 printing in the Commission’s Public Options because such participants can thereunder, because it establishes a due, Reference Room, 100 F Street NE, avail themselves to credits available fee, or other charge imposed by the Washington, DC 20549 on official under other Tape B pricing tiers that do Exchange. business days between the hours of not require participation on NYSE Arca At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the Options. Additionally, the Exchange’s filing of such proposed rule change, the filing also will be available for proposal to delete the phrases ‘‘to the Commission summarily may inspection and copying at the principal Book,’’ ‘‘from the Book,’’ and ‘‘outside temporarily suspend such rule change if office of the Exchange. All comments the Book’’ from the Fee Schedule will it appears to the Commission that such received will be posted without change. not place any undue burden on action is necessary or appropriate in the Persons submitting comments are intramarket competition that is not public interest, for the protection of cautioned that we do not redact or edit necessary or appropriate in furtherance investors, or otherwise in furtherance of personal identifying information from of the purposes of the Act because the the purposes of the Act. If the comment submissions. You should proposed change does not impact any Commission takes such action, the submit only information that you wish fees charged or credits provided by the Commission shall institute proceedings to make available publicly. All Exchange. All ETP Holders would under Section 19(b)(2)(B) 23 of the Act to submissions should refer to File Number SR–NYSEARCA–2021–12 and continue to be subject to the same fees determine whether the proposed rule should be submitted on or before March and credits that currently apply to them. change should be approved or disapproved. 16, 2021. Intermarket Competition. The For the Commission, by the Division of Exchange operates in a highly IV. Solicitation of Comments Trading and Markets, pursuant to delegated competitive market in which market Interested persons are invited to authority.24 participants can readily choose to send submit written data, views, and J. Matthew DeLesDernier, their orders to other exchange and off- arguments concerning the foregoing, Assistant Secretary. exchange venues if they deem fee levels including whether the proposed rule [FR Doc. 2021–03547 Filed 2–22–21; 8:45 am] at those other venues to be more change is consistent with the Act. BILLING CODE 8011–01–P favorable. As noted above, the Comments may be submitted by any of Exchange’s market share of intraday the following methods: SECURITIES AND EXCHANGE trading (i.e., excluding auctions) is Electronic Comments currently less than 10%. In such an COMMISSION • Use the Commission’s internet environment, the Exchange must [Release No. 34–91142; File No. SR–Phlx– continually adjust its fees and rebates to comment form (http://www.sec.gov/ rules/sro.shtml); or 2021–08] remain competitive with other • Send an email to rule-comments@ Self-Regulatory Organizations; Nasdaq exchanges and with off-exchange sec.gov. Please include File Number SR– venues. Because competitors are free to PHLX LLC; Notice of Filing and NYSEARCA–2021–12 on the subject Immediate Effectiveness of Proposed modify their own fees and credits in line. response, and because market Rule Change To Amend Rule 3304 Paper Comments participants may readily adjust their February 17, 2021. order routing practices, the Exchange • Send paper comments in triplicate Pursuant to Section 19(b)(1) of the does not believe its proposed fee change to Secretary, Securities and Exchange Securities Exchange Act of 1934 can impose any burden on intermarket Commission, 100 F Street NE, (‘‘Act’’),1 and Rule 19b–4 thereunder,2 competition. Washington, DC 20549–1090. notice is hereby given that on February The Exchange believes that the All submissions should refer to File 4, 2021, Nasdaq PHLX LLC (‘‘Phlx’’ or proposed rule change could promote Number SR–NYSEARCA–2021–12 This ‘‘Exchange’’) filed with the Securities competition between the Exchange and file number should be included on the and Exchange Commission other execution venues, including those subject line if email is used. To help the (‘‘Commission’’) the proposed rule Commission process and review your change as described in Items I and II that currently offer similar order types comments more efficiently, please use below, which Items have been prepared and comparable transaction pricing, by only one method. The Commission will by the Exchange. The Commission is encouraging additional orders to be sent post all comments on the Commission’s publishing this notice to solicit to the Exchange for execution. 21 15 U.S.C. 78s(b)(3)(A). 24 17 CFR 200.30–3(a)(12). 22 17 CFR 240.19b–4(f)(2). 1 15 U.S.C. 78s(b)(1). 23 15 U.S.C. 78s(b)(2)(B). 2 17 CFR 240.19b–4.
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comments on the proposed rule change event the primary source is unable to the protection of investors or the public from interested persons. provide data. interest; (ii) impose any significant The Exchange proposes to implement burden on competition; and (iii) become I. Self-Regulatory Organization’s the proposed rule change no later than operative for 30 days from the date on Statement of the Terms of Substance of ninety (90) days following the effective which it was filed, or such shorter time the Proposed Rule Change date of the proposed rule change. The as the Commission may designate, it has The Exchange proposes to amend Exchange notes this additional time become effective pursuant to Section Rule 3304 (Data Feeds Utilized) to gives the Exchange time to configure its 19(b)(3)(A) of the Act 5 and Rule 19b– change the primary and secondary system accordingly. 4(f)(6) thereunder.6 source of quotation data of certain At any time within 60 days of the 2. Statutory Basis market centers in the list of proprietary filing of the proposed rule change, the and network processor feeds that the The Exchange believes that its Commission summarily may Exchange utilizes for the handling, proposal is consistent with Section 6(b) temporarily suspend such rule change if routing, and execution of orders as well of the Act,3 in general, and furthers the it appears to the Commission that such as regulatory compliance processes objectives of Section 6(b)(5) of the Act,4 action is necessary or appropriate in the related to those functions. in particular, in that it is designed to public interest, for the protection of The text of the proposed rule change promote just and equitable principles of investors, or otherwise in furtherance of is available on the Exchange’s website at trade, to remove impediments to and the purposes of the Act. If the https://listingcenter.nasdaq.com/ perfect the mechanism of a free and Commission takes such action, the rulebook/phlx/rules, at the principal open market and a national market Commission shall institute proceedings office of the Exchange, and at the system, and, in general to protect to determine whether the proposed rule Commission’s Public Reference Room. investors and the public interest. change should be approved or The Exchange believes that the disapproved. II. Self-Regulatory Organization’s proposed rule change removes IV. Solicitation of Comments Statement of the Purpose of, and impediments to and perfects the Statutory Basis for, the Proposed Rule mechanism of a free and open market Interested persons are invited to Change because updating its data feeds table of submit written data, views, and In its filing with the Commission, the market centers for which the exchange arguments concerning the foregoing, Exchange included statements consumes quotation data through a including whether the proposed rule concerning the purpose of and basis for direct feed will provide clarity to market change is consistent with the Act. the proposed rule change and discussed participants. Additionally, it is Comments may be submitted by any of any comments it received on the necessary and consistent with the the following methods: proposed rule change. The text of these public interest and the protection of Electronic Comments statements may be examined at the investors to update the Exchange’s table • Use the Commission’s internet of market centers in Rule 3304 in order places specified in Item IV below. The comment form (http://www.sec.gov/ to provide transparency with respect to Exchange has prepared summaries, set rules/sro.shtml); or forth in sections A, B, and C below, of all the direct proprietary and network • Send an email to rule-comments@ the most significant aspects of such processor feeds from which the sec.gov. Please include File Number SR– statements. Exchange obtains market data. Phlx–2021–08 on the subject line. A. Self-Regulatory Organization’s B. Self-Regulatory Organization’s Paper Comments Statement of the Purpose of, and Statement on Burden on Competition • Send paper comments in triplicate Statutory Basis for, the Proposed Rule The Exchange does not believe that Change to Secretary, Securities and Exchange the proposed rule change will impose Commission, 100 F Street NE, 1. Purpose any burden on competition not Washington, DC 20549–1090. necessary or appropriate in furtherance All submissions should refer to File The Exchange proposes to update and of the purposes of the Act. The amend the data feeds table in Rule 3304, Number SR–Phlx–2021–08. This file proposed rule change is not designed to number should be included on the which sets forth on a market-by-market address any competitive issue; instead, basis the specific proprietary and subject line if email is used. To help the its purpose is to enhance transparency Commission process and review your network processor feeds that the with respect to the operation of the Exchange utilizes for the handling, comments more efficiently, please use Exchange and its use of market data only one method. The Commission will routing, and execution of orders, and for feeds. performing the regulatory compliance post all comments on the Commission’s processes related to each of those C. Self-Regulatory Organization’s internet website (http://www.sec.gov/ functions. Specifically, the table would Statement on Comments on the rules/sro.shtml). Copies of the be amended to reflect that the Exchange Proposed Rule Change Received From submission, all subsequent will receive a direct feed from MIAX Members, Participants, or Others amendments, all written statements with respect to the proposed rule PEARL, LLC (‘‘MIAX PEARL’’) and No written comments were either change that are filed with the MEMX LLC (‘‘MEMX’’) as its primary solicited or received. quotation data source and CQS/UQDF will become its secondary data source III. Date of Effectiveness of the 5 15 U.S.C. 78s(b)(3)(A). 6 for the handling, routing and execution Proposed Rule Change and Timing for 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Commission Action 4(f)(6)(iii) requires a self-regulatory organization to of orders and for performing regulatory give the Commission written notice of its intent to compliance processes related to each of Because the foregoing proposed rule file the proposed rule change, along with a brief those functions. The change to the change does not: (i) Significantly affect description and text of the proposed rule change, at least five business days prior to the date of filing primary sources reflects the Exchange’s of the proposed rule change, or such shorter time effort to include an additional source 3 15 U.S.C. 78f(b). as designated by the Commission. The Exchange and the use of secondary sources in the 4 15 U.S.C. 78f(b)(5). has satisfied this requirement.
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Commission, and all written I. Self-Regulatory Organization’s that it would provide notice to market communications relating to the Statement of the Terms of Substance of participants when the Exchange proposed rule change between the the Proposed Rule Change intended to terminate the Waiver Commission and any person, other than The Exchange is filing a proposal to Period. those that may be withheld from the amend the MIAX Emerald Fee Schedule On September 15, 2020, the Exchange public in accordance with the (the ‘‘Fee Schedule’’) to establish market issued a Regulatory Circular which provisions of 5 U.S.C. 552, will be data fees. announced, among other things, that the available for website viewing and The text of the proposed rule change Exchange would be ending the Waiver printing in the Commission’s Public is available on the Exchange’s website at Period for market data fees, beginning Reference Room, 100 F Street NE, http://www.miaxoptions.com/rule- October 1, 2020.8 Washington, DC 20549, on official filings/emerald, at MIAX’s principal On October 1, 2020, the Exchange business days between the hours of office, and at the Commission’s Public filed its proposal to assess fees for its 10:00 a.m. and 3:00 p.m. Copies of the Reference Room. market data products, MIAX Emerald filing also will be available for Top of Market (‘‘ToM’’), Administrative inspection and copying at the principal II. Self-Regulatory Organization’s Information Subscriber (‘‘AIS’’) feed, office of the Exchange. All comments Statement of the Purpose of, and and MIAX Order Feed (‘‘MOR’’).9 On received will be posted without change. Statutory Basis for, the Proposed Rule October 14, 2020, the Exchange Persons submitting comments are Change withdrew the First Proposed Rule cautioned that we do not redact or edit In its filing with the Commission, the Change and refiled its proposal in order personal identifying information from Exchange included statements to provide more description regarding comment submissions. You should concerning the purpose of and basis for the difference in pricing for internal submit only information that you wish the proposed rule change and discussed distributors and external distributors.10 to make available publicly. All any comments it received on the On November 25, 2020, the Exchange submissions should refer to File proposed rule change. The text of these withdrew the Second Proposed Rule Number SR–Phlx–2021–08 and should statements may be examined at the Change 11 and refiled its proposal to be submitted on or before March 16, places specified in Item IV below. The assess fees for its ToM, AIS and MOR 2021. Exchange has prepared summaries, set products in order to provide additional forth in sections A, B, and C below, of information.12 On January 22, 2021, the For the Commission, by the Division of Trading and Markets, pursuant to delegated the most significant aspects of such Exchange withdrew the Third Proposed 13 authority.7 statements. Rule Change and refiled its proposal in order to provide a cost-based J. Matthew DeLesDernier, A. Self-Regulatory Organization’s justification for its market data fees.14 Assistant Secretary. Statement of the Purpose of, and On February 4, 2021, the Exchange [FR Doc. 2021–03544 Filed 2–22–21; 8:45 am] Statutory Basis for, the Proposed Rule Change withdrew the Fourth Proposed Rule BILLING CODE 8011–01–P Change and refiled this proposal. 1. Purpose A more detailed description of the ToM, AIS and MOR products can be SECURITIES AND EXCHANGE The Exchange proposes to amend the COMMISSION Fee Schedule to establish market data fees. MIAX Emerald commenced the MIAX Emerald Fee Schedule until such time that the Exchange has an effective fee filing operations as a national securities establishing the applicable fee. The Exchange will [Release No. 34–91145; File No. SR– exchange registered under Section 6 of EMERALD–2021–05] issue a Regulatory Circular announcing the the Act 3 on March 1, 2019.4 The establishment of an applicable fee that was subject Exchange adopted its transaction fees to a Waiver Period at least fifteen (15) days prior Self-Regulatory Organizations; MIAX to the termination of the Waiver Period and Emerald, LLC; Notice of Filing and and certain of its non-transaction fees in effective date of any such applicable fee. See the Immediate Effectiveness of a Proposed its filing SR–EMERALD–2019–15.5 In Definitions Section of the Fee Schedule. Rule Change To Amend Its Fee that filing, the Exchange expressly 8 See MIAX Emerald Regulatory Circular 2020–41 waived, among others, market data fees available at https://www.miaxoptions.com/sites/ Schedule To Establish Market Data _ _ _ to provide an incentive to prospective default/files/circular-files/MIAX Emerald RC Fees 2020_41.pdf. market participants to become 9 See SR–EMERALD–2020–10 (the ‘‘First 6 February 17, 2021. Members of the Exchange. At that Proposed Rule Change’’). Pursuant to Section 19(b)(1) of the time, the Exchange waived market data 10 See Securities Exchange Act Release No. 90274 fees for the Waiver Period 7 and stated (October 27, 2020), 85 FR 69371 (November 2, 2020) Securities Exchange Act of 1934 (SR–EMERALD–2020–13) (Notice of Filing and (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Immediate Effectiveness of a Proposed Rule Change 3 15 U.S.C. 78f. To Amend Its Fee Schedule To Establish Market notice is hereby given that on February 4 See Securities Exchange Act Release No. 84891 Data Fees) (the ‘‘Second Proposed Rule Change’’). 4, 2021, MIAX Emerald, LLC (‘‘MIAX (December 20, 2018), 83 FR 67421 (December 28, 11 2018) (File No. 10–233) (order approving See Comment Letter from Joseph W. Ferraro III, Emerald’’ or ‘‘Exchange’’) filed with the SVP, Deputy General Counsel, the Exchange, dated Securities and Exchange Commission application of MIAX Emerald, LLC for registration as a national securities exchange). November 20, 2020, notifying the Commission that (‘‘Commission’’) the proposed rule 5 See Securities Exchange Act Release No. 85393 the Exchange will withdraw the Second Proposed change as described in Items I, II, and (March 21, 2019), 84 FR 11599 (March 27, 2019) Rule Change. III below, which Items have been (SR–EMERALD–2019–15) (Notice of Filing and 12 See Securities Exchange Act Release No. 90612 (December 9, 2020), 85 FR 81242 (December 15, prepared by the Exchange. The Immediate Effectiveness of a Proposed Rule Change To Establish the MIAX Emerald Fee Schedule). 2020) (SR–EMERALD–2020–16) (the ‘‘Third Commission is publishing this notice to 6 ‘‘Member’’ means an individual or organization Proposed Rule Change’’). solicit comments on the proposed rule approved to exercise the trading rights associated 13 See Comment Letter from Joseph W. Ferraro III, change from interested persons. with a Trading Permit. Members are deemed SVP, Deputy General Counsel, the Exchange, dated ‘‘members’’ under the Exchange Act. See Exchange January 19, 2021, notifying the Commission that the Rule 100 and the Definitions Section of the Fee Exchange will withdraw the Third Proposed Rule 7 17 CFR 200.30–3(a)(12). Schedule. Change. 1 15 U.S.C. 78s(b)(1). 7 ‘‘Waiver Period’’ means, for each applicable fee, 14 See SR–EMERALD–2021–04 (the ‘‘Fourth 2 17 CFR 240.19b–4. the period of time from the initial effective date of Proposed Rule Change’’).
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found in the Exchange’s previously filed subscribers to receive real-time updates MIAX Emerald believes that Market Data Product filings.15 The of options orders, products traded on exchanges, in setting fees of all types, Exchange notes that it will not be MIAX Emerald, MIAX Emerald Options should meet very high standards of assessing fees for Complex Top of System status, and MIAX Emerald transparency to demonstrate why each Market (‘‘cToM’’) 16 data at this time. Options Underlying trading status. new fee or fee increase meets the To summarize, ToM provides market Subscribers to the data feed will get a requirements of the Act that fees be participants with a direct data feed that list of all options symbols and strategies reasonable, equitably allocated, not includes the Exchange’s best bid and that will be traded and sourced on that unfairly discriminatory, and not create offer, with aggregate size, and last sale feed at the start of every session. an undue burden on competition among information, based on displayable order The Exchange proposes to charge members and markets. MIAX Emerald and quoting interest on the Exchange. monthly fees to Distributors (defined believes this high standard is especially The ToM data feed includes data that is below) of the ToM, AIS, and MOR important when an exchange sets identical to the data sent to the market data products. MIAX Emerald certain non-transaction fees, including processor for the Options Price will assess market data fees applicable market data fees. The Exchange believes Reporting Authority (‘‘OPRA’’). ToM to the market data products on Internal that it is important to demonstrate that also contains a feature that provides the and External Distributors in each month these fees are based on its costs to number of Priority Customer 17 contracts the Distributor is credentialed to use the provide these products and reasonable that are included in the size associated applicable market data product in the business needs. Accordingly, the with the Exchange’s best bid and offer. production environment. A Exchange believes the proposed fees AIS provides market participants with ‘‘Distributor’’ of MIAX Emerald data is will allow the Exchange to offset a direct data feed that allows subscribers any entity that receives a feed or file of expense the Exchange has and will to receive real-time updates of products data either directly from MIAX Emerald incur, and that the Exchange is traded on MIAX Emerald, trading status or indirectly through another entity and providing sufficient transparency (as for MIAX Emerald and products traded then distributes it either internally described below) into how the Exchange on MIAX Emerald, and liquidity seeking (within that entity) or externally determined to charge such fees. event notifications. The AIS market data (outside that entity). All Distributors are Accordingly, the Exchange is providing feed includes opening imbalance required to execute a MIAX Emerald an analysis of its revenues, costs, and condition information, opening routing Distributor Agreement. Market data fees profitability associated with the information, expanded quote range for ToM, AIS, and MOR will be reduced proposed fees. This analysis includes information, post-halt notifications, and for new Distributors for the first month information regarding its methodology liquidity refresh condition information. during which they subscribe to the for determining the costs and revenues associated with the proposed fees. AIS real-time messages are disseminated applicable market data product, based In order to determine the Exchange’s over multicast to achieve a fair delivery on the number of trading days that have costs associated with providing the mechanism. AIS notifications provide been held during the month prior to the current electronic system status proposed fees, the Exchange conducted date on which they have been an extensive cost review in which the allowing subscribers to take necessary credentialed to use the applicable actions immediately. Exchange analyzed every expense item market data product in the production in the Exchange’s general expense MOR provides market participants environment. Such new Distributors with a direct data feed that allows ledger to determine whether each such will be assessed a pro-rata percentage of expense relates to the proposed fees, the fees described above, which is the 15 and, if such expense did so relate, what See Securities Exchange Act Release No. 85207 percentage of the number of trading (February 27, 2019), 84 FR 7963 (March 5, 2019) portion (or percentage) of such expense (SR–EMERALD–2019–09) (Notice of Filing and days remaining in the affected calendar actually supports the services included Immediate Effectiveness of a Proposed Rule Change month as of the date on which they have in the proposed fees. The sum of all to Establish MIAX Emerald Top of Market (‘‘ToM’’) been credentialed to use the applicable such portions of expenses represents the Data Feed, MIAX Emerald Complex Top of Market market data product in the production (‘‘cToM’’) Data Feed, MIAX Emerald Administrative total cost of the Exchange to provide the Information Subscriber (‘‘AIS’’) Data Feed, and environment, divided by the total proposed fees. For the avoidance of MIAX Emerald Order Feed (‘‘MOR’’)). number of trading days in the affected doubt, no expense amount was allocated 16 cToM provides subscribers with the same calendar month. information as the ToM market data product as it twice. The Exchange is also providing relates to the strategy book, i.e., the Exchange’s best Specifically, the Exchange proposes to detailed information regarding the bid and offer for a complex strategy, with aggregate assess Internal Distributors $1,250 per Exchange’s cost allocation size, based on displayable order and quoting month and External Distributors $1,750 methodology—namely, information that interest in the complex strategy on the Exchange. per month for the ToM market data feed. cToM also provides subscribers with the explains the Exchange’s rationale for identification of the complex strategies currently The Exchange proposes to assess determining that it was reasonable to trading on MIAX Emerald; complex strategy last Internal Distributors $1,250 per month allocate certain expenses described in sale information; and the status of securities and External Distributors $1,750 per this filing towards the total cost to the underlying the complex strategy (e.g., halted, open, month for the AIS market data feed. The or resumed). cToM is distinct from ToM, and Exchange to provide the proposed fees. anyone wishing to receive cToM data must Exchange proposes to assess Internal In order to determine the Exchange’s subscribe to cToM regardless of whether they are Distributors $3,000 per month and projected revenues associated with a current ToM subscriber. ToM subscribers are not External Distributors $3,500 per month providing the proposed fees, the required to subscribe to cToM, and cToM for the MOR market data feed. The Exchange analyzed the number of subscribers are not required to subscribe to ToM. See id. Exchange notes that its data feed prices Members and non-Members currently 17 The term ‘‘Priority Customer’’ means a person are generally lower than other options utilizing the Exchange’s services or entity that (i) is not a broker or dealer in exchanges’ data feed prices for their associated with the proposed fees, and, securities, and (ii) does not place more than 390 comparable data feed products.18 utilizing a recent monthly billing cycle orders in listed options per day on average during a calendar month for its own beneficial account(s). * * * * * representative of 2020 monthly revenue, The number of orders shall be counted in accordance with Interpretation and Policy .01 to 18 See Nasdaq PHLX LLC Pricing Schedule, Cboe BZX Exchange, Inc. Fee Schedule, Market Exchange Rule 100. See Exchange Rule 100. Options 7, Section 10, Proprietary Data Feed Fees; Data Fees; Cboe Data Services, LLC, Fee Schedule.
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extrapolated annualized revenue on a Exchange believes that the proposed proposed fees, one Member terminated going-forward basis. The Exchange does fees are consistent with the Act because its market data feed subscriptions as a not believe it is appropriate to factor they (i) are reasonable, equitably result of the proposed fees. Accordingly, into its analysis future revenue growth allocated, not unfairly discriminatory, this example shows that if an exchange or decline into its projections for and not an undue burden on sets too high of a fee for its market data purposes of these calculations, given the competition; (ii) comply with the BOX products, market participants can uncertainty of such projections due to Order and the Guidance; (iii) are choose to not purchase market data or the continually changing market data supported by evidence (including simply unsubscribe from an exchange’s needs of market participants, market comprehensive revenue and cost data market data feeds. participant consolidation, etc. and analysis) that they are fair and The Exchange believes that its Additionally, the Exchange similarly reasonable because they do not result in proposal is consistent with Section does not factor into its analysis future excessive pricing or supra-competitive 6(b)(4) of the Act because the proposed cost growth or decline. profit; and (iv) utilize a cost-based fees will not result in excessive or The Exchange is presenting its justification framework. Accordingly, supra-competitive profit. The costs revenue and expense associated with the Exchange believes that the associated with providing market data the proposed fees in this filing in a Commission should find that the to Exchange Members and non- manner that is consistent with how the proposed fees are consistent with the Members, as well as the general Exchange presents its revenue and Act. expansion of a state-of-the-art expense in its Audited Unconsolidated The proposed rule change is infrastructure, are extensive, have Financial Statements. The Exchange’s immediately effective upon filing with increased year-over-year, and are most recent Audited Unconsolidated the Commission pursuant to Section projected to increase year-over-year in Financial Statement is for 2019. 19(b)(3)(A) of the Act. the future. In particular, the Exchange However, since the revenue and 2. Statutory Basis has experienced a material increase in expense associated with the proposed its costs in 2020, in connection with a The Exchange believes that its fees were not in place in 2019 or for the project to make its network environment proposal to amend its Fee Schedule is first three quarters of 2020, the more transparent and deterministic, consistent with Section 6(b) of the Act 21 Exchange believes its 2019 Audited based on customer demand. This project in general, and furthers the objectives of Unconsolidated Financial Statement is will allow the Exchange to enhance its Section 6(b)(4) of the Act 22 in not useful for analyzing the network architecture with the intent of particular, in that it is an equitable reasonableness of the total annual ensuring a best-in-class, transparent and allocation of reasonable dues, fees and revenue and costs associated with the deterministic trading system while other charges among its members and proposed fees. Accordingly, the maintaining its industry leading latency issuers and other persons using its Exchange believes it is more appropriate and throughput capabilities. In order to facilities. The Exchange also believes to analyze the proposed fees utilizing its provide this greater amount of the proposal furthers the objectives of 2020 revenue and costs, as described transparency and higher determinism, Section 6(b)(5) of the Act in that it is herein, which utilize the same MIAX Emerald has made significant designed to promote just and equitable presentation methodology as set forth in capital expenditures (‘‘CapEx’’), principles of trade, to remove the Exchange’s previously-issued incurred increased ongoing operational impediments to and perfect the Audited Unconsolidated Financial expenditures (‘‘OpEx’’), and undertaken mechanism of a free and open market Statements. Based on this analysis, the additional engineering research and and a national market system, and, in Exchange believes that the proposed development (‘‘R&D’’) in the following general to protect investors and the fees are fair and reasonable because they areas: (i) Implementing an improved public interest and is not designed to will not result in excessive pricing or network design to ensure the minimum permit unfair discrimination between supra-competitive profit when latency between multicast market data customers, issuers, brokers and dealers. comparing the Exchange’s total annual signals disseminated by the Exchange Separately, the Exchange is not aware expense associated with providing the across the extranet switches, improving of any reason why market participants services associated with the proposed the unicast jitter profile to reduce the could not simply drop their market data fees versus the total projected annual occurrence of message sequence subscriptions to an exchange (or not revenue the Exchange will collect for inversions from Members to the subscribe to market data feeds of an providing those services. Exchange quoting gateway processors, exchange) if an exchange were to * * * * * and introducing a new optical fiber establish prices for its market data fees On March 29, 2019, the Commission network infrastructure that ensures the that, in the determination of such issued its Order Disapproving Proposed optical fiber path for participants within market participant, did not make Rule Changes to Amend the Fee extremely tight tolerances; (ii) business or economic sense for such Schedule on the BOX Market LLC introducing a re-architected and market participant. No options market Options Facility to Establish BOX engineered participant quoting gateway participant is required by rule or Connectivity Fees for Participants and that ensures the delivery of messages to regulation to subscribe to market data Non-Participants Who Connect to the the match engine with absolute feeds of an options exchange. As BOX Network (the ‘‘BOX Order’’).19 determinism, eliminating the message On evidence of the fact that market processing inversions that can occur May 21, 2019, the Commission issued participants can and do unsubscribe with messages received nanoseconds the Staff Guidance on SRO Rule Filings from an exchange’s market data feeds 20 apart; and (iii) designing an improved Relating to Fees. Accordingly, the based on pricing, the Exchange notes monitoring platform to better measure that, since it issued its notice for the 19 See Securities Exchange Act Release No. 85459 the performance of the network and (March 29, 2019), 84 FR 13363 (April 4, 2019) (SR– systems at extremely tight tolerances BOX–2018–24, SR–BOX–2018–37, and SR–BOX– www.sec.gov/tm/staff-guidance-sro-rule-filings-fees 2019–04). (the ‘‘Guidance’’). and to provide Members with reporting 20 See Staff Guidance on SRO Rule Filings 21 15 U.S.C. 78f(b). on the performance of their systems. Relating to Fees (May 21, 2019), at https:// 22 15 U.S.C. 78f(b)(4) and (5). The CapEx associated with only phase
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1 of this project in 2020 was proposed fees are a reasonable program interface (‘‘API’’) is done solely approximately $1.85 million. This allocation of its costs and expenses within the match engine environment expense does not include the significant among its Members and other persons and is then delivered via the Member increase in employee time and other using its facilities since it is recovering and non-Member connectivity resources necessary to maintain and the costs associated with distributing infrastructure. This architecture delivers service this network, which expense is such data. Access to the Exchange is a market data distribution system that is captured in the operating expense provided on fair and non-discriminatory more efficient both in cost and discussed below. This project, which terms. The Exchange believes the performance. Earlier implementations results in a material increase in expense proposed fees are equitable and not like those implemented for the of the Exchange, is, among other things, unfairly discriminatory because the fee Exchange’s affiliates, Miami intended to enhance the overall trading level results in a reasonable and International Securities Exchange, LLC experience at the Exchange, making it a equitable allocation of fees amongst (‘‘MIAX’’) and MIAX PEARL, LLC venue that market participants want to users for similar services. Moreover, the (‘‘MIAX PEARL’’), require an additional access, thereby creating greater value in decision as to whether or not to server hardware level and network the Exchange’s market data products. purchase market data is entirely infrastructure making them more The Exchange believes that it is optional to all users. Potential expensive to deploy, operate and reasonable, equitable and not unfairly purchasers are not required to purchase maintain. All capital and operational discriminatory to assess internal the market data, and the Exchange is not expenses to support market data distributors fees that are less than the required to make the market data generation are a percentage of the total fees assessed for external distributors for available. Purchasers may request the cost to support the MIAX Emerald subscriptions to the Exchange’s ToM, data at any time or may decline to match engines (both in capital and AIS and MOR data feeds because purchase such data. The allocation of operational expense). The Exchange internal distributors have limited, fees among users is fair and reasonable believes that 10% of the functionality restricted usage rights to the market because, if the market deems the and support infrastructure is required to data, as compared to external proposed fees to be unfair or support the computation and distributors which have more expansive inequitable, firms can diminish or dissemination of market data at the usage rights. All Members and non- discontinue their use of this data. match engine layer, which serves as the Members that determine to receive any The Exchange only has four primary basis for its cost allocation for market market data feed of the Exchange (or its sources of revenue: Transaction fees, data products. Approximately 10% of affiliates, MIAX and MIAX PEARL), access fees, regulatory fees, and market the Exchange staff are required to must first execute, among other things, data fees. Accordingly, the Exchange support market data and fall under two the MIAX Exchange Group Exchange must cover all of its expenses from these categories: (1) The technical Data Agreement (the ‘‘Exchange Data four primary sources of revenue. development, maintenance, operation The Exchange believes that the Agreement’’).23 Pursuant to the and administration of market data proposed fees are fair and reasonable Exchange Data Agreement, Internal computation and delivery; and (2) non- because they will not result in excessive Distributors are restricted to the technical administration including pricing or supra-competitive profit, ‘‘internal use’’ of any market data they managing market data agreements and when comparing the total annual receive. This means that Internal the auditing and tracking of member expense that the Exchange projects to Distributors may only distribute the and non-member market data usage. incur in connection with providing Exchange’s market data to the As noted above, the Exchange these products versus the total annual recipient’s officers and employees and believes it is more appropriate to revenue that the Exchange projects to its affiliates.24 External Distributors may analyze the proposed fees utilizing its collect in connection with the proposed distribute the Exchange’s market data to 2020 revenue and costs, which utilize market data fees. For 2020,26 the total persons who are not officers, employees the same presentation methodology as annual expense for providing the market or affiliates of the external distributor,25 set forth in the Exchange’s previously- data products associated with the and may charge their own fees for the issued Audited Unconsolidated proposed fees for MIAX Emerald is distribution of such market data. Financial Statements.27 The $1,040,064 projected to be approximately Accordingly, the Exchange believes it is in projected total annual expense is $1,040,064. The $1,040,064 in projected fair, reasonable and not unfairly directly related to providing the market total annual expense is comprised of the discriminatory to assess External data products associated with the following, all of which are directly Distributors a higher fee for the proposed fees, and not any other related to providing the market data Exchange’s market data products as product or service offered by the products associated with the proposed External Distributors have greater usage Exchange. No expense amount was fees: (1) Third-party expense, relating to rights to commercialize such market allocated twice. fees paid by MIAX Emerald to third- data. It also costs the Exchange more to As discussed, the Exchange parties for certain products and services; support External Distributors versus conducted an extensive cost review in and (2) internal expense, relating to the internal distributors, as External internal costs of MIAX Emerald to 27 Distributors have reporting and For example, the Exchange previously noted provide the market data products monitoring obligations that Internal that all third-party expense described in its prior fee associated with the proposed fees. filing was contained in the information technology Distributors do not have, thus requiring The Exchange notes that the MIAX and communication costs line item under the additional time and effort of Exchange Emerald architecture takes advantage of section titled ‘‘Operating Expenses Incurred staff. The Exchange believes the Directly or Allocated From Parent,’’ in the an advance in design to eliminate the Exchange’s 2019 Form 1 Amendment containing its need for a market data distribution financial statements for 2018. See Securities 23 See Exchange Data Agreement, available at gateway layer. The computation and Exchange Act Release No. 87877 (December 31, https://miaxweb2.pairsite.com/sites/default/files/ 2019), 85 FR 738 (January 7, 2020) (SR–EMERALD– _ _ _ _ page-files/MIAX Exchange Group Data dissemination via an application 2019–39). Accordingly, the third-part expense _ Agreement 09032020.pdf. described in this filing is attributed to the same line 24 See id. 26 The Exchange has not yet finalized its 2020 item for the Exchange’s 2020 Form 1 Amendment, 25 See id. year end results. which will be filed in 2021.
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which the Exchange analyzed every providing the market data products expense. The Exchange believes this expense item in the Exchange’s general associated with the proposed fees. allocation is reasonable because it expense ledger (this includes over 150 The Exchange believes it is reasonable represents the Exchange’s actual cost to separate and distinct expense items) to to allocate such third-party expense provide the market data products determine whether each such expense described above towards the total cost to associated with the proposed fees, and relates to providing the market data the Exchange to provide the market data not any other product or service, as products associated with the proposed products associated with the proposed supported by its cost review. fees, and, if such expense did so relate, fees. In particular, the Exchange The Exchange did not allocate any what portion (or percentage) of such believes it is reasonable to allocate the expense associated with the proposed expense actually supports those identified portion of the Equinix fees towards SFTI and various other products, and thus bears a relationship expense because Equinix operates the service providers’ (including Thompson that is, ‘‘in nature and closeness,’’ data centers (primary, secondary, and Reuters, NYSE, Nasdaq, and Internap) directly related to those products. The disaster recovery) that host the because, as described above, the MIAX sum of all such portions of expenses Exchange’s network infrastructure. This Emerald architecture takes advantage of represents the total cost of the Exchange includes, among other things, the an advance in design to eliminate the to provide the market data products necessary storage space, which need for a market data distribution associated with the proposed fees. continues to expand and increase in gateway layer. The computation and For 2020, total third-party expense, cost, power to operate the network dissemination via an API is done solely relating to fees paid by MIAX Emerald infrastructure, and cooling apparatuses within the match engine environment to third-parties for certain products and to ensure the Exchange’s network and is then delivered via the member services for the Exchange to be able to infrastructure maintains stability. and non-member connectivity provide the market data products Without these services from Equinix, infrastructure. This architecture delivers associated with the proposed fees, is the Exchange would not be able to a market data system that is more projected to be $19,105. This includes, operate and support the network and efficient both in cost and performance. but is not limited to, a portion of the provide the market data products Accordingly, the Exchange determined fees paid to: (1) Equinix, for data center associated with the proposed fees to its not to allocate any expense associated services, for the primary, secondary, and Members and their customers. The with SFTI and various other service disaster recovery locations of the MIAX Exchange did not allocate all of the providers. Emerald trading system infrastructure; Equinix expense toward the cost of The Exchange believes it is reasonable (2) Zayo Group Holdings, Inc. (‘‘Zayo’’) providing the market data products to allocate the identified portion of the for network services (fiber and associated with the proposed fees, only other hardware and software provider bandwidth products and services) that portion which the Exchange expense because this includes costs for linking MIAX Emerald’s office locations identified as being specifically mapped dedicated hardware licenses for in Princeton, NJ and Miami, FL to all to providing the market data products switches and servers, as well as data center locations; (3) Secure associated with the proposed fees, dedicated software licenses for security Financial Transaction Infrastructure approximately 1% of the total Equinix monitoring and reporting across the (‘‘SFTI’’),28 which supports connectivity expense. The Exchange believes this network. Without this hardware and and feeds for the entire U.S. options allocation is reasonable because it software, the Exchange would not be industry; (4) various other services represents the Exchange’s actual cost to able to operate and support the network providers (including Thompson Reuters, provide the market data products and provide the market data products. NYSE, Nasdaq, and Internap), which associated with the proposed fees, and The Exchange did not allocate all of the provide content, connectivity services, not any other product or service, as hardware and software provider and infrastructure services for critical supported by its cost review. expense toward the cost of providing components of options connectivity and The Exchange believes it is reasonable the market data products associated network services; and (5) various other to allocate the identified portion of the with the proposed fees, only the hardware and software providers Zayo expense because Zayo provides portions which the Exchange identified (including Dell and Cisco, which the internet, fiber and bandwidth as being specifically mapped to support the production environment in connections with respect to the providing the market data products which Members connect to the network network, linking MIAX Emerald with its associated with the proposed fees, to trade, receive market data, etc.). affiliates, MIAX and MIAX PEARL, as approximately 1% of the total hardware For clarity, only a portion of all fees well as the data center and disaster and software provider expense. The paid to such third-parties is included in recovery locations. As such, all of the Exchange believes this allocation is the third-party expense herein, and no trade data, including the billions of reasonable because it represents the expense amount is allocated twice. messages each day per exchange, flow Exchange’s actual cost to provide the Accordingly, MIAX Emerald does not through Zayo’s infrastructure over the market data products associated with allocate its entire information Exchange’s network. Without these the proposed fees. technology and communication costs to services from Zayo, the Exchange would For 2020, total projected internal not be able to operate and support the expense, relating to the internal costs of 28 In fact, on October 22, 2019, the Exchange was network and provide the market data MIAX Emerald to provide the market notified by SFTI that it is again raising its fees products associated with the proposed data products associated with the charged to the Exchange by approximately 11%, fees. The Exchange did not allocate all proposed fees, is projected to be without having to show that such fee change of the Zayo expense toward the cost of $1,020,959. This includes, but is not complies with the Act by being reasonable, equitably allocated, and not unfairly providing the market data products limited to, costs associated with: (1) discriminatory. It is unfathomable to the Exchange associated with the proposed fees, only Employee compensation and benefits that, given the critical nature of the infrastructure the portion which the Exchange for full-time employees that support the services provided by SFTI, that its fees are not identified as being specifically mapped market data products associated with required to be rule-filed with the Commission pursuant to Section 19(b)(1) of the Act and Rule to providing the market data products the proposed fees, including staff in 19b–4 thereunder. See 15 U.S.C. 78s(b)(1) and 17 associated with the proposed fees, network operations, trading operations, CFR 240.19b–4, respectively. approximately 1% of the total Zayo development, system operations,
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business, as well as staff in general Exchange did not allocate all of the expense because such expense corporate departments (such as legal, employee compensation and benefits represents the portion of the Exchange’s regulatory, and finance) that support expense toward the cost of the market cost to rent and maintain a physical those employees and functions data products associated with the location for the Exchange’s staff who (including an increase as a result of the proposed fees, only the portions which operate and support the market data higher determinism project); (2) the Exchange identified as being products, including providing the depreciation and amortization of specifically mapped to providing the services associated with the proposed hardware and software used to provide market data products associated with fees. This amount consists primarily of the market data products associated the proposed fees, approximately 10% rent for the Exchange’s Princeton, NJ with the proposed fees, including of the total employee compensation and office, as well as various related costs, equipment, servers, cabling, purchased benefits expense. The Exchange believes such as physical security, property software and internally developed this allocation is reasonable because it management fees, property taxes, and software used in the production represents the Exchange’s actual cost to utilities. The Exchange operates its environment to support the network for provide the market data products Network Operations Center (‘‘NOC’’) trading; and (3) occupancy costs for associated with the proposed fees, and and Security Operations Center (‘‘SOC’’) leased office space for staff that provide not any other service, as supported by from its Princeton, New Jersey office the market data products associated its cost review. location. A centralized office space is with the proposed fees. The breakdown MIAX Emerald’s depreciation and required to house the staff that operate of these costs is more fully-described amortization expense relating to and support the market data products. below. For clarity, only a portion of all providing the market data products The Exchange currently has such internal expenses are included in associated with the proposed fees is approximately 150 employees. the internal expense herein, and no projected to be $38,125, which is only Approximately two-thirds of the expense amount is allocated twice. a portion of the $3,812,590 total Exchange’s staff are in the Technology Accordingly, MIAX Emerald does not projected expense for depreciation and department, and the majority of those allocate its entire costs contained in amortization. The Exchange believes it staff have some role in the operation those items to the market data products is reasonable to allocate the identified and performance of the network that associated with the proposed fees. portion of such expense because such supports the provision of the market expense includes the actual cost of the The Exchange believes it is reasonable data products associated with the computer equipment, such as dedicated proposed fees. Without this office space, to allocate such internal expense servers, computers, laptops, monitors, described above towards the total cost to the Exchange would not be able to information security appliances and operate and support the network and the Exchange to provide the market data storage, and network switching products associated with the proposed provide the market data products infrastructure equipment, including associated with the proposed fees to its fees. In particular, MIAX Emerald’s switches and taps that were purchased employee compensation and benefits Members and their customers. to operate and support the network and Accordingly, the Exchange believes it is expense relating to providing the market provide the market data products data products associated with the reasonable to allocate the identified associated with the proposed fees. portion of its occupancy expense proposed fees is projected to be Without this equipment, the Exchange $935,400, which is only a portion of the because such amount represents the would not be able to operate the Exchange’s actual cost to house the $9,354,009 total projected expense for network and provide the market data equipment and personnel who operate employee compensation and benefits. products associated with the proposed and support the Exchange’s network The Exchange believes it is reasonable fees to its Members and their customers. infrastructure and the market data to allocate the identified portion of such The Exchange did not allocate all of the products associated with the proposed expense because this includes the time depreciation and amortization expense fees. The Exchange did not allocate all spent by employees of several toward the cost of providing the market of the occupancy expense toward the departments, including Technology, data products associated with the cost of providing the market data Back Office, Systems Operations, proposed fees, only the portion which products associated with the proposed Networking, Business Strategy the Exchange identified as being fees, only the portion which the Development (who create the business specifically mapped to providing the requirement documents that the market data products associated with Exchange identified as being Technology staff use to develop market the proposed fees, approximately 1% of specifically mapped to operating and data products and enhancements), the total depreciation and amortization supporting the market data products, Trade Operations, Finance (who provide expense, as these access services would approximately 10% of the total billing and accounting services relating not be possible without relying on such. occupancy expense. The Exchange to the market data products), and Legal The Exchange believes this allocation is believes this allocation is reasonable (who provide legal services relating to reasonable because it represents the because it represents the Exchange’s the market data products, such as rule Exchange’s actual cost to provide the cost to provide the services associated filings and various license agreements market data products associated with with the proposed fees, and not any and other contracts). As part of the the proposed fees, and not any other other service, as supported by its cost extensive cost review conducted by the product or service, as supported by its review. Exchange, the Exchange reviewed the cost review. Accordingly, based on the facts and amount of time spent by each employee MIAX Emerald’s occupancy expense circumstances presented, the Exchange on matters relating to the provision of relating to providing the market data believes that its provision of the market the market data products associated products associated with the proposed data products associated with the with the proposed fees. Without these fees is projected to be $47,432, which is proposed fees will not result in employees, the Exchange would not be only a portion of the $474,323 total excessive pricing or supra-competitive able to provide the market data products projected expense for occupancy. The profit. To illustrate, on a going-forward, associated with the proposed fees to its Exchange believes it is reasonable to fully-annualized basis, the Exchange Members and their customers. The allocate the identified portion of such projects that its annualized revenue for
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providing the market data products the proposed fees are fair and As noted above, the proposed fee associated with the proposed fees would reasonable because they do not result in schedule would apply to all subscribers be approximately $648,000 per annum, excessive pricing or supra-competitive of the ToM, AIS and MOR data feeds, based on a recent billing cycle. The profit, when comparing the actual costs and customers may choose whether to Exchange projects that its annualized to the Exchange versus the projected subscribe to any or all of the feeds. The expense for providing the market data annual revenue from the proposed fees. Exchange also believes that the products associated with the proposed Further, the Exchange no longer proposed fees neither favor nor penalize fees would be approximately $1,040,064 believes it is necessary to waive these one or more categories of market per annum. Accordingly, on a fully- fees to attract market participants to participants in a manner that would annualized basis, the Exchange believes MIAX Emerald since this market is now impose an undue market on its total projected revenue for providing established and MIAX Emerald no competition. Further, the Exchange’s the market data products associated longer needs to rely on such waivers to proposed market data fee levels, as with the proposed fees will not result in attract market participants. The described herein, are comparable to fee excessive pricing or supra-competitive Exchange believes that the proposal is levels charged by other options profit; rather, it will result in a net loss equitable and not unfairly exchanges for the same or similar to the Exchange of approximately discriminatory because the elimination services, including those fees assessed ($392,064) per year ($648,000 of the fee waiver for the proposed fees by the Exchange’s affiliate, MIAX.30 ¥$1,040,064 = ¥$392,064). will uniformly apply to all market The Exchange believes that the For the avoidance of doubt, none of participants of the Exchange. The proposed market data fees do not place the expenses included herein relating to Exchange also notes that the Exchange’s certain market participants at a relative the market data products associated affiliate, MIAX, charges similar market disadvantage to other market with the proposed fees relate to the data fees.29 participants because the fees do not provision of any other services offered The Exchange also points out that it apply unequally to different size market by MIAX Emerald. Stated differently, no is not seeking to recoup any of its past participants, but instead would allow expense amount of the Exchange is costs associated with the provision of the Exchange charge for the time and allocated twice. The Exchange notes any market data fees during the Waiver resource necessary for providing market that, with respect to the MIAX Emerald Period. The Exchange currently has 13 data to the market participants that expenses included herein, those subscriptions for its ToM data product; request such data. Accordingly, the expenses only cover the MIAX Emerald 11 subscriptions for its AIS data Exchange believes that the proposed market; expenses associated with the product; and 8 subscriptions for its market data fees do not favor certain Exchange’s affiliate exchanges, MIAX MOR data product. All of these categories of market participants in a and MIAX PEARL, are accounted for subscribers have not paid any market manner that would impose a burden on separately and are not included within data fees during the Waiver Period. competition. the scope of this filing. Stated Further, the majority of firms that are differently, no expense amount of the subscribers of the Exchange’s affiliate Inter-Market Competition Exchange is also allocated to MIAX or options exchanges, MIAX and MIAX The Exchange believes the proposed MIAX PEARL. PEARL, also received free market data fees do not place an undue burden on The Exchange believes it is during similar Waiver Periods for the competition on other SROs that is not reasonable, equitable and not unfairly MIAX and MIAX PEARL market data necessary or appropriate. The Exchange discriminatory to allocate the respective fees. Accordingly, the Exchange (and notes that its data feed prices are percentages of each expense category MIAX and MIAX PEARL) have assumed generally lower than other options described above towards the total cost to 100% of the costs associated with exchanges’ data feed prices for their the Exchange of providing the market providing market data for the majority comparable data feed products.31 The data products associated with the of subscribers of the Exchange, MIAX, Exchange notes that it has far less proposed fees because the Exchange and MIAX PEARL during their Members as compared to the much performed a line-by-line item analysis of respective Waiver Periods. Accordingly, greater number of members at other all the expenses of the Exchange, and the Exchange believes that it is options exchanges resulting in fewer has determined the expenses that reasonable, equitable, and not unfairly market data subscribers. The Exchange directly relate to providing the market discriminatory to now adopt market is also unaware of any assertion that its data products associated with the data fees that are reasonably related to proposed market data fees would proposed fees. Further, the Exchange (and designed to recover) the somehow unduly impair its competition notes that, without the specific third- Exchange’s cost associated with the with other options exchanges. To the party and internal items listed above, provision of such market data. contrary, if the proposed market data the Exchange would not be able to fees are deemed too high by market provide the market data products B. Self-Regulatory Organization’s participants, they can simply associated with the proposed fees to its Statement on Burden on Competition discontinue their market data Members and their customers. Each of The Exchange does not believe that subscriptions with the Exchange, as one these expense items, including physical the proposed rule change will impose such Member has already done (as hardware, software, employee any burden on competition not described above). compensation and benefits, occupancy necessary or appropriate in furtherance costs, and the depreciation and of the purposes of the Act. C. Self-Regulatory Organization’s amortization of equipment, have been Statement on Comments on the identified through a line-by-line item Intra-Market Competition Proposed Rule Change Received From analysis to be integral to providing these The Exchange believes that the Members, Participants, or Others market data products. The proposed fees proposed fees do not put any market Written comments were neither are intended to recover the Exchange’s participants at a relative disadvantage solicited nor received. costs of providing market data to compared to other market participants. Exchange Members and their customers. 30 See id. Accordingly, the Exchange believes that 29 See MIAX Fee Schedule, Section 6(a)–(c). 31 See supra note 18.
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III. Date of Effectiveness of the Reference Room, 100 F Street NE, D Send an email message to rules- Proposed Rule Change and Timing for Washington, DC 20549, on official [email protected]. Please include File Commission Action business days between the hours of No. 265–28 on the subject line; or 10:00 a.m. and 3:00 p.m. Copies of the The foregoing rule change has become Paper Statements effective pursuant to Section filing also will be available for 19(b)(3)(A)(ii) of the Act,32 and Rule inspection and copying at the principal D Send paper statements to Vanessa 19b–4(f)(2) 33 thereunder. At any time office of the Exchange. All comments A. Countryman, Secretary, Securities received will be posted without change. within 60 days of the filing of the and Exchange Commission, 100 F Street Persons submitting comments are proposed rule change, the Commission NE, Washington, DC 20549–1090. summarily may temporarily suspend cautioned that we do not redact or edit such rule change if it appears to the personal identifying information from All submissions should refer to File No. Commission that such action is comment submissions. You should 265–28. This file number should be necessary or appropriate in the public submit only information that you wish included on the subject line if email is interest, for the protection of investors, to make available publicly. All used. To help us process and review or otherwise in furtherance of the submissions should refer to File your statement more efficiently, please purposes of the Act. If the Commission Number SR–EMERALD–2021–05, and use only one method. should be submitted on or before March takes such action, the Commission shall Statements also will be available for 16, 2021. institute proceedings to determine website viewing and printing in the whether the proposed rule should be For the Commission, by the Division of Commission’s Public Reference Room, approved or disapproved. Trading and Markets, pursuant to delegated 100 F Street NE, Room 1503, authority.34 IV. Solicitation of Comments Washington, DC 20549, on official J. Matthew DeLesDernier, business days between the hours of Interested persons are invited to Assistant Secretary. submit written data, views, and 10:00 a.m. and 3:00 p.m. All statements [FR Doc. 2021–03549 Filed 2–22–21; 8:45 am] arguments concerning the foregoing, received will be posted without change. including whether the proposed rule BILLING CODE 8011–01–P Persons submitting comments are change is consistent with the Act. cautioned that we do not redact or edit Comments may be submitted by any of SECURITIES AND EXCHANGE personal identifying information from the following methods: COMMISSION comment submissions. You should Electronic Comments submit only information that you wish to make available publicly. • Use the Commission’s internet [Release Nos. 33–10927, 34–91150; File No. comment form (http://www.sec.gov/ 265–28] FOR FURTHER INFORMATION CONTACT: rules/sro.shtml); or Marc Oorloff Sharma, Chief Counsel, • Send an email to rule-comments@ Investor Advisory Committee Meeting Office of the Investor Advocate, at (202) sec.gov. Please include File Number SR– AGENCY: Securities and Exchange 551–3302, Securities and Exchange EMERALD–2021–05 on the subject line. Commission. Commission, 100 F Street NE, Paper Comments ACTION: Notice of meeting. Washington, DC 20549. • Send paper comments in triplicate SUPPLEMENTARY INFORMATION: The SUMMARY: The Securities and Exchange to Secretary, Securities and Exchange meeting will be open to the public, Commission Investor Advisory Commission, 100 F Street NE, Committee, established pursuant to except during that portion of the Washington, DC 20549–1090. Section 911 of the Dodd-Frank Wall meeting reserved for an administrative All submissions should refer to File Street Reform and Consumer Protection work session during lunch. Persons Number SR–EMERALD–2021–05. This Act of 2010, is providing notice that it needing special accommodations to take file number should be included on the will hold a public meeting. The public part because of a disability should subject line if email is used. To help the is invited to submit written statements notify the contact person listed in the Commission process and review your to the Committee. section above entitled FOR FURTHER comments more efficiently, please use DATES: The meeting will be held on INFORMATION CONTACT. The agenda for only one method. The Commission will the meeting includes: Welcome remarks; post all comments on the Commission’s Thursday, March 11, 2021 from 10:00 a.m. until 4:00 p.m. (ET). Written approval of previous meeting minutes; a internet website (http://www.sec.gov/ follow-on panel discussion regarding rules/sro.shtml). Copies of the statements should be received on or self-directed individual retirement submission, all subsequent before March 10, 2021. accounts (IRAs); a panel discussion amendments, all written statements ADDRESSES: The meeting will be with respect to the proposed rule conducted by remote means and/or at regarding special purpose acquisition change that are filed with the the Commission’s headquarters, 100 F companies (SPACs); a discussion of a Commission, and all written St. NE, Washington, DC 20549. The recommendation regarding minority and communications relating to the meeting will be webcast on the underserved inclusion; a discussion of a proposed rule change between the Commission’s website at www.sec.gov. recommendation regarding credit rating Commission and any person, other than Written statements may be submitted by agencies; subcommittee reports; and a those that may be withheld from the any of the following methods: non-public administrative session. public in accordance with the Electronic Statements Dated: February 17, 2021. provisions of 5 U.S.C. 552, will be Vanessa A. Countryman, available for website viewing and D Use the Commission’s internet printing in the Commission’s Public submission form (http://www.sec.gov/ Secretary. rules/other.shtml); or [FR Doc. 2021–03563 Filed 2–22–21; 8:45 am] 32 15 U.S.C. 78s(b)(3)(A)(ii). BILLING CODE P 33 17 CFR 240.19b–4(f)(2). 34 17 CFR 200.30–3(a)(12).
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SMALL BUSINESS ADMINISTRATION EIDL applicants, subject to the disaster for Public Assistance Only for availability of funds. Eligible entities the State of ALASKA (FEMA–4585–DR), Data Collection Available for Public must be located in a low-income dated 02/17/2021. Comments community, must have 300 or fewer Incident: Severe Storms, Flooding, employees, must have economic losses Landslides, and Mudslides. ACTION: 60-Day notice and request for of greater than 30 percent, and must comments. meet all other eligibility requirements Incident Period: 11/30/2020 through 12/02/2020. SUMMARY: The Small Business applicable to EIDLs. SBA has created a Administration (SBA) intends to request new application (Form 3514) to collect DATES: Issued on 02/17/2021. the information necessary to implement approval, from the Office of Physical Loan Application Deadline the Targeted EIDL Advance authority. Management and Budget (OMB) for the Date: 04/19/2021. collection of information described Because the need for this financial Economic Injury (EIDL) Loan below. The Paperwork Reduction Act assistance is so critical, SBA requested Application Deadline Date: 11/17/2021. (PRA) requires federal agencies to and received emergency approval under publish a notice in the Federal Register 5 CFR 1320.13 for this new information ADDRESSES: Submit completed loan concerning each proposed collection of collection. The information will be applications to: U.S. Small Business information before submission to OMB, collected from applicants (small Administration, Processing and and to allow 60 days for public businesses and nonprofits) that are Disbursement Center, 14925 Kingsport comment in response to the notice. This eligible to apply for a Targeted EIDL Road, Fort Worth, TX 76155. notice complies with that requirement. Advance. SBA’s Office of Disaster Assistance (ODA) will use the FOR FURTHER INFORMATION CONTACT: A. DATES: Submit comments on or before information in determining whether to Escobar, Office of Disaster Assistance, April 26, 2021. approve or disapprove the application. U.S. Small Business Administration, ADDRESSES: Send all comments to, 409 3rd Street SW, Suite 6050, Cynthia Pitts, Office of Disaster Solicitation of Public Comments Washington, DC 20416, (202) 205–6734. Assistance, Small Business SBA is requesting comments on (a) SUPPLEMENTARY INFORMATION: Administration. Whether the collection of information is Notice is necessary for the agency to properly hereby given that as a result of the FOR FURTHER INFORMATION CONTACT: President’s major disaster declaration on Cynthia Pitts, [email protected], perform its functions; (b) whether the burden estimates are accurate; (c) 02/17/2021, Private Non-Profit (202) 205–7570. organizations that provide essential SUPPLEMENTARY INFORMATION: The whether there are ways to minimize the burden, including through the use of services of a governmental nature may Coronavirus Aid, Relief, and Economic file disaster loan applications at the Security Act, Public Law 116–136 (April automated techniques or other forms of information technology; and (d) whether address listed above or other locally 27, 2020) authorized SBA to provide an announced locations. Advance of up to $10,000 to applicants there are ways to enhance the quality, The following areas have been who applied for an economic injury utility, and clarity of the information. determined to be adversely affected by disaster loan (EIDL) in response to the Summary of Information Collection the disaster: COVID–19 pandemic. SBA developed a PRA Number: 3245–0419. streamlined information collection to (1) Title: Application for COVID–19 Primary Areas: Chatham REAA, City implement this EIDL Advance authority, Targeted Advance. and Borough Of Juneau, Haines including a Self-Certification for Description of Respondents: Borough, Municipality Of Skagway, Verification of Eligible Entity for Individual seeking COVID–19 Economic Petersburg Borough. Emergency EIDL Advance, SBA Form Injury Disaster Loan Targeted Advance. The Interest Rates are: 3503, along with several other forms Form Number: SBA Form 3514. used to collect information for COVID– Total Estimated Annual Responses: Percent EIDL loans. (OMB Control Number 8,625,250. 3245–0406). On July 10, 2020, SBA Total Estimated Annual Hour Burden: For Physical Damage: revised this information collection to 4,312,625. Non-Profit Organizations with remove all references to the EIDL Credit Available Elsewhere ... 2.000 Curtis Rich, Advance, because the appropriated Non-Profit Organizations with- funds for the EIDL Advance program Management Analyst. out Credit Available Else- had been exhausted. SBA received [FR Doc. 2021–03695 Filed 2–22–21; 8:45 am] where ...... 2.000 additional funds under the Economic BILLING CODE 8026–03–P For Economic Injury: Aid to Hard-Hit Small Businesses, Non-Profit Organizations with- Nonprofits, and Venues Act, (Economic out Credit Available Else- where ...... 2.000 Aid Act), Public Law 116–260, Div. N, SMALL BUSINESS ADMINISTRATION Title III, Sec. 323 (December 27, 2020), [Disaster Declaration #16872 and #16873; to provide additional Advances subject Alaska Disaster Number AK–00047] The number assigned to this disaster to certain conditions. Specifically, for physical damage is 16872 6 and for Section 331 of the Economic Aid Act Presidential Declaration of a Major economic injury is 16873 0. Disaster for Public Assistance Only for requires SBA to provide Targeted EIDL (Catalog of Federal Domestic Assistance the State of Alaska Advances (Targeted EIDL Advance) to Number 59008) certain entities that previously received AGENCY: U.S. Small Business Cynthia Pitts, an EIDL Advance of less than $10,000; Administration. Acting Associate Administrator for Disaster entities that previously applied for a ACTION: Notice. COVID–EIDL, but did not receive an Assistance. EIDL Advance because there were no SUMMARY: This is a Notice of the [FR Doc. 2021–03623 Filed 2–22–21; 8:45 am] funds available; and to new COVID– Presidential declaration of a major BILLING CODE 8026–03–P
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SMALL BUSINESS ADMINISTRATION Title: Small Business Administration determine the creditworthiness of an Application for Certificate of SBIC when considering its leverage Reporting and Recordkeeping Competency. application and to monitor its financial Requirements Under OMB Review SBA Form Number: 1531. condition after assistance is provided. Description of Respondents: Small The information is also used to evaluate AGENCY: Small Business Administration. Businesses. an SBICs’ compliance with certain ACTION: 30-Day notice. Estimated Annual Responses: 300. regulations, such as the activity Estimated Annual Hour Burden: requirements in 13 CFR 107.590 and the SUMMARY: The Small Business 2,400. portfolio diversification requirements in Administration (SBA) is seeking Curtis Rich, 13 CFR 107.740. approval from the Office of Management and Budget (OMB) for the information Management Analyst. Solicitation of Public Comments [FR Doc. 2021–03680 Filed 2–22–21; 8:45 am] collection described below. In Comments may be submitted on (a) BILLING CODE 8026–03–P accordance with the Paperwork whether the collection of information is Reduction Act and OMB procedures, necessary for the agency to properly SBA is publishing this notice to allow SMALL BUSINESS ADMINISTRATION perform its functions; (b) whether the all interested member of the public an burden estimates are accurate; (c) additional 30 days to provide comments Reporting and Recordkeeping whether there are ways to minimize the on the proposed collection of Requirements Under OMB Review burden, including through the use of information. automated techniques or other forms of AGENCY: Small Business Administration. DATES: Submit comments on or before information technology; and (d) whether ACTION: March 25, 2021. 30-Day notice. there are ways to enhance the quality, ADDRESSES: Written comments and SUMMARY: The Small Business utility, and clarity of the information. recommendations for this information Administration (SBA) is seeking OMB Control Number: 3245–0063. collection request should be sent within approval from the Office of Management Title: SBIC Financial Reports. 30 days of publication of this notice to and Budget (OMB) for the information SBA Form Number: 468.1, 468.2, www.reginfo.gov/public/do/PRAMain. collection described below. In 468.3, 468.4. Find this particular information accordance with the Paperwork Description of Respondents: Small collection request by selecting ‘‘Small Reduction Act and OMB procedures, Business Investment Companies. Business Administration’’; ‘‘Currently SBA is publishing this notice to allow Estimated Number of Respondents: Under Review,’’ then select the ‘‘Only all interested member of the public an 406. Show ICR for Public Comment’’ additional 30 days to provide comments Estimated Annual Responses: 1,000. checkbox. This information collection on the proposed collection of Estimated Annual Hour Burden: can be identified by title and/or OMB information. 24,708. Control Number. DATES: Submit comments on or before Curtis Rich, FOR FURTHER INFORMATION CONTACT: You March 25, 2021. Management Analyst. may obtain a copy of the information ADDRESSES: Written comments and [FR Doc. 2021–03679 Filed 2–22–21; 8:45 am] collection and supporting documents recommendations for this information from the Agency Clearance Office at collection request should be sent within BILLING CODE 8026–03–P [email protected]; (202) 205–7030, or 30 days of publication of this notice to from www.reginfo.gov/public/do/ www.reginfo.gov/public/do/PRAMain. SMALL BUSINESS ADMINISTRATION PRAMain Find this particular information SUPPLEMENTARY INFORMATION: A small collection request by selecting ‘‘Small Data Collection Available for Public business determined to be non- Business Administration’’; ‘‘Currently Comments responsible for award of a specific Under Review,’’ then select the ‘‘Only prime Government contract by a Show ICR for Public Comment’’ ACTION: 60-Day notice and request for Government contracting office has the checkbox. This information collection comments. right to appeal that decision through the can be identified by title and/or OMB SUMMARY: Small Business Administration (SBA). Control Number. The Small Business The information contained on this form, FOR FURTHER INFORMATION CONTACT: You Administration (SBA) intends to request as well as, other information developed may obtain a copy of the information approval, from the Office of by SBA, is used in determining whether collection and supporting documents Management and Budget (OMB) for the the decision by the Contracting Officer from the Agency Clearance Office at collection of information described should be overturned. [email protected]; (202) 205–7030, or below. Unless waived, the Paperwork Reduction Act (PRA) requires federal Solicitation of Public Comments: from www.reginfo.gov/public/do/ agencies to publish a notice in the Comments may be submitted on (a) PRAMain. Federal Register concerning each whether the collection of information is SUPPLEMENTARY INFORMATION: Section proposed collection of information necessary for the agency to properly 310(d)(1)(C)(i) of the Small Business before submission to OMB, and to allow perform its functions; (b) whether the Investment Act of 1958 requires Small 60 days for public comment in response burden estimates are accurate; (c) Business Investment Companies (SBICs) to the notice. whether there are ways to minimize the to submit audited financial statements burden, including through the use of to SBA at least annually. SBA DATES: Submit comments on or before automated techniques or other forms of regulations at 13 CFR 107.630 requires April 26, 2021. information technology; and (d) whether the use of SBA Form 468 when ADDRESSES: Send all comments to, there are ways to enhance the quality, submitting the financial statements and Cynthia Pitts, Office of Disaster utility, and clarity of the information. supporting documentation. The Assistance, Small Business OMB Control Number: 3245–0225. information collected is used to Administration.
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FOR FURTHER INFORMATION CONTACT: there are ways to enhance the quality, arrangement to expire at midnight on Cynthia Pitts, [email protected], utility, and clarity of the information. December 31, 2021. (202) 205–7570. As explained by BNSF in its verified Summary of Information Collection SUPPLEMENTARY INFORMATION: As notice of exemption in Docket No. FD authorized by the Coronavirus OMB Control Number: 3245–0418. 36377 (Sub-No. 2), BNSF and Union Preparedness and Response (1) Title: Economic Injury Disaster Pacific Railroad Company (UP) entered Supplemental Appropriations Act, Loan (EIDL) Application Declaration of into an agreement granting BNSF 2020, the Coronavirus Aid, Relief, and Identify Theft COVID–19. restricted, local trackage rights over two Economic Security Act (CARES Act), Description of Respondents: rail lines owned by UP between: (1) UP the Paycheck Protection Program and Individuals who have identified and milepost 93.2 at Stockton, Cal., on UP’s Health Care Enhancement Act, and the attest to potential identity theft. Oakland Subdivision, and UP milepost new Economic Aid to Hard-Hit Small Form Number: SBA Form 3513. 219.4 at Elsey, Cal., on UP’s Canyon Businesses, Nonprofits, and Venues Act, Total Estimated Annual Responses: Subdivision, a distance of 126.2 miles; the Small Business Administration 50,000. and (2) UP milepost 219.4 at Elsey, and (SBA) has been providing COVID–19 Total Estimated Annual Hour Burden: UP milepost 280.7 at Keddie, Cal., on Economic Injury Disaster Loans to 12,500. UP’s Canyon Subdivision, a distance of provide working capital for small 61.3 miles (collectively, the Lines). Curtis Rich, BNSF Verified Notice of Exemption 1 businesses, private nonprofits, and Management Analyst. small agricultural enterprises who n.1, 2, BNSF Ry.—Trackage Rts. [FR Doc. 2021–03696 Filed 2–22–21; 8:45 am] suffered substantial economic injury as Exemption—Union Pac. R.R., FD 36377 a result of the Coronavirus pandemic. BILLING CODE 8026–03–P (Sub-No. 2). BNSF further stated that the SBA has received more than 16 million trackage rights arrangement is intended loan applications and a small to permit BNSF to move empty and percentage of those applications may be SURFACE TRANSPORTATION BOARD loaded unit ballast trains to and from the ballast pit located at Elsey. Id. BNSF a result of identity theft. In an effort to filed its verified notice of exemption ensure SBA is taking the appropriate Release of Waybill Data under the Board’s class exemption action for individuals who have The Surface Transportation Board has procedures at 49 CFR 1180.2(d)(7), indicated they have been the victim of received a request from the Chicago explaining that, because the trackage identity theft, the individual will need Region Environmental and rights covered by the notice in Docket to provide an affidavit to SBA indicating Transportation Efficiency Program No. FD 36377 (Sub-No. 2) are local no involvement in the filing of the loan (WB21–19—2/10/21) for permission to rather than overhead rights, they do not application, and that they did not use select data from the Board’s 2018– qualify for the Board’s class exemption receive or have knowledge of who 2019 Masked Carload Waybill Sample. for temporary trackage rights under 49 received the loan funds. The A copy of this request may be obtained CFR 1180.2(d)(8). BNSF Verified Notice information will be collected from those from the Board’s website under docket of Exemption 1 n.1, BNSF Ry.— individuals (or their representative) no. WB21–19. Trackage Rts. Exemption—Union Pac. who, without their knowledge or The waybill sample contains R.R., FD 36377 (Sub-No. 2). authorization, had an application confidential railroad and shipper data; In its petition, BNSF asks the Board submitted to SBA’s Office of Disaster therefore, if any parties object to these to partially revoke the exemption as Assistance (ODA) utilizing their requests, they should file their necessary to permit the trackage rights personal information. ODA will review objections with the Director of the to expire at midnight on December 31, the information contained in the Board’s Office of Economics within 14 2021, pursuant to the parties’ affidavit to determine whether there was calendar days of the date of this notice. agreement. (See BNSF Pet. 1–2); see also identity theft involved, and if so, ODA The rules for release of waybill data are BNSF Verified Notice of Exemption Ex. will take the necessary steps to stop all codified at 49 CFR 1244.9. B at 2, BNSF Ry.—Trackage Rts. billing statements, release any UCC Contact: Alexander Dusenberry, (202) Exemption—Union Pac. R.R., FD 36377 Security filings, and to ensure that loan 245–0319. (Sub-No. 2). BNSF argues that granting information will not be publicly this petition will promote the rail reported in the name of the identity Brendetta Jones, transportation policy and that the theft victim. In addition, this affidavit Clearance Clerk. revocation would be consistent with the will be provided to the Office of [FR Doc. 2021–03615 Filed 2–22–21; 8:45 am] limited scope of the transaction and Inspector General and other BILLING CODE 4915–01–P would not have an adverse effect on enforcement agencies in any legal action shippers. (BNSF Pet. 3.) In addition, going forward. The SBA requested and BNSF asserts that the Board has granted received emergency approval under 5 SURFACE TRANSPORTATION BOARD similar petitions for partial revocation to CFR 1320.13 for this information [Docket No. FD 36377 (Sub-No. 3)] permit temporary trackage rights to collection. expire, including a petition filed last Solicitation of Public Comments BNSF Railway Company—Trackage year in Docket No. FD 36377 (Sub-No. Rights Exemption—Union Pacific 1), involving a prior iteration of the SBA is requesting comments on (a) Railroad Company trackage rights agreement at issue here. Whether the collection of information is (Id.) necessary for the agency to properly By petition filed on December 28, perform its functions; (b) whether the 2020, BNSF Railway Company (BNSF) Discussion and Conclusions burden estimates are accurate; (c) requests that the Board partially revoke Although BNSF and UP have whether there are ways to minimize the the trackage rights exemption granted to expressly agreed on the duration of the burden, including through the use of it under 49 CFR 1180.2(d)(7) in Docket proposed trackage rights agreement, automated techniques or other forms of No. FD 36377 (Sub-No. 2), as necessary trackage rights approved under the class information technology; and (d) whether to permit that trackage rights exemption at 1180.2(d)(7) typically
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remain effective indefinitely, regardless By the Board, Board Members Begeman, described in the system of records of any contract provisions. Fuchs, Oberman, Primus, and Schultz. notice (DOT/ALL–14 FDMS), which can Occasionally, however, the Board has Tammy Lowery, be reviewed at http://www.dot.gov/ partially revoked a trackage rights Clearance Clerk. privacy. exemption to allow those rights to [FR Doc. 2021–03670 Filed 2–22–21; 8:45 am] Docket: Background documents or expire after a limited time period rather BILLING CODE 4915–01–P comments received may be read at than lasting in perpetuity. See, e.g., http://www.regulations.gov at any time. BNSF Ry.––Trackage Rts. Exemption–– Follow the online instructions for Union Pac. R.R., FD 36377 (Sub-No. 1) DEPARTMENT OF TRANSPORTATION accessing the docket or go to the Docket (STB served Mar. 11, 2020) (granting a Operations in Room W12–140 of the petition to partially revoke a trackage Federal Aviation Administration West Building Ground Floor at 1200 rights exemption involving the Lines at New Jersey Avenue SE, Washington, DC [Summary Notice No. 2021–2049] issue in this case); New Orleans Pub. 20590–0001, between 9 a.m. and 5 p.m., Belt R.R.—Trackage Rts. Exemption—Ill. Petition for Exemption; Summary of Monday through Friday, except Federal Cent. R.R., FD 36198 (Sub-No. 1) (STB Petition Received; Accelerated holidays. served June 20, 2018). Aviation Instruction, LLC FOR FURTHER INFORMATION CONTACT: Granting partial revocation in these Megan Blatchford, (202) 267–9677, circumstances to permit the trackage AGENCY: Federal Aviation [email protected], Office of rights to expire at the end of 2021 would Administration (FAA), Department of Rulemaking, Federal Aviation eliminate the need for BNSF to file a Transportation (DOT). Administration, 800 Independence second pleading seeking discontinuance ACTION: Notice. Avenue SW, Washington, DC 20591. authority when the agreement expires, This notice is published pursuant to thereby promoting the aspects of the rail SUMMARY: This notice contains a 14 CFR 11.85. transportation policy at 49 U.S.C. summary of a petition seeking relief 10101(2), (7), and (15). Moreover, from specified requirements of Federal Issued in Washington, DC. partially revoking the exemption to Aviation Regulations. The purpose of Timothy R. Adams, limit the term of the trackage rights this notice is to improve the public’s Deputy Executive Director, Office of would have no adverse impact on awareness of, and participation in, the Rulemaking. shippers because the trackage rights at FAA’s exemption process. Neither Petition for Exemption issue are solely to allow BNSF to move publication of this notice nor the empty and loaded ballast trains to and inclusion or omission of information in Docket No.: FAA–2020–1153. from the ballast pit in Elsey for use in the summary is intended to affect the Petitioner: Accelerated Aviation BNSF’s maintenance-of-way projects. legal status of the petition or its final Instruction, LLC. (See BNSF Pet. 2.) Therefore, the Board disposition. Section of 14 CFR Affected: will grant the petition and permit the § 61.129(b)(3)(ii). DATES: trackage rights exempted in Docket No. Comments on this petition must Description of Relief Sought: FD 36377 (Sub-No. 2) to expire at identify the petition docket number and Accelerated Aviation Instruction, LLC midnight on December 31, 2021. must be received on or before March 15, (AAI) seeks relief from § 61.129(b)(3)(ii) To provide the statutorily mandated 2021. of Title 14, Code of Federal Regulations protection to any employee adversely ADDRESSES: Send comments identified to allow AAI to use a multiengine affected by the discontinuance of by docket number FAA–2020–1153 airplane with a fixed landing gear trackage rights, the Board will impose using any of the following methods: (Partenavia P68C) in place of a complex the employee protective conditions set • Federal eRulemaking Portal: Go to multi-engine or turbine powered forth in Oregon Short Line Railroad— http://www.regulations.gov and follow airplane to satisfy the experience Abandonment Portion Goshen Branch the online instructions for sending your requirements for commercial pilot Between Firth & Ammon, in Bingham & comments electronically. certificate with an airplane multiengine • Bonneville Counties, Idaho, 360 I.C.C. Mail: Send comments to Docket rating. Operations, M–30; U.S. Department of 91 (1979). [FR Doc. 2021–03631 Filed 2–22–21; 8:45 am] This action is categorically excluded Transportation, 1200 New Jersey BILLING CODE 4910–13–P from environmental review under 49 Avenue SE, Room W12–140, West CFR 1105.6(c). Building Ground Floor, Washington, DC It is ordered: 20590–0001. DEPARTMENT OF TRANSPORTATION 1. The petition for partial revocation • Hand Delivery or Courier: Take of the trackage rights class exemption is comments to Docket Operations in Federal Motor Carrier Safety granted. Room W12–140 of the West Building Administration 2. As discussed above, the trackage Ground Floor at 1200 New Jersey rights in Docket No. FD 36377 (Sub-No. Avenue SE, Washington, DC 20590– [Docket No. FMCSA–2020–0053] 2) are permitted to expire at midnight 0001, between 9 a.m. and 5 p.m., Qualification of Drivers; Exemption on December 31, 2021, subject to the Monday through Friday, except Federal employee protective conditions set forth Applications; Epilepsy and Seizure holidays. Disorders in Oregon Short Line. • Fax: Fax comments to Docket 3. Notice of this decision will be Operations at (202) 493–2251. AGENCY: Federal Motor Carrier Safety published in the Federal Register. Privacy: In accordance with 5 U.S.C. Administration (FMCSA), Department 4. This decision is effective on March 553(c), DOT solicits comments from the of Transportation (DOT). 25, 2021. Petitions for stay must be filed public to better inform its rulemaking ACTION: by March 5, 2021. Petitions for Notice of applications for process. DOT posts these comments, exemption; request for comments. reconsideration must be filed by March without edit, including any personal 15, 2021. information the commenter provides, to SUMMARY: FMCSA announces receipt of Decided: February 17, 2021. http://www.regulations.gov, as applications from seven individuals for
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an exemption from the prohibition in material online or by fax, mail, or hand greater than, the level that would be the Federal Motor Carrier Safety delivery, but please use only one of achieved absent such exemption. The Regulations (FMCSRs) against persons these means. FMCSA recommends that statute also allows the Agency to renew with a clinical diagnosis of epilepsy or you include your name and a mailing exemptions at the end of the 5-year any other condition that is likely to address, an email address, or a phone period. FMCSA grants medical cause a loss of consciousness or any loss number in the body of your document exemptions from the FMCSRs for a 2- of ability to control a commercial motor so that FMCSA can contact you if there year period to align with the maximum vehicle (CMV) to drive in interstate are questions regarding your duration of a driver’s medical commerce. If granted, the exemptions submission. certification. would enable these individuals who To submit your comment online, go to The seven individuals listed in this have had one or more seizures and are http://www.regulations.gov/ notice have requested an exemption taking anti-seizure medication to docket?D=FMCSA-2020-0053. Click on from the epilepsy and seizure disorders operate CMVs in interstate commerce. the ‘‘Comment Now!’’ button and type prohibition in 49 CFR 391.41(b)(8). DATES: Comments must be received on your comment into the text box on the Accordingly, the Agency will evaluate or before March 25, 2021. following screen. Choose whether you the qualifications of each applicant to are submitting your comment as an determine whether granting the ADDRESSES: You may submit comments individual or on behalf of a third party exemption will achieve the required identified by the Federal Docket and then submit. level of safety mandated by statute. Management System (FDMS) Docket No. If you submit your comments by mail The physical qualification standard FMCSA–2020–0053 using any of the or hand delivery, submit them in an for drivers regarding epilepsy found in following methods: 1 § 391.41(b)(8) states that a person is • unbound format, no larger than 8 ⁄2 by Federal eRulemaking Portal: Go to 11 inches, suitable for copying and physically qualified to drive a CMV if http://www.regulations.gov/ electronic filing. If you submit that person has no established medical docket?D=FMCSA-2020-0053. Follow comments by mail and would like to history or clinical diagnosis of epilepsy the online instructions for submitting know that they reached the facility, or any other condition which is likely comments. to cause the loss of consciousness or any • please enclose a stamped, self-addressed Mail: Dockets Operations; U.S. postcard or envelope. loss of ability to control a CMV. Department of Transportation, 1200 FMCSA will consider all comments In addition to the regulations, FMCSA New Jersey Avenue SE, West Building and material received during the has published advisory criteria 1 to Ground Floor, Room W12–140, comment period. assist medical examiners (MEs) in Washington, DC 20590–0001. determining whether drivers with • Hand Delivery: West Building B. Viewing Documents and Comments certain medical conditions are qualified Ground Floor, Room W12–140, 1200 To view comments, as well as any to operate a CMV in interstate New Jersey Avenue SE, Washington, documents mentioned in this notice as commerce. DC, 20590–0001 between 9 a.m. and 5 being available in the docket, go to The criteria states that if an individual p.m., ET, Monday through Friday, http://www.regulations.gov/ has had a sudden episode of a non- except Federal Holidays. docket?D=FMCSA-2020-0053 and epileptic seizure or loss of • Fax: (202) 493–2251. choose the document to review. If you consciousness of unknown cause that To avoid duplication, please use only do not have access to the internet, you did not require anti-seizure medication, one of these four methods. See the may view the docket online by visiting the decision whether that person’s ‘‘Public Participation’’ portion of the Dockets Operations in Room W12–140 condition is likely to cause the loss of SUPPLEMENTARY INFORMATION section for on the ground floor of the DOT West consciousness or loss of ability to instructions on submitting comments. Building, 1200 New Jersey Avenue SE, control a CMV should be made on an FOR FURTHER INFORMATION CONTACT: Ms. Washington, DC 20590–0001, between 9 individual basis by the ME in Christine A. Hydock, Chief, Medical a.m. and 5 p.m., ET, Monday through consultation with the treating physician. Programs Division, (202) 366–4001, Friday, except Federal holidays. To be Before certification is considered, it is [email protected], FMCSA, sure someone is there to help you, suggested that a 6-month waiting period Department of Transportation, 1200 please call (202) 366–9317 or (202) 366– elapse from the time of the episode. New Jersey Avenue SE, Room W64–224, 9826 before visiting Dockets Operations. Following the waiting period, it is Washington, DC 20590–0001. Office suggested that the individual have a C. Privacy Act hours are 8:30 a.m. to 5 p.m., ET, complete neurological examination. If Monday through Friday, except Federal In accordance with 5 U.S.C. 553(c), the results of the examination are holidays. If you have questions DOT solicits comments from the public negative and anti-seizure medication is regarding viewing or submitting to better inform its rulemaking process. not required, then the driver may be material to the docket, contact Dockets DOT posts these comments, without qualified. Operations, (202) 366–9826. edit, including any personal information In those individual cases where a driver has had a seizure or an episode SUPPLEMENTARY INFORMATION: the commenter provides, to www.regulations.gov, as described in of loss of consciousness that resulted I. Public Participation the system of records notice (DOT/ALL– from a known medical condition (e.g., drug reaction, high temperature, acute A. Submitting Comments 14 FDMS), which can be reviewed at www.dot.gov/privacy. infectious disease, dehydration, or acute If you submit a comment, please metabolic disturbance), certification include the docket number for this II. Background should be deferred until the driver has notice (Docket No. FMCSA–2020–0053), Under 49 U.S.C. 31136(e) and indicate the specific section of this 31315(b), FMCSA may grant an 1 These criteria may be found in APPENDIX A TO document to which each comment exemption from the FMCSRs for no PART 391—MEDICAL ADVISORY CRITERIA, section H. Epilepsy: § 391.41(b)(8), paragraphs 3, 4, applies, and provide a reason for each longer than a 5-year period if it finds and 5, which is available on the internet at https:// suggestion or recommendation. You such exemption would likely achieve a www.gpo.gov/fdsys/pkg/CFR-2015-title49-vol5/pdf/ may submit your comments and level of safety that is equivalent to, or CFR-2015-title49-vol5-part391-appA.pdf.
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recovered fully from that condition, has physician states that she is supportive of DEPARTMENT OF TRANSPORTATION no existing residual complications, and Mr. Carter receiving an exemption. is not taking anti-seizure medication. Federal Motor Carrier Safety David R. Frantz Drivers who have a history of Administration Mr. Frantz is a 56-year old class CM epilepsy/seizures, off anti-seizure [Docket No. FMCSA–2021–0003] medication and seizure-free for 10 years, license holder in Pennsylvania. He has may be qualified to operate a CMV in a history of epilepsy and has been Qualification of Drivers; Exemption interstate commerce. Interstate drivers seizure free since 2011. He has not taken Applications; Vision with a history of a single unprovoked anti-seizure medication since 2012. His seizure may be qualified to drive a CMV physician states that he is supportive of AGENCY: Federal Motor Carrier Safety in interstate commerce if seizure-free Mr. Frantz receiving an exemption. Administration (FMCSA), Department of Transportation (DOT). and off anti-seizure medication for a 5- Brian P. Klein year period or more. ACTION: Notice of applications for As a result of MEs misinterpreting Mr. Klein is a 46-year old Operator exemption; request for comments. advisory criteria as regulation, License holder in Indiana. He has a history of seizures, and has been seizure numerous drivers have been prohibited SUMMARY: FMCSA announces receipt of free since 2008. He takes anti-seizure from operating a CMV in interstate applications from 11 individuals for an medication with the dosage and commerce based on the fact that they exemption from the vision requirement frequency remaining the same since have had one or more seizures and are in the Federal Motor Carrier Safety 2008. His physician states that he is taking anti-seizure medication, rather Regulations (FMCSRs) to operate a supportive of Mr. Klein receiving an than an individual analysis of their commercial motor vehicle (CMV) in exemption. circumstances by a qualified ME based interstate commerce. If granted, the on the physical qualification standards Thomas A. Marx exemptions will enable these individuals to operate CMVs in and medical best practices. Mr. Marx is a 44-year old Driver On January 15, 2013, FMCSA interstate commerce without meeting License holder in Washington. He has a the vision requirement in one eye. announced in a Notice of Final history of epilepsy, and has been seizure DATES: Comments must be received on Disposition titled, ‘‘Qualification of free since 1995. He takes anti-seizure Drivers; Exemption Applications; medication with the dosage and or before March 25, 2021. Epilepsy and Seizure Disorders,’’ (78 FR frequency remaining the same since ADDRESSES: You may submit comments 3069), its decision to grant requests from 1995. His physician states that he is identified by the Federal Docket 22 individuals for exemptions from the supportive of Mr. Marx receiving an Management System (FDMS) Docket No. regulatory requirement that interstate exemption. FMCSA–2021–0003 using any of the CMV drivers have ‘‘no established following methods: medical history or clinical diagnosis of Jeffrey Smith, Jr. • Federal eRulemaking Portal: Go to epilepsy or any other condition which Mr. Smith, Jr. is a 42-year old Driver http://www.regulations.gov/docket?D= is likely to cause loss of consciousness License holder in Florida. He has a FMCSA-2021-0003. Follow the online or any loss of ability to control a CMV.’’ history of epilepsy, and has been seizure instructions for submitting comments. Since that time, the Agency has free since 2012. He takes anti-seizure • Mail: Dockets Operations; U.S. published additional notices granting medication with the dosage and Department of Transportation, 1200 requests from individuals for frequency remaining the same since New Jersey Avenue SE, West Building exemptions from the regulatory 2016. His physician states that he is Ground Floor, Room W12–140, requirement regarding epilepsy found in supportive of Mr. Smith, Jr. receiving an Washington, DC 20590–0001. § 391.41(b)(8). exemption. • Hand Delivery: West Building Ground Floor, Room W12–140, 1200 To be considered for an exemption Eric R. Smits from the epilepsy and seizure disorders New Jersey Avenue SE, Washington, prohibition in § 391.41(b)(8), applicants Mr. Smits is a 52-year old Driver DC, between 9 a.m. and 5 p.m., ET, must meet the criteria in the 2007 License holder in Wisconsin. He has a Monday through Friday, except Federal recommendations of the Agency’s history of seizures, and has been seizure Holidays. Medical Expert Panel (78 FR 3069). free since September 2012. He takes • Fax: (202) 493–2251. anti-seizure medication with the dosage To avoid duplication, please use only III. Qualifications of Applicants and frequency remaining the same since one of these four methods. See the Sayed K. Abbed September 2012. His physician states ‘‘Public Participation’’ portion of the that he is supportive of Mr. Smits SUPPLEMENTARY INFORMATION section for Mr. Abbed is a 40-year old class C receiving an exemption. instructions on submitting comments. license holder in Illinois. He has a history of focal seizure, and has been IV. Request for Comments FOR FURTHER INFORMATION CONTACT: Ms. seizure free since 2012. He takes anti- In accordance with 49 U.S.C. 31136(e) Christine A. Hydock, Chief, Medical seizure medication with the dosage and and 31315(b), FMCSA requests public Programs Division, (202) 366–4001, frequency remaining the same since comment from all interested persons on [email protected], FMCSA, 2012. His physician states that he is the exemption petitions described in Department of Transportation, 1200 supportive of Mr. Abbed receiving an this notice. We will consider all New Jersey Avenue SE, Room W64–224, exemption. comments received before the close of Washington, DC 20590–0001. Office business on the closing date indicated hours are 8:30 a.m. to 5 p.m., ET, Devante Carter Monday through Friday, except Federal under the DATES section of the notice. Mr. Carter is a 23-year old class D holidays. If you have questions license holder in Illinois. He has a Larry W. Minor, regarding viewing or submitting history of epilepsy, and has been seizure Associate Administrator for Policy. material to the docket, contact Dockets free since 2009. He has not taken anti- [FR Doc. 2021–03697 Filed 2–22–21; 8:45 am] Operations, (202) 366–9826. seizure medication since 2012. His BILLING CODE 4910–EX–P SUPPLEMENTARY INFORMATION:
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I. Public Participation the system of records notice (DOT/ALL– with the vision deficiency for the past 14 FDMS), which can be reviewed at 3 years. Recent driving performance is A. Submitting Comments www.transportation.gov/privacy. especially important in evaluating If you submit a comment, please future safety, according to several II. Background include the docket number for this research studies designed to correlate notice (Docket No. FMCSA–2021–0003), Under 49 U.S.C. 31136(e) and past and future driving performance. indicate the specific section of this 31315(b), FMCSA may grant an Results of these studies support the document to which each comment exemption from the FMCSRs for no principle that the best predictor of applies, and provide a reason for each longer than a 5-year period if it finds future performance by a driver is his/her suggestion or recommendation. You such exemption would likely achieve a past record of crashes and traffic may submit your comments and level of safety that is equivalent to, or violations. Copies of the studies may be material online or by fax, mail, or hand greater than, the level that would be found at https://www.regulations.gov/ delivery, but please use only one of achieved absent such exemption. The docket?D=FMCSA-1998-3637. these means. FMCSA recommends that statute also allows the Agency to renew FMCSA believes it can properly apply you include your name and a mailing exemptions at the end of the 5-year the principle to monocular drivers, address, an email address, or a phone period. FMCSA grants medical because data from the Federal Highway number in the body of your document exemptions from the FMCSRs for a 2- Administration’s (FHWA) former waiver so that FMCSA can contact you if there year period to align with the maximum study program clearly demonstrated the are questions regarding your duration of a driver’s medical driving performance of experienced submission. certification. monocular drivers in the program is To submit your comment online, go to The 11 individuals listed in this better than that of all CMV drivers http://www.regulations.gov/docket?D= notice have requested an exemption collectively.1 The fact that experienced FMCSA-2021-0003. Click on the from the vision requirement in 49 CFR monocular drivers demonstrated safe ‘‘Comment Now!’’ button and type your 391.41(b)(10). Accordingly, the Agency driving records in the waiver program comment into the text box on the will evaluate the qualifications of each supports a conclusion that other following screen. Choose whether you applicant to determine whether granting monocular drivers, meeting the same are submitting your comment as an an exemption will achieve the required qualifying conditions as those required individual or on behalf of a third party level of safety mandated by statute. by the waiver program, are also likely to and then submit. The physical qualification standard have adapted to their vision deficiency If you submit your comments by mail for drivers regarding vision found in and will continue to operate safely. or hand delivery, submit them in an § 391.41(b)(10) states that a person is The first major research correlating unbound format, no larger than 81⁄2 by physically qualified to drive a CMV if past and future performance was done 11 inches, suitable for copying and that person has distant visual acuity of in England by Greenwood and Yule in electronic filing. If you submit at least 20/40 (Snellen) in each eye 1920. Subsequent studies, building on comments by mail and would like to without corrective lenses or visual that model, concluded that crash rates know that they reached the facility, acuity separately corrected to 20/40 for the same individual exposed to please enclose a stamped, self-addressed (Snellen) or better with corrective certain risks for two different time postcard or envelope. lenses, distant binocular acuity of at periods vary only slightly (See Bates FMCSA will consider all comments least 20/40 (Snellen) in both eyes with and Neyman, University of California and material received during the or without corrective lenses, field of Publications in Statistics, April 1952). comment period. vision of at least 70° in the horizontal Other studies demonstrated theories of Meridian in each eye, and the ability to predicting crash proneness from crash B. Viewing Documents and Comments recognize the colors of traffic signals history coupled with other factors. To view comments, as well as any and devices showing standard red, These factors—such as age, sex, documents mentioned in this notice as green, and amber. geographic location, mileage driven and being available in the docket, go to On July 16, 1992, the Agency first conviction history—are used every day http://www.regulations.gov/ published the criteria for the Vision by insurance companies and motor docket?D=FMCSA-2021-0003 and Waiver Program, which listed the vehicle bureaus to predict the choose the document to review. If you conditions and reporting standards that probability of an individual do not have access to the internet, you CMV drivers approved for participation experiencing future crashes (See Weber, may view the docket online by visiting would need to meet (57 FR 31458). The Donald C., ‘‘Accident Rate Potential: An Dockets Operations in Room W12–140 current Vision Exemption Program was Application of Multiple Regression on the ground floor of the DOT West established in 1998, following the Analysis of a Poisson Process,’’ Journal Building, 1200 New Jersey Avenue SE, enactment of amendments to the of American Statistical Association, Washington, DC 20590–0001, between 9 statutes governing exemptions made by June 1971). A 1964 California Driver a.m. and 5 p.m., ET, Monday through § 4007 of the Transportation Equity Act Record Study prepared by the California Friday, except Federal holidays. To be for the 21st Century, Public Law 105– Department of Motor Vehicles sure someone is there to help you, 178, 112 Stat. 107, 401 (June 9, 1998). concluded that the best overall crash please call (202) 366–9317 or (202) 366– Vision exemptions are considered under predictor for both concurrent and 9826 before visiting Dockets Operations. the procedures established in 49 CFR nonconcurrent events is the number of part 381 subpart C, on a case-by-case single convictions. This study used 3 C. Privacy Act basis upon application by CMV drivers consecutive years of data, comparing the In accordance with 5 U.S.C. 553(c), who do not meet the vision standards of experiences of drivers in the first 2 years DOT solicits comments from the public § 391.41(b)(10). with their experiences in the final year. to better inform its rulemaking process. To qualify for an exemption from the DOT posts these comments, without vision requirement, FMCSA requires a 1 A thorough discussion of this issue may be edit, including any personal information person to present verifiable evidence found in a FHWA final rule published in the Federal Register on March 26, 1996 and available the commenter provides, to that he/she has driven a commercial on the internet at https://www.govinfo.gov/content/ www.regulations.gov, as described in vehicle safely in intrastate commerce pkg/FR-1996-03-26/pdf/96-7226.pdf.
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III. Qualifications of Applicants patient has sufficient vision to perform the last three years shows no crashes the driving tasks required to operate a and no convictions for moving Antonio R. Barros commercial vehicle.’’ Mr. Kraese violations in a CMV. Mr. Barros, 53, has had amblyopia in reported that he has driven tractor- Harvinder S. Sahota his left eye since childhood. The visual trailer combinations for 6 years, acuity in his right eye is 20/20 and in accumulating 36,000 miles. He holds an Mr. Sahota, 38, has had amblyopia in his left eye, 20/200. Following an operator’s license from Indiana. His his right eye since childhood. The examination in 2020, his driving record for the last three years visual acuity in his right eye is 20/400, ophthalmologist stated, ‘‘In my medical shows no crashes and no convictions for and in his left eye, 20/20. Following an opinion, Mr. Barros has sufficient vision moving violations in a CMV. examination in 2020, his to perform the driving tasks required to ophthalmologist stated, ‘‘In my medical operate a commercial vehicle.’’ Mr. Kathy A. Mason opinion Harvinder has sufficient vision, Barros reported that he has driven Ms. Mason, 55, has a prosthetic right color vision and visual fields to perform straight trucks for 12 years, eye due to melanoma in 2012. The the driving tasks required to operate a accumulating 120,000 miles, and visual acuity in her right eye is no light commercial vehicle.’’ Mr. Sahota tractor-trailer combinations for 12 years, perception, and in her left eye, 20/20. reported that he has driven tractor- accumulating 96,000 miles. He holds a Following an examination in 2020, her trailer combinations for 3 years, Class A CDL from NY. His driving optometrist stated, ‘‘Her prosthetic in accumulating 360,000 miles. He holds a record for the last three years shows no the left eye will not hinder her driving Class A CDL from California. His crashes and no convictions for moving in any way. She is capable of operating driving record for the last three years violations in a CMV. a commercial vehicle or any vehicle shows no crashes and no convictions for thererof.’’ Ms. Mason reported that she moving violations in a CMV. Robert D. Boudreau has driven straight trucks for 20 years, Mr. Boudreau, 54, has had amblyopia accumulating 200,000 miles, tractor- Michael J. Wells in his left eye since childhood. The trailer combinations for 17 years, Mr. Wells, 64, has had amblyopia in visual acuity in his right eye is 20/20 accumulating 85,000 miles, and buses his right eye since childhood. The and in his left eye, 20/350. Following an for 13 years, accumulating 1.56 million visual acuity in his right eye is hand examination in 2020, his miles. She holds a Class A CDL from motion only, and in his left eye, 20/25. ophthalmologist stated, ‘‘In my medical Texas. Her driving record for the last Following an examination in 2020 his opinion, Mr. Boudreau has sufficient three years shows no crashes and no optometrist stated, ‘‘Mr. Wells has been vision to perform the driving tasks to convictions for moving violations in a able to safely operate a commercial operate a commercial vehicle.’’ Mr. CMV. vehicle for years and should be able to Boudreau reported that he has driven continue doing so, without his vision Luke A. Perry tractor-trailer combinations for 22 years, impacting that ability.’’ Mr. Wells accumulating 2.2 million miles. He Mr. Perry, 58, has a corneal scar in his reported that he has driven straight holds an operator’s license from left eye due to a traumatic incident in trucks for 25 years, accumulating 1.25 Arizona. His driving record for the last childhood. The visual acuity in his right million miles, and tractor-trailer three years shows no crashes and no eye is 20/20, and in his left eye, 20/300. combinations for 25 years, accumulating convictions for moving violations in a Following an examination in 2020, his 5 million miles. He holds a Class A CDL CMV. ophthalmologist stated, ‘‘It is my from North Carolina. His driving record opinion that Mr. Perry has sufficient for the last three years shows no crashes Doris J. Goldsmith vision to operate a commercial vehicle.’’ and no convictions for moving Ms. Goldsmith, 48, has complete loss Mr. Perry reported that he has driven violations in a CMV. of vision in her left eye due to a straight trucks for 6 years, accumulating traumatic incident in childhood. The 60,000 miles, and tractor-trailer Dennis C. Welpe visual acuity in her right eye is 20/20, combinations for 3 years, accumulating Mr. Welpe, 55, has a retinal and in her left eye, hand motion only. 330,000 miles. He holds a Class A CDL detachment in his in his left eye due to Following an examination in 2020, her from Vermont. His driving record for the a traumatic incident in 1983. The visual optometrist stated, ‘‘Her left eye is last three years shows no crashes and no acuity in his right eye is 20/20, and in entirely stable. In my opinion Doris is convictions for moving violations in a his left eye, 20/400. Following an completely capable of operating a CMV. examination in 2020, his commercial vehicle with no restriction.’’ ophthalmologist stated, ‘‘It is in my Percy C. Robinson Ms. Goldsmith reported that she has opinion Mr. Welpe has sufficient vision driven straight trucks for 2 years, Mr. Robinson, 48, has a retinal to perform the driving tasks required to accumulating 31,200 miles, and tractor- detachment in his left eye due to operate a commercial vehicle.’’ Mr. trailer combinations for 20 years, spontaneous degeneration in 2008. The Welpe reported that he has driven buses accumulating 2.2 million miles. She visual acuity in his right eye is 20/20, for 37 years, accumulating 74,000 miles. holds a Class DA CDL from Kentucky. and in his left eye, light perception. He holds a Class B CDL from Texas. His Her driving record for the last 3 years Following an examination in 2020, his driving record for the last three years shows no crashes and no convictions for optometrist stated, ‘‘In my opinion, Mr. shows no crashes and no convictions for moving violations in a CMV. Robinson has vision sufficient to moving violations in a CMV. perform the driving tasks to operate a Todd C. Kraese commercial vehicle.’’ Mr. Robinson Kevin D. White Mr. Kraese, 51, has had a retinal reported that he has driven straight Mr. White, 48, has a complete loss of detachment in his left eye since birth. trucks for 25 years, accumulating vision in his left eye due to a traumatic The visual acuity in his right eye is 20/ 120,000 miles, and tractor-trailer incident in childhood. The visual acuity 20, and in his left eye, light perception. combinations for 25 years, accumulating in his right eye is 20/20, and in his left Following an examination in 2020, his 25,000 miles. He holds a Class AM CDL eye, complete loss of vision. Following optometrist stated, ‘‘In my opinion, the from Alabama. His driving record for an examination in 2021, his
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ophthalmologist stated, ‘‘In my medical and will expire on the dates provided FMCSA has evaluated the eligibility opinion, I believe Mr. White has below. of these applicants and determined that sufficient vision to perform the driving FOR FURTHER INFORMATION CONTACT: Ms. renewing these exemptions would tasks required to operate a commercial Christine A. Hydock, Chief, Medical achieve a level of safety equivalent to, vehicle.’’ Mr. White reported that he has Programs Division, (202) 366–4001, or greater than, the level that would be driven straight trucks for 4 years, [email protected], FMCSA, achieved by complying with accumulating 160,000 miles, and Department of Transportation, 1200 § 391.41(b)(8). tractor-trailer combinations for 15 years, New Jersey Avenue SE, Room W64–224, The physical qualification standard accumulating 780,000 miles. He holds a Washington, DC 20590–0001. Office for drivers regarding epilepsy found in Class A CDL from Texas. His driving hours are from 8:30 a.m. to 5 p.m., ET, § 391.41(b)(8) states that a person is record for the last three years shows no Monday through Friday, except Federal physically qualified to drive a CMV if crashes and no convictions for moving holidays. If you have questions that person has no established medical violations in a CMV. regarding viewing or submitting history or clinical diagnosis of epilepsy or any other condition which is likely IV. Request for Comments material to the docket, contact Dockets Operations, (202) 366–9826. to cause the loss of consciousness or any In accordance with 49 U.S.C. 31136(e) SUPPLEMENTARY INFORMATION: loss of ability to control a CMV. and 31315(b), FMCSA requests public In addition to the regulations, FMCSA comment from all interested persons on I. Public Participation has published advisory criteria 1 to the exemption petitions described in A. Viewing Documents and Comments assist medical examiners in determining this notice. We will consider all whether drivers with certain medical comments and material received before To view comments, as well as any conditions are qualified to operate a the close of business on the closing date documents mentioned in this notice as CMV in interstate commerce. indicated under the DATES section of the being available in the docket, go to III. Discussion of Comments notice. http://www.regulations.gov. Insert the docket number, FMCSA–2006–25854, FMCSA received no comments in this Larry W. Minor, FMCSA–2010–0203, FMCSA–2015– proceeding. Associate Administrator for Policy. 0323, FMCSA–2016–0007, FMCSA– IV. Conclusion [FR Doc. 2021–03700 Filed 2–22–21; 8:45 am] 2016–0008, FMCSA–2018–0051, BILLING CODE 4910–EX–P FMCSA–2018–0052, or FMCSA–2018– Based on its evaluation of the 10 0056, in the keyword box, and click renewal exemption applications, ‘‘Search.’’ Next, click the ‘‘Open Docket FMCSA announces its decision to DEPARTMENT OF TRANSPORTATION Folder’’ button and choose the exempt the following drivers from the document to review. If you do not have epilepsy and seizure disorders Federal Motor Carrier Safety access to the internet, you may view the prohibition in § 391.41(b)(8). Administration docket online by visiting Dockets In accordance with 49 U.S.C. 31136(e) Operations in Room W12–140 on the and 31315(b), the following groups of [Docket No. FMCSA–2006–25854; drivers received renewed exemptions in FMCSA–2010–0203; FMCSA–2015–0323; ground floor of the DOT West Building, FMCSA–2016–0007; FMCSA–2016–0008; 1200 New Jersey Avenue SE, the month of January and are discussed FMCSA–2018–0051; FMCSA–2018–0052; Washington, DC 20590–0001, between 9 below. FMCSA–2018–0056] a.m. and 5 p.m., ET, Monday through As of January 1, 2021, and in Friday, except Federal holidays. To be accordance with 49 U.S.C. 31136(e) and Qualification of Drivers; Exemption sure someone is there to help you, 31315(b), the following eight Applications; Epilepsy and Seizure please call (202) 366–9317 or (202) 366– individuals have satisfied the renewal Disorders 9826 before visiting Dockets Operations. conditions for obtaining an exemption from the epilepsy and seizure disorders AGENCY: Federal Motor Carrier Safety B. Privacy Act prohibition in the FMCSRs for interstate Administration (FMCSA), Department In accordance with 5 U.S.C. 553(c), CMV drivers (86 FR 701): of Transportation (DOT). DOT solicits comments from the public Scott D. Engelman (PA) ACTION: Notice of final disposition. to better inform its rulemaking process. Scott I. Habeck (SD) DOT posts these comments, without Todd W. Hines (OH) SUMMARY: FMCSA announces its edit, including any personal information Jordan M. Hyster (OH) decision to renew exemptions for 10 the commenter provides, to Everett J. Letourneau (ND) individuals from the requirement in the www.regulations.gov, as described in Scott A. Ready, Sr. (WI) Federal Motor Carrier Safety the system of records notice (DOT/ALL– Douglas J. Simms, Jr. (NC) Regulations (FMCSRs) that interstate 14 FDMS), which can be reviewed at Ronald E. Wagner (OH) commercial motor vehicle (CMV) www.transportation.gov/privacy. The drivers were included in docket drivers have ‘‘no established medical number FMCSA–2015–0323, FMCSA– history or clinical diagnosis of epilepsy II. Background 2016–0007, FMCSA–2016–0008, or any other condition which is likely On January 6, 2021, FMCSA FMCSA–2018–0051, FMCSA–2018– to cause loss of consciousness or any published a notice announcing its 0052, and FMCSA–2018–0056. Their loss of ability to control a CMV.’’ The decision to renew exemptions for 10 exemptions were applicable as of exemptions enable these individuals individuals from the epilepsy and January 1, 2021, and will expire on who have had one or more seizures and seizure disorders prohibition in 49 CFR January 1, 2023. are taking anti-seizure medication to 391.41(b)(8) to operate a CMV in continue to operate CMVs in interstate interstate commerce and requested 1 These criteria may be found in APPENDIX A TO commerce. comments from the public (86 FR 701). PART 391—MEDICAL ADVISORY CRITERIA, DATES: section H. Epilepsy: § 391.41(b)(8), paragraphs 3, 4, Each group of renewed The public comment period ended on and 5, which is available on the internet at https:// exemptions were applicable on the February 5, 2021, and no comments www.gpo.gov/fdsys/pkg/CFR-2015-title49-vol5/pdf/ dates stated in the discussions below were received. CFR-2015-title49-vol5-part391-appA.pdf.
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As of January 15, 2021, and in and conditions imposed, will likely if granted, the name of the person or accordance with 49 U.S.C. 31136(e) and achieve a level of safety that is class of persons receiving the 31315(b), the following two individuals equivalent to, or greater than, the level exemption, and the regulatory provision have satisfied the renewal conditions for that would be achieved absent such from which the exemption is granted. obtaining an exemption from the exemption. The notice must also specify the epilepsy and seizure disorders DATES: This exemption is effective effective period (up to 5 years) and prohibition in the FMCSRs for interstate February 23, 2021 and expires February explain the terms and conditions of the CMV drivers: 23, 2026. exemption. The exemption may be renewed (49 CFR 381.300(b)). Brian Porter (PA); and Michael W. FOR FURTHER INFORMATION CONTACT: Mr. Thomas (KS) Richard Clemente, Driver and Carrier III. Request for Exemption The drivers were included in docket Operations Division; Office of Carrier, The Agency’s commercial driver’s number FMCSA–2006–25854 and Driver and Vehicle Safety Standards, license (CDL) regulations in 49 CFR FMCSA–2010–0203. Their exemptions FMCSA; Telephone: (202) 366–4225. 383.25(a)(1) require that a commercial were applicable as of January 15, 2021, Email: [email protected]. If you have learner’s permit (CLP) holder always be and will expire on January 15, 2023. questions on viewing or submitting accompanied by the holder of a valid In accordance with 49 U.S.C. material to the docket, contact Docket CDL who has the proper CDL group and 31315(b), each exemption will be valid Services, telephone (202) 366–9826. endorsement(s) necessary to operate the for 2 years from the effective date unless SUPPLEMENTARY INFORMATION: commercial motor vehicle (CMV). The revoked earlier by FMCSA. The CDL holder must be physically present exemption will be revoked if the I. Public Participation in the front seat of the vehicle next to following occurs: (1) The person fails to Viewing Comments and Documents the CLP holder or, in the case of a comply with the terms and conditions To view comments, as well as passenger vehicle, directly behind or in of the exemption; (2) the exemption has documents mentioned in this preamble the first row behind the driver and must resulted in a lower level of safety than as being available in the docket, go to have the CLP holder under observation was maintained prior to being granted; www.regulations.gov and insert the and direct supervision. or (3) continuation of the exemption docket number, FMCSA–2019–0174, in Wilson Logistics is a nationwide would not be consistent with the goals the ‘‘Keyword’’ box, and click ‘‘Search.’’ motor carrier with a fleet of over 700 and objectives of 49 U.S.C. 31136(e) and Next, click the ‘‘Open Docket Folder’’ CMVs seeking an exemption from 49 31315(b). button and choose the document to CFR 383.25(a)(1) under which a CDL Larry W. Minor, review. If you do not have access to the holder would remain in the vehicle— Associate Administrator for Policy. internet, you may view the docket in but not in the front seat—while a CLP [FR Doc. 2021–03698 Filed 2–22–21; 8:45 am] person by visiting the Dockets holder who has passed the CDL skills BILLING CODE 4910–EX–P Operations in Room W12–140 on the test is driving. The carrier believes this ground floor of the DOT West Building, would allow the CLP holder to 1200 New Jersey Avenue SE, participate more independently in a DEPARTMENT OF TRANSPORTATION Washington, DC 20590, between 9 a.m. revenue-generating trip to obtain the and 5 p.m., e.t., Monday through Friday, CDL document from the State of Federal Motor Carrier Safety except Federal holidays. To be sure domicile. Wilson Logistics advised that, Administration someone is there to help you, please call if granted, 400–500 CLP holders would (202) 366–9317 or (202) 366–9826 operate under the terms of the [Docket No. FMCSA–2019–0174] before visiting Dockets Operations. exemption each year. Wilson Logistics states that 49 CFR Commercial Driver’s License II. Legal Basis Standards: Wilson Logistics 383.25(a)(1) creates undue burdens on FMCSA has authority under 49 U.S.C. the company and its CLP holders. The AGENCY: Federal Motor Carrier Safety 31136(e) and 31315(b) to grant carrier noted that, previously: exemptions from certain parts of the Administration (FMCSA), DOT. It was not uncommon for States to issue ACTION: Notice of final disposition; grant Federal Motor Carrier Safety temporary CDLs to CLP holders for the return of application for exemption. Regulations (FMCSRs). FMCSA must trip to collect the CDL document from their publish a notice of each exemption State of domicile. During that time, CDL SUMMARY: FMCSA announces its request in the Federal Register (49 CFR holders were neither required to log decision to grant Wilson Logistics an 381.315(a)). The Agency must provide themselves ‘on duty’ when supervising the exemption from the regulation that the public an opportunity to inspect the CLP holder who had a temporary CDL, nor requires a commercial learner’s permit information relevant to the application, did they always remain in the passenger seat (CLP) holder operating a commercial including any safety analyses that have of the CMV. Under that scenario, the productivity of the CMV, the earnings moto vehicle (CMV) to be accompanied been conducted. The Agency must also capacity of the CDL and CLP holders, and the by a commercial driver’s license (CDL) provide an opportunity for public logistics of the motor carrier’s freight network holder with the proper CDL class and comment on the request. were all protected. Currently carriers must endorsements, in the passenger seat. The Agency reviews safety analyses assign a second CDL holder to the vehicle to Wilson Logistics requested an and public comments submitted, and accomplish the on-duty work that was exemption to allow CLP holders who determines whether granting the previously performed by the CLP holder who have passed the CDL skills test, but have exemption would likely achieve a level had a temporary CDL. not yet obtained the CDL document of safety equivalent to, or greater than, Wilson Logistics contends that from their State of domicile, to drive a the level that would be achieved by the compliance with the CDL rule leaves it CMV without having a CDL holder in current regulation (49 CFR 381.305). with the following two options: (1) the passenger seat. FMCSA has analyzed The decision of the Agency must be Secure some mode of public the exemption application and the published in the Federal Register (49 transportation from the State of training public comments and has determined CFR 381.315(b)) with the reasons for to the State of domicile to allow the CLP that the exemption, subject to the terms denying or granting the application and, holder to pick up his/her CDL document
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before returning to Wilson Logistics; or exams and skills tests. TCA reiterated A copy of Wilson Logistics’ (2) route the team of drivers directly to that the drivers covered by this application for exemption is available the CLP holder’s State of domicile, often exemption would have in their for review in the docket for this notice. against the natural flow of the freight possession proof of having passed the VII. Terms and Conditions of the network. Securing public transportation skills test while on the road; if they had Exemption for each of the CLP holders under the taken the skills test in their State of first option entails extreme cost burdens domicile, they would already have Extent of the Exemption to the company; and the second option, obtained their CDL license document. The exemption from 49 CFR according to Wilson Logistics, TCA stated that FMCSA should allow 383.25(a)(1) will allow Wilson Logistics introduces extreme cost inefficiencies. these drivers the flexibility to operate a drivers who hold a CLP and have The exemption sought would apply CMV with a CDL holder present in the successfully passed a CDL skills test, to only to those Wilson Logistics drivers vehicle but not in the passenger seat drive a CMV without a CDL holder who have passed the CDL skills test and while they are traveling to the CLP being present in the front seat of the hold valid CLPs. holder’s State of domicile to obtain that vehicle. The CDL holder must remain in IV. Method To Ensure an Equivalent or licensing document. Fifty-three the vehicle, but not in the front seat, at Greater Level of Safety individuals opposed the Wilson all times while the CLP holder is Logistics request. One stated that Wilson Logistics has a company- driving. The exemption is contingent ‘‘Wilson Logistics is just looking to upon Wilson Logistics maintaining sponsored, hands on, on-the-job training profit [from] this and seems not to care program in which CLP holders will USDOT registration, minimum levels of about the possible consequences of public liability insurance, and not being spend at least two or three weeks having a very inexperienced driver at driving over-the-road with a CDL subject to any ‘‘imminent hazard’’ or the wheel while the trainer is asleep in other out-of-service (OOS) order issued instructor in the passenger seat, and the the sleeper.’’ Other opponents said that instructor will supervise all driving and by FMCSA. Each driver covered by the the Wilson Logistics request does not exemption must maintain a valid non-driving aspects of the job, including meet a level of safety equivalent to the backing and vehicle inspections. Its CLP driver’s license and CLP with the current regulations, and that it is required endorsements, have in his or holders deliver actual loads to real primarily a profit-incentivized request. customers on the Nation’s highways in her possession documentation that he or all manner of weather and traffic VI. FMCSA Decision and Safety she has passed the CDL skills test, not conditions. They are trained on the Analysis be subject to any OOS order or obstacles of the job well in advance of suspension of driving privileges, and FMCSA has evaluated Wilson taking their CDL skills test, and this meet all physical qualifications required Logistics’ application for exemption and type of training far better prepares the by 49 CFR part 391. the public comments. The Agency is not employees for every part of the job. Preemption If not allowed to run as a team, aware of data or information that would because the training instructor must sit suggest that Wilson Logistics’ has lapses During the period this exemption is in in the passenger seat until the CLP in its safety management controls, effect no State may enforce any law or holder can obtain the CDL document, especially those involving its regulation that conflicts with or is then the truck can only ‘‘perform’’ at the supervision of CMV drivers. Because the inconsistent with the exemption with level of a solo driver. In all aspects of exemption is restricted to Wilson respect to a person or entity operating their training program, Wilson Logistics Logistics’ CLP holders who have under the exemption (49 U.S.C. ensures that its drivers are held to a documentation that they have passed 31315(d)). the CDL skills test and could operate the higher standard and can therefore Notification to FMCSA achieve a level of safety equal to or CMV at any time upon receipt of the greater than the level of a typical new CDL document from the State of Wilson Logistics must notify FMCSA CDL holder. The company does and will domicile, the Agency believes the within 5 business days of any accidents provide the required training and exemption will achieve a level of safety (as defined by 49 CFR 390.5) involving recordkeeping to ensure that the that is equivalent to, or greater than, the the operation of any of its CMVs while equivalent-level-of-safety standard is level of safety achieved without the utilizing this exemption. The upheld. exemption (49 CFR 381.305(a)). The notification must include the following exemption will enable these drivers to information: V. Public Comments operate a CMV as a team driver without (a) Date of the accident; On November 6, 2019, FMCSA requiring that the accompanying CDL (b) City or town, and State, in which published notice of the Wilson Logistics holder be on duty and in the front seat the accident occurred, or which is application for exemption and requested while the vehicle is moving. Because closest to the scene of the accident; public comment [84 FR 59761]. A total these drivers have already met all the (c) Driver’s name and license number; of 59 comments were filed, one from the requirements for a CDL, but have yet to (d) Vehicle number and State license Truckload Carriers Association (TCA) pick up the CDL document from their number; and 58 from individuals. Six State of domicile, their safety (e) Number of individuals suffering commenters, including TCA, favor performance is expected to be the same physical injury; granting the exemption request. TCA as any other newly-credentialed CDL (f) Number of fatalities; noted that the Agency had already holder. (g) The police-reported cause of the granted a similar exemption to C.R. FMCSA has previously granted accident; England. TCA added that the regulation similar exemptions to C.R. England— (h) Whether the driver was cited for creates an undue burden by restricting initially in 2015, renewed in 2017 [82 violation of any traffic laws, or motor qualified drivers from piloting a CMV FR 48889, October 20, 2017]—and to carrier safety regulations; and simply because they do not yet have a CRST—initially in 2016, and (k) The driver’s total driving time and physical copy of their CDL, despite subsequently renewed in 2018 [83 FR the total on-duty time of the CMV driver having passed all necessary written 53149, October 19, 2018]. at the time of the accident.
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Reports filed under this provision Instructions: All submissions must FOR FURTHER INFORMATION CONTACT: shall be emailed to [email protected]. include the agency name and Docket Steven Andrews or Shelby Geller, Number (PHMSA–2020–0159) for this Standards and Rulemaking Division, VIII. Termination notice at the beginning of the comment. (202) 366–8553, Pipeline and Hazardous The FMCSA does not believe the team To avoid duplication, please use only Materials Safety Administration, U.S. drivers covered by the exemption will one of these four methods. All Department of Transportation, 1200 experience any deterioration of their comments received will be posted New Jersey Avenue SE, Washington, DC safety record. However, should this without change to the Federal Docket 20590–0001. occur, FMCSA will take all steps Management System (FDMS) and will SUPPLEMENTARY INFORMATION: Section necessary to protect the public interest, include any personal information you 1320.8(d), title 5, Code of Federal including revocation of the exemption. provide. Regulations (CFR) requires PHMSA to The FMCSA will immediately revoke Requests for a copy of an information provide interested members of the the exemption for failure to comply collection should be directed to Steven public and affected agencies an with its terms and conditions. Andrews or Shelby Geller, Standards opportunity to comment on information and Rulemaking Division, (202) 366– collection and recordkeeping requests. John W. Van Steenburg, 8553, Pipeline and Hazardous Materials Assistant Administrator. This notice identifies information Safety Administration, U.S. Department collection requests that PHMSA will be [FR Doc. 2021–03685 Filed 2–22–21; 8:45 am] of Transportation, 1200 New Jersey submitting to the Office of Management BILLING CODE 4910–EX–P Avenue SE, Washington, DC 20590– and Budget (OMB) for renewal and 0001. extension. These information Docket: For access to the dockets to collections are contained in 49 CFR DEPARTMENT OF TRANSPORTATION read background documents or 171.6 of the Hazardous Materials comments received, go to http:// Regulations (HMR; 49 CFR parts 171– Pipeline and Hazardous Materials www.regulations.gov or DOT’s Docket 180). PHMSA has revised burden Safety Administration Operations Office (see ADDRESSES). Privacy Act: In accordance with 5 estimates, where appropriate, to reflect [Docket No. PHMSA–2020–0159; Notice No. current reporting levels or adjustments 2021–01] U.S.C. 553(c), DOT solicits comments from the public to better inform its based on changes in proposed or final Hazardous Materials: Information rulemaking process. DOT posts these rules published since the information Collection Activities comments, without edit, including any collections were last approved. The personal information the commenter following information is provided for AGENCY: Pipeline and Hazardous provides, to www.regulations.gov, as each information collection: (1) Title of Materials Safety Administration described in the system of records the information collection, including (PHMSA), DOT. notice (DOT/ALL–14 FDMS), which can former title if a change is being made; ACTION: Notice and request for be reviewed at www.dot.gov/privacy. (2) OMB control number; (3) summary comments. Confidential Business Information: of the information collection activity; (4) Confidential Business Information (CBI) description of affected public; (5) SUMMARY: In accordance with the is commercial or financial information estimate of total annual reporting and Paperwork Reduction Act of 1995, that is both customarily and actually recordkeeping burden; and (6) PHMSA invites comments on three treated as private by its owner. Under frequency of collection. PHMSA will information collections pertaining to the Freedom of Information Act (FOIA) request a 3-year term of approval for hazardous materials transportation for (5 U.S.C. 552), CBI is exempt from each information collection activity and which PHMSA intends to request public disclosure. If your comments will publish a notice in the Federal renewal from the Office of Management responsive to this notice contain Register upon OMB’s approval. and Budget. commercial or financial information PHMSA requests comments on the DATES: Interested persons are invited to that is customarily treated as private, following information collections: submit comments on or before April 26, that you actually treat as private, and Title: Cargo Tank Specification 2021. that is relevant or responsive to this Requirements. ADDRESSES: You may submit comments notice, it is important that you clearly OMB Control Number: 2137–0014. identified by the Docket Number designate the submitted comments as Summary: This information collection PHMSA–2020–0159 (Notice No. 2021– CBI. Please mark each page of your consolidates and describes the 01) by any of the following methods: submission containing CBI as information collection provisions in • Federal eRulemaking Portal: http:// ‘‘PROPIN.’’ PHMSA will treat such parts 107, 178, and 180 of the HMR www.regulations.gov. Follow the marked submissions as confidential involving the manufacture, instructions for submitting comments. under the FOIA, and they will not be qualification, maintenance, and use of • Fax: 1–202–493–2251. placed in the public docket of this specification cargo tank motor vehicles. • Mail: Docket Management System; notice. Submissions containing CBI It also includes the information U.S. Department of Transportation, should be sent to Steven Andrews or collection and recordkeeping West Building, Ground Floor, Room Shelby Geller, Standards and requirements for persons who are W12–140, Routing Symbol M–30, 1200 Rulemaking Division and addressed to engaged in the manufacture, assembly, New Jersey Avenue SE, Washington, DC the Pipeline and Hazardous Materials requalification, and maintenance of 20590. Safety Administration, U.S. Department DOT specification cargo tank motor • Hand Delivery: To the Docket of Transportation, 1200 New Jersey vehicles. The types of information Management System; Room W12–140 Avenue SE, Washington, DC 20590– collected include: on the ground floor of the West 0001 or to [email protected]. Any (1) Registration Statements: Cargo Building, 1200 New Jersey Avenue SE, commentary that PHMSA receives tank manufacturers and repairers, as Washington, DC 20590, between 9 a.m. which is not specifically designated as well as cargo tank motor vehicle and 5 p.m., Monday through Friday, CBI will be placed in the public docket assemblers, are required to be registered except Federal holidays. for this notice. with DOT and must furnish information
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relative to their qualifications to tanks. This information is used by cargo used by cargo tank owners, operators, perform the functions in accordance tank owners, operators and users, and users, and DOT compliance personnel with the HMR. DOT uses the DOT compliance personnel to verify to verify that a cargo tank motor vehicle registration statements to identify these that the cargo tanks are requalified, was designed and constructed to meet persons to ensure they possess the maintained, and in proper condition for all requirements of the applicable knowledge and skills necessary to the transportation of hazardous specification. perform the required functions in materials. The following information collections accordance with applicable regulations. (3) Manufacturers’ Data Reports, and their burdens are associated with (2) Requalification and Maintenance Certificates, and Related Papers: These this OMB Control Number. Please note Reports: These reports are prepared by reports are prepared by cargo tank that these estimates may be rounded for persons who requalify or maintain cargo manufacturers and certifiers. They are readability:
Time per Information collection Annual Total annual response Total annual respondents responses (minutes) burden hours
Registration—Cargo Tank Manufacturers ...... 24 24 20 8 Registration—Repair Facilities ...... 33 33 20 11 Registration—Design Certifying Engineers & Registered Inspectors ...... 1,110 1,110 20 370 Registration—Recordkeeping ...... 117 117 15 29 Updating a Cargo Tank Registration ...... 145 145 15 36 Design Certificates for Prototypes ...... 55 55 2.5 hours 138 Design Certificates for Prototypes—Recordkeeping ...... 7 7 15 2 Manufacturer’s Data Reports or Certificate and Related Papers ...... 145 6,960 30 3,480 Manufacturer’s Data Reports or Certificate and Related Papers—Record- keeping ...... 700 700 15 175 Completion of Manufacturer’s Data Report—New Cargo Tanks ...... 145 4,785 30 2,393 Completion of Manufacturer’s Data Report—Remanufactured Cargo Tanks 145 1,015 30 508 Completion of Manufacturer’s Data Report—Recordkeeping ...... 145 580 15 145 Cargo Tank Repair/Modification Reports ...... 195 15,015 5 1,251 Testing and Inspection of Cargo Tanks—Visual Inspections ...... 1,654 24,600 30 12,300 Testing and Inspection of Cargo Tanks—External Visual Inspections ...... 1,654 123,000 30 61,500
Affected Public: Manufacturers, inspections and retesting to ensure the qualifications to perform tests and assemblers, repairers, requalifiers, continuing compliance with packaging identify to cylinder fillers and users that certifiers, and owners of cargo tanks. standards. Information collection cylinders are qualified for continuing Annual Reporting and Recordkeeping requirements address registration of use. Information collection Burden: retesters and marking of cylinders by requirements in § 173.303 require that Number of Respondents: 6,274. retesters with their identification fillers of acetylene cylinders keep, for at Total Annual Responses: 178,146. number and retest date following the least 30 days, a daily record of the Total Annual Burden Hours: 82,346. completion of required tests. The representative pressure to which Frequency of Collection: On occasion. cylinder owner or designated agent cylinders are filled. The following must keep records showing the results Title: Testing, Inspection, and information collections and their Marking Requirements for Cylinders. of inspections and retests either until burdens are associated with this OMB OMB Control Number: 2137–0022. expiration of the retest period or until Summary: Requirements in § 173.301 the cylinder is re-inspected or retested, Control Number. Please noted that these for the qualification, maintenance, and whichever occurs first. These estimates may be rounded for use of cylinders include periodic requirements ensure that retesters have readability:
Annual Total annual Time per Total annual Information collection respondents responses response burden hours
Cylinder Manufacture Marking ...... 225 101,250 7.17 minutes .. 12,099 Cylinder Manufacture Inspector’s Report ...... 225 225 30 minutes ..... 113 Cylinder Manufacture Inspector’s Report—Recordkeeping ...... 30 30 12 minutes ..... 6 Record of Alloy Added to Cylinder ...... 23 23 1 hour ...... 23 Cylinder Requalification Marking ...... 15,000 14,550,000 46 seconds .... 185,917 Cylinder Requalification Record ...... 15,000 14,550,000 45 seconds .... 181,875 Cylinder Requalification Record—Recordkeeping ...... 330 330 6 minutes ...... 33 Recent Recalibration Record ...... 2,300 4,830 5 minutes ...... 403 Repair, Rebuilding, or Reheat Treatment Records ...... 47 2,350 12 minutes ..... 470 Repair, Rebuilding, or Reheat Treatment Records—Recordkeeping ...... 6 6 10 minutes ..... 1 Changing Marked Service Pressure ...... 8 8 15 minutes ..... 2
Affected Public: Fillers, owners, users, Total Annual Responses: 29,209,052. OMB Control Number: 2137–0582. and retesters of reusable cylinders. Total Annual Burden Hours: 380,942. Summary: Shippers who offer Annual Reporting and Recordkeeping Frequency of Collection: On occasion. explosives for transportation by vessel Burden: Title: Container Certification in freight containers or transport Number of Respondents: 33,194. Statements. vehicles are required to certify on
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shipping documentation that the freight level of safety. The following estimates may be rounded for container or transport vehicle meets information collections and their readability: minimal structural serviceability burdens are associated with this OMB requirements that ensure an adequate Control Number. Please note that these
Time per Information collection Annual Total annual response Total annual respondents responses (minutes) burden hours
Freight Container Packing Certification ...... 620 890,000 1 14,833 Class 1 (explosives) Container Structural Serviceability Statement ...... 30 4,500 1 75
Affected Public: Shippers of Nancy J. Kessinger, Veterans Benefits benefit under 38 U.S.C. 111 and 38 explosives in freight containers or Administration (20M33), Department of U.S.C. 501(a). transport vehicles by vessel. Veterans Affairs, 810 Vermont Avenue Affected Public: Individuals and Annual Reporting and Recordkeeping NW, Washington, DC 20420 or email to households. Burden: [email protected]. Please refer to Estimated Annual Burden: 9,417 Number of Respondents: 650. ‘‘OMB Control No. 2900–0830’’ in any hours. Total Annual Responses: 894,500. correspondence. During the comment Estimated Average Burden per Total Annual Burden Hours: 14,908. period, comments may be viewed online Respondent: 5 minutes. Frequency of Collection: On occasion. through FDMS. Frequency of Response: On occasion. Estimated Number of Respondents: FOR FURTHER INFORMATION CONTACT: Issued in Washington, DC, on February 17, 113,000. 2021, under authority delegated in 49 CFR Maribel Aponte, Office of Enterprise 1.97. and Integration, Data Governance By direction of the Secretary: William A. Quade, Analytics (008), 1717 H Street NW, Maribel Aponte, Deputy Associate Administrator of Hazardous Washington, DC 20006, (202) 266–4688 VA PRA Clearance Officer, Office of Materials Safety, Pipeline and Hazardous or email [email protected]. Please Enterprise and Integration/Data Governance Materials Safety Administration. refer to ‘‘OMB Control No. 2900–0830’’ Analytics, Department of Veterans Affairs. [FR Doc. 2021–03555 Filed 2–22–21; 8:45 am] in any correspondence. [FR Doc. 2021–03668 Filed 2–22–21; 8:45 am] BILLING CODE 4910–60–P SUPPLEMENTARY INFORMATION: Under the BILLING CODE 8320–01–P PRA of 1995, Federal agencies must obtain approval from the Office of DEPARTMENT OF VETERANS DEPARTMENT OF VETERANS Management and Budget (OMB) for each AFFAIRS AFFAIRS collection of information they conduct or sponsor. This request for comment is [OMB Control No. 2900–0319] [OMB Control No. 2900–0830] made pursuant to Section 3506(c)(2)(A) of the PRA. Agency Information Collection Agency Information Collection With respect to the following Activity: Fiduciary Agreement Activity: Claim for Reimbursement of collection of information, VBA invites AGENCY: Travel Expenses comments on: (1) Whether the proposed Veterans Benefits collection of information is necessary Administration, Department of Veterans AGENCY: Veterans Benefits Affairs. Administration, Department of Veterans for the proper performance of VBA’s ACTION: Notice. Affairs. functions, including whether the information will have practical utility; ACTION: Notice. SUMMARY: Veteran’s Benefits (2) the accuracy of VBA’s estimate of the Administration (VBA), Department of SUMMARY: Veterans Benefits burden of the proposed collection of Veterans Affairs (VA), is announcing an Administration, Department of Veterans information; (3) ways to enhance the opportunity for public comment on the Affairs (VA), is announcing an quality, utility, and clarity of the proposed collection of certain opportunity for public comment on the information to be collected; and (4) information by the agency. Under the proposed collection of certain ways to minimize the burden of the Paperwork Reduction Act (PRA) of information by the agency. Under the collection of information on 1995, Federal agencies are required to Paperwork Reduction Act (PRA) of respondents, including through the use publish notice in the Federal Register 1995, Federal agencies are required to of automated collection techniques or concerning each proposed collection of publish notice in the Federal Register the use of other forms of information information, including each proposed concerning each proposed collection of technology. extension of a currently approved information, including each proposed Authority: 38 U.S.C. 501(a) and 38 collection, and allow 60 days for public extension of a currently approved U.S.C. 111. comment in response to the notice. Title: Claim for Reimbursement of collection, and allow 60 days for public DATES: Written comments and comment in response to the notice. Travel Expenses, VA Form 28–0968. OMB Control Number: 2900–0830. recommendations on the proposed DATES: Written comments and Type of Review: Extension of a collection of information should be recommendations on the proposed currently approved collection. received on or before April 26, 2021. collection of information should be Abstract: VA Form 28–0968 is used to ADDRESSES: Submit written comments received on or before April 26, 2021. gather the necessary information to on the collection of information through ADDRESSES: Submit written comments determine eligibility for mileage Federal Docket Management System on the collection of information through reimbursement. Without this (FDMS) at www.Regulations.gov or to Federal Docket Management System information, mileage reimbursement Nancy J. Kessinger, Veterans Benefits (FDMS) at www.Regulations.gov or to would not be possible to grant the Administration (20M33), Department of
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Veterans Affairs, 810 Vermont Avenue Estimated Number of Respondents: meeting number (access code): 199 056 NW, Washington, DC 20420 or email to 47,000. 7211, meeting password: sgQzubd?893 [email protected]. Please refer to By direction of the Secretary. or April 28, 2021: https:// ‘‘OMB Control No. 2900–0319’’ in any Maribel Aponte, veteransaffairs.webex.com/ correspondence. During the comment veteransaffairs/j.php?MTID= VA PRA Clearance Officer, Office of period, comments may be viewed online Enterprise and Integration/Data Governance m5901df6b033683a7ade169c399cb083f, through FDMS. Analytics, Department of Veterans Affairs. meeting number (access code): 199 832 FOR FURTHER INFORMATION CONTACT: [FR Doc. 2021–03691 Filed 2–22–21; 8:45 am] 3835, meeting password: Zuvd32Rjh@7, Maribel Aponte, Office of Enterprise BILLING CODE 8320–01–P or to join by phone either day: 1–404– and Integration, Data Governance 397–1596. Analytics (008), 1717 H Street NW, Dated: February 17, 2021. Washington, DC 20006, (202) 266–4688 DEPARTMENT OF VETERANS LaTonya L. Small, or email [email protected]. Please AFFAIRS Federal Advisory Committee Management refer to ‘‘OMB Control No. 2900–0319’’ Officer. in any correspondence. Geriatric and Gerontology Advisory Committee; Notice of Meeting [FR Doc. 2021–03605 Filed 2–22–21; 8:45 am] SUPPLEMENTARY INFORMATION: Under the BILLING CODE P PRA of 1995, Federal agencies must The Department of Veterans Affairs obtain approval from the Office of (VA) gives notice under the Federal Management and Budget (OMB) for each Advisory Committee Act, 5 U.S.C. DEPARTMENT OF VETERANS collection of information they conduct App.2, that a meeting of the Geriatric AFFAIRS or sponsor. This request for comment is and Gerontology Advisory Committee [OMB Control No. 2900–0270] being made pursuant to Section will be held on Thursday, April 27, 3506(c)(2)(A) of the PRA. 2021 and Friday, April 28, 2021, from Agency Information Collection With respect to the following 12:00 p.m. to 4:00 p.m. (Eastern Activity: Financial Counseling collection of information, VBA invites Daylight Time) on both days. This Statement comments on: (1) Whether the proposed meeting will be virtual and open to the collection of information is necessary public. AGENCY: Veterans Benefits for the proper performance of VBA’s The purpose of the Committee is to Administration, Department of Veterans functions, including whether the provide advice to the Secretary of VA Affairs. information will have practical utility; and the Under Secretary for Health on ACTION: Notice. (2) the accuracy of VBA’s estimate of the all matters pertaining to geriatrics and SUMMARY: Veterans Benefits burden of the proposed collection of gerontology. The Committee assesses Administration, Department of Veterans information; (3) ways to enhance the the capability of VA health care Affairs (VA), is announcing an quality, utility, and clarity of the facilities and programs to meet the opportunity for public comment on the information to be collected; and (4) medical, psychological, and social proposed collection of certain ways to minimize the burden of the needs of older Veterans, and evaluates information by the agency. Under the collection of information on VA programs designated as Geriatric Paperwork Reduction Act (PRA) of respondents, including through the use Research, Education, and Clinical 1995, Federal agencies are required to of automated collection techniques or Centers. publish notice in the Federal Register the use of other forms of information Although no time will be allocated for concerning each proposed collection of technology. receiving oral presentations from the information, including each proposed Authority: 44 U.S.C. 3501–21; 38 CFR public, members of the public may extension of a currently approved 13.140. submit written statements for review by collection, and allow 60 days for public Title: Fiduciary Agreement (VA Form the Committee to: Marianne comment in response to the notice. 21P–4703). Shaughnessy, CRNP, Ph.D., Designated OMB Control Number: 2900–0319. Federal Officer, Veterans Health DATES: Written comments and Type of Review: Reinstatement of a Administration by email at recommendations on the proposed previously approved collection. [email protected]. collection of information should be Abstract: The Department of Veterans Comments will be accepted until close received on or before April 26, 2021. Affairs (VA), through its Veterans of business on April 15, 2021. In the ADDRESSES: Submit written comments Benefits Administration (VBA), communication, the writers must on the collection of information through maintains supervision of the identify themselves and state the Federal Docket Management System distribution and use of VA benefits paid organization, association of person(s) (FDMS) at www.Regulations.gov or to to fiduciaries on behalf of VA they represent. Nancy J. Kessinger, Veterans Benefits beneficiary who are deemed Any member of the public wishing to Administration (20M33), Department of incompetent, a minor, or under legal attend virtually or seeking additional Veterans Affairs, 810 Vermont Avenue disability. The VA Form 21P–4703 is information should email NW, Washington, DC 20420 or email to used as a legal contract between VA and [email protected] or call [email protected]. Please refer to a federal fiduciary. It outlines the 202–407–6798, no later than close of ‘‘OMB Control No. 2900–0270’’ in any responsibilities of the fiduciary with business on April 15, 2021 to provide correspondence. During the comment respect to the uses of VA funds. their name, professional affiliation, period, comments may be viewed online Affected Public: Individuals and email address and phone number. For through FDMS. households. any members of the public that wish to FOR FURTHER INFORMATION CONTACT: Estimated Annual Burden: 3,917 attend virtually, they may use the Maribel Aponte, Office of Enterprise hours. WebEx link for April 27, 2021: https:// and Integration, Data Governance Estimated Average Burden per veteransaffairs.webex.com/ Analytics (008), 1717 H Street NW, Respondent: 5 minutes. veteransaffairs/j.php?MTID= Washington, DC 20006, (202) 266–4688 Frequency of Response: One time. ma20c0aba509a49bec0ffc0fdabbe71d7, or email [email protected]. Please
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refer to ‘‘OMB Control No. 2900–0270’’ DEPARTMENT OF VETERANS information will have practical utility; in any correspondence. AFFAIRS (2) the accuracy of VBA’s estimate of the burden of the proposed collection of SUPPLEMENTARY INFORMATION: Under the [OMB Control No. 2900–0668] information; (3) ways to enhance the PRA of 1995, Federal agencies must quality, utility, and clarity of the obtain approval from the Office of Agency Information Collection information to be collected; and (4) Management and Budget (OMB) for each Activity: Supplemental Income ways to minimize the burden of the collection of information they conduct Questionnaire (for Philippine Claims collection of information on or sponsor. This request for comment is Only) respondents, including through the use being made pursuant to Section AGENCY: of automated collection techniques or 3506(c)(2)(A) of the PRA. Veterans Benefits Administration, Department of Veterans the use of other forms of information With respect to the following Affairs. technology. collection of information, VBA invites ACTION: Notice. Authority: 38 U.S.C. 5101; 38 U.S.C. comments on: (1) Whether the proposed 107; 38 U.S.C. 1521, 1541, and 1542; 38 collection of information is necessary SUMMARY: Veteran’s Benefits CFR 3.262 and 3.272. for the proper performance of VBA’s Administration (VBA), Department of Title: Supplemental Income functions, including whether the Veterans Affairs (VA), is announcing an Questionnaire (for Philippine Claims information will have practical utility; opportunity for public comment on the Only (VA Form 21P–0784). (2) the accuracy of VBA’s estimate of the proposed collection of certain OMB Control Number: 2900–0668. burden of the proposed collection of information by the agency. Under the Type of Review: Extension of a information; (3) ways to enhance the Paperwork Reduction Act (PRA) of currently approved collection. quality, utility, and clarity of the 1995, Federal agencies are required to Abstract: VBA administers Pension information to be collected; and (4) publish notice in the Federal Register Benefits, which is a needs-based benefit ways to minimize the burden of the concerning each proposed collection of program for wartime Veterans, who are collection of information on information, including each proposed aged 65 or older or have a permanent respondents, including through the use extension of a currently approved and total non-service-connected of automated collection techniques or collection, and allow 60 days for public disability and limited income and net the use of other forms of information comment in response to the notice. worth. Eligibility is determined based technology. DATES: Written comments and on the income of and asset amounts for Authority: Public Law 104–13; 44 recommendations on the proposed the Veteran and their spouse. Claimants U.S.C. 3501–3521. collection of information should be residing in the Philippines complete the Title: Financial Counseling Statement, received on or before April 26, 2021. 21P–0784 Supplemental Income VA Form 26–8844. ADDRESSES: Submit written comments Questionnaire (for Philippine Claims Only) to report their countable family OMB Control Number: 2900–0270. on the collection of information through Federal Docket Management System income and net worth. VBA uses the Type of Review: Extension of a (FDMS) at www.Regulations.gov or to information to determine the claimant’s currently approved collection. Nancy J. Kessinger, Veterans Benefits entitlement to pension benefits. Abstract: This form was developed Administration (20M33), Department of Affected Public: Individuals and under 38 U.S.C. 3732. VA Form 26– Veterans Affairs, 810 Vermont Avenue households. 8844 provides for recording NW, Washington, DC 20420 or email to Estimated Annual Burden: 30 hours. comprehensive financial information [email protected]. Please refer to Estimated Average Burden per concerning the borrower’s net income, ‘‘OMB Control No. 2900–0668’’ in any Respondent: 15 minutes. total expenditures, net worth, suggested correspondence. During the comment Frequency of Response: One time. areas for which expenses can be period, comments may be viewed online Estimated Number of Respondents: reduced or income increased, the through FDMS. 120. arrangement of a family budget and FOR FURTHER INFORMATION CONTACT: By direction of the Secretary. recommendations for the terms of any Maribel Aponte, Office of Enterprise Maribel Aponte, repayment agreement on the defaulted and Integration, Data Governance VA PRA Clearance Officer, Office of loan. Analytics (008), 1717 H Street NW, Enterprise and Integration/Data Governance Affected Public: Individuals and Washington, DC 20006, (202) 266–4688 Analytics, Department of Veterans Affairs. households. or email [email protected]. Please [FR Doc. 2021–03690 Filed 2–22–21; 8:45 am] refer to ‘‘OMB Control No. 2900–0668’’ BILLING CODE 8320–01–P Estimated Annual Burden: 3,750 in any correspondence. hours. SUPPLEMENTARY INFORMATION: Under the Estimated Average Burden per PRA of 1995, Federal agencies must DEPARTMENT OF VETERANS Respondent: 45 minutes. obtain approval from the Office of AFFAIRS Frequency of Response: One time. Management and Budget (OMB) for each Advisory Committee on Disability Estimated Number of Respondents: collection of information they conduct Compensation, Notice of Meeting, 5,000 per year. or sponsor. This request for comment is Amended being made pursuant to Section By direction of the Secretary. 3506(c)(2)(A) of the PRA. The Department of Veterans Affairs Maribel Aponte, With respect to the following (VA) gives notice under the Federal VA PRA Clearance Officer, Office of collection of information, VBA invites Advisory Committee Act, 5 U.S.C. App. Enterprise and Integration/Data Governance comments on: (1) Whether the proposed 2, that a virtual meeting of the Advisory Analytics, Department of Veterans Affairs. collection of information is necessary Committee on Disability Compensation [FR Doc. 2021–03647 Filed 2–22–21; 8:45 am] for the proper performance of VBA’s (the Committee) will begin and end as BILLING CODE 8320–01–P functions, including whether the follows:
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Dates: Times:
Tuesday, April 20, 2020 ...... 9:00 a.m.–12:00 p.m. Eastern Standard Time (EST). Wednesday, April 21, 2020 ...... 9:00 a.m.–12:00 p.m. EST.
The virtual meeting is open to the The agenda will include, but is not Members of the public who wish to public. limited to, briefings on the VA Schedule obtain a copy of the agenda should The purpose of the Committee is to for Rating Disabilities and on relevant contact Sian Roussel at Sian.Roussel@ advise the Secretary of Veterans Affairs earnings and losses studies. va.gov and provide his/her name, on the maintenance and periodic Time will not be allocated at this professional affiliation, email address readjustment of the VA Schedule for virtual meeting for receiving oral and phone number. Rating Disabilities. presentations from the public. However, The Committee is to assemble and interested individuals may submit a one The call-in number for those who review relevant information relating to (1) to two (2) page summary of their would like to attend the meeting is 1– the nature and character of disabilities written statements for the Committee’s 800–767–1750; access code: 75937#. arising during service in the Armed review. Public statements may be Dated: February 18, 2021. Forces, provide an ongoing assessment received no later than April 13, 2021; Jelessa M. Burney, of the effectiveness of the rating for inclusion in the official meeting Federal Advisory Committee Management schedule, and give advice on the most record. Please send these to Sian Officer. appropriate means of responding to the Roussel of the Veterans Benefits needs of Veterans relating to disability Administration, Compensation Service [FR Doc. 2021–03616 Filed 2–22–21; 8:45 am] compensation. at [email protected]. BILLING CODE P
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Part II
National Credit Union Administration
12 CFR Parts 701, 702, 709, et al. Subordinated Debt; Final Rule
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NATIONAL CREDIT UNION Regulatory Capital treatment.2 This rule costs, high losses from loan defaults, ADMINISTRATION finalizes the proposed rule largely as and a shortfall in revenue.7 proposed except for several The Secondary Capital Rule 8 12 CFR Parts 701, 702, 709 and 741 amendments, which are discussed later provides that secondary capital in this document. The following is a accounts must: RIN 3133–AF08 • brief history of secondary capital, Risk Be established as an uninsured secondary capital account or another Subordinated Debt Based Capital (RBC) for credit unions, form of non-share account; and the advent of alternative forms of • AGENCY: National Credit Union capital, which ultimately resulted in the Have a minimum maturity of five Administration (NCUA). development of the proposed rule and years; • Not be insured by the NCUSIF or ACTION: Final rule. this final rule. any governmental or private entity; • SUMMARY: The NCUA Board (Board) is A. Secondary Capital for LICUs Be subordinate to all other claims amending various parts of the NCUA’s against the LICU, including those of regulations to permit Low-income In 1996, the Board finalized § 701.34 shareholders, creditors, and the of the NCUA’s regulations (the NCUSIF; Designated Credit Unions, Complex • Credit Unions, and New Credit Unions Secondary Capital Rule) to permit Be available to cover losses that to issue Subordinated Debt for purposes LICUs to raise secondary capital from exceed the LICU’s net available reserves of Regulatory Capital treatment. The foundations and other philanthropic- and, to the extent funds are so used, a Board issued the proposed minded non-natural person members LICU may not restore or replenish the 3 9 Subordinated Debt rule at its January and non-members. The Board issued account under any circumstances. 2020 meeting. The Board is finalizing the Secondary Capital Rule to provide Further, losses must be distributed pro the rule largely as proposed, except for an additional way for a LICU to attain rata among all secondary capital a few changes to various sections based Regulatory Capital to serve two specific accounts held by the LICU at the time on comments received. Such changes purposes: (1) Support greater lending the loss is realized; • Not be pledged or provided by the include amending the definition of and financial services in the investor as security on a loan or other Accredited Investor, providing a longer communities served by the LICU; and obligation with the LICU or any other timeframe in which a credit union may (2) absorb losses to prevent the LICU from failing. party; issue Subordinated Debt after approval, • Be evidenced by a contract reducing the required number of years In 1998, as part of the Credit Union agreement between the investor and the 4 of Pro Forma Financial Statements an Membership Access Act (CUMAA), LICU that reflects the terms and Issuing Credit Union must provide with Congress amended the Federal Credit conditions mandated by the Secondary its application, clarifying the Union Act (the FCU Act) to institute a Capital Rule and any other terms and prohibition on Subordinated Debt system of prompt corrective action for conditions not inconsistent with that issuances outside of the United States, federally insured credit unions based on rule; and clarifying that the Board will a credit union’s level of Net Worth. • Be accompanied by a disclosure publish a fee schedule only if it makes Relevant to this final rule, CUMAA and acknowledgment form as set forth a determination to charge a fee. specifically defined ‘‘net worth’’ to in the appendix to the Secondary DATES: This rule is effective January 1, include, among other things, secondary Capital Rule; 2022. capital issued by a LICU, provided the • Not be repaid, including any FOR FURTHER INFORMATION CONTACT: secondary capital is uninsured and interest or dividends earned thereon, if Policy: Tom Fay, Director of Capital subordinate to all other claims against the Board has prohibited repayment Markets, Office of Examination and the LICU, including the claims of thereof under § 702.204(b)(11), Insurance or Rick Mayfield, Senior creditors, shareholders, and the § 702.304(b), or § 702.305(b) of the Capital Markets Specialist, Office of National Credit Union Share Insurance NCUA’s regulations because the LICU is Examination and Insurance. Legal: Fund (NCUSIF).5 classified as ‘‘Critically Justin M. Anderson, Senior Staff In 2006, the Board further amended Undercapitalized’’; or, if a LICU is a Attorney, Office of General Counsel, § 701.34 to require regulatory approval New Credit Union (as defined under 1775 Duke Street, Alexandria, VA of a LICU’s secondary capital plan § 702.2 of the NCUA’s regulations), as 22314–3428. Tom Fay can be reached at before a LICU could issue secondary ‘‘Moderately Capitalized,’’ ‘‘Marginally (703) 518-1179, Rick Mayfield can be capital.6 In the preamble to the final Capitalized,’’ ‘‘Minimally Capitalized,’’ reached at (703) 518–6501, and Justin 2006 rule, the Board noted that LICUs or ‘‘Uncapitalized;’’ • Anderson can be reached at (703) had sometimes used secondary capital Be recorded on the LICU’s balance 10 518-6540. to achieve goals different from those for sheet; which it was originally intended. It also SUPPLEMENTARY INFORMATION: 7 Id. at 4236. Before 2006, a LICU was required highlighted a pattern of ‘‘lenient to submit a copy of its secondary capital plan to the I. History practices’’ by LICUs that issued NCUA, but it was not required to obtain At its January 2020 meeting, the secondary capital. These practices preapproval. Board issued a proposed Subordinated contributed to excessive net operating 8 12 CFR 701.34. The last substantive amendment to the Secondary Capital Rule was in 2010 with the Debt rule (the proposed rule) to permit addition of language regarding secondary capital Low-income Designated Credit Unions 1 2 85 FR 13892 (March 10, 2020). received under the Community Development (LICUs), Complex Credit Unions, and 3 See 61 FR 50696 (Sept. 27, 1996) (final rule); see Capital Initiative of 2010. 75 FR 57843 (Sept. 23, New Credit Unions to issue also 61 FR 3788 (Feb. 2, 1996) (interim final rule); 2010). 12 CFR 701.34. 9 This generally means that, when net operating Subordinated Debt for purposes of 4 Credit Union Membership Access Act of 1998, losses exceed Retained Earnings, a LICU needs to Public Law 105–219, sec. 301, 112 Stat. 913, 929 first use the secondary capital funds to cover the 1 Terms that are capitalized throughout this (codified at 12 U.S.C. 1790d(o)(2)(C) (1998)). excess amount. document are defined within the document or in 5 Id. 10 While the Secondary Capital Rule requires a the finalized regulatory text. 6 71 FR 4234 (Jan. 26, 2006). LICU to record secondary capital accounts on its
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• Be recognized as Net Worth in standard, the NCUA permits a LICU to and regulation.17 In response, the Board accordance with the schedule for include secondary capital in its RBC received 756 comments. recognizing Net Worth value in calculations in the same manner as it Of the 756 comments received, 688 paragraph (c)(2) of the Secondary currently includes secondary capital in appeared to be derived from one form Capital Rule; its risk-based net worth calculation. letter 18 that opposed the NCUA • Be closed and paid out to the Under the proposed rule, the Board proceeding with a supplemental capital account investor in the event of merger proposed to grant certain non-LICUs the proposal. In addition to the form letter, or other voluntary dissolution of a LICU, authority to issue instruments in the the Board received 68 unique comments to the extent the secondary capital is not form of Subordinated Debt and allow in response to the ANPR, most of which needed to cover losses at the time of the such credit unions to count those supported proposing a rule to allow merger or dissolution (does not apply in instruments in their respective RBC non-LICUs to issue an alternative form the case where a LICU merges into calculations. This new authority, of capital. A majority of the commenters another LICU); and however, would not permit non-LICUs in favor of the Board issuing a proposed • 11 Only be repaid at maturity except to include Subordinated Debt in their rule cited compliance with the NCUA’s that, with the prior approval of the Net Worth calculations. RBC rule 19 as the main reason for their NCUA and provided the terms of the In the proposed RBC rule issued in support. Other justifications for support account allow for early repayment, a 2015,15 the Board requested stakeholder proposed by commenters included LICU may repay any portion of input on supplemental capital.16 A credit union growth, protection from secondary capital that is not recognized 12 majority of commenters that addressed economic downturns, and providing as Net Worth. services demanded by members. The Secondary Capital Rule also supplemental capital stated it was includes requirements related to imperative that the Board consider In general, the comments lacked secondary capital plan submissions and allowing credit unions to issue specificity, and very few commenters approvals, redemption of secondary additional forms of capital. The addressed all or even most of the capital, disclosures, and Regulatory commenters suggested this authority questions posed by the Board. Capital treatment. was particularly important, as credit Nevertheless, the comments covered a As noted previously, since the unions are at a disadvantage in the wide range of topics and offered varying passage of CUMAA, the NCUA permits financial marketplace because most lack levels of support for provisions a LICU that issues secondary capital to access to additional capital outside of suggested in the ANPR. As noted in the include the aggregate outstanding Retained Earnings. proposed rule, the Board considered all principal amount of that secondary While none of the commenters offered comments received in response to the capital, in accordance with the schedule specific suggestions on how to ANPR during the Subordinated Debt for Net Worth,13 as part of its Net Worth. implement supplemental capital, a few rulemaking process. Further, pursuant to the NCUA’s suggested that the Board promulgate II. Proposed Rule currently effective risk-based net worth broad, non-prescriptive rules to allow requirements, the NCUA also permits a credit unions maximum flexibility in At its January 2020 meeting, the LICU to include such secondary capital issuing supplemental capital. Board issued the proposed rule to in its risk-based net worth calculation. permit LICUs, Complex Credit Unions, By contrast, a non-LICU does not have 2. 2017 Advance Notice of Proposed and New Credit Unions to issue the statutory authority to issue Rulemaking Subordinated Debt for purposes of 20 secondary capital and, to the extent a On February 8, 2017, the Board Regulatory Capital treatment. non-LICU issues an instrument that is published an advance notice of Specifically, the proposed rule included analogous to secondary capital, to a new subpart in the NCUA’s final RBC proposed rulemaking (ANPR) to solicit 21 include any such instruments in its Net comments on alternative forms of rule to address the requirements for, Worth (or its risk-based net worth) capital credit unions could use to meet and Regulatory Capital treatment of, calculation. capital standards required by statute Subordinated Debt. The proposed subpart also contained requirements B. Subordinated Debt for LICUs and related to credit union eligibility to Certain Non-LICUs times. First, in 2018, the effective date was delayed by one year, from January 1, 2019, to January 1, issue Subordinated Debt, applying for 1. RBC 2020. 83 FR 55467 (Nov. 6, 2018). Second, based NCUA authority to issue Subordinated on Board action at the December 2019 Board In October 2015, the Board finalized Debt, disclosures, securities laws, the meeting, the effective date was delayed two terms of a Subordinated Debt Note, and a rule to replace the current risk-based additional years, from January 1, 2020 to January 1, net worth requirement with an RBC 2022. prepayments. requirement.14 Under the revised 15 80 FR 4340 (Jan. 27, 2015). The proposed rule also provided for 16 Id. at 4384. The Board notes that when the the grandfathering of any secondary agency began to consider authorizing non-LICU balance sheet as ‘‘equity accounts,’’ generally capital issued before the effective date credit unions to issue instruments analogous to accepted accounting principles in the United States secondary capital instruments issued by LICUs, it of a final Subordinated Debt rule generally require financial institutions to record used the term ‘‘supplemental capital’’ to refer to (Grandfathered Secondary Capital) and secondary capital accounts as ‘‘debt.’’ See FASB those instruments. In 2017, when the Board issued (Financial Accounting Standards Board), ASC preserved the Regulatory Capital an advance notice of proposed rulemaking on this 942-405-25-3 and 25-4. The instructions to the 5300 treatment of Grandfathered Secondary topic, the NCUA used the umbrella term Call Report require all federally insured credit ‘‘alternative capital’’ to refer to both supplemental Capital for up to 20 years after the unions to report any secondary capital in the capital and secondary capital. In light of FCUs’ effective date of a final Subordinated Liability section of the Statement of Financial authority only to issue debt instruments, however, Condition. the Board believes it is more accurate to use the 11 17 82 FR 9691 (Feb. 8, 2017). A LICU may not issue a secondary capital umbrella term ‘‘Subordinated Debt’’ to refer to both 18 account that amortizes over its stated term. secondary capital and what was once referred to as While there were slight modifications to some 12 See 12 CFR 701.34(d). supplemental capital. It is important to note that, letters, the substance of each was the same. 13 Id. § 701.34(c)(2). unless the context otherwise requires, the term 19 80 FR 4340 (Jan. 27, 2015). 14 80 FR 66626 (Oct. 29, 2015). The Board has ‘‘Subordinated Debt’’ refers to both types of debt 20 85 FR 13892 (Mar. 10, 2020). delayed the effective date for the final RBC rule two instruments. 21 80 FR 4340 (Jan. 27, 2015).
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Debt rule.22 Under the proposed rule, Debt and the NCUA’s legal authority to unions will pose significant risk to the Grandfathered Secondary Capital would authorize it. These commenters, NCUSIF and constitutes irresponsible generally remain subject to the however, varied widely on changes behavior by the NCUA. requirements in the Secondary Capital requested in a final Subordinated Debt The Board disagrees with these Rule. For ease of reference, the Rule. commenters on all three assertions. requirements in the Secondary Capital The Board notes that, in October First, as articulated in the proposed rule Rule would be moved from their current 2020, the Board finalized a rule related and reproduced later in this document, location to a section in the new to corporate credit unions 25 in which FCUs have the legal authority to issue proposed subpart. the Board indicated it would finalize a Subordinated Debt, and the Board has Conversely, any issuances of change related to a corporate credit the authority to include such secondary capital not completed by the union’s purchase of Subordinated Debt instruments in the RBC calculation. effective date of this subpart would be in a final Subordinated Debt rule. While With respect to the tax exemption subject to the requirements applicable to it is the Board’s intent to finalize the argument, the Board reiterates its Subordinated Debt discussed elsewhere change to the corporate credit union statements in the proposed rule that, in this subpart. This change would not rule, it thought it best to bring that item under the FCU Act, FCUs are permitted impact a LICU’s ability to include such separately, but in the near future. to borrow from any source.26 The Board was meticulous in crafting this final rule instruments in its Net Worth. A. Comments Opposing Proposed Rule In addition to these changes, the to ensure Subordinated Debt proposed rule included additions and As noted previously, all of the form instruments remain squarely in the form amendments to other parts and sections letters and a few unique letters opposed of borrowings, as permitted by the FCU of the NCUA’s regulations. Specifically, the proposed rule in its entirety. In Act. The Board, therefore, has no reason the proposed rule included: summary, these comments contained to believe that the continuation of an • A new section that addresses limits three general arguments in opposition to already permissible activity would in on loans to other credit unions; the proposed rule. any way jeopardize the tax-exempt • An expansion of § 701.38 (‘‘the First, these commenters stated that status of FCUs. Further, the Board will borrowing rule’’) to clarify that Federal allowing credit unions to issue require a FISCU to issue an instrument credit unions (FCUs) can borrow from Subordinated Debt for Regulatory that meets the same requirements as an Capital purposes ‘‘undermines the any source; instrument issued by an FCU if the • Revisions to the RBC rule 23 and the foundation of credit unions’ tax exempt FISCU wants such instrument to be payout priorities in the NCUA’s status.’’ In support of this assertion, included in its RBC calculation. This is involuntary liquidation rule (12 CFR commenters stated that ‘‘credit unions described more fully later in this part 709) to account for Subordinated are afforded tax-exempt status in part document. The Board was made this Debt and Grandfathered Secondary because they lack access to capital intentional decision in part to help Capital; and markets to raise equity. If this rule is preserve FISCUs’ tax-exempt status • Cohering changes to part 741 to adopted, that constraint will be which, as discussed below, differs from account for other changes that apply to obliterated, giving credit unions fuel to that of FCUs. federally insured, state-chartered credit grow well beyond their mission of Finally, the Board has included many unions (FISCUs). serving people of small means.’’ These safeguards in the final rule to ensure The proposed rule provided for a 120- commenters also stated that the that Subordinated Debt acts as a buffer day comment period, which ended in proposed rule was concerning in to reduce risk to the NCUSIF rather than July 2020. ‘‘context of NCUA’s methodical work to increase risk, as asserted by the knock down the other pillars of the aforementioned commenters. The Board III. Final Rule and Public Comments on credit union tax exemption compact, is confident that the framework of the Proposed Rule including the field of membership final rule will help protect the NCUSIF. expansion, the low-income designation The NCUA received 171 comment B. Comments Supporting, But expansion, and the proposal to speed letters in response to the proposed rule, Suggesting Changes to, the Proposed credit unions’ purchases of banks.’’ which included letters from credit Rule union trade associations, credit unions, Second, these commenters generally state and regional credit union leagues, stated that the proposed rule ‘‘usurps The comments described in this bank trade organizations, corporate Congressional authority by approving section support the proposed rule, but credit unions, banks, law firms, the use of investor-raised funds to offered suggested changes and securities brokers, and individuals. Of satisfy regulatory capital requirements, amendments. In each section the Board the 171 comment letters, 125 appear to an area Congress clearly restricted to briefly summarizes and responds to have been generated from one form retained earnings in the Federal Credit comments, with an indication of letter opposing the rule.24 Union Act.’’ The commenters did not whether the Board has changed the final Nearly all the remaining commenters offer further support for this statement. rule or has finalized a section as supported the proposed rule, but did Finally, these commenters stated that proposed. The Board notes that the offer at least one suggested change. the proposed rule would pose following content is organized by the Supporting commenters generally significant risk to the NCUSIF. These number of commenters that addressed a reiterated the need for Subordinated commenters stated that the NCUA has particular topic and the impact of a acknowledged that secondary capital particular section on the rest of the rule. 22 Grandfathered Secondary Capital will be has contributed to rapid growth and The Board believes this organization considered as Regulatory Capital in accordance higher failure rates in credit unions that will help readers ascertain which topics with the approved application, terms of the note, issue secondary capital. The were the most commented-on and and the applicable schedule for recognizing commenters went on to state that complex. While the Board chose this secondary capital as Net Worth, provided that no such term may exceed 20 years. expanding the authority to issue organization for ease of use, the Board 23 80 FR 4340 (Jan. 27, 2015). Subordinated Debt to the largest credit notes that it evaluates all comments and 24 While there were slight modifications to some letters, the substance of each letter was the same. 25 85 FR 71817 (Nov. 12, 2020). 26 12 U.S.C. 1757(9).
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topics equally, regardless of number or exemption, and there generally are no lenders/providers of credit or investors the depth of the comments. SEC-mandated disclosure requirements who would anticipate a potential return for offerings of securities pursuant to the on investment in addition to repayment 1. Subordinated Debt Is a Security Rule 506 [17 CFR 230.506] private of the obligation and any stated interest; The proposed rule included a placement exemption as long as all and comprehensive description of purchasers in the offering are • The ‘‘family resemblance’’ of the Subordinated Debt as a security and ‘accredited investors.’ ’’ This commenter instrument to other instruments or described general securities law that went on to state that there ‘‘already arrangements that have been found to may apply to Subordinated Debt issued exists a U.S. securities law framework fall within the definition of a ‘‘security,’’ by a credit union. This section of the which applies to such exempt rather than having characteristics more proposed rule stated that the NCUA issuances, and that framework stipulates akin to a loan or typical extension of continues to believe any Subordinated that registration and disclosure credit. Debt Note would be deemed a security requirements are not necessary in these As the preceding information for purposes of Federal and state cases. It is unnecessary, improper, and demonstrates, the definition of a securities law. This section went on to unduly burdensome for NCUA to security is quite broad and provide the definition of a ‘‘security’’ impose such requirements on exempt encompassing. As such, the Board again under the Securities Act of 1933 and credit union issuers when U.S. acknowledges that Subordinated Debt interpretations of such term by various securities law does not impose these Notes issued under the Subordinated courts, including the U.S. Supreme requirements.’’ Debt rule, as finalized herein, fit within Court. In response to the aforementioned the definition of a security. Inclusion in Twelve commenters disagreed with comments, the Board first reiterates that such definition may subject issuances to the NCUA’s assertion that all section 2(1) of the Securities Act various Federal and state laws and Subordinated Debt issued under the broadly defines the term ‘‘security’’ to regulations. proposed rule would be a security for include, among other things, any: The Board’s statement in both the purposes of Federal and state securities • Stock; proposed rule and this final rule that laws. The majority of these commenters • Note; Subordinated Debt Notes would be stated that such a classification would • Bond; securities is an acknowledgment of such result in an overly complex and • Debenture; fact and has no bearing on the treatment expensive set of requirements, including • Evidence of indebtedness; of such notes by the SEC or state the preparation of an Offering Document • Investment contract; or regulators. Rather, after consultation and the retention of securities counsel, • Interest or instrument commonly with outside securities law counsel, the that would make many small issuances known as a security.27 Board recognizes that Subordinated of Subordinated Debt cost-prohibitive Further, the U.S. Supreme Court has Debt Notes issued under this final rule for LICUs. repeatedly emphasized that the are likely (to some degree) to be subject One commenter stated that definition of ‘‘security’’ is quite broad. to the multitude of Federal and state ‘‘currently, the issuance of secondary The U.S. Supreme Court, in a variety of securities laws—particularly those capital is largely accomplished through cases analyzing the boundaries of the related to disclosures and anti-fraud. what is best described as bilaterally definition, has stressed that the The Board believes it is prudent and negotiated lending transactions. The substantive characteristics of the responsible to adopt a framework, as NCUA has not suggested that this instrument in question and the discussed in the proposed rule, to aid practice would be discontinued in the circumstances surrounding its issuance, Issuing Credit Unions in providing case of subordinated debt, and it is rather than the mere name or title of the Offering Documents to investors. As a reasonable to believe that many market instrument, are of primary significance prudential regulator, it is incumbent offerings would continue to be in determining whether the instrument, upon the NCUA to include in a conducted in this way.’’ This contract, or arrangement in question rulemaking of this complexity commenter went on to state that, will be deemed a ‘‘security.’’ While provisions to help ensure credit unions because of the use of these bilateral-type lower Federal courts and some state comply with regulatory or statutory agreements, the NCUA should refrain courts have sometimes taken a narrower requirements, and to help credit unions from implementing a blanket approach view than the Supreme Court, common avoid legal challenges from investors. to securities law compliance. factors the courts generally consider in The Board reiterates that for all Other commenters believed a blanket their analysis (particularly in the Issuing Credit Unions, the issuance of classification of Subordinated Debt as a context of a debt instrument, contract or Subordinated Debt may be a new security would negatively impact LICUs arrangement) include: activity. While LICUs have been issuing and small issuances. Further, many of • The terms of the offer; secondary capital for several decades, these commenters urged the NCUA to • The characteristics of the economic this will be the first time the NCUA has consider a more flexible approach that inducement being offered to the permitted LICUs to issue instruments to follows the exemptions provided for in potential counterparty, and whether the qualifying natural persons. Because this the Security and Exchange characteristics are consistent with a loan is a new and complex activity for all Commission’s (SEC’s) rules and the or typical extension of credit, or such Issuing Credit Unions, in consultation Office of the Comptroller of the that the counterparty would anticipate a with outside counsel, the Board views Currency’s (OCC’s) subordinated debt potential return on investment in the Offering Document process to as regulation. Specifically, one commenter addition to repayment of the obligation helping Issuing Credit Unions navigate stated that the proposed rule would and any stated interest; complex disclosures and anti-fraud require an Issuing Credit Union to • The plan of distribution; laws. However, the Board notes that the prepare and deliver an Offering • How an instrument is marketed and Offering Document is independent of Document to potential investors ‘‘even to whom it is marketed, and whether the and, in some cases, additive to any though there is no SEC-mandated potential counterparties are traditional requirements imposed by applicable disclosure requirements for offerings of securities laws. The Board reiterates its securities pursuant to the section 3(a)(5) 27 15 U.S.C. 77b. expectation that credit unions
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contemplating an issuance of engaged in—subordinated debt approach to Offering Documents, the Subordinated Debt Notes retain transactions for many years. As noted NCUA should require a potential credit professional advisors experienced in previously, this final rule will be, to union issuer—as part of its initial securities law disclosure matters to help some degree, a new endeavor for many application to issue Subordinated them prepare related Offering Issuing Credit Unions. The Board Debt—to explain how its approach to Documents. In short, the Board believes it is both prudent and due diligence, disclosure, and securities continues to believe that Subordinated necessary to maintain the proposed law considerations is reasonable given Debt Notes issued under this final rule guardrails to help Issuing Credit Unions the specifics of an issuance. In support, would be securities. Therefore, the comply with applicable securities laws, this commenter stated that this Board is taking a prudential stance by particularly those related to anti-fraud. approach would provide flexibility finalizing, as proposed, the various As the NCUA and credit unions move while accounting for the varying types provisions related to securities law that forward with this final rule, the Board of issuances and varying degrees of appeared in the proposed rule. The will continue to evaluate the rule and investor sophistication. Board believes that, in the infancy of may undertake future rulemakings to Another commenter suggested the Subordinated Debt issuances, such provide exemptions where they are both Board detach the Offering Document provisions are transparent and will help warranted and prudent for Issuing from the application process, and Issuing Credit Unions navigate and Credit Unions. instead make approval contingent on properly issue Subordinated Debt Notes the inclusion of an offering circular to 2. Offering Document (in consultation with counsel). The comply with 17 CFR 240.10b–5 and Board further notes that the disclosures In addition to comments related to the other disclosures the NCUA deems required by this final rule are akin to applicability of securities laws and appropriate. This commenter stated that those most investors are accustomed to exemptions from submitting an Offering this would allow a credit union to defer seeing in the marketplace, which may Document, as discussed previously, the legal costs associated with preparing make issuances of Subordinated Debt several commenters offered specific an Offering Document until the credit Notes less costly for some Issuing Credit comments on the requirement that an union was ready to execute its Unions. Issuing Credit Union create an Offering Subordinated Debt strategy. Document for each issuance of Finally, one commenter requested a. Exemptions for Certain Subordinated Subordinated Debt. Generally, these that the NCUA explicitly require issuers Debt Issuances commenters opposed the Offering to disclose all pending legal or other In addition to the aforementioned Document process, or at least requested items that could have a negative impact comments, several commenters stated an exemption or streamlined process for on the credit union’s capital, income, or that the OCC’s requirements for national certain issuances. operating performance. This commenter banks offering subordinated debt are One commenter stated that the NCUA stated that such information was less restrictive than what the Board should include exemptions for certain necessary for an investor to make a well- proposed for credit unions. Commenters issuances of Subordinated Debt, similar informed decision. noted that the OCC requires banks that to the OCC and FDIC. This commenter For the reasons articulated in the issue subordinated debt to comply with contended that such exemptions would proposed rule and those discussed § 16.5 of the Federal Deposit Insurance lower regulatory burden on smaller previously, the Board is finalizing the Corporation’s (FDIC’s) Securities institutions and bring the NCUA’s sections relating to the Offering Offering Disclosure Rule, which regulation more in line with the OCC’s, Document as proposed. In addition to contains several exemptions to the FDIC’s, and SEC’s disclosure the previous discussion related to prospectus delivery requirement, requirements. This commenter went on Subordinated Debt as a security, the including exemptions for nonpublic to state that almost every current Board continues to believe that a robust offerings and small issuances made in issuance of secondary capital would be Offering Document is prudent for credit conformance with applicable SEC exempt from the Offering Document unions that issue Subordinated Debt. rules.28 To align with regulations issued process under the OCC’s Subordinated As noted in the proposed rule, the by the OCC and FDIC, these commenters Debt regulation. Offering Document is designed to stated that the NCUA should consider a Another commenter stated that ‘‘the provide investors with disclosures that more flexible approach. NCUA’s documentation requirement provide the information they need to The Board is aware that the FDIC’s goes beyond that of the OCC, which make an informed decision on Securities Offering Disclosure Rule 29 permits a bank seeking to issue purchasing Subordinated Debt. Further, contains exemptions that were not securities to tailor its approach to the the Board modeled the Offering included in the proposed rule and are relevant securities registration Document from disclosures common in not included in this final rule. First, exemption—and associated market the marketplace for this type of related to the preceding section of this practice—that meets its needs.’’ This instrument. Because Subordinated Debt document, the Board notes that while commenter went on to state that ‘‘the is a security and thus subject to the the OCC and FDIC provide exemptions NCUA’s requirement could result in broad antifraud provisions of the for certain issuances, the OCC and FDIC credit unions having higher burdens— Securities Exchange Act, as codified in still deem such issuances to be and less transaction flexibility—than the SEC’s regulations,30 the Board securities. Rather, the OCC and FDIC their community bank counterparts.’’ intends the Offering Document to be an have provided exemptions from Finally, this commenter argued that the aid for credit unions and an extra level registration and delivery of an Offering NCUA’s requirements would be similar of protection for investors. Document for issuances of securities to those imposed by the SEC on public In response to commenters seeking an that satisfy certain requirements. offerings, which, in the commenter’s exemption for certain types of Second, the Board notes that the OCC view, would hinder the credit union Subordinated Debt transactions, the has supervised—and banks have industry, which would largely be Board may consider such actions in engaging in small, private issuances. future rulemakings. However, as noted 28 12 CFR 16.5 Another commenter suggested that 29 Id. instead of the NCUA’s proposed 30 17 CFR 240.10b–5.
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previously, because this is a new • The requirement to provide at least removed the automatic approval that endeavor for many Complex and New five years of Pro Forma Financial exists in the Secondary Capital Rule if Credit unions and this is the first time Statements. the NCUA fails to respond before the LICUs will be permitted to issue expiration of the 45-day period. a. Application Requirements Subordinated Debt to natural persons, Approximately 13 commenters opposed the Board believes it is important to take Approximately 13 commenters either these proposed changes. a measured approach to the issuance of stated that the preapproval requirements Generally, these commenters stated these instruments. The Board believes a to issue Subordinated Debt were too that a longer approval process with no ‘‘walk before you run’’ approach in this burdensome or requested that the NCUA automatic approval would impose area is both prudent and necessary. streamline the process. While some unnecessary burdens on credit unions Finally, the Board believes that third commenters appreciated the clarity in seeking to issue Subordinated Debt. the proposed preapproval requirements, parties may produce Offering Document These commenters urged the NCUA to this subset of commenters felt that the templates to help credit unions issue retain the approval timing and structure preapproval requirements were too Subordinated Debt more efficiently, in the Secondary Capital Rule. One cumbersome and would discourage while still complying with this rule and commenter stated that the NCUA should many credit unions from issuing applicable securities laws. The creation concurrently review a credit union’s Subordinated Debt. application and Offering Document, of such templates may help defray some Some commenters stated that the asserting that consecutive rather than of the cost for Issuing Credit Unions. preapproval process should not be a concurrent reviews could place a credit The Board encourages such one-size-fits-all approach, but should union at a competitive disadvantage and collaboration in the industry, provided reflect the complexity of the proposed frustrate a credit union’s efforts to issue it is compliant with the final rule and issuance. Several of these commenters Subordinated Debt. Further, this all applicable securities laws. The Board stated that the NCUA should retain its commenter stated that an overly long notes, however, that the use of any current ‘‘Secondary Capital Plan’’ review process could result in ‘‘stale’’ template Offering Document must be requirements. In addition, two data, which may not be useful to the customized to a credit union’s specific commenters stated that if the NCUA NCUA or investors. issuance and accurately disclose the retains the proposed preapproval As stated in the proposed rule, the specific aspects that are unique to the requirements, the final rule should Board believes the expanded Issuing Credit Union. provide for a streamlined process for requirements for initial applications are For the reasons discussed above, the subsequent preapproval requests from broader than the Secondary Capital Rule Board is finalizing the Offering previously approved credit unions. Document, and sections related thereto, As stated in the proposed rule, the requirements and that the enhanced as proposed. Board remains dedicated to a description of diligence expectations requirement for an eligible credit union will require a more thorough review by 3. Preapproval To Issue Subordinated the Appropriate Supervision Office. Debt to obtain written preapproval before issuing Subordinated Debt, as it views While the Board anticipates that the The proposed rule required that this step as an important prudential clear, transparent structure of the eligible credit unions submit an safeguard. The Board believes a application requirements will lead to application and receive written preapproval process is part of a credit increased efficiency from both credit preapproval from the NCUA before union’s sound management plan, and unions and the agency, the Board issuing Subordinated Debt. The will help the NCUA ensure that a believes the extra time is warranted to proposed application process consisted planned issuance of Subordinated Debt ensure an application is sufficient for an of an eligible credit union providing the is structured in such a manner as to Appropriate Supervision Office to make Appropriate Supervision Office appropriately protect the Issuing Credit a well-informed decision. Further, the information on 15 topics as part of the Union and the NCUSIF. Board notes that the complexity of a initial application. In addition, the While the Board recognizes the many Subordinated Debt issuance will drive Board proposed to amend the NCUA’s potential benefits that an issuance of both the veracity of a credit union’s review time of such application from 45 Subordinated Debt Notes may confer on application and the NCUA’s review days with automatic approval (as in the an Issuing Credit Union, it also time. As such, the Board anticipates that Secondary Capital Rule) to 60 days, appreciates the complexities and risks the increased time for review will have with no automatic approval. The Board of such issuance. The decision to offer little impact on most smaller, simple also proposed to expire any approval and sell Subordinated Debt Notes issuances. Therefore, the Board is granted under the rule one-year from the should be made only after careful retaining, as proposed, the 60-day date of such approval. consideration, preparation, and timeframe for NCUA review of Most of the commenters that diligence by the Issuing Credit Union, applications. supported the proposal addressed at including seeking professional advice as c. Expiration of Authority least some aspect of the proposed warranted. For these reasons, the Board The proposed rule included a application process. The commenters is retaining this important prudential provision that would require the generally focused on: safeguard and will adopt the • preapproval requirements as proposed. expiration of an Issuing Credit Union’s Reducing the complexity of the authority to issue Subordinated Debt application process; b. NCUA Review Time of Application Notes one year from the later of: • The timing for NCUA approval of As noted previously, the proposed • The date the Issuing Credit Union an application; rule increased the review time of an received NCUA approval of its initial • The requirement to issue initial application to 60 days from the application (if the proposed offering is Subordinated Debt within one-year from Secondary Capital Rule’s period of 45 to be made solely to Entity Accredited the approval of an application; days.31 In addition, the proposed rule Investors); or • Subordinated Debt Note • The ‘‘approved for use’’ date of the restrictions; and 31 12 CFR 701.34(b)(2)). applicable Offering Document (if the
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proposed offering will include any provided the request is filed at least 30 sensitivity analysis indicating likely Natural Person Accredited Investors). calendar days before the expiration of performance under stressed conditions. The Board included a question in this authority. The Board believes The Board has considered these section of the proposed rule preamble finalization of this provision, coupled comments and is reducing the minimum asking if a one-year expiration would with the expiration extension, will number of years for the Pro Forma negatively impact Issuing Credit provide Issuing Credit Unions sufficient Financial Statement requirement as part Unions. Approximately 16 commenters time to complete a Subordinated Debt of the initial application from five years responded to this question and issuance. disagreed with the proposed The Board notes, however, that in the to two years for the final rule. The Board requirement that a credit union event an Issuing Credit Union’s believes that an extended Pro Forma complete a Subordinated Debt issuance circumstances materially change after Financial Statement analysis of five within one year from the date of the NCUA has approved an initial years, which aligns with the minimum receiving NCUA approval. Most of these application but before the closing of the maturity of a Subordinated Debt Note, commenters stated that one year is an relevant offer and sale of Subordinated may provide useful information. arbitrary deadline that may force a Debt Notes, the final rule requires an However, the Board recognizes that the credit union to make a rushed decision Issuing Credit Union to submit an veracity of the analysis is equally or not be able to adequately account for amended application before it continues important. Further, the quality of the the complexities necessary to execute a its Subordinated Debt Notes offering. assumptions and range of plausible beneficial offering. Most of the The Board believe this provision is scenarios used in the projections are as commenters sought an extension of the necessary to account for material much a priority—and perhaps superior one-year period, rather than an outright changes in an Issuing Credit Union’s to—the number of years a credit union abolishment of it. conditions that may occur between applied to those assumptions and In addition, two commenters stated approval and the final sale of scenarios. As such, the Board believes a that the NCUA could use the quarterly Subordinated Debt. reduction in the number of years from regulatory reporting to monitor credit d. Pro Forma Financial Statements the proposed five to two is appropriate unions with Subordinated Debt and will provide, in most cases, the authority and determine if there had The proposed rule included an necessary information for an been changes in a credit union’s extension of the time horizon of the Pro Appropriate Supervision Office to condition that would require a Forma Financial Statements to five render a decision on an initial revocation of the NCUA’s approval. years compared to the Secondary application. The Board notes, however, Capital Rule’s requirement of two These commenters stated that such an that included in both the proposed rule years.32 The Board requested comment approach would account for material and this final rule is a provision that on this extension and its impact on changes in a credit union’s condition permits an Appropriate Supervision without subjecting all credit unions to Issuing Credit Unions. Approximately Office to request additional information, an arbitrary deadline. five commenters addressed the The Board has considered these proposed requirement that a credit such as additional years of Pro Forma comments and will increase the union submit at least five years of Pro Financial Statements, to support a credit expiration period to two years in the Forma Financial Statements with its union’s application. final rule. The Board understands that application. Three of these commenters e. Filing Fees business and/or economic conditions disagreed with the proposed increase can change rapidly, as has occurred from two to five years. One commenter Five commenters opposed any filing during the global pandemic of 2020, and stated that the NCUA should request Pro fees associated with the issuance of that a credit union may need a longer Forma Financial Statements based on Subordinated Debt. These commenters period to meet its strategic goals using the complexity of a proposed generally stated that such fees may Subordinated Debt. The Board believes transaction rather than implementing a make such issuance cost prohibitive and this change in the final rule will provide one-size-fits-all approach. Another overly burdensome, particularly in light credit unions with a longer issuance commenter believed that two years of of the other requirements in the window and increased flexibility to data was sufficient, as such data is proposed rule. issue Subordinated Debt. After thorough mainly for the benefit of an investor. In response, the Board notes that both consideration, the Board has determined This commenter stated that an investor the proposed rule and this final rule do that a two-year expiration period strikes could request additional years of Pro not require a filing fee, but do reserve an appropriate balance between the Forma Financial Statements if needed. competing concerns the Board noted in Two commenters agreed with the the right of the Board to charge such a the proposed rule: ensuring that an proposed increase and sought additional fee if warranted. The Board believes it Issuing Credit Union does not offer and information as part of the application is important to retain this flexibility to sell Subordinated Debt Notes following and disclosure process. One commenter ensure that, if needed, the Board can a material change in the information on agreed with the breadth of the required assess an appropriate fee on applicants which the NCUA relied in approving pro forma data but suggested that the to cover the NCUA’s cost of reviewing the offer and sale of that Issuing Credit NCUA should also require credit unions and processing such application. The Union’s Subordinated Debt Notes, and to include tables that reflect actual Board notes that it would not impose a not unduly hindering the marketability results for the prior three-year period fee without a sufficient justification and of Subordinated Debt Notes. and a detailed narrative on how the may provide exceptions for smaller or In addition to expanding the issuer intends to secure the level of low-income credit unions. Therefore, expiration period, the Board is earnings presented in its Pro Forma the Board is retaining this provision as retaining, as proposed, a provision that Financial Statement. This commenter proposed. However, the Board is allows an Issuing Credit Union to file a went on to suggest that such additional clarifying in this final rule that the written request for one or more data should include a modest level of Board will publish a fee schedule on the extensions of the two-year limit with the NCUA’s website only if the Board Appropriate Supervision Office, 32 Id. institutes a fee in the future.
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4. Investors The Board is finalizing the sections on a. Prohibition of an Issuing Credit In the proposed rule, the Board Investors as proposed, with one minor Union’s Board Members, Senior limited the investors that could change. As noted in the preamble to the Executive Officers, or Their Immediate purchase Subordinated Debt to only proposed rule, at the time, the SEC had Family Members To Purchase or Hold Accredited Investors as defined by the proposed amendments to the definition Subordinated Debt Notes SEC,33 except that credit union of ‘‘Accredited Investor.’’ The SEC has The Board proposed to expand a 34 ‘‘insiders’’ were specifically prohibited now finalized these amendments. credit union’s current authority for from purchasing or holding These changes, which are effective permissible investors by allowing a Subordinated Debt. Further, the December 8, 2020, expand the definition credit union to issue Subordinated Debt proposed rule bifurcated the category of of ‘‘Accredited Investor’’ by adding to Natural Person Accredited Investors Accredited Investors into Natural several new categories of natural and Entity Accredited Investors, with Person Accredited Investors and Entity persons or entities the SEC considers the following restrictions on who may Accredited Investors. Finally, the Accredited Investors. The Board is purchase or hold a Subordinated Debt proposed rule limited the permissible adopting these changes to the definition Note issued by an Issuing Credit Union: investor base to only U.S. investors. of ‘‘Accredited Investor’’ by modifying • Board member or Senior Executive Eight commenters addressed the issue the definitions of Entity and Natural Officer of the Issuing Credit Union; and of investors. The majority of these Person Accredited Investor in this final • Immediate Family Member of such commenters sought additional rule. The proposed rule enumerated board member or Senior Executive flexibility in determining who may specific paragraphs of 17 CFR Officer of the Issuing Credit Union. invest in Subordinated Debt. However, 230.501(a) that the NCUA would One commenter requested the NCUA three commenters sought additional consider either Natural Person reconsider these proposed prohibitions. limitations on the type of investors or Accredited Investors or Entity Investors. The commenter noted that the Federal solicitation thereof. To encompass the recent change by the banking regulators do not prohibit Two commenters stated that SEC and future changes by the SEC, the related parties and insiders from buying permissible investors should not be Board is removing the specific citation stock in a mutual to stock conversion of limited to only U.S. investors. These references to 17 CFR 230.501(a). This is a thrift institution. The commenter commenters believed this would unduly largely a technical change and is not stated that educating board members, restrain credit unions from conducting intended to change the substantive senior officers, and others within the beneficial offerings of Subordinated definition of Entity or Natural Person sphere of concern should suffice to Debt. Two other commenters, for similar Accredited Investors. mitigate this concern by requiring reasons as the preceding commenters, As noted previously, several insider trading policies and procedures requested that the NCUA allow commenters sought additional regarding the management of material permissible investors to include those flexibilities for investors or the removal non-public information and related other than Accredited Investors. Finally, of investor limits completely. The Board party transactions. The commenter also one commenter requested the NCUA does not believe it is prudent to remove stated the Offering Document would remove the limit on the number of the limitations on investors, as such have disclosures related to investments permissible investors. This commenter limits were designed to protect investors by related parties and insiders, and felt any limit on the number of investors and credit unions. As discussed in the would disclose any potential conflict of could limit a credit union’s ability to proposed rule, disclosures are largely interests. Given the NCUA’s concern, conduct an issuance that it determines based on the sophistication of the the commenter stated the NCUA may to be in its best interest. investor. Therefore, the Board opted to wish to consider adding a requirement Differing from the aforementioned limit investors to those that meet the to the initial application requiring an commenters, three commenters sought SEC’s definition of Accredited Investor. applicant credit union to disclose additional limitations on the The Board believes this strikes an whether any such individuals are permissible investors or the solicitation appropriate balance between providing anticipated investors. The commenter thereof. Two commenters requested that credit unions with a wide investor base stated that a wholesale exclusion the NCUA prohibit any federally and helping credit unions avoid unduly limits the marketability and insured credit union from investing in additional risks by offering functionality of Subordinated Debt the Subordinated Debt of other credit Subordinated Debt to less-sophisticated issuances by a credit union. unions. These commenters believed this investors. The Board continues to believe it is prohibition would remove risk from the inappropriate to permit an Issuing Further, in response to the commenter credit union system and offer a higher Credit Union’s board members, Senior that sought the ability to offer degree of protection for the NCUSIF. Executive Officers, or their Immediate Subordinated Debt to non-U.S. citizens, The Board notes that it discusses these Family Members to purchase or hold the Board, as noted in the proposed comments in the section of this Subordinated Debt Notes. The Board has rule, deliberately limited the issuance of document related to FCUs being both an concerns about potential conflicts of Subordinated Debt to only U.S. citizens. issuer and investor of Subordinated interest and fraud that could arise This decision is based, in large part, on Debt. Finally, one commenter believed because such individuals may exercise the additional complexities of issuing to that credit unions should be prohibited control over an Issuing Credit Union foreign persons, which could subject from soliciting or offering Subordinated and could have, or gain, access to Issuing Credit Unions to additional risk Debt at credit union branches. This material non-public information related that could ultimately be passed on to commenter stated that this practice to the Issuing Credit Union and/or the the NCUSIF. could introduce unnecessary reputation Subordinated Debt Notes. Despite risk to credit unions that solicit or offer Except as discussed above, the Board commenters’ assertions, the Board does Subordinated Debt to unsophisticated is finalizing the sections on investors, as not believe disclosures would be members. proposed. sufficient to address these concerns. For these reasons, the Board is retaining the 33 17 CFR 230.501(a). 34 85 FR 64234 (Oct. 9, 2020). prohibition on an Issuing Credit Union’s
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board members, Senior Executive $10,000 as a basis for selecting this to issue Subordinated Debt or Officers, or their Immediate Family amount as an overall minimum Grandfathered Secondary Capital. Members purchasing or holding denomination. In addition, other Approximately 12 commenters Subordinated Debt Notes in the final commenters stated that a $10,000 requested the NCUA reconsider the rule, without amendment. minimum denomination would benefit proposed prohibition on a credit union small LICUs while being more than being both an issuer and investor in 5. Subordinated Debt Note Default Subordinated Debt. The majority of Restriction sufficient to help a small LICU avoid prompt corrective action. these commenters stated that this type The proposed rule included a As noted previously, one commenter of investment scenario would not restriction on a Subordinated Debt Note sought a higher minimum denomination increase the magnitude of a loss to the including a term or condition that amount. This commenter urged the NCUSIF. These commenters contended would trigger an event of default based NCUA to adopt the OCC’s $250,000 that the loss may be spread across on an Issuing Credit Union’s default on minimum denomination to discourage multiple institutions, thereby other debts. Approximately five access by less financially sophisticated mutualizing the risk of a loss. Further, commenters opposed this restriction. investors. one commenter stated that ‘‘the One commenter suggested that the The Board has considered the investment of one credit union in the NCUA adopt a similar provision to the comments on minimum denomination [Subordinated Debt] of another could other banking agencies and use a certain of a Subordinated Debt note when benefit the credit union system overall threshold to determine when default on issued to a Natural Person Accredited because it is likely, or at least possible, other debts would render an Issuing Investor(s) and will retain the proposed that credit unions with higher net worth Credit Union in default on its minimum denomination of $100,000. As ratios will invest in those with lower net Subordinated Debt. Other commenters the Board stated in the proposed rule, worth ratios.’’ suggested that default clauses are Commenters in favor of this type of the minimum denomination provides standard in debt obligations to allow investment scenario stated that additional protection to Natural Person parties to restructure deals in the event concentration limits would serve as of material changes to the financial Accredited Investors that purchase protection against extensive loss condition of the issuer. Subordinated Debt Notes. The Board transfers, because the investing credit After considering these comments, the reiterates that such minimum unions would only stand to lose the Board is finalizing this restriction as denominations would not apply to amount invested, which would be proposed. While the Board recognizes Entity Accredited Investors because prudentially regulated by the NCUA. that other banking regulators may those purchasers are corporate entities Commenters also suggested that the impose a different requirement, the that, in the Board’s view, are generally NCUA add a line item to the Call Report Board believes this restriction is sufficiently sophisticated in financial to exclude all amounts invested in the prudent given the relative newness of matters such that the additional Subordinated Debt of other credit the issuance of Subordinated Debt. In protections afforded by minimum unions. These commenters contended conjunction with the other provisions in denominations are not necessary. The that, because this is primarily a this final rule, including interest Board will retain no minimum reporting issue, adding a new item to repayment and repudiation safe harbors, denomination requirements for the Call Report to reflect such the Board does not believe this Subordinated Debt Notes sold to an investments would properly reflect the restriction will cause an overly negative Entity Accredited Investor. loss-absorbing capacity of the credit impact on the sale of Subordinated Debt The Board also stated requiring larger union system. Further, these Notes. denomination notes will help ensure commenters stated that this would that the purchasers of the Subordinated address the NCUA’s concern where an 6. Minimum Denominations Debt Notes are financially sophisticated FCU issuing and investing in To provide additional protections to and have substantial net worth. The Subordinated Debt causes the Natural Person Accredited Investors that Board disagrees that this provision will appearance of increased net worth in purchase Subordinated Debt Notes, the overly impact most LICUs. Currently the credit union system, while the Board proposed that Subordinated Debt LICUs may only issue secondary capital actual loss-absorbing capacity of the Notes sold or transferred to a Natural to entities. This final rule retains LICUs’ system remains unchanged. Person Accredited Investor be made in ability to issue Subordinated Debt to an Conversely, two commenters minimum denominations of $100,000 or Entity Accredited Investor in any requested that the NCUA prohibit any $10,000, respectively. Approximately amount. The minimum denomination federally insured credit union from eight commenters addressed the issue of would only apply if a LICU sought to investing in the Subordinated Debt of minimum denominations. The vast issue Subordinated Debt to the newly other credit unions. These commenters majority of these commenters sought permissible category of Natural Person believed this prohibition would remove lower minimum denomination amounts. Accredited Investors. risk from the credit union system and offer a higher degree of protection of the One commenter, however, requested a 7. Prohibition on an FCU Issuing and NCUSIF. higher minimum denomination amount. Investing in Subordinated Debt Commenters that favored a lower While most these commenters believe minimum denomination amount The proposed rule included a an FCU should be able to be an issuer generally agreed that the proposed limit requirement that an FCU investing in and investor of Subordinated Debt, the of $100,000 was too high, particularly Subordinated Debt, Grandfathered Board continues to believe that an given the requirement that all investors Secondary Capital, or in loans and Issuing Credit union should not provide qualify as Accredited Investors. The obligations issued by privately insured Regulatory Capital to other natural majority of these commenters argued credit unions that are subordinate to a person credit unions. The Board that $10,000 was an appropriate private insurer must not be an Issuing continues to believe the potential to minimum denomination. Some of these Credit Union of Subordinated Debt or transmit losses between multiple credit commenters cited the NCUA’s proposed Grandfathered Secondary Capital, or unions that have both issued and resale minimum denomination of currently have approval from the NCUA invested in Subordinated Debt could
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increase the risk of credit union failure commenter did state, however, that longer receive regulatory credit without and risk to the NCUSIF. The Board also while they saw benefits to all credit prior regulatory approval. notes that adding a line in the Call unions issuing the same instrument, In addition, one commenter stated Report, as recommended by some they did not believe that a FISCU which that the NCUA should allow credit commenters, would not decrease the was permitted by state law to issue a unions to draft agreements that allow for potential risk of credit union failure due Subordinated Debt hybrid instrument the redemption of discounted capital so to loss transmission and would not should be restricted from doing so by they could count the remaining balance, decrease the risk to the NCUSIF. An the proposed rule. in whole, as capital. added line to the Call Report would As stated in the proposed rule, Another commenter stated that credit only provide information, and not risk FISCUs may not be restricted under unions should have the flexibility to mitigation. For these reasons, the Board applicable state law and regulation to structure Subordinated Debt agreements is retaining the prohibition of an FCU issuing only debt instruments. However, with the ability to refinance the debt if issuing and investing in Subordinated as administrator of the NCUSIF the the parties agreed to the concept of Debt in the final rule without Board continues to believe the refinancing within an outlined amendment. framework for the types of instruments placement agreement. 8. Federally Insured, State-Chartered that would qualify for Regulatory Finally, one commenter stated that Credit Unions Capital should be consistent for all inclusion of prepayment obligations and credit unions. The Board notes that such acceleration features is common in the The proposed rule required FISCUs to structure may also help FISCUs retain capital markets, even for deeply be subject to largely the same their tax exemption, as debt issuances subordinated instruments, and would be requirements related to the issuance of are likely not to be viewed as capital expected by many market participants. Subordinated Debt as FCUs. These stock issuances.35 This commenter went on to recommend include, but are not limited to, While the Board fully supports the the NCUA allow for these features— requirements related to the features and dual-chartering system and innovation particularly because the NCUA can structure of the instrument. among all credit unions, it notes that all protect the issuer and the NCUSIF by Approximately seven commenters LICUs—both federally and state- requiring an issuer to receive NCUA addressed the issue of FISCUs being chartered—are currently subject to the approval before making any payments. subject to the requirements of the same Secondary Capital (or Prompt The Board has reviewed the NCUA’s final Subordinated Debt rule. Corrective Action) requirements. comments relating to prepayment of All but one of these commenters Further, as articulated in the proposed Subordinated Debt and will retain the opposed the proposed rule as overly rule, FISCUs may only issue restrictive on FISCUs. provision of receiving prior approval in Commenters opposing this proposal Subordinated Debt if permitted under the proposed rule, with a 45-day stated that it would be in opposition to state law. The Board believes that timeframe for the NCUA to approve the the dual-chartering system and could requiring consistency among the types application. While the 45-day approval stifle innovation among FISCUs that of instruments issued for Regulatory timeframe is similar to the Secondary have authorities beyond those of FCUs. Capital treatment is in the best interest Capital Rule, the Board has eliminated One commenter stated that state of both the NCUSIF and FISCUs. As the provision for automatic approval if regulators are sufficiently equipped to such, the Board is finalizing, as a credit union is not notified of a supervise the innovation of FISCUs as it proposed, those provisions that apply to decision by the Appropriate develops. FISCUs without amendment. Supervision Office within the 45 days. One commenter also opposed the 9. Prepayment The Board believes the regulatory relief potential requirement for a FISCU to in the proposed rule, including the obtain an opinion that its issuance The proposed rule required a credit ability to prepay any portion of the would not subject the credit union to union to receive prior written approval Subordinated Debt and a streamlined state and Federal income taxes. This from the Appropriate Supervision Office application (compared to the Secondary commenter stated that it is not clear that before the credit union prepays Capital Rule), provide sufficient such an opinion would be needed under Subordinated Debt. Approximately five regulatory relief to offset any burden the proposed structure, because FISCUs commenters addressed the issue of imposed by removing the automatic would be held to the same standard as prepayment. The majority of these approval. However, the Board sees the FCUs. Further, this commenter, in light commenters sought a removal of the requirement for preapproval for of the cost of such an opinion, sought application process to prepay prepayment as an important way to assurance from the NCUA that the Subordinated Debt or a shortening of the confirm that a credit union has request for such an opinion would be timeframe for the NCUA to render a sufficient capital and liquidity to repay the exception rather than the norm. decision on such application. Subordinated Debt without unduly Finally, as noted previously, one These commenters stated that an increasing risk to the NCUSIF. commenter was not completely opposed application process was in opposition to the requirements contained in the OCC’s 10. Limits on Loans to Other Credit to FISCUs being subject to the same Unions requirements as FCUs. This commenter regulation and could put credit unions stated it was unlikely that any at a competitive disadvantage. These The proposed rule included a new instrument other than Subordinated commenters recommend allowing single-borrower limit for FCUs that Debt would be of much interest in the adequately capitalized credit unions to make loans to other credit unions. The marketplace. Further, this commenter prepay any portion of their single-borrower limit would be the argued that all credit unions issuing the Subordinated Debt for which they no greater of 15 percent of an FCU’s Net same form of instrument would help the Worth or $100,000, plus an additional market become more familiar with 35 State chartered credit unions without capital 10 percent of an FCU’s Net Worth if that stock, organized and operated for mutual purposes additional 10 percent is fully secured at Subordinated Debt, thereby increasing and without profit are exempt from Federal income investor interest and reducing the cost tax under Internal Revenue Code 501(c)(14)(A). 26 all times with a perfected security of issuing Subordinated Debt. This U.S.C. 501(c)(14)(A). interest by readily marketable collateral
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as defined in § 723.2.36 The limit would permits FCUs to purchase pooled issue securities.41 Conversely, nothing include Subordinated Debt and Subordinated Debt in the form of a in section 1757(9) or other provisions of Grandfathered Secondary Capital, and registered investment company or the FCU Act impose any specific would be in addition to the aggregate collective investment fund, as long as restrictions or limitations on the limit on such loans specified in the FCU the prospectus of the company or fund mechanisms FCUs may employ to Act. One commenter requested the restricts the investment portfolio to borrow; specific limiting language, NCUA not impose the proposed investments and investment examples or illustrative transactions or additional restrictions on loans to other transactions that are permissible for situations, or otherwise, do not exist to credit unions. FCUs.38 introduce specific restrictions or The Board notes that the proposed limitations. This stands in sharp IV. Legal Authority single borrower limit is consistent with contrast to many other subsections of the single borrower limit in the NCUA’s A. Authority To Issue Subordinated section 1757 of the FCU Act which, for commercial lending and MBL rule.37 Debt example, go into significant detail Because credit unions share many The borrowing authority granted to describing the types and terms of loans similarities with traditional corporate FCUs by the FCU Act, along with FCUs’ and extensions of credit that FCUs are 42 borrowers, the Board continues to statutory authority to enter into permitted to make, and define the believe that basing the proposed single- contracts and exercise incidental types of investments FCUs are permitted 43 borrower limit in this rule on the powers necessary or required to enable to make. In addition, the NCUA’s commercial and MBL rule limit is the FCUs to effectively carry on their regulations do not impose any specific appropriate. Furthermore, the 15 business, supports the legal analysis restrictions or limitations on the percent of Net Worth single-borrower that FCUs are authorized to incur mechanisms an FCU may employ to limit for FCUs that make loans to other indebtedness through the issuance of borrow, through the use of specific credit unions would generally limit debt securities of the type contemplated limiting language, examples, illustrative catastrophic losses to an FCU if the by this final rule. Section 1757(9) of the transactions, or situations. borrower defaults. FCU Act authorizes FCUs to borrow, in Overall, the lack of specific For these reasons, the Board is accordance with such rules and restrictions or limitations on the retaining the limits of an FCU making regulations as may be prescribed by the mechanisms that may be used and the loans to other credit unions in the final Board, from any source, in an aggregate specific authority granted in section rule without amendment. amount not exceeding, except as 1757(9) to borrow ‘‘from any source’’ indicate that borrowings need not be 11. Pooling authorized by the Board in carrying out the provisions of subchapter III, 50 per limited to the types of arrangements The Board did not include a provision centum of its paid-in and unimpaired typically entered into with banks, other for the pooling of Subordinated Debt capital and surplus: Provided, that any credit unions, and other financial issuances in the proposed rule. The Federal credit union may discount with institutions (namely, loans, lines of Board notes that pooling generally or sell to any Federal intermediate credit, and similar arrangements). involves combining more than one credit bank any eligible obligations up Further, the specific authority provided issuance in a standalone structure. to the amount of its paid-in and in section 1757(1) of the FCU Act that Approximately three commenters unimpaired capital.39 empowers FCUs to enter into advocated for the NCUA to explicitly Other than the provisions codified in contracts 44 further supports the permit pooling arrangements in any § 701.38 of the NCUA’s regulations, conclusion that FCUs have the power to final Subordinated Debt rule. These which address borrowed funds from enter into a variety of different commenters stated that allowing for natural persons, the FCU Act does not arrangements with respect to pools of Subordinated Debt could make provide any details regarding the borrowing.45 In addition, in the absence it easier and less expensive for credit mechanisms FCUs may use to borrow.40 of specific restrictions and limitations, unions to take issuances to the market. Further, section 201(b)(7) of the FCU the ‘‘incidental powers’’ granted to These commenters also believed that Act implicitly allows credit unions to FCUs in section 1757(17) of the FCU Act pools would reduce the risk of loss to give significant discretion to FCUs with investors by spreading loss across 38 12 CFR 703.14(c). respect to how borrowings are multiple credit unions rather than just 39 12 U.S.C. 1757(9). effectuated. one. Finally, one commenter argued that 40 In contrast, certain provisions of Title 12 of the Further support for the position that pooling would allow for larger issuances United States Code relating to the regulation of FCUs have the authority to issue debt other types of financial institutions expand on the that may be able to be rated, thereby institutions’ basic authority to borrow money, providing investors additional including through the issuance of securities. For 41 Id. section 1781(b)(7). confidence in the issuance. example, a Farm Credit System member is 42 Id. section 1757(5). While the Board is not including a specifically authorized to: 43 Id. section 1757(7); (15). specific provision on pooling in this • Borrow money from or loan to any other 44 Id. section 1757(1). final rule, the Board notes that there is institution of the System, borrow from any 45 Typical loan and line of credit arrangements commercial bank or other lending institution, issue entered into with banks, other credit unions, and no prohibition in this final rule or the its notes or other evidence of debt on its own other financial institutions are clearly contractual in proposed rule on Subordinated Debt individual responsibility and full faith and credit, nature. Debt securities are also generally viewed as being pooled and sold to investors. The and invest its excess funds in such sums, at such primarily contractual in nature, in large measure Board notes, however, that any such times, and on such terms and conditions as it may because of the terms of the securities themselves or determine. the terms incorporated into the securities through pool must comply with all of the • Issue its own notes, bonds, debentures, or other an indenture, an issuing and paying agent NCUA’s regulations and any applicable similar obligations, fully collateralized as provided agreement or similar agreement. This view of debt securities laws. in section 2154(c) by the notes, mortgages, and securities has been expressed in a wide variety of Finally, the Board notes that general security instruments it holds in the performance of court cases. See, e.g., Katz v. Oak Industries, Inc., investment authority in part 703 only its functions under this chapter in such sums, 508 A.2d 873, 878 (Del. Ch. 1986)) (‘‘Under our maturities, rates of interest, and terms and law—and the law generally—the relationship conditions of each issue as it may determine with between a corporation and the holders of its debt 36 12 CFR 723.2. approval of the Farm Credit Administration. securities, even convertible debt securities, is 37 Id. § 723.4(c). 12 U.S.C. 2153(a) (b). contractual in nature.’’).
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securities may be found in U.S. GAAP provides the Board broad discretion to with the PRA, the information treatment of items that fall in the design the risk-based net worth collection requirements included in this category of ‘‘borrowings.’’ Under U.S. standards.46 Specifically, the FCU Act final rule have been submitted to OMB GAAP, liabilities relating to borrowed provides, in relevant part: ‘‘The Board for approval under control number money are presented as indebtedness on shall design the risk-based net worth 3133–0207. an entity’s balance sheet, and the requirement to take account of any B. Executive Order 13132 interest paid is presented as interest material risks against which the net expense on its income statement worth ratio required for an insured Executive Order 13132 encourages whether the borrowings are related to credit union to be ‘‘Adequately independent regulatory agencies to typical loan transactions, advances Capitalized’’ may not provide adequate consider the impact of their actions on under lines of credit, or the issuance of protection.’’ 47 state and local interests. The NCUA, an debt securities. While the details of the In designing such a risk-based net independent regulatory agency as different types of indebtedness for worth standard, Congress did not defined in 44 U.S.C. 3502(5), voluntarily borrowed money are presented as restrict the types of instruments the complies with the executive order to separate line items in an entity’s balance Board may include in its calculation of adhere to fundamental federalism sheet and income statement, the risk-based net worth, except that such principles. treatment of ‘‘straight’’ indebtedness calculation must take account of This final rule does not have (indebtedness that does not have equity/ material risks that the Net Worth Ratio substantial direct effects on the states, residual ownership features, such as alone may not protect against. The on the relationship between the convertibility into shares) as liabilities, Board, as discussed in this preamble, is National Government and the states, or and interest paid thereon as interest proposing this rule to grant authority to on the distribution of power and expense, is essentially the same. In LICUs, Complex Credit Unions, and responsibilities among the various addition, while the details of the New Credit Unions to issue levels of government. The NCUA has different types of indebtedness for Subordinated Debt that will count as therefore determined that this final rule borrowed money are presented as Regulatory Capital. Based on the does not constitute a policy that has separate line items in the statement of requirements in this final rule, the federalism implications for purposes of cash flows, borrowings (whether in the Board believes Subordinated Debt will the Executive order. form of loans from financial institutions be an additional tool that accounts for C. Assessment of Federal Regulations or from the issuance of debt securities) material risks faced by credit unions and Policies on Families are all presented in the ‘‘cash flows from against which the Net Worth Ratio alone The NCUA has determined that this financing activities’’ section of the may not protect. rule will not affect family well-being statement. While the Board has broad discretion within the meaning of section 654 of the Throughout this final rule, the Board to create the risk-based net worth Treasury and General Government has included requirements to ensure standard, it does not have the authority Appropriations Act, 1999, Public Law that any Subordinated Debt issued by an to amend the statutory definition of Net 105–277, 112 Stat. 2681 (1998). Issuing Credit Union would be properly Worth. The statutory definition of Net characterized as debt in accordance Worth currently includes secondary D. Small Business Regulatory with U.S. GAAP. These requirements, capital issued by a LICU that is Enforcement Fairness Act include that the Subordinated Debt or uninsured and subordinate to all claims The Small Business Regulatory the Subordinated Debt Note, as against the LICU.48 As such, the Board Enforcement Fairness Act of 1996 (Pub. applicable, must: notes two points with respect to • L. 104–121) (SBREFA) generally Be in the form of a written, Subordinated Debt and Net Worth. First, provides for congressional review of unconditional promise to pay on a Subordinated Debt issued by a non- agency rules. A reporting requirement is specified date a sum certain in money LICU is not included in that credit triggered in instances where the NCUA in return for adequate consideration in union’s Net Worth or Net Worth Ratio. issues a final rule as defined by section money; Second, Subordinated Debt issued by a • 551 of the APA. An agency rule, in Have, at the time of issuance, a LICU after the effective date of this final addition to being subject to fixed stated maturity of at least five rule will be included in that credit congressional oversight, may also be years and not more than 20 years from union’s Net Worth and Net Worth Ratio. subject to a delayed effective date if the issuance. The stated maturity of the V. Regulatory Procedures rule is a ‘‘major rule.’’ The NCUA does Subordinated Debt Note may not reset not believe this rule is a ‘‘major rule’’ and may not contain an option to extend A. Paperwork Reduction Act within the meaning of the relevant the maturity; and sections of SBREFA. As required by • Be properly characterized as debt in The Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3501 et seq.) requires SBREFA, the NCUA will submit this accordance with U.S. GAAP. final rule to the Office of Management The Board notes that a FISCU’s legal that the Office of Management and and Budget for it to determine if the authority to issue Subordinated Debt Budget (OMB) approve all collections of final rule is a ‘‘major rule’’ for purposes derives from applicable state law and information by a Federal agency from of SBREFA. After the Office of regulation. For the Subordinated Debt the public before they can be Management and Budget makes it issued by a FISCU to qualify as implemented. Respondents are not determination, the NCUA will file all Regulatory Capital under this final rule, required to respond to any collection of appropriate reports. however, a FISCU must comply with all information unless it displays a valid of the provisions of this rule, including OMB control number. In accordance List of Subjects the FISCU-specific provisions. 46 As discussed previously, in 2015, the Board 12 CFR Part 701 B. Board Authority To Design RBC finalized a rule to replace the regulatory risk-based Advertising, Aged, Civil rights, Credit, Standards net worth requirement with an RBC requirement. This rule is effective January 1, 2022. Credit unions, Fair housing, Individuals In addition to credit unions’ authority 47 12 U.S.C. 1790d(d). with disabilities, Insurance, Marital to issue Subordinated Debt, the FCU Act 48 12 U.S.C. 1790d(o)(2). status discrimination, Mortgages,
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Religious discrimination, Reporting and and establish written policies for (B) Investment in Grandfathered recordkeeping requirements, Sex making such loans. The written policies Secondary Capital; discrimination, Signs and symbols, must, at a minimum, include the (C) Investment in loans or obligations Surety bonds. following: issued by a privately insured credit (1) How the Federal credit union will 12 CFR Part 702 union that are subordinate to the private manage the credit risk of loans to other insurer; and Credit unions, Reporting and credit unions; and (D) Loans or portion of loans made by recordkeeping requirements. (2) The limits on the aggregate the credit union that is secured by any principal amount of loans the Federal 12 CFR Part 709 Subordinated Debt, Grandfathered credit union can make to other credit Secondary Capital, or loans or Claims, Credit unions. unions. The policies must specify the obligations issued by a privately insured 12 CFR Part 741 limits on the aggregate principal amount credit union that are subordinate to the of loans the Federal credit union can Bank deposit insurance, Credit private insurer. make to all other credit unions and the (3) Indirect investment. A Federal unions, Reporting and recordkeeping aggregate principal amount of loans the requirements. credit union must determine its indirect Federal credit union can make to any exposure by calculating its proportional By the NCUA Board on December 17, 2020. single credit union; provided that any ownership share of each exposure held Melane Conyers-Ausbrooks, limits included in such policies do not in a fund, or similar indirect Secretary of the Board. exceed the limits in this section. investment. The Federal credit union’s (c) Investment in Subordinated Debt— For the reasons discussed in the exposure to the fund is equal to the (1) Eligibility. A Federal credit union preamble, NCUA amends 12 CFR parts exposure held by the fund as if they may only invest, directly or indirectly, 701, 702, 709, and 741 as follows: were held directly by the Federal credit in the Subordinated Debt of federally union, multiplied by the Federal credit insured, natural person credit unions, or PART 701—ORGANIZATION AND union’s proportional ownership share of in loans or obligations issued by a OPERATION OF FEDERAL CREDIT the fund. UNIONS privately insured credit union that are subordinate to the private insurer; ■ 3. In § 701.34: ■ 1. The authority citation for part 701 provided that the investing Federal ■ a. Revise the section heading; continues to read as follows: credit union: ■ b. Remove and reserve paragraph (b); Authority: 12 U.S.C. 1752(5), 1755, 1756, (i) Has at the time of the investment, and 1757, 1758, 1759, 1761a, 1761b, 1766, 1767, a capital classification of ‘‘well ■ c. Remove paragraphs (c) and (d) and 1782, 1784, 1785, 1786, 1787, 1788, 1789. capitalized,’’ as defined in part 702 of the appendix to § 701.34. Section 701.6 is also authorized by 15 U.S.C. this chapter; The revision reads as follows: 3717. Section 701.31 is also authorized by 15 (ii) Does not have any outstanding U.S.C. 1601 et seq.; 42 U.S.C. 1981 and 3601– Subordinated Debt or Grandfathered § 701.34 Designation of low income status. 3610. Section 701.35 is also authorized by 42 Secondary Capital, in each case with * * * * * U.S.C. 4311–4312. respect to which it was the Issuing ■ 4. Revise § 701.38 to read as follows: ■ 2. Add § 701.25 to read as follows: Credit Union (as defined in part 702 of this chapter); and § 701.38 Borrowed funds. § 701.25 Loans to credit unions. (iii) Is not eligible to issue (a) Federal credit unions may borrow (a) Limits. A Federal credit union may Subordinated Debt or Grandfathered funds from any source; provided that: make loans, including investments in Secondary Capital pursuant to an (1) The borrowing is evidenced by a Subordinated Debt, to other credit unexpired approval from the NCUA written contract, such as a signed unions, including corporate credit under subpart D of part 702 of this promissory note, that sets forth the unions and privately insured credit chapter. terms and conditions including, at a unions, subject to the following limits: (2) Aggregate limit—(i) Aggregate minimum, maturity, prepayment, (1) Aggregate limit. The aggregate limit. A Federal credit union’s aggregate interest rate, method of computation of principal amount of loans to other credit investment (direct or indirect) in the interest, and method of payment; and unions may not exceed 25 percent of the Subordinated Debt and Grandfathered (2) The written contract and any Federal credit union’s paid-in and Secondary Capital of any federally solicitation with respect to such unimpaired capital and surplus. insured, natural person credit union, borrowing contain clear and (2) Single borrower limit. The and in loans or obligations issued by a conspicuous language indicating that: aggregate principal amount of loans privately insured credit union that are made to any one credit union may not subordinate to the private insurer, may (i) The funds represent money exceed the greater of 15 percent of the not cause such aggregate investment to borrowed by the Federal credit union; Federal credit union’s net worth, as exceed, at the time of the investment, and defined in part 702 of this chapter, at the lesser of: (ii) The funds do not represent shares the time of the closing of the loan or (A) 25 percent of the investing Federal and, therefore, are not insured by the $100,000, plus an additional 10 percent credit union’s net worth at the time of National Credit Union Administration. of the Federal credit union’s net worth the investment; and (b) A Federal credit union is subject if the amount that exceeds the Federal (B) Any amount of net worth in excess to the maximum borrowing authority of credit union’s 15 percent general limit of seven percent (7%) of total assets. an aggregate amount not exceeding 50 is fully secured at all times with a (ii) Calculation of aggregate limit. The percent of its paid-in and unimpaired perfected security interest by readily amount subject to the limit in paragraph capital and surplus. Provided that any marketable collateral as defined in (c)(2)(i)(A) of this section is calculated Federal credit union may discount with § 723.2 of this chapter. at the time of investment, and is based or sell to any Federal intermediate (b) Approval and policies. A Federal on a Federal credit union’s aggregate credit bank any eligible obligations up credit union’s board of directors must outstanding: to the amount of its paid-in and approve all loans to other credit unions (A) Investment in Subordinated Debt; unimpaired capital (12 U.S.C. 1757(9)).
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PART 702—CAPITAL ADEQUACY § 702.104 Risk-based capital ratio. § 702.205 Prompt corrective action for * * * * * uncapitalized new credit unions. ■ 5. The authority citation for part 702 (b) * * * * * * * * continues to read as follows: (1) * * * (d) Discretionary liquidation of an Authority: 12 U.S.C. 1766(a), 1790d. (vii) The outstanding principal uncapitalized new credit union. In lieu of paragraph (c) of this section, an ■ 6. In § 702.2: amount of Subordinated Debt treated as ■ a. Add a sentence after the first Regulatory Capital in accordance with uncapitalized new credit union may be sentence of the introductory text; § 702.407 and the outstanding principal placed into liquidation on grounds of ■ b. Add a definition for ‘‘Grandfathered amount of Grandfathered Secondary insolvency pursuant to 12 U.S.C. Secondary Capital’’ in alphabetical Capital treated as Regulatory Capital in 1787(a)(1)(A). order; accordance with § 702.414; and § 702.206 [Amended] ■ c. Amend the definition of ‘‘Net * * * * * ■ worth’’ by revising the introductory text 11. Amend § 702.206 by removing (c) * * * paragraph (d) and redesignating and paragraphs (1) and (2); and (2) * * * ■ d. Add a definition for ‘‘Subordinated paragraphs (e) through (h) as (d) through (v) * * * Debt’’ in alphabetical order. (g), respectively. The additions and revisions read as (B) * * * (9) Natural person credit union § § 702.207 through 702.210 [Redesignated follows: as §§ 702.208 through 702.211] Subordinated Debt, Grandfathered § 702.2 Definitions. Secondary Capital, and loans or ■ 12. Redesignate §§ 702.207 through * * * All accounting terms not obligations issued by a privately insured 702.210 as §§ 702.208 through 702.211, otherwise defined in this section have credit union that are subordinate to the respectively. meanings consistent with the private insurer. ■ 13. Add new § 702.207 to read as commonly-accepted meanings under * * * * * follows: United States generally accepted ■ 8. Amend § 702.109 by: accounting principles (U.S. GAAP). § 702.207 Consideration of Subordinated ■ a. Redesignating paragraphs (a)(3) and Debt and Grandfathered Secondary Capital *** for new credit unions. Grandfathered Secondary Capital (4) as paragraphs (a)(4) and (5), means any secondary capital issued respectively; (a) Exception from prompt corrective ■ under 12 CFR 701.34 (revised as of b. Adding new paragraph (a)(3); and action for new credit unions. The January 1, 2021) or, in the case of a ■ c. Revising paragraph (b)(11). requirements of §§ 702.204 and 702.205 federally insured, state-chartered credit The addition and revision read as do not apply to a new credit union if, union, with § 741.204(c) of this chapter, follows: as of the applicable date of before January 1, 2022. (12 CFR 701.34 determination, each of the following § 702.109 Prompt corrective action for conditions is satisfied: was recodified as § 702.414 as of critically undercapitalized credit unions. January 1, 2022.) (1) The new credit union has (a) * * * outstanding Subordinated Debt or * * * * * (3) Restrictions on payments on Grandfathered Secondary Capital; Net worth means, with respect to any Subordinated Debt. Beginning 60 days (2) The Subordinated Debt or federally insured, natural person credit after the effective date of a federally Grandfathered Secondary Capital would union, as of any date of determination: insured, natural person credit union be treated as Regulatory Capital under (1) The retained earnings balance of being classified by the NCUA as subpart D of this part if the new credit the credit union at the most recent ‘‘critically undercapitalized’’, that credit union were a complex credit union or quarter end, as determined in union shall not pay principal of or a low income-designated credit union; accordance with U.S. GAAP, subject to interest on its Subordinated Debt, (3) The ratio of the new credit union’s paragraph (3) of this definition. net worth (including the amount of its (2) With respect to a low-income except that unpaid interest shall Subordinated Debt and Grandfathered designated credit union, the outstanding continue to accrue under the terms of Secondary Capital treated as Regulatory principal amount of Subordinated Debt the related Subordinated Debt Note (as Capital (as defined in subpart D of this treated as Regulatory Capital in defined in subpart D of this part), to the part)) to its total assets is at least seven accordance with § 702.407, and the extent permitted by law; percent (7%); and outstanding principal amount of * * * * * (b) * * * (4) The new credit union’s net worth Grandfathered Secondary Capital is increasing in a manner consistent (11) Restrictions on payments on treated as Regulatory Capital in with the new credit union’s approved Grandfathered Secondary Capital. accordance with § 702.414, in each case initial business plan or RBP. Beginning 60 days after the effective that is: (b) Consideration of Subordinated (i) Uninsured; and date of classification of a credit union as Debt and Grandfathered Secondary (ii) Subordinate to all other claims ‘‘critically undercapitalized’’, prohibit Capital in evaluating an RBP. The against the credit union, including payments of principal, dividends or NCUA shall, in evaluating an RBP under claims of creditors, shareholders, and interest on the credit union’s this subpart, consider a new credit the National Credit Union Share Grandfathered Secondary Capital (as union’s aggregate outstanding principal Insurance Fund. defined in subpart D of this part), except amount of Subordinated Debt and that unpaid dividends or interest shall * * * * * Grandfathered Secondary Capital. continue to accrue under the terms of Subordinated Debt has the meaning as (c) Prompt corrective action based on the account to the extent permitted by provided in subpart D of this part. other supervisory criteria—(1) law; * * * * * Application of prompt corrective action ■ 7. In § 702.104, revise paragraph * * * * * to an exempt new credit union. The (b)(1)(vii) and add paragraph ■ 10. Revise § 702.205(d) to read as NCUA Board may apply prompt (c)(2)(v)(B)(9) to read as follows: follows: corrective action to a new credit union
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that is otherwise exempt under 702.408 Preapproval to issue Subordinated Accredited Investor means a Natural paragraph (a) of this section in the Debt. Person Accredited Investor or an Entity following circumstances: 702.409 Preapproval for federally insured, Accredited Investor, as applicable. (i) Unsafe or unsound condition. The state-chartered credit unions to issue Appropriate Supervision Office NCUA Board has determined, after Subordinated Debt. means, with respect to any credit union, providing the new credit union with 702.410 Interest payments on Subordinated the Regional Office or Office of National Debt. written notice and opportunity for Examinations and Supervision that is hearing pursuant to § 747.2003 of this 702.411 Prior written approval to prepay Subordinated Debt. responsible for supervision of that credit chapter, that the new credit union is in 702.412 Effect of a merger or dissolution on union. an unsafe or unsound condition; or the treatment of Subordinated Debt as Complex credit union has the same (ii) Unsafe or unsound practice. The Regulatory Capital. meaning as in subpart A of this part. NCUA Board has determined, after 702.413 Repudiation safe harbor. Entity Accredited Investor means an providing the new credit union with 702.414 Regulations governing entity that, at the time of offering and written notice and opportunity for Grandfathered Secondary Capital. closing of the issuance and sale of hearing pursuant to § 747.2003 of this Appendix A to Subpart D of Part 702— Subordinated Debt to that entity, meets chapter, that the new credit union has Disclosure and Acknowledgement Form the requirements of 17 CFR 230.501(a). not corrected a material unsafe or Grandfathered Secondary Capital Subpart D—Subordinated Debt, unsound practice of which it was, or means any secondary capital issued Grandfathered Secondary Capital, and should have been, aware. under 12 CFR 701.34 (revised as of (2) Non-delegation. The NCUA Board Regulatory Capital January 1, 2021) or, in the case of a may not delegate its authority under federally insured, state-chartered credit paragraph (c) of this section. § 702.401 Purpose and scope. union, with § 741.204(c) of this chapter, (3) Consultation with state officials. (a) Subordinated Debt. This subpart The NCUA Board shall consult and seek before January 1, 2022. (12 CFR 701.34 sets forth the requirements applicable to was recodified as § 702.414 as of to work cooperatively with the all Subordinated Debt issued by a appropriate state official before taking January 1, 2022.) federally insured, natural person credit Immediate Family Member means action under paragraph (c) of this union, including the NCUA’s review section and shall promptly notify the spouse, child, sibling, parent, and approval of that credit union’s grandparent, or grandchild (including appropriate state official of its decision application to issue or prepay to take action under paragraph (c) of this stepparents, stepchildren, stepsiblings, Subordinated Debt. This subpart shall and adoptive relationships). section. apply to a federally insured, state- (d) Discretionary liquidation. Issuing Credit Union means, for chartered credit union only to the extent purposes of this subpart, a credit union Notwithstanding paragraph (a) of this that such federally insured, state- section, the NCUA may place a new that has issued, or is in the process of chartered credit union is permitted by issuing, Subordinated Debt or credit union into liquidation pursuant applicable state law to issue debt to 12 U.S.C. 1787(a)(3)(A), provided that Grandfathered Secondary Capital in instruments of the type described in this accordance with the requirements of the new credit union’s ratio under subpart. To the extent that such state paragraph (a)(3) of this section is, as of this subpart. law is more restrictive than this subpart the applicable date of determination, Low-income designated credit union with respect to the issuance of such debt below six percent (6%) and the new (LICU) is a credit union designated as instruments, that state law shall apply. credit union has no reasonable prospect having low-income status in accordance Any secondary capital, as that term is of becoming ‘‘adequately capitalized’’ with § 701.34 of this chapter. used in the Federal Credit Union Act, under § 702.202. Natural Person Accredited Investor (e) Restrictions on payments on issued after January 1, 2022, is means a natural person who, at the time Subordinated Debt. Beginning 60 days Subordinated Debt and subject to the of offering and closing of the issuance after the effective date of a new credit requirements of this subpart. and sale of Subordinated Debt to that union being classified by the NCUA as (b) Grandfathered Secondary Capital. person, meets the requirements of 17 ‘‘uncapitalized’’, the new credit union Any secondary capital issued under CFR 230.501(a); provided that, for shall not pay principal of or interest on § 701.34 of this chapter before January 1, purposes of purchasing or holding any its Subordinated Debt, except that 2022, is governed by § 702.414. Subordinated Debt Note, this term shall unpaid interest shall continue to accrue Grandfathered Secondary Capital will not include any board member or Senior under the terms of the related no longer be treated as Regulatory Executive Officer of the Issuing Credit Subordinated Debt Note, to the extent Capital as of January 1, 2042. Union or any Immediate Family permitted by law. Member of any board member or Senior § 702.402 Definitions. ■ 14. Add subpart D to read as follows: Executive Officer of the Issuing Credit Subpart D—Subordinated Debt, To the extent they differ, the Union. Grandfathered Secondary Capital, and definitions in this section apply only to Net worth has the same meaning as in Regulatory Capital Subordinated Debt and not to § 702.2. Sec. Grandfathered Secondary Capital. Net worth ratio has the same meaning 702.401 Purpose and scope. (Definitions applicable to Grandfathered as in § 702.2. 702.402 Definitions. Secondary Capital are in § 702.414.) All New credit union has the same 702.403 Eligibility. other terms in this subpart and not meaning as in § 702.201. 702.404 Requirements of the Subordinated expressly defined in this section have Offering Document means the Debt and Subordinated Debt Note. the meanings assigned to them document(s) required by § 702.408, 702.405 Disclosures. elsewhere in this part. For ease of use, including any term sheet, offering 702.406 Requirements related to the offer, sale, and issuance of Subordinated Debt certain key terms are included in this memorandum, private placement Notes. section using cross citations to other memorandum, offering circular, or other 702.407 Discounting of amount treated as sections of this part where those terms similar document used to offer and sell Regulatory Capital. are defined. Subordinated Debt Notes.
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Pro Forma Financial Statements Subordinated Debt Note means the (3) Be subordinate to all other claims means projected financial statements written contract(s) evidencing the in liquidation under § 709.5(b) of this that show the effects of proposed Subordinated Debt. chapter, and have the same payout transactions as if they actually occurred priority as all other outstanding § 702.403 Eligibility. in a variety of plausible scenarios, Subordinated Debt and Grandfathered including both optimistic and (a) Subject to receiving approval Secondary Capital; pessimistic assumptions, over under § 702.408 or § 702.409, a credit (4) Be properly characterized as debt measurement horizons that align with union may issue Subordinated Debt in accordance with U.S. GAAP; the credit union’s expected activities. only if, at the time of such issuance, the (5) Be unsecured, including, without credit union is: limitation, prohibiting the establishment Qualified Counsel means an attorney (1) A complex credit union with a of any legally enforceable claim against licensed to practice law in the relevant capital classification of at least funds earmarked for payment of the jurisdiction(s) who has expertise in the ‘‘undercapitalized,’’ as defined in Subordinated Debt through: areas of Federal and state securities laws § 702.102; and debt transactions similar to those (2) A LICU; (i) A compensating balance or any described in this subpart. (3) Able to demonstrate to the other funds or assets subject to a legal Regulatory Capital means: satisfaction of the NCUA that it right of offset, as defined by applicable (1) With respect to an Issuing Credit reasonably anticipates becoming either a state law; or Union that is a LICU and not a complex complex credit union meeting the (ii) A sinking fund, such as a fund credit union, the aggregate outstanding requirements of paragraph (a)(1) of this formed by periodically setting aside principal amount of Subordinated Debt section or a LICU within 24 months money for the gradual repayment of the and, until January 1, 2042, after issuance of the Subordinated Debt Subordinated Debt; Grandfathered Secondary Capital that is Notes; or (6) Be applied by the Issuing Credit included in the credit union’s net worth (4) A new credit union with Retained Union at the end of each of its fiscal ratio; Earnings equal to or greater than one years (or more frequently as determined (2) With respect to an Issuing Credit percent (1%) of assets. by the Issuing Credit Union) in which Union that is a complex credit union (b) At the time of issuance of any the Subordinated Debt remains and not a LICU, the aggregate Subordinated Debt, an Issuing Credit outstanding to cover any deficit in outstanding principal amount of Union may not have any investments, Retained Earnings on a pro rata basis Subordinated Debt that is included in direct or indirect, in Subordinated Debt among all holders of the Subordinated the credit union’s RBC Ratio; or Grandfathered Secondary Capital (or Debt and Grandfathered Secondary any interest therein) of another credit Capital of the Issuing Credit Union; it (3) With respect to an Issuing Credit union. If a credit union acquires being understood that any amounts Union that is both a LICU and a Subordinated Debt or Grandfathered applied to cover a deficit in Retained complex credit union, the aggregate Secondary Capital in a merger or other Earnings shall no longer be considered outstanding principal amount of consolidation, the Issuing Credit Union due and payable to the holder(s) of the Subordinated Debt and, until January 1, may still issue Subordinated Debt, but it Subordinated Debt or Grandfathered 2042, Grandfathered Secondary Capital may not invest (directly or indirectly) in Secondary Capital; that is included in its net worth ratio the Subordinated Debt or Grandfathered (7) Except as provided in §§ 702.411 and in its RBC Ratio; and Secondary Capital of any other credit and 702.412(c), be payable in full by the (4) With respect to a new credit union while any Subordinated Debt Issuing Credit Union or its successor or union, the aggregate outstanding Notes issued by the Issuing Credit assignee only at maturity; principal amount of Subordinated Debt Union remain outstanding. (8) Disclose any prepayment penalties and, until January 1, 2042, (c) If the Issuing Credit Union is a or restrictions on prepayment; Grandfathered Secondary Capital that is complex credit union that is not also a (9) Be offered, issued, and sold only considered pursuant to § 702.207. LICU, the aggregate outstanding to Entity Accredited Investors or Natural Retained Earnings has a meaning that principal amount of all Subordinated Person Accredited Investors, in is consistent with the one for this term Debt issued by that Issuing Credit Union accordance § 702.406; and under United States GAAP. may not exceed 100 percent of its net (10) Be re-offered, reissued, and Risk-based capital (RBC) ratio has the worth, as determined at the time of each resold only to an Entity Accredited same meaning as in § 702.2. issuance of Subordinated Debt. Investor (if the initial offering, issuance, Senior Executive Officer means a § 702.404 Requirements of the and sale was solely made to Entity credit union’s chief executive officer Subordinated Debt and Subordinated Debt Accredited Investors) or any Accredited (for example, president or treasurer/ Note. Investor (if the initial offering, issuance, manager), any assistant chief executive (a) Requirements. At a minimum, the and sale involved one or more Natural officer (e.g., any assistant president, any Subordinated Debt or the Subordinated Person Accredited Investors). vice president or any assistant treasurer/ Debt Note, as applicable, must: (b) Restrictions. The Subordinated manager) and the chief financial officer (1) Be in the form of a written, Debt or the Subordinated Debt Note, as (controller). The term ‘‘Senior Executive unconditional promise to pay on a applicable, must not: Officer’’ also includes employees and specified date a sum certain in money (1) Be structured or identified as a contractors of an entity, such as a in return for adequate consideration in share, share account, or any other consulting firm, hired to perform the money; instrument in the Issuing Credit Union functions of positions covered by the (2) Have, at the time of issuance, a that is insured by the National Credit term Senior Executive Officer. fixed stated maturity of at least five Union Administration; Subordinated Debt means an Issuing years and not more than 20 years from (2) Include any express or implied Credit Union’s borrowing that meets the issuance. The stated maturity of the terms that make it senior to any other requirements of this subpart, including Subordinated Debt Note may not reset Subordinated Debt issued under this all obligations and contracts related to and may not contain an option to extend subpart or Grandfathered Secondary such borrowing. the maturity; Capital;
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(3) Cause the Issuing Credit Union to the Subordinated Debt Note, after giving RATA BASED ON THE AGGREGATE exceed the borrowing limit in § 741.2 of effect to the applicable cure period AMOUNT OF SUBORDINATED DEBT this chapter or, for federally insured, described in paragraph (d) of this OWED BY THE ISSUING CREDIT UNION TO state-chartered credit unions, any more section; and EACH SUCH HOLDER AT THE TIME OF (5) Provides for default of the APPLICATION. restrictive state borrowing limit; • THIS OBLIGATION CAN ONLY BE (4) Provide the holder thereof with Subordinated Debt as the result of an act REPAID AT MATURITY OR IN any management or voting rights in the or omission of any third party, ACCORDANCE WITH 12 CFR 702.411. THIS Issuing Credit Union; including but not limited to a credit OBLIGATION MAY ALSO BE REPAID IN (5) Be eligible to be pledged or union service organization, as defined ACCORDANCE WITH 12 CFR PART 710 IF provided by the investor as security for in § 712.1(d) of this chapter. THE ISSUING CREDIT UNION a loan from, or other obligation owing (d) Default covenants. A Subordinated VOLUNTARILY LIQUIDATES. to, the Issuing Credit Union; Debt Note that includes default • THE NOTE EVIDENCING THIS (6) Include any express or implied covenants must provide the Issuing OBLIGATION HAS NOT BEEN AND WILL term, condition, or agreement that Credit Union with a reasonable cure NOT BE REGISTERED UNDER THE would require the Issuing Credit Union period of not less than 30 calendar days. SECURITIES ACT OF 1933, AS AMENDED (e) Minimum denominations of (THE ‘‘SECURITIES ACT’’), OR THE to prepay or accelerate payment of SECURITIES LAWS OF ANY STATE OF THE principal of or interest on the issuances to Natural Person Accredited UNITED STATES OR ANY OTHER Subordinated Debt prior to maturity, Investors. An Issuing Credit Union may JURISDICTION, AND MAY BE ISSUED, including investor put options; only issue Subordinated Debt Notes to SOLD, PLEDGED, OR OTHERWISE (7) Include an express or implied Natural Person Accredited Investors in TRANSFERRED ONLY (A) AS PERMITTED term, condition, or agreement that minimum denominations of $100,000, IN THE NOTE AND TO A PERSON WHOM would trigger an event of default based and cannot exchange any such THE ISSUER OR SELLER REASONABLY on the Issuing Credit Union’s default on Subordinated Debt Notes after the initial BELIEVES IS [AN ‘‘ACCREDITED other debts; issuance or any subsequent resale for INVESTOR’’ (AS DEFINED IN 12 CFR (8) Include any condition, restriction, Subordinated Debt Notes of the Issuing 702.402)] [AN ‘‘ENTITY ACCREDITED INVESTOR’’ (AS DEFINED IN 12 CFR or requirement based on the Issuing Credit Union in denominations less 702.402)] (THAT IS NOT A MEMBER OF Credit Union’s credit quality or other than $10,000. Each such Subordinated THE ISSUING CREDIT UNION’S BOARD, A credit-sensitive feature; or Debt Note, if issued in certificate form, SENIOR EXECUTIVE OFFICER OF THE (9) Require the Issuing Credit Union must include a legend disclosing that it ISSUING CREDIT UNION (AS THAT TERM to make any form of payment other than cannot be exchanged for Subordinated IS DEFINED IN 12 CFR 702.402), OR ANY in cash. Debt Notes of the Issuing Credit Union IMMEDIATE FAMILY MEMBER OF ANY (c) Negative covenants. A in denominations less than $100,000, SUCH BOARD MEMBER OR SENIOR Subordinated Debt Note must not and Subordinated Debt Notes issued in EXECUTIVE OFFICER), PURCHASING FOR include any provision or covenant that book-entry or other uncertificated form ITS OWN ACCOUNT, (1) TO WHOM NOTICE IS GIVEN THAT THE SALE, unduly restricts or otherwise acts to shall include appropriate instructions unduly limit the authority of the Issuing PLEDGE, OR OTHER TRANSFER IS BEING prohibiting the exchange of such MADE IN RELIANCE ON THE EXEMPTION Credit Union or interferes with the Subordinated Debt Notes for FROM SECURITIES ACT REGISTRATION NCUA’s supervision of the Issuing Subordinated Debt Notes of the Issuing PROVIDED BY SECTION 3(a)(5) OF THE Credit Union. This includes, but is not Credit Union in denominations that SECURITIES ACT, OR (2) IN ACCORDANCE limited to, a provision or covenant that: would violate the foregoing restrictions. WITH ANOTHER EXEMPTION FROM THE (1) Requires the Issuing Credit Union REGISTRATION REQUIREMENTS OF THE to maintain a minimum amount of § 702.405 Disclosures. SECURITIES ACT (SUBJECT TO THE Retained Earnings or other metric, such (a) An Issuing Credit Union must DELIVERY OF SUCH CERTIFICATIONS, as a minimum net worth ratio or disclose the following language clearly, LEGAL OPINIONS, OR OTHER minimum asset, liquidity, or loan ratios; in all capital letters, on the face of a INFORMATION AS THE ISSUING CREDIT (2) Unreasonably restricts the Issuing UNION MAY REASONABLY REQUIRE TO Subordinated Debt Note: CONFIRM THAT SUCH SALE, PLEDGE, OR Credit Union’s ability to raise capital • THIS OBLIGATION IS NOT A SHARE IN TRANSFER IS BEING MADE PURSUANT TO through the issuance of additional THE ISSUING CREDIT UNION AND IS NOT AN EXEMPTION FROM, OR IN A Subordinated Debt; INSURED BY THE NATIONAL CREDIT TRANSACTION NOT SUBJECT TO, THE (3) Provides for default of the UNION ADMINISTRATION. REGISTRATION REQUIREMENTS OF THE Subordinated Debt as a result of the • THIS OBLIGATION IS UNSECURED SECURITIES ACT), (B) IN COMPLIANCE Issuing Credit Union’s compliance with AND SUBORDINATE TO ALL CLAIMS WITH THE CERTIFICATION AND OTHER any law, regulation, or supervisory AGAINST THE ISSUING CREDIT UNION REQUIREMENTS SPECIFIED IN THE directive from the NCUA or, if AND IS INELIGIBLE AS COLLATERAL FOR [INDENTURE OR OTHER DOCUMENT A LOAN BY THE ISSUING CREDIT UNION. applicable, the state supervisory PURSUANT TO WHICH THE • AMOUNTS OTHERWISE PAYABLE SUBORDINATED DEBT NOTE IS ISSUED] authority; HEREUNDER MAY BE REDUCED IN ORDER REFERRED TO HEREIN, AND (C) IN (4) Provides for default of the TO COVER ANY DEFICIT IN RETAINED ACCORDANCE WITH ANY APPLICABLE Subordinated Debt as the result of a EARNINGS OF THE ISSUING CREDIT SECURITIES LAWS OF ANY STATE OF THE change in the ownership, management, UNION. AMOUNTS APPLIED TO COVER UNITED STATES AND ANY OTHER or organizational structure or charter of ANY SUCH DEFICIT WILL RESULT IN A APPLICATION JURISDICTION. the Issuing Credit Union; provided that, CORRESPONDING REDUCTION OF THE following such change, the Issuing PRINCIPAL AMOUNT OF ALL (b) An Issuing Credit Union must also Credit Union or the resulting institution, OUTSTANDING SUBORDINATED DEBT clearly and accurately disclose in the ISSUED BY THE ISSUING CREDIT UNION, Subordinated Debt Note: as applicable: AND WILL NO LONGER BE DUE AND (i) Agrees to perform all of the PAYABLE TO THE HOLDERS OF SUCH (1) The payout priority and level of obligations, terms, and conditions of the SUBORDINATED DEBT. AMOUNTS subordination, as described in § 709.5(b) Subordinated Debt; and APPLIED TO COVER ANY SUCH DEFICIT of this chapter, that would apply in the (ii) At the time of such change, is not MUST BE APPLIED AMONG ALL HOLDERS event of the involuntary liquidation of in material default of any provision of OF SUCH SUBORDINATED DEBT PRO the Issuing Credit Union;
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(2) A general description of the (c) Accredited Investors. An Issuing benefit plan has total assets in excess of NCUA’s regulatory authority that Credit Union may only offer, issue, and $5,000,000 or, if a self-directed plan, with includes, at a minimum: sell Subordinated Debt to Accredited investment decisions made solely by persons (i) If the Issuing Credit Union is Investors, and the terms of any that are accredited investors; [ ] A private business development company as defined in ‘‘undercapitalized’’ or, if the Issuing Subordinated Debt Note must include section 202(a)(22) of the Investment Advisers Credit Union is a New Credit Union, the restrictions in § 702.404(a)(10); Act of 1940; ‘‘moderately capitalized’’ (each as provided that no Subordinated Debt [ ] Any organization described in section defined in this part), and fails to submit Note may be issued, sold, resold, 501(c)(3) of the Internal Revenue Code, an acceptable net worth restoration pledged, or otherwise transferred to a corporation, Massachusetts or similar plan, capital restoration plan, or revised member of the board of the Issuing business trust, partnership, or limited business plan, as applicable, or Credit Union, any Senior Executive liability company, not formed for the specific materially fails to implement such a Officer of the Issuing Credit Union, or purpose of acquiring the securities offered, with total assets in excess of $5,000,000; [ ] plan that was approved by the NCUA, any Immediate Family Member of any Any natural person whose individual net the Issuing Credit Union may be subject such board member or Senior Executive worth, or joint net worth with that person’s to all of the additional restrictions and Officer. Prior to the offer of any spouse or spousal equivalent, exceeds requirements applicable to a Subordinated Debt Note, the Issuing $1,000,000; (excluding the value of the ‘‘significantly undercapitalized’’ credit Credit Union must receive a signed, person’s primary residence). For the union or, if the Issuing Credit Union is unambiguous certification from any purposes of calculating joint net worth in this a new credit union, a ‘‘marginally potential investor of a Subordinated paragraph: joint net worth can be the capitalized’’ new credit union; and Debt Note. The certification must be in aggregate net worth of the investor and spouse or spousal equivalent; assets need not (ii) Beginning 60 days after the substantially the following form: effective date of an Issuing Credit Union be held jointly to be included in the calculation; being classified as ‘‘critically CERTIFICATE OF ACCREDITED INVESTOR STATUS [ ] Any natural person who had an undercapitalized’’ or, in the case of a individual income in excess of $200,000 in new credit union, ‘‘uncapitalized,’’ the Except as may be indicated by the undersigned below, the undersigned is an each of the two most recent years or joint Issuing Credit Union shall not pay accredited investor, as that term is defined in income with that person’s spouse or spousal principal of or interest on its Regulation D under the Securities Act of equivalent in excess of $300,000 in each of Subordinated Debt, until reauthorized to 1933, as amended (the ‘‘Act’’). In order to those years and has a reasonable expectation do so by the NCUA; provided, however, demonstrate the basis on which it is of reaching the same income level in the that unpaid interest shall continue to representing its status as an accredited current year; [ ] A trust with total assets in accrue under the terms of the investor, the undersigned has checked one of excess of $5,000,000, not formed for the specific purpose of acquiring the securities Subordinated Debt Note, to the extent the boxes below indicating that the undersigned is: offered, whose purchase is directed by a permitted by law; and person who has such knowledge and (3) The risk factors associated with [ ] Any bank as defined in section 3(a)(2) of the Act, or any savings and loan experience in financial and business matters the NCUA’s or, if applicable, the state association or other institution as defined in that he or she is capable of evaluating the supervisory authority’s, authority to section 3(a)(5)(A) of the Act whether acting merits and risks of the prospective conserve or liquidate a credit union in its individual or fiduciary capacity; any investment; under the Federal Credit Union Act broker or dealer registered pursuant to [ ] An entity in which all of the equity (FCU Act) or applicable state law. section 15 of the Securities Exchange Act of holders are accredited investors by virtue of 1934; any investment adviser registered their meeting one or more of the above § 702.406 Requirements related to the pursuant to section 203 of the Investment standards; offer, sale, and issuance of Subordinated Advisers Act of 1940 or registered pursuant [ ] Any entity, of a type not listed in Debt Notes. to the laws of a state; any investment adviser paragraph (a)(1), (2), (3), (7), or (8) of 17 CFR (a) Offering Document. An Issuing relying on the exemption from registering 230.501(a), not formed for the specific Credit Union or person acting on behalf with the Securities and Exchange purpose of acquiring the securities offered, Commission under section 203(l) or (m) of owning investments in excess of $5,000,000; of or at the direction of any Issuing [ ] Any natural person holding in good Credit Union may only issue and sell the Investment Advisers Act of 1940; any insurance company as defined in section standing one or more professional Subordinated Debt Notes if, a reasonable 2(a)(13) of the Act; any investment company certifications or designations or credentials time prior to the issuance and sale of registered under the Investment Company from an accredited educational institution any Subordinated Debt Notes, each Act of 1940 or a business development that the Securities and Exchange Commission purchaser of a Subordinated Debt Note company as defined in section 2(a)(48) of that has designated as qualifying an individual for receives an Offering Document that act; any Small Business Investment Company accredited investor status; meets the requirements of § 702.408(e) licensed by the U.S. Small Business [ ] Any natural person who is a and such further material information, if Administration under section 301(c) or (d) of ‘‘knowledgeable employee,’’ as defined in rule 3c5(a)(4) under the Investment Company any, as may be necessary to make the the Small Business Investment Act of 1958; any Rural Business Investment Company as Act of 1940 (17 CFR 270.3c-5(a)(4)), of the required disclosures in that Offering defined in section 384A of the Consolidated issuer of the securities being offered or sold Document, in the light of the Farm and Rural Development Act; any plan where the issuer would be an investment circumstances under which they are established and maintained by a state, its company, as defined in section 3 of such act, made, not misleading. political subdivisions, or any agency or but for the exclusion provided by either (b) Territorial limitations. An Issuing instrumentality of a state or its political section 3(c)(1) or section 3(c)(7) of such act; Credit Union may only offer, issue, and subdivisions, for the benefit of its employees, [ ] Any ‘‘family office,’’ as defined in rule sell Subordinated Debt Notes in the if such plan has total assets in excess of 202(a)(11)(G)-1 under the Investment United States of America (including any $5,000,000; any employee benefit plan Advisers Act of 1940 (17 CFR one of the states thereof and the District within the meaning of the Employee 275.202(a)(11)(G)-1): (i) With assets under Retirement Income Security Act of 1974 if management in excess of $5,000,000, (ii) That of Columbia), its territories, and its the investment decision is made by a plan is not formed for the specific purpose of possessions. This limitation includes a fiduciary, as defined in section 3(21) of such acquiring the securities offered, and (iii) prohibition on non-U.S. investors act, which is either a bank, savings and loan Whose prospective investment is directed by holding or purchasing Subordinated association, insurance company, or registered a person who has such knowledge and Debt Notes. investment adviser, or if the employee experience in financial and business matters
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that such family office is capable of Email Address counter of any Issuing Credit Union, or evaluating the merits and risks of the (d) Use of trustees. If using a trustee by comparable persons at comparable prospective investment; and locations; [ ] Any ‘‘family client,’’ as defined in rule in connection with the offer, issuance, and sale of Subordinated Debt Notes, (5) Permissible issuing personnel. In 202(a)(11)(G)-1 under the Investment connection with an offering or sale of Advisers Act of 1940 (17 CFR the trustee must meet the requirements 275.202(a)(11)(G)-1)), of a family office set forth in the Trust Indenture Act of Subordinated Debt Notes (whether or meeting the requirements in paragraph 1939, as amended, including not conducted at offices of the Issuing (a)(12) of § 275.202(a)(11)(G)-1 and whose requirements for qualification set forth Credit Union), such activity may be prospective investment in the issuer is in section 310 thereof; any rules related conducted only by regular, full-time directed by such family office pursuant to to such act in 17 CFR parts 260, 261, employees of the Issuing Credit Union paragraph (a)(12)(iii) of § 275.202(a)(11)(G)-1. and 269; and any applicable state law. or by securities personnel who are The undersigned understands that [NAME (e) Offers, issuances, and sales of subject to supervision by a registered OF ISSUING CREDIT UNION] (the ‘‘Credit broker-dealer, which securities Union’’) is required to verify the Subordinated Debt Notes. Offers undersigned’s accredited investor status AND issuances, and sales of Subordinated personnel may be employees of the ELECTS TO DO ONE OF THE FOLLOWING: Debt Notes are required to be made in Issuing Credit Union’s affiliated CUSO [ ] Allow the Credit Union’s representative accordance with the following that is assisting the Issuing Credit Union to review the undersigned’s tax returns for requirements: with the offer, issuance, and sale of the the two most recently completed years and (1) Application to offer, issue, and sell Subordinated Debt Notes; provide a written representation of the at offices of Issuing Credit Union. If the (6) Issuance practices, undersigned’s reasonable expectation of Issuing Credit Union intends to offer advertisements, and other literature reaching the income level necessary to and sell Subordinated Debt Notes at one used in connection with the offer and qualify as an accredited investor during the sale of Subordinated Debt Notes. In current year; or more of its offices, the Issuing Credit [ ] Allow the Credit Union’s representative Union must first apply in writing to the connection with an offering or sale of to: (1) obtain a written representation from Appropriate Supervision Office Subordinated Debt Notes (whether or the undersigned that states that all liabilities indicating that it intends to offer, issue, not conducted at offices of the Issuing necessary to make a determination of net and sell Subordinated Debt Notes at one Credit Union), issuance practices, worth have been disclosed; and (2) review or more of its offices. The application advertisements, and other issuance one or more of the following types of must include, at a minimum, the literature used in connection with offers documentation dated within the past three physical locations of such offices and a and issuances of Subordinated Debt months: bank statements, brokerage description of how the Issuing Credit Notes by Issuing Credit Unions or any statements, tax assessments, appraisal reports Union will comply with the affiliated CUSOs assisting with the offer as to assets, or a consumer report from a nationwide consumer reporting agency; requirements of this paragraph (e); and issuance of such Subordinated Debt [ ] Provide the Credit Union with a written (2) Decision on application. Within 60 Notes shall be subject to the confirmation from one of the following calendar days (which may be extended requirements of this subpart; and persons or entities that such person or entity by the Appropriate Supervision Office) (7) Office of an Issuing Credit Union. has taken reasonable steps to verify that the after the date of receipt of a complete For purposes of this paragraph (e), an undersigned is an accredited investor within application described in paragraph ‘‘office’’ of an Issuing Credit Union the prior three months and has determined (e)(1) of this section, the Appropriate means any premises used by the Issuing that the undersigned is an accredited Supervision Office will provide the Credit Union that is identified to the investor: Issuing Credit Union with a written public through advertising or signage • A registered broker-dealer; • determination on its application to using the Issuing Credit Union’s name, An investment adviser registered with conduct offering and sales activity from the Securities Exchange Commission; trade name, or logo. • A licensed attorney who is in good its office(s). Any denial of an Issuing (f) Securities laws. An Issuing Credit standing under the laws of the jurisdictions Credit Union’s application under this Union must comply with all applicable in which such attorney is admitted to section will include the reasons for such Federal and state securities laws. practice law; or denial; (g) Resales. All resales of • A certified public accountant who is (3) Commissions, bonuses, or Subordinated Debt Notes issued by an duly registered and in good standing under comparable payments. In connection Issuing Credit Union by holders of such the laws of the place of such accountant’s with any offering and sale of Subordinated Debt Notes must be made residence or principal office. Subordinated Debt Notes (whether or pursuant to 17 CFR 230.144 (Rule 144 IN WITNESS WHEREOF, the undersigned not conducted at offices of the Issuing under the Securities Act of 1933, as has executed this Certificate of Accredited Credit Union), an Issuing Credit Union amended) (other than paragraphs (c), (e), Investor Status effective as of shall not pay, directly or indirectly, any llllllllllllll, 20lll. (f), (g) and (h) of such Rule), 17 CFR commissions, bonuses, or comparable 230.144A (Rule 144A under the lllllllllllllllllllll payments to any employee of the Securities Act of 1933, as amended), or Name of Investor Issuing Credit Union or any affiliated another exemption from registration lllllllllllllllllllll Credit Union Service Organizations under the Securities Act of 1933, as [Name of Authorized Representative (CUSOs) assisting with the offer, amended. Subordinated Debt Notes lllllllllllllllllllll issuance, and sale of such Subordinated must include the restrictions on resales Title of Authorized Representative] Debt Notes, or to any other person in in § 702.404(a)(10). lllllllllllllllllllll connection with the offer, issuance, and Signature sale of Subordinated Debt Notes; except § 702.407 Discounting of amount treated lllllllllllllllllllll that compensation and commissions as Regulatory Capital. Address consistent with industry norms may be The amount of outstanding lllllllllllllllllllll paid to securities personnel of registered Subordinated Debt that may be treated Address broker-dealers as otherwise permitted as Regulatory Capital shall reduce by 20 lllllllllllllllllllll by applicable law; percent per annum of the initial Phone Number (4) Issuances by tellers. No offers or aggregate principal amount of the lllllllllllllllllllll sales may be made by tellers at the teller applicable Subordinated Debt (as
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reduced by prepayments or amounts § 702.404(a)(6)), as required by the extinguished to cover a deficit under following schedule:
TABLE 1 TO § 720.407
Balance treated as Remaining maturity regulatory capital %
Four to less than five years ...... 80 Three to less than four years ...... 60 Two to less than three years ...... 40 One to less than two years ...... 20 Less than one year ...... 0
§ 702.408 Preapproval to issue Subordinated Debt in conformity with (11) A schedule that provides an Subordinated Debt. those plans; itemized statement of all expenses (a) Scope. This section requires all (6) An analysis of how the credit incurred or expected to be incurred by credit unions to receive written union will provide for liquidity to repay the credit union in connection with the preapproval from the NCUA before the Subordinated Debt upon maturity of offer, issuance, and sale of the issuing Subordinated Debt. Procedures the Subordinated Debt; Subordinated Debt Notes to which the related specifically to applications from (7) Pro Forma Financial Statements initial application relates, other than federally insured, state-chartered credit (balance sheet, income statement, and underwriting discounts and unions are contained in § 702.409. A statement of cash flows), including any commissions or similar compensation credit union seeking approval to offer off-balance sheet items, covering at least payable to broker-dealers acting as and sell Subordinated Debt at one or two years. Analytical support for key placement agents. The schedule must more of its offices must also follow the assumptions and key assumption include, as applicable, fees and application procedures in § 702.406(e). changes must be included in the expenses of counsel, auditors, any All approvals under this section are application. Key assumptions include, trustee or issuing and paying agent or subject to the expiration limits specified but are not limited to, interest rate, any transfer agent, and printing and in paragraph (k) of this section. liquidity, and credit loss scenarios; engraving expenses. If the amounts of (b) Initial application to issue (8) A statement indicating how the any items are not known at the time of Subordinated Debt. A credit union credit union will use the proceeds from filing of the initial application, the requesting approval to issue the issuance and sale of the credit union must provide estimates, Subordinated Debt must first submit an Subordinated Debt; clearly identified as such; application to the Appropriate (9) A statement identifying the (12) In the case of a new credit union, Supervision Office that, at a minimum, governing law specified in the a statement that it is subject to either an includes: Subordinated Debt Notes and the approved initial business plan or (1) A statement indicating how the documents pursuant to which the revised business plan, as required by credit union qualifies to issue Subordinated Debt Notes will be issued; this part, and how the proposed Subordinated Debt given the eligibility (10) A draft written policy governing Subordinated Debt would conform with requirements of § 702.403 with the offer, and issuance, and sale of the the approved plan. Unless the new additional supporting analysis if Subordinated Debt, developed in credit union has a LICU designation anticipating to meet the requirements of consultation with Qualified Counsel, pursuant to § 701.34 of this chapter, it a LICU or complex credit union within which, at a minimum, addresses: must also include a plan for replacing 24 months after issuance of the (i) Compliance with all applicable the Subordinated Debt with Retained Subordinated Debt; Federal and state securities laws and Earnings before the credit union ceases (2) The maximum aggregate principal regulations; to meet the definition of new credit amount of Subordinated Debt Notes and (ii) Compliance with applicable union in § 702.2; the maximum number of discrete securities laws related to (13) A statement describing any issuances of Subordinated Debt Notes communications with investors and investments the credit union has in the that the credit union is proposing to potential investors, including, but not Subordinated Debt of any other credit issue within the period allowed under limited to: Who may communicate with union, and the manner in which the paragraph (k) of this section; investors and potential investors; what credit union acquired such (3) The estimated number of investors information may be provided to Subordinated Debt, including through a and the status of such investors (Natural investors and potential investors; merger or other consolidation; Person Accredited Investors and/or ongoing disclosures to investors; who (14) A signature page signed by the Entity Accredited Investors) to whom will review and ensure the accuracy of credit union’s principal executive the credit union intends to offer and sell the information provided to investors officer, principal financial officer or the Subordinated Debt Notes; and potential investors; and to whom principal accounting officer, and a (4) A statement identifying any information will be provided; majority ‘of the members of its board of outstanding Subordinated Debt or (iii) Compliance with any laws that directors. Amendments to an initial Grandfathered Secondary Capital may require registration of credit union application must be signed and filed previously issued by the credit union; employees as broker-dealers; and with the NCUA in the same manner as (5) A copy of the credit union’s (iv) Any use of outside agents, the initial application; and strategic plan, business plan, and including broker-dealers, to assist in the (15) Any additional information budget, and an explanation of how the marketing and issuance of Subordinated requested in writing by the Appropriate credit union intends to use the Debt, and any limitations on such use; Supervision Office.
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(c) Decision on initial application. NCUA within two business days after comply with the following legibility Upon receiving an initial application their respective first use. requirements: submitted under this paragraph (c) and (e) Requirements for all Offering (i) Information in the Offering any additional information requested in Documents—(1) Minimum information Document must be presented in a clear, writing by the Appropriate Supervision required in an Offering Document. An concise, and understandable manner, Office, the Appropriate Supervision Offering Document must, at a minimum, incorporating plain English principles. Office will evaluate, at a minimum, the include the following information: The body of all printed Offering credit union’s compliance with this (i) The name of the Issuing Credit Documents shall be in type at least as subpart and all other NCUA regulations Union and the address of its principal large and as legible as 10-point type. To in this chapter, the credit union’s ability executive office; the extent necessary for convenient to manage and safely offer, issue, and (ii) The initial principal amount of the presentation, however, financial sell the proposed Subordinated Debt, Subordinated Debt being issued; statements and other tabular data, the safety and soundness of the (iii) The name(s) of any underwriter(s) including tabular data in notes, may be proposed use of the Subordinated Debt, or placement agents being used for the in type at least as large and as legible the overall condition of the credit issuance; as 8-point type. Repetition of union, and any other factors the (iv) A description of the material risk information should be avoided. Cross- Appropriate Supervision Office factors associated with the purchase of referencing of information within the determines are relevant. the Subordinated Debt Notes, including document is permitted; and (1) Written determination. Within 60 any special or distinctive characteristics (ii) Where an Offering Document is calendar days (which may be extended of the Issuing Credit Union’s business, distributed through an electronic by the Appropriate Supervision Office) field of membership, or geographic medium, the Issuing Credit Union may after the date of receipt of a complete location that are reasonably likely to satisfy legibility requirements application, the Appropriate have a material impact on the Issuing applicable to printed documents, such Supervision Office will provide the Credit Union’s future financial as paper size, type size and font, bold- credit union with a written performance; face type, italics and red ink, by determination on its application. In the (v) The disclosures described in presenting all required information in a case of a full or partial denial, or § 702.405 and such additional material format readily communicated to offerees conditional approval under paragraph information, if any, as may be necessary and, where indicated, in a manner (c)(2) of this section, the written to make the required disclosures, in the reasonably calculated to draw the decision will state the reasons for the light of the circumstances under which attention of offerees to specific denial or conditional approval. they are made, not misleading; information. (2) Conditions of approval. Any (vi) Provisions related to the interest, (f) Offering Documents approved for approval granted by an Appropriate principal, payment, maturity, and use in offerings of Subordinated Debt to Supervision Office under this section prepayment of the Subordinated Debt any Natural Person Accredited may include one or more of the Notes; Investors—(1) Filing of a Draft Offering following conditions: (vii) All material affirmative and Document. An Issuing Credit Union that (i) Approval of an aggregate principal negative covenants that may or will be intends to offer Subordinated Debt amount of Subordinated Debt that is included in the Subordinated Debt Note, Notes to any Natural Person Accredited lower than what the credit union including, but not limited to, the Investors must file a draft Offering requested; covenants discussed in this subpart; Document with the NCUA and have (ii) Any applicable minimum level of (viii) Any legends required by such draft Offering Document declared net worth that the credit union must applicable state law; and ‘‘approved for use’’ by the NCUA before maintain while the Subordinated Debt (ix) The following legend, displayed its first use. Notes are outstanding; on the cover page in prominent type or (i) Request for additional information, (iii) Approved uses of the in another manner: clarifications, or amendments. Prior to Subordinated Debt; and declaring any Offering Document (iv) Any other limitations or None of the Securities and Exchange ‘‘approved for use,’’ the NCUA may ask conditions the Appropriate Supervision Commission (the ‘‘SEC’’), any state securities questions, request clarifications, or Office deems necessary to protect the commission or the National Credit Union Administration has passed upon the merits direct the Issuing Credit Union to NCUSIF. of, or given its approval of, the purchase of amend certain sections of the draft (d) Offering Document. Following any Subordinated Debt Notes offered or the Offering Document. The NCUA will receipt of written approval of its initial terms of the offering, or passed on the make any such requests in writing. application, an Issuing Credit Union accuracy or completeness of any Offering (ii) Written determination. Within 60 must prepare an Offering Document for Document or other materials used in calendar days (which may be extended each issuance of Subordinated Debt connection with the offer, issuance, and sale by the NCUA) after the date of receipt Notes. In addition, as required in of the Subordinated Debt Notes. Any of each of the initial filing and each paragraph (f) of this section, an Issuing representation to the contrary is unlawful. filing of additional information, Credit Union that intends to offer These Subordinated Debt Notes have not clarifications, or amendments requested been registered under the Securities Act of Subordinated Debt Notes to any Natural 1933, as amended (the ‘‘Act’’) and are being by the NCUA under paragraph (f)(1)(i) of Person Accredited Investors must have offered and sold to [an Entity Accredited this section, the NCUA will provide the the related Offering Document declared Investor][an Accredited Investor] (as defined Issuing Credit Union with a written ‘‘approved for use’’ by the NCUA before in 12 CFR 702.402) pursuant to an exemption determination on the applicable filing. its first use. At a reasonable time prior from registration under the Act; however, The written determination will include to any issuance and sale of neither the SEC nor the NCUA has made an any requests for additional information, Subordinated Debt Notes, the Issuing independent determination that the offer and clarifications, or amendments, or a Credit Union must provide each issuance of the Subordinated Debt Notes are statement that the Offering Document is investor with an Offering Document as exempt from registration. ‘‘approved for use.’’ described in this section. All Offering (2) Legibility requirements. An Issuing (2) Filing of a final Offering Documents must be filed with the Credit Union’s Offering Document must Document. At such time as the NCUA
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declares an Offering Document Subordinated Debt for a specified approval. An Issuing Credit Union may ‘‘approved for use’’ in accordance with period; and/or file a written extension request with the paragraph (f)(1)(ii) of this section, the (ii) Determining not to treat the Appropriate Supervision Office. The Issuing Credit Union may then use that Subordinated Debt as Regulatory Issuing Credit Union must demonstrate Offering Document in the offer and sale Capital. good cause for any extension(s), and of the Subordinated Debt Notes. The (i) Notification. Not later than 10 must file the request at least 30 calendar Issuing Credit Union must file a copy of business days after the closing of a days before the expiration of the each of its Offering Documents with the Subordinated Debt Note issuance and applicable period specified in paragraph NCUA within two business days after sale, the Issuing Credit Union must (k) of this section or any extensions their respective first use. submit to the Appropriate Supervision granted under paragraph (k) of this (g) Filing of an Offering Document for Office: section. In any such written application, offerings of Subordinated Debt (1) A copy of each executed the Issuing Credit Union must address exclusively to Entity Accredited Subordinated Debt Note; whether any such extension poses any Investors. An Issuing Credit Union that (2) A copy of each executed purchase material securities law implications. is offering Subordinated Debt agreement, if any; (l) Filing requirements and inspection exclusively to Entity Accredited (3) Any indenture or other transaction of documents. (1) Except as otherwise Investors is not required to have its document used to issue the provided in this section, all initial Offering Document ‘‘approved for use’’ Subordinated Debt Notes; applications, Offering Documents, by the NCUA under paragraph (f) of this (4) Copies of signed certificates of amendments, notices, or other section before using it to offer and sell Accredited Investor status, in a form documents must be filed with the the Subordinated Debt Notes. As similar to that in § 702.406(c), from all NCUA electronically. The NCUA will described in this section, however, the investors; publish on its website, http:// (5) All documentation provided to Issuing Credit Union must file a copy of www.NCUA.gov, the web address for investors related to the offer and sale of each of its Offering Documents with the electronic filings. Documents may be the Subordinated Debt Note (other than NCUA within two business days after signed electronically using the signature any Offering Document that was their respective first use. provision in 17 CFR 230.402 (Rule 402 (h) Material changes to any initial previously filed with the NCUA); and under the Securities Act of 1933, as application or Offering Document—(1) (6) Any other material documents amended). Reapproval of initial application. If any governing the issuance, sale or material event arises or material change administration of the Subordinated Debt (2) Provided the Issuing Credit Union in fact occurs after the approval of the Notes. filing the document has complied with initial application by the NCUA, but (j) Resubmissions. An Issuing Credit all requirements regarding the filing in prior to the completion of the offer and Union that receives any adverse written this section, the date of filing of the sale of the related Subordinated Debt determination from the Appropriate document is the date the NCUA receives Notes, then no person shall offer or sell Supervision Office with respect to the the filing. An electronic filing that is Subordinated Debt Notes to any other approval of its initial application or any submitted on a business day by direct person until an amendment to the amendment thereto or, if applicable, the transmission commencing on or before Offering Document reflecting the event approval for use of an Offering 5:30 p.m. Eastern Standard or Daylight or change has been filed with and Document or any amendment thereto, Savings Time, whichever is then approved by the NCUA. may cure any reasons noted in the currently in effect, would be deemed (2) Reapproval of Offering Document. written determination and refile under received by the NCUA on the same If an Offering Document must be the requirements of this section. This business day. An electronic filing that is approved for use under paragraph (f) of paragraph (j) does not prohibit an submitted by direct transmission this section, and any event arises or Issuing Credit Union from appealing an commencing after 5:30 p.m. Eastern change in fact occurs after the approval Appropriate Supervision Office’s Standard or Daylight Savings Time, for use of any Offering Document, and decision under subpart A of part 746 of whichever is then currently in effect, or that event or change in fact, this chapter. on a Saturday, Sunday, or Federal individually or in the aggregate, results (k) Expiration of authority to issue holiday, would be deemed received by in the Offering Document containing Subordinated Debt. (1) Any approvals to the NCUA on the next business day. If any untrue statement of material fact, or issue Subordinated Debt Notes under an electronic filer in good faith attempts omitting to state a material fact this section expire two years from the to file a document with the NCUA in a necessary in order to make statements later of the date the Issuing Credit timely manner, but the filing is delayed made in the Offering Document not Union receives: due to technical difficulties beyond the misleading in light of the circumstances (i) Approval of its initial application, electronic filer’s control, the electronic under which they were made, then no if the Issuing Credit Union is offering filer may request that the NCUA adjust person shall offer or sell Subordinated Subordinated Notes exclusively to the filing date of such document. The Debt Notes to any other person until an Entity Accredited Investors; or NCUA may grant the request if it amendment reflecting the event or (ii) The initial approval for use of its appears that such adjustment is change has been filed with and Offering Document, if the Issuing Credit appropriate and consistent with the ‘‘approved for use’’ by the NCUA. Union is offering Subordinated Debt public interest and the protection of (3) Failure to request reapproval. If an Notes to any Natural Person Accredited investors. Issuing Credit Union fails to comply Investors. (3) If an Issuing Credit Union with paragraph (h)(1) or (2) of this (2) Failure to issue all or part of the experiences unanticipated technical section, the NCUA may, at its maximum aggregate principal amount of difficulties preventing the timely discretion, exercise the full range of Subordinated Debt Notes approved in preparation and submission of an administrative remedies available under the initial application process within electronic filing, the Issuing Credit the FCU Act, including: the applicable period specified in Union may, upon notice to the (i) Prohibiting the Issuing Credit paragraph (k) of this section will result Appropriate Supervision Office, file the Union from issuing any additional in the expiration of the NCUA’s subject filing in paper format no later
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than one business day after the date on minimum of two years, that shows the § 702.411 Prior written approval to prepay which the filing was to be made. impact of the federally insured, state- Subordinated Debt. (4) Any filing of amendments or chartered credit union being subject to (a) Prepayment option. An Issuing supplements to an Offering Document Federal income tax. Credit Union may include in the terms must include two copies, one of which (c) If the Appropriate Supervision of its Subordinated Debt an option that must be marked to indicate clearly and Office requires additional information allows the Issuing Credit Union to precisely, by underlining or in some from a federally insured, state-chartered prepay the Subordinated Debt in whole other conspicuous manner, the changes credit union under paragraph (b) of this or in part prior to maturity, provided, made from the previously filed Offering section, the federally insured, state- however, that the Issuing Credit Union Document. chartered credit union may determine, is required to: (m) Filing fees. (1) The NCUA may in its sole discretion, whether the (1) Clearly disclose the requirements require filing fees to accompany certain information it provides is in the form of this section in the Subordinated Debt filings made under this subpart before it described in paragraph (b)(1) or (2) of Note; and will accept those filings. If the NCUA this section. (2) Obtain approval under paragraph requires the aforementioned filing fee, (b) of this section before exercising a the NCUA will publish an applicable fee § 702.410 Interest payments on prepayment option. schedule on its website at http:// Subordinated Debt. (b) Prepayment application. Before an www.NCUA.gov. (a) Requirements for interest Issuing Credit Union can, in whole or in (2) Filing fees must be paid to the payments. An Issuing Credit Union is part, prepay Subordinated Debt prior to NCUA by electronic transfer. prohibited from paying interest on maturity, the Issuing Credit Union must Subordinated Debt in accordance with first submit to the Appropriate § 702.409 Preapproval for federally § 702.109. Supervision Office an application that insured, state-chartered credit unions to (b) Accrual of interest. must include, at a minimum, the issue Subordinated Debt. Notwithstanding nonpayment pursuant information required in paragraph (d) of (a) A federally insured, state-chartered to paragraph (a) of this section, interest this section. credit union is required to submit the on the Subordinated Debt may continue (c) Federally insured, state-chartered information required under § 702.408 to accrue according to terms provided credit union prepayment applications. and, if applicable, paragraph (b) of this for in the Subordinated Debt Note and Before a federally insured, state- section to both the Appropriate as otherwise permitted in this subpart. chartered credit union may submit an Supervision Office and its state (c) Interest safe harbor. Except as application for prepayment to the supervisory authority. The Appropriate otherwise provided in this section, the Appropriate Supervision Office, it must Supervision Office will issue decisions NCUA shall not impose a discretionary obtain written approval from its state approving a federally insured, state- supervisory action that requires the supervisory authority to prepay the chartered credit union’s application Issuing Credit Union to suspend interest Subordinated Debt it is proposing to only after obtaining the concurrence of with respect to the Subordinated Debt if: prepay. A federally insured, state- the federally insured, state-chartered (1) The issuance and sale of the chartered credit union must provide credit union’s state supervisory Subordinated Debt complies with all evidence of such approval as part of its authority. The NCUA will notify a requirements of this subpart; application to the Appropriate federally insured, state-chartered credit (2) The Subordinated Debt is issued Supervision Office. union’s state supervisory authority and sold in an arms-length, bona fide (d) Application contents. An Issuing before issuing a decision to ‘‘approve for transaction; Credit Union’s application to prepay use’’ a federally insured, state-chartered (3) The Subordinated Debt was issued Subordinated Debt must include, at a credit union’s Offering Document and and sold in the ordinary course of minimum, the following: any amendments thereto, under business, with no intent to hinder, (1) A copy of the Subordinated Debt § 702.408, if applicable. delay, or defraud the Issuing Credit Note and any agreement(s) reflecting the (b) If the Appropriate Supervision Union or its creditors; and terms and conditions of the Office has reason to believe that an (4) The Subordinated Debt was issued Subordinated Debt the Issuing Credit issuance by a federally insured, state- and sold for adequate consideration in Union is proposing to prepay; chartered credit union under this U.S. dollars. (2) An explanation why the Issuing subpart could subject that federally (d) Authority, rights, and powers of Credit Union believes it still would hold insured, state-chartered credit union to the NCUA and the NCUA Board. This an amount of capital commensurate Federal income taxation, the section does not waive, limit, or with its risk exposure notwithstanding Appropriate Supervision Office may otherwise affect the authority, rights, or the proposed prepayment or a require the federally insured, state- powers of the NCUA or the NCUA description of the replacement chartered credit union to provide: Board in any capacity, including the Subordinated Debt, including the (1) A written legal opinion, NCUA Board as conservator or amount of such instrument, and the satisfactory to the NCUA, from liquidating agent, to take any action or time frame for issuance, the Issuing nationally recognized tax counsel or to exercise any power not specifically Credit Union is proposing to use to letter from the Internal Revenue Service mentioned, including but not limited to replace the prepaid Subordinated Debt; indicating whether the proposed any rights, powers, or remedies of the and Subordinated Debt would be classified NCUA Board as conservator or (3) Any additional information the as capital stock for Federal income tax liquidating agent regarding transfers or Appropriate Supervision Office purposes and, if so, describing any other conveyances taken in requests. material impact of Federal income taxes contemplation of the Issuing Credit (e) Decision on application to prepay. on the federally insured, state-chartered Union’s insolvency or with the intent to (1) Within 45 calendar days (which may credit union’s financial condition; or hinder, delay, or defraud the Issuing be extended by the Appropriate (2) A Pro Forma Financial Statement Credit Union or the creditors of such Supervision Office) after the date of (balance sheet, income statement, and Issuing Credit Union, or that is receipt of a complete application, the statement of cash flows), covering a fraudulent under applicable law. Appropriate Supervision Office will
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provide the Issuing Credit Union with a unless the resulting credit union meets (a) Secondary capital is subject to the written determination on its the eligibility requirements of § 702.403. following conditions: application. In the case of a full or (c) In the event of a voluntary (1) Secondary capital plan. A credit partial denial, including a conditional dissolution of an Issuing Credit Union union that has Grandfathered Secondary approval under paragraph (e)(2) of this that has outstanding Subordinated Debt, Capital under this section must have a section, the written decision will state the Subordinated Debt may be repaid in written, NCUA-approved ‘‘Secondary the reasons for the denial or conditional full according to 12 CFR part 710, Capital Plan’’ that, at a minimum: approval. subject to the requirements in § 702.411. (i) States the maximum aggregate (2) The written determination from amount of uninsured secondary capital the Appropriate Supervision Office may § 702.413 Repudiation safe harbor. the LICU plans to accept; approve the Issuing Credit Union’s (a) The NCUA Board as conservator (ii) Identifies the purpose for which request, approve the Issuing Credit for a federally insured credit union, or the aggregate secondary capital will be Union’s request with conditions, or its lawfully appointed designee, shall used, and how it will be repaid; deny the Issuing Credit Union’s request. not exercise its repudiation authorities (iii) Explains how the LICU will In the case of a denial or conditional under 12 U.S.C. 1787(c) with respect to provide for liquidity to repay secondary approval, the Appropriate Supervision Subordinated Debt if: capital upon maturity of the accounts; Office will provide the Issuing Credit (1) The issuance and sale of the (iv) Demonstrates that the planned Union with a description of why it Subordinated Debt complies with all uses of secondary capital conform to the denied the Issuing Credit Union’s requirements of this subpart; LICU’s strategic plan, business plan, and request or imposed conditions on the (2) The Subordinated Debt was issued budget; and approval of such request. and sold in an arms-length, bona fide (v) Includes supporting pro forma (3) If the Issuing Credit Union transaction; financial statements, including any off- proposes or the NCUA requires the (3) The Subordinated Debt was issued balance sheet items, covering a Issuing Credit Union to replace the and sold in the ordinary course of minimum of the next two years. Subordinated Debt, the Issuing Credit business, with no intent to hinder, (2) Issuances not completed before Union must receive affirmative approval delay, or defraud the Issuing Credit January 1, 2022. Any issuances of under this subpart and must issue and Union or its creditors; and secondary capital not completed by sell the replacement instrument prior to (4) The Subordinated Debt was issued January 1, 2022, are, as of January 1, or concurrently with prepaying the and sold for adequate consideration in 2022, subject to the requirements Subordinated Debt. U.S. dollars. applicable to Subordinated Debt (f) Resubmissions. An Issuing Credit (b) This section does not authorize the discussed elsewhere in this subpart. Union that receives an adverse written attachment of any involuntary lien upon (3) Nonshare account. The secondary determination on its application to the property of either the NCUA Board capital account is established as an prepay, in whole or in part, may cure as conservator or liquidating agent or its uninsured secondary capital account or any deficiencies noted in the lawfully appointed designee. Nor does other form of non-share account. Appropriate Supervision Office’s this section waive, limit, or otherwise (4) Minimum maturity. The maturity written determination and reapply affect the authority, rights, or powers of of the secondary capital account is a under the requirements of this section. the NCUA or the NCUA Board in any minimum of five years. (5) Uninsured account. The secondary This paragraph (f) does not prohibit an capacity to take any action or to exercise capital account is not insured by the Issuing Credit Union from appealing the any power not specifically mentioned, National Credit Union Share Insurance Appropriate Supervision Office’s including but not limited to any rights, Fund or any governmental or private adverse decision under subpart A of powers, or remedies of the NCUA Board entity. part 746 of this chapter. as conservator or liquidating agent (or its lawfully appointed designee) (6) Subordination of claim. The § 702.412 Effect of a merger or dissolution regarding transfers or other conveyances secondary capital account investor’s on the treatment of Subordinated Debt as taken in contemplation of the Issuing claim against the LICU is subordinate to Regulatory Capital. Credit Union’s insolvency or with the all other claims including those of (a) In the event of a merger of an intent to hinder, delay or defraud the shareholders, creditors and the National Issuing Credit Union into or the Issuing Credit Union or the creditors of Credit Union Share Insurance Fund. assumption of its Subordinated Debt by such Issuing Credit Union, or that is (7) Availability to cover losses. Funds another federally insured credit union, fraudulent under applicable law. deposited into a secondary capital the Subordinated Debt will be treated as account, including interest accrued and Regulatory Capital only to the extent § 702.414 Regulations governing paid into the secondary capital account, that the resulting credit union is either Grandfathered Secondary Capital. are available to cover operating losses a LICU, a complex credit union, and/or This section recodifies the realized by the LICU that exceed its net a new credit union. requirements from 12 CFR 701.34(b), (c), available reserves (exclusive of (b) In the event the resulting credit and (d) that were in effect as of January secondary capital and allowance union is not a LICU, a complex credit 1, 2021, with minor modifications. The accounts for loan and lease losses), and union, or a new credit union, the terminology used in this section is to the extent funds are so used, the LICU Subordinated Debt of the merging credit specific to this section. All secondary must not restore or replenish the union can either be: capital issued under 12 CFR 701.34 account under any circumstances. The (1) If permitted by the terms of the (revised as of January 1, 2021) before LICU may, in lieu of paying interest into Subordinated Debt Note, repaid by the January 1, 2022, or, in the case of a the secondary capital account, pay resulting credit union upon approval by federally insured, state-chartered credit accrued interest directly to the investor the NCUA under § 702.411; or union, § 741.204(c) of this chapter, that or into a separate account from which (2) Continue to be held by the is referred to elsewhere in this subpart the secondary capital investor may resulting credit union as Subordinated as ‘‘Grandfathered Secondary Capital,’’ make withdrawals. Losses must be Debt, but will not be classified as is subject to the requirements set forth distributed pro-rata among all secondary Regulatory Capital under this subpart, in this section. capital accounts held by the LICU at the
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time the losses are realized. In instances (11) Disclosure and (c) Redemption of secondary capital. where a LICU accepted secondary acknowledgement. An authorized With the written approval of NCUA, capital from the United States representative of the LICU and of the secondary capital that is not recognized Government or any of its subdivisions secondary capital account investor each as net worth under paragraph (b)(2) of under the Community Development must have executed a ‘‘Disclosure and this section (‘‘discounted secondary Capital Initiative of 2010 (‘‘CDCI Acknowledgment’’ as set forth in the capital’’ re-categorized as Subordinated secondary capital’’) and matching funds appendix to this subpart at the time of Debt) may be redeemed according to the were required under the Initiative and entering into the account agreement. remaining maturity schedule in are on deposit in the form of secondary The LICU must retain an original of the paragraph (c)(3) of this section. capital at the time a loss is realized, a account agreement and the ‘‘Disclosure (1) Request to redeem secondary LICU must apply either of the following and Acknowledgment’’ for the term of capital. A request for approval to pro-rata loss distribution procedures to the agreement, and a copy must be redeem discounted secondary capital its secondary capital accounts with provided to the account investor. may be submitted in writing at any time, respect to the loss: (12) Prompt corrective action. As must specify the increment(s) to be (i) If not inconsistent with any provided in this part, the NCUA may redeemed and the schedule for agreements governing other secondary prohibit a LICU as classified ‘‘critically redeeming all or any part of each capital on deposit at the time a loss is undercapitalized’’ or, if ‘‘new,’’ as eligible increment, and must realized, the CDCI secondary capital ‘‘moderately capitalized’’, ‘‘marginally demonstrate to the satisfaction of NCUA may be excluded from the calculation of capitalized’’, ‘‘minimally capitalized’’ or that: the pro-rata loss distribution until all of ‘‘uncapitalized,’’ as the case may be, (i) The LICU will have a post- its matching secondary capital has been from paying principal, dividends, or redemption net worth classification of at depleted, thereby causing the CDCI interest on its uninsured secondary least ‘‘adequately capitalized’’ under secondary capital to be held as senior to capital accounts established after this part; all other secondary capital until its August 7, 2000, except that unpaid (ii) The discounted secondary capital matching secondary capital is dividends or interest will continue to has been on deposit at least two years; exhausted. The CDCI secondary capital accrue under the terms of the account to (iii) The discounted secondary capital should be included in the calculation of the extent permitted by law. will not be needed to cover losses prior the pro-rata loss distribution and is (b) Accounting treatment; Recognition to final maturity of the account; available to cover the loss only after all of net worth value of accounts—(1) (iv) The LICU’s books and records are of its matching secondary capital has Debt. A LICU that issued secondary current and reconciled; been depleted. capital accounts pursuant to paragraph (v) The proposed redemption will not (ii) Regardless of any agreements (a) of this section must record the funds jeopardize other current sources of applicable to other secondary capital, on its balance sheet as a debt titled funding, if any, to the LICU; and the CDCI secondary capital and its ‘‘uninsured secondary capital account.’’ (vi) The request to redeem is authorized by resolution of the LICU’s matching secondary capital may be (2) Schedule for recognizing net worth board of directors. considered a single account for value. The LICU’s reflection of the net (2) Decision on request. A request to purposes of determining a pro-rata share worth value of the accounts in its redeem discounted secondary capital of the loss and the amount determined financial statement may never exceed may be granted in whole or in part. If as the pro-rata share for the combined the full balance of the secondary capital a LICU is not notified within 45 days of account must first be applied to the on deposit after any early redemptions receipt of a request for approval to matching secondary capital account, and losses. For accounts with remaining redeem secondary capital that its thereby causing the CDCI secondary maturities of less than five years, the request is either granted or denied, the capital to be held as senior to its LICU must reflect the net worth value of LICU may proceed to redeem secondary matching secondary capital. The CDCI the accounts in its financial statement in capital accounts as proposed. secondary capital is available to cover accordance with the lesser of: the loss only after all of its matching (3) Schedule for redeeming secondary (i) The remaining balance of the capital. secondary capital has been depleted. accounts after any redemptions and (8) Security. The secondary capital losses; or account may not be pledged or provided TABLE 2 TO PARAGRAPH (c)(3) (ii) The amounts calculated based on by the account investor as security on a the following schedule: Redemption loan or other obligation with the LICU limit as or any other party. TABLE 1 TO PARAGRAPH (b)(2)(ii) percent of (9) Merger or dissolution. In the event Remaining maturity original of merger or other voluntary dissolution balance Net worth (%) of the LICU, other than merger into value of another LICU, the secondary capital Remaining maturity original Four to less than five years .. 20 accounts will be closed and paid out to balance (percent) Three to less than four years 40 the account investor to the extent they Two to less than three years 60 are not needed to cover losses at the Four to less than five years ...... 80 One to less than two years .. 80 time of merger or dissolution. Three to less than four years ... 60 (10) Contract agreement. A secondary Two to less than three years .... 40 (4) Early redemption exception. capital account contract agreement must One to less than two years ...... 20 Subject to the written approval of NCUA have been executed by an authorized Less than one year ...... 0 obtained pursuant to the requirements representative of the account investor of paragraphs (c)(1) and (2) of this and of the LICU reflecting the terms and (3) Financial statement. The LICU section, a LICU can redeem all or part conditions mandated by this section and must reflect the full amount of the of secondary capital accepted from the any other terms and conditions not secondary capital on deposit in a United States Government or any of its inconsistent with this section. footnote to its financial statement. subdivisions at any time after the
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secondary capital has been on deposit 5. Availability to cover losses. The funds Authority: 12 U.S.C. 1757, 1766, 1767, for two years. If the secondary capital committed to the secondary capital account 1786(h), 1786(t), and 1787(b)(4), 1788, 1789, was accepted under conditions that and any interest paid into the account may 1789a. be used by [name of credit union] to cover required matching secondary capital any and all operating losses that exceed the ■ 16. Amend § 709.5 by revising from a source other than the Federal credit union’s net worth exclusive of paragraph (b)(8) to read as follows: Government, the matching secondary allowance accounts for loan losses, and in capital may also be redeemed in the the event the funds are so used, (name of § 709.5 Payout priorities in involuntary manner set forth in the preceding credit union) will under no circumstances liquidation. sentence. For purposes of obtaining restore or replenish those funds to [name of * * * * * institutional investor]. Dividends are not NCUA’s approval, all secondary capital (b) * * * a LICU accepts from the United States considered operating losses and are not eligible to be paid out of secondary capital. (8) Outstanding Subordinated Debt (as Government or any of its subdivisions, 6. Accrued interest. By initialing below, defined in part 702 of this chapter) or as well as its matching secondary [name of credit union] and [name of outstanding Grandfathered Secondary capital, if any, is eligible for early institutional investor] agree that accrued Capital (as defined in part 702 of this redemption regardless of whether any interest will be: chapter); and part of the secondary capital has been __Paid into and become part of the secondary discounted pursuant to paragraph (b)(2) capital account; * * * * * of this section. __Paid directly to the investor; __Paid into a separate account from which PART 741—REQUIREMENTS FOR Appendix A to Subpart D of Part 702— the investor may make withdrawals; or INSURANCE Disclosure and Acknowledgement Form __Any combination of the above provided the details are specified and agreed to in ■ 17. The authority citation for part 741 A LICU that is authorized to accept writing. continues to read as follows: uninsured secondary capital accounts and 7. Subordination of claims. In the event of each investor in such an account must have Authority: 12 U.S.C. 1757, 1766(a), 1781– liquidation of [name of credit union], the 1790, and 1790d; 31 U.S.C. 3717. executed and dated the following ‘‘Disclosure funds committed to the secondary capital and Acknowledgment’’ form, a signed account will be subordinate to all other ■ original of which must be retained by the 18. Amend § 741.204 by revising claims on the assets of the credit union, paragraph (c) and removing paragraph credit union: including claims of member shareholders, Disclosure and Acknowledgment creditors and the National Credit Union (d) to read as follows: [Name of CU] and [Name of investor] Share Insurance Fund. § 741.204 Maximum public unit and hereby acknowledge and agree that [Name of 8. Prompt Corrective Action. Under certain nonmember accounts, and low-income net worth classifications (see 12 CFR investor] has committed [amount of funds] to designation. 702.204(b)(11), 702.304(b) and 702.305(b), as a secondary capital account with [name of the case may be), the NCUA may prohibit * * * * * credit union] under the following terms and [name of credit union] from paying principal, conditions: (c) Follow the requirements of dividends or interest on its uninsured § 702.414 of this chapter for any 1. Term. The funds committed to the secondary capital accounts established after secondary capital account are committed for Grandfathered Secondary Capital (as _ August 7, 2000, except that unpaid dividends a period of y years. or interest will continue to accrue under the defined in part 702 of this chapter) 2. Redemption prior to maturity. Subject to terms of the account to the extent permitted issued before January 1, 2022. the conditions set forth in 12 CFR 702.414, by law. ■ the funds committed to the secondary capital 19. Add §§ 741.226 and 741.227 to ACKNOWLEDGED AND AGREED TO this read as follows: account are redeemable prior to maturity lld day of [month and year] by: only at the option of the LICU and only with lllllllllllllllllllll § 741.226 Subordinated Debt. the prior written approval of NCUA. [name of investor’s official] 3. Uninsured, non-share account. The Any credit union that is insured, or [title of official] secondary capital account is not a share that makes application for insurance, account and the funds committed to the [name of investor] pursuant to title II of the Act must secondary capital account are not insured by [address and phone number of investor] follow the requirements of subpart D of the National Credit Union Share Insurance [investor’s tax identification number] part 702 of this chapter before it may Fund or any other governmental or private lllllllllllllllllllll issue Subordinated Debt, as that term is entity. [name of credit union official] 4. Prepayment risk. Redemption of U.S.C. defined in § 702.402 of this chapter, and [title of official] prior to the account’s original maturity date to the extent not inconsistent with applicable state law and regulation. may expose the account investor to the risk PART 709—INVOLUNTARY of being unable to reinvest the repaid funds LIQUIDATION OF FEDERAL CREDIT § 741.227 Loans to credit unions. at the same rate of interest for the balance of UNIONS AND ADJUDICATION OF the period remaining until the original Any credit union that is insured CREDITOR CLAIMS INVOLVING maturity date. The investor acknowledges pursuant to Title II of the Act must FEDERALLY INSURED CREDIT that it understands and assumes adhere to the requirements in § 701.25 UNIONS IN LIQUIDATION responsibility for prepayment risk associated of this chapter. with the [name of credit union]’s redemption of the investor’s U.S.C. account prior to the ■ 15. The authority citation for part 709 [FR Doc. 2020–28281 Filed 2–22–21; 8:45 am] original maturity date. continues to read as follows: BILLING CODE 7535–01–P
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Part III
The President
Executive Order 14016—Revocation of Executive Order 13801
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Federal Register Presidential Documents Vol. 86, No. 34
Tuesday, February 23, 2021
Title 3— Executive Order 14016 of February 17, 2021
The President Revocation of Executive Order 13801
By the authority vested in me as President by the Constitution and the laws of the United States of America, it is hereby ordered that: Section 1. Revocation of Executive Order. Executive Order 13801 of June 15, 2017 (Expanding Apprenticeships in America), is hereby revoked. Sec. 2. Implementation. The Director of the Office of Management and Budget and the heads of executive departments and agencies shall promptly consider taking steps to rescind any orders, rules, regulations, guidelines, or policies, or portions thereof, implementing or enforcing the Executive Order identified in section 1 of this order, as appropriate and consistent with applicable law, including the Administrative Procedure Act, 5 U.S.C. 551 et seq. In addition, any personnel positions, committees, task forces, or other entities established pursuant to the Executive Order identified in section 1 of this order shall be abolished, as appropriate and consistent with applicable law. Sec. 3. General Provisions. (a) Nothing in this order shall be construed to impair or otherwise affect: (i) the authority granted by law to an executive department or agency, or the head thereof; or (ii) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals. (b) This order shall be implemented in a manner 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 17, 2021.
[FR Doc. 2021–03874 Filed 2–22–21; 11:15 am] Billing code 3295–F1–P
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Reader Aids Federal Register Vol. 86, No. 34 Tuesday, February 23, 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 13, 2021 ...... 7787 Presidential Documents 2 CFR Memorandum of Executive orders and proclamations 741–6000 25...... 10439 January 27, 2021 ...... 8845 The United States Government Manual 741–6000 200...... 10439 Memorandum of Other Services 3 CFR February 2, 2021 ...... 8281 Notices: 741–6020 Electronic and on-line services (voice) Proclamations: Notice of February 11, Privacy Act Compilation 741–6050 9880 (revoked by EO 2021 ...... 9835 14010) ...... 8267 Presidential 10139 (revoked by ELECTRONIC RESEARCH Determinations: Proc. 10144) ...... 8265 No. 2021–03 of World Wide Web 10144...... 8265 January 14, 2021 ...... 7789 10145...... 8537 Full text of the daily Federal Register, CFR and other publications 10146...... 8539 5 CFR is located at: www.govinfo.gov. 10147...... 8541 2634...... 7635 Federal Register information and research tools, including Public Executive Orders: 2636...... 7635 Inspection List and electronic text are located at: 12898 (amended by 1201...... 7797 www.federalregister.gov. 14008) ...... 7619 13767 (revoked by 7 CFR E-mail 14010) ...... 8267 761...... 10440 13801 (revoked by EO FEDREGTOC (Daily Federal Register Table of Contents Electronic 945...... 9253 14016) ...... 11089 Mailing List) is an open e-mail service that provides subscribers 1468...... 8113 13815 (revoked by EO with a digital form of the Federal Register Table of Contents. The 14013) ...... 8839 Proposed Rules: digital form of the Federal Register Table of Contents includes 13841 (revoked by 1280...... 10459 HTML and PDF links to the full text of each document. 14011) ...... 8273 8 CFR To join or leave, go to https://public.govdelivery.com/accounts/ 13888 (revoked by EO USGPOOFR/subscriber/new, enter your email address, then 14013) ...... 8839 214...... 7927, 8543 follow the instructions to join, leave, or manage your 13895 (revoked by Proposed Rules: subscription. 14007) ...... 7615 215...... 8878 PENS (Public Law Electronic Notification Service) is an e-mail 14007...... 7615 235...... 8878 service that notifies subscribers of recently enacted laws. 14008...... 7619 14009...... 7793 10 CFR To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 14010...... 8267 50...... 8685 and select Join or leave the list (or change settings); then follow 14011...... 8273 52...... 8685 the instructions. 14012...... 8277 430...... 8548 FEDREGTOC and PENS are mailing lists only. We cannot 14013...... 8839 431...... 7798, 8553 respond to specific inquiries. 14014...... 9429 1061...... 7799 Reference questions. Send questions and comments about the 14015...... 10007 Proposed Rules: Federal Register system to: [email protected] 14016...... 11089 15...... 10459 Administrative Orders: 30...... 7819 The Federal Register staff cannot interpret specific documents or Memorandums: 32...... 7819 regulations. Memorandum of 50...... 7820 September 21, 2016 170...... 10459 FEDERAL REGISTER PAGES AND DATE, FEBRUARY (reinstated by EO 171...... 10459 14008) ...... 7619 430...... 10211 7615–7786...... 1 Memorandum of March 431...... 10211 7787–7926...... 2 6, 2017 (revoked by 7927–8112...... 3 EO 14013)...... 8839 12 CFR 8113–8266...... 4 Memorandum of April 4...... 9253 8267–8536...... 5 4, 2018 (revoked by 50...... 9120 8537–8684...... 8 EO 14010)...... 8267 204...... 8853 8685–8844...... 9 Memorandum of April 215...... 9837 8845–8992...... 10 6, 2018 (revoked by 217...... 7927, 9261 8993–9252...... 11 EO 14010)...... 8267 225...... 7927, 9261 Memorandum of April 238...... 7927, 9261 9253–9432...... 12 29, 2019 (revoked 249...... 9120 9433–9836...... 16 by EO 14010)...... 8267 252...... 7927, 9261 9837–10006...... 17 Memorandum of May 303...... 8089, 9433 10007–10170...... 18 23, 2019 (revoked 308...... 8104 10171–10438...... 19 by Memo. of Feb. 2, 338...... 8082 10439–10702...... 22 2021) ...... 8281 329...... 9120 10703–11090...... 23 Memorandum of 354...... 10703
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362...... 8098 292...... 8133 33 CFR 62...... 9043 390 ...... 8082, 8089, 8098, 8104 342...... 9448 100...... 10173 63...... 10909 701...... 11060 385...... 8131 110...... 7647 81...... 9884 702...... 11060 Proposed Rules: 117...... 7649 261...... 10911 704...... 10729 35...... 8309 165 .....7651, 7810, 7972, 8140, 281...... 9893 709...... 11060 8687, 9460 700...... 10918 741...... 11060 19 CFR Proposed Rules: 42 CFR 791...... 7949 Ch. I...... 10815, 10816 100...... 8328, 10894 1026...... 8283, 9840 165...... 8157, 8879 100...... 10835 1074...... 9261 20 CFR 400...... 9471 1411...... 8854 655...... 7927 34 CFR 410...... 9471 Proposed Rules: 702...... 8686 36...... 7974 414...... 9471 7...... 7979 Proposed Rules: 668...... 7974 415...... 9471 303...... 8145 423...... 7813, 9471 655...... 7656 Proposed Rules: 424...... 9471 333...... 8145 656...... 7656 Ch. III ...... 10213 335...... 8145 702...... 8721 425...... 9471 390...... 8145, 9028 36 CFR 486...... 7814 1001...... 7815, 10181 702...... 10872 21 CFR 7...... 9289 510...... 10818, 10819 701...... 9289 Proposed Rules: 13 CFR 42...... 9308 520...... 10818, 10819 Proposed Rules: 120...... 8283 522...... 10818, 10819 242...... 10899 121...... 10732 43 CFR 125...... 10732 22 CFR 37 CFR 10...... 7653 127...... 10732 35...... 7804 10...... 7653 44 CFR 14 CFR 41...... 10453 201...... 10820 103...... 7804 202...... 10174, 10820 59...... 10029 25...... 7799 127...... 7804 210...... 9003 61...... 10029 39 ...... 8299, 8302, 8305, 9269, 138...... 7804 303...... 9462 62...... 10029 9272, 9433, 10171, 10441, 64...... 9023, 10837 Proposed Rules: 10444, 10447, 10449, 10451, 23 CFR 201...... 8560 Proposed Rules: 10733, 10736, 10738, 10740, Proposed Rules: 206...... 8334 10742, 10744, 10747, 10750, 470...... 7838 38 CFR 10753, 10767, 10770, 10772, 45 CFR 635...... 7838 4...... 8142 10775, 10776, 10780, 10784, 655...... 7838 36...... 7811 1149...... 10029 10787, 10790, 10796, 10799 42...... 7811 1158...... 10029 71 ...... 10801, 10803, 10804, 24 CFR 10805, 10807, 10808, 10810, 39 CFR 47 CFR 3280...... 10457 10812, 10814 2...... 10011 Ch. I ...... 9299 97...... 7958, 7959 25 CFR 3...... 10011 0...... 10181 Proposed Rules: 1...... 10181, 10839 575...... 7646 4...... 10011 39 ...... 10491, 10493, 10496, 6...... 10011 9...... 8714 10498, 10501, 10504, 10875, Proposed Rules: 15...... 8558 1000...... 7656 7...... 10011 10878 10...... 10011 27...... 10181 71 ...... 10505, 10880, 10882, 26 CFR 3040...... 9464 51...... 8872 10883, 10885, 10886, 10888, 54...... 9025, 9295 1 ...... 9285, 9286, 10457 Proposed Rules: 10889, 10891, 10892 20...... 7659, 8722 63...... 8872 Proposed Rules: 111...... 10507 64 ...... 8558, 10458, 10844 15 CFR 1 ...... 7986, 7987, 8721 113...... 10218 73 ...... 9297, 9472, 10847 740...... 10011 3030...... 8330 74...... 9297 742...... 10011 29 CFR 90...... 10181 18...... 7927 40 CFR Proposed Rules: 16 CFR 22...... 7807, 8687 51...... 9470 1...... 8335, 8748 305...... 9274 503...... 7927 52 ...... 8689, 8691, 8693, 8697, 2...... 7660 1986...... 7807, 8687 8868, 9290, 9294, 9857, 25...... 7660 17 CFR Proposed Rules: 10015, 10016, 10018, 10022, 51...... 7839 36...... 8993 10...... 8325 10025, 10026, 10826, 10827, 54...... 8335, 9309 37...... 9224 516...... 8325 10831 64...... 7681, 9894 143...... 7802 531...... 8325 60...... 9470 73...... 10033 200...... 7961, 9436 578...... 8325 61...... 9470 90...... 8748 210...... 8686 579...... 8325 62...... 8699, 9021 48 CFR 232...... 7961, 7968 580...... 8325 63...... 9470 240...... 7637 780...... 8326 180 .....8700, 8704, 8707, 8710, 12...... 8308 Proposed Rules: 788...... 8326 9859, 9862, 9866, 9869, 25...... 8308 9...... 9304 795...... 8326 10178, 10833 52...... 8308 36...... 9304 1910...... 9576 228...... 9873 553...... 9301 37...... 9304 271...... 8713 30 CFR 38...... 9304 281...... 9879 49 CFR 39...... 9304 1206...... 9286 Proposed Rules: 234...... 10857 43...... 9304 1241...... 7808, 9286 52 ...... 8561, 8564, 8566, 8569, Proposed Rules: Proposed Rules: 8574, 8722, 8727, 8729, 1180...... 8336 18 CFR 250...... 8878 8734, 8736, 8742, 8743, 11...... 8855 550...... 8878 9031, 9036, 9038, 9039, 50 CFR 153...... 7643 9041, 9307, 9884, 10220, 10...... 8715 157...... 7643 31 CFR 10225, 10227, 10509, 10511, 622 ....7815, 7977, 8876, 10183 250...... 8131 1010...... 7810 10520, 10522, 10524, 10903 635...... 8717
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648...... 8559 Proposed Rules: 226...... 7686, 8749 665...... 10526 660...... 9301, 10857 20...... 10622 300...... 9312 679 .....7816, 7817, 7818, 8308, 100...... 10899 648...... 9901 8719, 10184 223...... 7686, 8749 660...... 8750, 9473
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