Federal Register

FEDERAL REGISTER

Vol. 86 Monday No. 93 May 17, 2021

Pages 26633–26824

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 86, No. 93

Monday, May 17, 2021

Agricultural Marketing Service Application Package for AmeriCorps Program Life Cycle NOTICES Evaluation—Volunteer Generation Fund Grant Supply Chains for the Production of Agricultural Program Evaluation, 26702–26703 Commodities and Food Products, 26689 Council of the Inspectors General on Integrity and Agriculture Department Efficiency See Agricultural Marketing Service RULES NOTICES Privacy Act Regulations, 26649–26651 Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Privacy Act; Systems of Records, 26704–26706 Qualified Products Lists for Fire Chemicals for Wildland Fire Management, 26689–26690 Defense Department Army Department See Army Department RULES NOTICES Agency Information Collection Activities; Proposals, Privacy Act; Implementation, 26671–26672 NOTICES Submissions, and Approvals, 26706–26707 Agency Information Collection Activities; Proposals, Centers for Disease Control and Prevention Submissions, and Approvals, 26707–26710 NOTICES The Systematic Review Report for Diagnosis and Treatment Employee Benefits Security Administration of Myalgic Encephalomyelitis/Chronic Fatigue NOTICES Syndrome, 26733–26734 Meetings: Advisory Council on Employee Welfare and Pension Centers for Medicare & Medicaid Services Benefit Plans; Teleconference, 26744 NOTICES Agency Information Collection Activities; Proposals, Energy Department Submissions, and Approvals: See Federal Energy Regulatory Commission Medicaid and Children’s Health Insurance Program, NOTICES 26734–26735 Decision and Order: Energy Conservation Program; Waiver to Ningbo FOTILE Children and Families Administration Kitchen Ware Co. Ltd. from the Dishwashers Test NOTICES Procedure, 26712–26715 Agency Information Collection Activities; Proposals, Preliminary Analysis Regarding Energy Efficiency Submissions, and Approvals: Improvements in the 2021 International Energy Generic Clearance for the Collection of Qualitative Conservation Code, 26710–26712 Feedback on Agency Service Delivery, 26735 Civil Rights Commission Environmental Protection Agency RULES NOTICES Meetings: Pesticide Tolerances: Arkansas Advisory Committee, 26691 Trifludimoxazin, 26672–26677 PROPOSED RULES Michigan Advisory Committee, 26691–26692 Air Quality State Implementation Plans; Approvals and Nevada Advisory Committee, 26691–26693 Promulgations: Oklahoma Advisory Committee, 26692 Nebraska; Revisions to Title 129 of the Nebraska South Carolina Advisory Committee, 26693–26694 Administrative Code; General Conformity, 26687– Commerce Department 26688 NOTICES See International Trade Administration Administration of Cross-State Air Pollution Rule Trading See National Oceanic and Atmospheric Administration Program Assurance Provisions for 2020 Control Consumer Product Safety Commission Periods, 26720–26721 RULES Availability of Data on Allocations of Cross-State Air Safety Standard for Children’s Folding Chairs and Stools, Pollution Rule Allowances to Existing Electricity 26654–26658 Generating Units, 26719–26720 Meetings: Corporation for National and Community Service Mobile Sources Technical Review Subcommittee, 26720 NOTICES Agency Information Collection Activities; Proposals, Export-Import Bank Submissions, and Approvals: NOTICES Application Package for AmeriCorps Program Life Cycle Request for Information: Evaluation—Opioid Recovery Coach Model Bundled U.S. and Foreign Content in Transformational Exports; Evaluation, 26703–26704 Extension of Comment Period, 26721

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Federal Aviation Administration See Health Resources and Services Administration RULES See National Institutes of Health Airworthiness Directives: NOTICES Safran Helicopter Engines, S.A. (Type Certificate Agency Information Collection Activities; Proposals, Previously Held by Turbomeca, S.A.) Turboshaft Submissions, and Approvals, 26738–26739 Engines, 26651–26654 PROPOSED RULES Health Resources and Services Administration Airworthiness Directives: NOTICES Airbus SAS Airplanes, 26682–26685 National Vaccine Injury Compensation Program: NOTICES List of Petitions Received, 26736–26738 Intent to Rule on Request to Dispose 5.3 and .8 Acres of Supplemental Award: Land at Sanford Seacoast Regional Airport, Sanford, University of Southern Maine Rural Health Research ME, 26769–26770 Center, 26736 Federal Communications Commission Interior Department RULES See Fish and Wildlife Service Assessment and Collection of Regulatory Fees for Fiscal Year 2021, 26677–26681 NOTICES International Trade Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 26722–26725 Antidumping or Countervailing Duty Investigations, Orders, or Reviews: Federal Energy Regulatory Commission Polyethylene Terephthalate Film, Sheet, and Strip from NOTICES India, 26700–26701 Application: Determination of Sales at Less Than Fair Value: City of Watervliet, NY, 26716–26718 Certain Chassis and Subassemblies Thereof from the Lower Saranac Hydro, LLC, 26718–26719 People’s Republic of China, 26694–26696 Combined Filings, 26715–26716 Methionine from France, 26697–26699 Solicitation of Applications: Federal Maritime Commission United States Investment Advisory Council, 26696–26697 NOTICES Meetings; Sunshine Act, 26725 International Trade Commission NOTICES Federal Railroad Administration Investigations; Determinations, Modifications, and Rulings, NOTICES etc.: Agency Information Collection Activities; Proposals, Certain Luxury Vinyl Tile and Components Thereof, Submissions, and Approvals, 26770–26774 26741–26742

Federal Trade Commission Justice Department NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals, 26725–26733 Submissions, and Approvals, 26742–26744

Fiscal Service Labor Department NOTICES See Employee Benefits Security Administration Agency Information Collection Activities; Proposals, Submissions, and Approvals: National Institutes of Health Schedule of Excess Risks, 26774–26775 NOTICES Fish and Wildlife Service Meetings: National Institute of Mental Health, 26740 NOTICES Request for Information: Endangered and Threatened Species: National Eye Institute Draft Strategic Plan, 26739–26740 Draft Recovery Plan for Five Species from American Samoa, 26740–26741 National Oceanic and Atmospheric Administration Foreign Assets Control Office NOTICES RULES Meetings: Amendments to Narcotics Trafficking Sanctions Regulations Gulf of Mexico Fishery Management Council, 26702 and Foreign Narcotics Kingpin Sanctions Regulations, North Pacific Fishery Management Council, 26701 26661–26671 Solicitation of Nominations: NOTICES Marine Debris Foundation Board of Directors, Blocking or Unblocking of Persons and Properties, 26775– 26779 Nuclear Regulatory Commission RULES Health and Human Services Department List of Approved Spent Fuel Storage Casks: See Centers for Disease Control and Prevention TN Americas LLC Standardized NUHOMS Horizontal See Centers for Medicare & Medicaid Services Modular Storage System, Certificate of Compliance See Children and Families Administration No. 1004, Renewed Amendment No. 17, 26651

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Occupational Safety and Health Review Commission See Foreign Assets Control Office RULES RULES Rules Implementing the Equal Access to Justice Act, Coronavirus State and Local Fiscal Recovery Funds, 26786– 26658–26661 26824 NOTICES Presidential Documents Agency Information Collection Activities; Proposals, EXECUTIVE ORDERS Submissions, and Approvals: Defense and National Security: New Markets Tax Credit Program Application, 26779 Cybersecurity; Improvement Efforts (EO 14028), 26633– 26647 Unified Carrier Registration Plan NOTICES Securities and Exchange Commission Meetings; Sunshine Act, 26779–26780 PROPOSED RULES Performance Based Investment Advisory Fees, 26685–26687 Veterans Affairs Department NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals, 26744–26745, 26758– Submissions, and Approvals: 26759 Application for Service-Disabled Veterans Insurance, Application: 26780–26781 Delaware Wilshire Private Markets Master Fund, et al., Employment Questionnaire, 26783 26759–26763 Interest Rate Reduction Refinancing Loan Worksheet, Meetings; Sunshine Act, 26758 26781–26782 Self-Regulatory Organizations; Proposed Rule Changes: Request for Employment Information in Connection with BOX Exchange, LLC, 26765–26767 Claim for Disability Benefits, 26782 Cboe BZX Exchange, Inc., 26767–26769 Statement of Marital Relationship, 26781 ICE Clear Credit, LLC, 26745–26748 Supplement to VA Forms 21–526EZ, 21P–534EZ, and Nasdaq BX, Inc., 26750–26753 21P–535 (For Philippine Claims), 26782–26783 Nasdaq PHLX, LLC, 26748–26750 The Nasdaq Stock Market, LLC, 26753–26758, 26763– 26765 Separate Parts In This Issue Small Business Administration Part II NOTICES Treasury Department, 26786–26824 Major Disaster Declaration: Oklahoma, 26769 Surrender of License Of Small Business Investment Company: Reader Aids GC SBIC V, LP, 26769 Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, and notice Transportation Department of recently enacted public laws. See Federal Aviation Administration To subscribe to the Federal Register Table of Contents See Federal Railroad Administration electronic mailing list, go to https://public.govdelivery.com/ accounts/USGPOOFR/subscriber/new, enter your e-mail Treasury Department address, then follow the instructions to join, leave, or See Fiscal Service manage your subscription.

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CFR PARTS AFFECTED IN THIS ISSUE

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

3 CFR Executive Orders: 14028...... 26633 5 CFR 9801...... 26649 10 CFR 72...... 26651 14 CFR 39...... 26651 Proposed Rules: 39...... 26682 16 CFR 1112...... 26654 1130...... 26654 1232...... 26654 17 CFR Proposed Rules: 275...... 26685 29 CFR 2204...... 26658 31 CFR 35...... 26786 536...... 26661 598...... 26661 32 CFR 310...... 26671 40 CFR 180...... 26672 Proposed Rules: 52...... 26687 47 CFR 1...... 26677

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Federal Register Presidential Documents Vol. 86, No. 93

Monday, May 17, 2021

Title 3— Executive Order 14028 of May 12, 2021

The President Improving the Nation’s Cybersecurity

By the authority vested in me as President by the Constitution and the laws of the United States of America, it is hereby ordered as follows: Section 1. Policy. The United States faces persistent and increasingly sophisticated malicious cyber campaigns that threaten the public sector, the private sector, and ultimately the American people’s security and privacy. The Federal Government must improve its efforts to identify, deter, protect against, detect, and respond to these actions and actors. The Federal Govern- ment must also carefully examine what occurred during any major cyber incident and apply lessons learned. But cybersecurity requires more than government action. Protecting our Nation from malicious cyber actors requires the Federal Government to partner with the private sector. The private sector must adapt to the continuously changing threat environment, ensure its products are built and operate securely, and partner with the Federal Government to foster a more secure cyberspace. In the end, the trust we place in our digital infrastructure should be proportional to how trustworthy and transparent that infrastructure is, and to the consequences we will incur if that trust is misplaced. Incremental improvements will not give us the security we need; instead, the Federal Government needs to make bold changes and significant investments in order to defend the vital institutions that underpin the American way of life. The Federal Government must bring to bear the full scope of its authorities and resources to protect and secure its computer systems, whether they are cloud-based, on-premises, or hybrid. The scope of protection and security must include systems that process data (information technology (IT)) and those that run the vital machinery that ensures our safety (operational technology (OT)). It is the policy of my Administration that the prevention, detection, assessment, and remediation of cyber incidents is a top priority and essential to national and economic security. The Federal Government must lead by example. All Federal Information Systems should meet or exceed the standards and requirements for cybersecurity set forth in and issued pursuant to this order. Sec. 2. Removing Barriers to Sharing Threat Information. (a) The Federal Government contracts with IT and OT service providers to conduct an array of day-to-day functions on Federal Information Systems. These service providers, including cloud service providers, have unique access to and insight into cyber threat and incident information on Federal Information Systems. At the same time, current contract terms or restrictions may limit the sharing of such threat or incident information with executive departments and agencies (agencies) that are responsible for investigating or remediating cyber incidents, such as the Cybersecurity and Infrastructure Security Agency (CISA), the Federal Bureau of Investigation (FBI), and other elements of the Intelligence Community (IC). Removing these contractual barriers and increasing the sharing of information about such threats, incidents, and risks are necessary steps to accelerating incident deterrence, prevention, and response efforts and to enabling more effective defense of agencies’ systems and of information collected, processed, and maintained by or for the Federal Government.

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(b) Within 60 days of the date of this order, the Director of the Office of Management and Budget (OMB), in consultation with the Secretary of Defense, the Attorney General, the Secretary of Homeland Security, and the Director of National Intelligence, shall review the Federal Acquisition Regulation (FAR) and the Defense Federal Acquisition Regulation Supple- ment contract requirements and language for contracting with IT and OT service providers and recommend updates to such requirements and language to the FAR Council and other appropriate agencies. The recommendations shall include descriptions of contractors to be covered by the proposed contract language. (c) The recommended contract language and requirements described in subsection (b) of this section shall be designed to ensure that: (i) service providers collect and preserve data, information, and reporting relevant to cybersecurity event prevention, detection, response, and investigation on all information systems over which they have control, including systems operated on behalf of agencies, consistent with agencies’ requirements; (ii) service providers share such data, information, and reporting, as they relate to cyber incidents or potential incidents relevant to any agency with which they have contracted, directly with such agency and any other agency that the Director of OMB, in consultation with the Secretary of Defense, the Attorney General, the Secretary of Homeland Security, and the Director of National Intelligence, deems appropriate, consistent with applicable privacy laws, regulations, and policies; (iii) service providers collaborate with Federal cybersecurity or investigative agencies in their investigations of and responses to incidents or potential incidents on Federal Information Systems, including by implementing technical capabilities, such as monitoring networks for threats in collaboration with agencies they support, as needed; and (iv) service providers share cyber threat and incident information with agencies, doing so, where possible, in industry-recognized formats for incident response and remediation. (d) Within 90 days of receipt of the recommendations described in subsection (b) of this section, the FAR Council shall review the proposed contract language and conditions and, as appropriate, shall publish for public comment proposed updates to the FAR. (e) Within 120 days of the date of this order, the Secretary of Homeland Security and the Director of OMB shall take appropriate steps to ensure to the greatest extent possible that service providers share data with agencies, CISA, and the FBI as may be necessary for the Federal Government to respond to cyber threats, incidents, and risks. (f) It is the policy of the Federal Government that: (i) information and communications technology (ICT) service providers entering into contracts with agencies must promptly report to such agencies when they discover a cyber incident involving a software product or service provided to such agencies or involving a support system for a software product or service provided to such agencies; (ii) ICT service providers must also directly report to CISA whenever they report under subsection (f)(i) of this section to Federal Civilian Execu- tive Branch (FCEB) Agencies, and CISA must centrally collect and manage such information; and (iii) reports pertaining to National Security Systems, as defined in section 10(h) of this order, must be received and managed by the appropriate agency as to be determined under subsection (g)(i)(E) of this section. (g) To implement the policy set forth in subsection (f) of this section: (i) Within 45 days of the date of this order, the Secretary of Homeland Security, in consultation with the Secretary of Defense acting through the Director of the National Security Agency (NSA), the Attorney General,

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and the Director of OMB, shall recommend to the FAR Council contract language that identifies: (A) the nature of cyber incidents that require reporting; (B) the types of information regarding cyber incidents that require reporting to facilitate effective cyber incident response and remediation; (C) appropriate and effective protections for privacy and civil liberties; (D) the time periods within which contractors must report cyber incidents based on a graduated scale of severity, with reporting on the most severe cyber incidents not to exceed 3 days after initial detection; (E) National Security Systems reporting requirements; and (F) the type of contractors and associated service providers to be covered by the proposed contract language. (ii) Within 90 days of receipt of the recommendations described in subsection (g)(i) of this section, the FAR Council shall review the recommendations and publish for public comment proposed updates to the FAR. (iii) Within 90 days of the date of this order, the Secretary of Defense acting through the Director of the NSA, the Attorney General, the Secretary of Homeland Security, and the Director of National Intelligence shall jointly develop procedures for ensuring that cyber incident reports are promptly and appropriately shared among agencies. (h) Current cybersecurity requirements for unclassified system contracts are largely implemented through agency-specific policies and regulations, including cloud-service cybersecurity requirements. Standardizing common cybersecurity contractual requirements across agencies will streamline and improve compliance for vendors and the Federal Government. (i) Within 60 days of the date of this order, the Secretary of Homeland Security acting through the Director of CISA, in consultation with the Sec- retary of Defense acting through the Director of the NSA, the Director of OMB, and the Administrator of General Services, shall review agency-specific cybersecurity requirements that currently exist as a matter of law, policy, or contract and recommend to the FAR Council standardized contract language for appropriate cybersecurity requirements. Such recommendations shall include consideration of the scope of contractors and associated service providers to be covered by the proposed contract language. (j) Within 60 days of receiving the recommended contract language developed pursuant to subsection (i) of this section, the FAR Council shall review the recommended contract language and publish for public comment proposed updates to the FAR. (k) Following any updates to the FAR made by the FAR Council after the public comment period described in subsection (j) of this section, agencies shall update their agency-specific cybersecurity requirements to remove any requirements that are duplicative of such FAR updates. (l) The Director of OMB shall incorporate into the annual budget process a cost analysis of all recommendations developed under this section. Sec. 3. Modernizing Federal Government Cybersecurity. (a) To keep pace with today’s dynamic and increasingly sophisticated cyber threat environment, the Federal Government must take decisive steps to modernize its approach to cybersecurity, including by increasing the Federal Government’s visibility into threats, while protecting privacy and civil liberties. The Federal Government must adopt security best practices; advance toward Zero Trust Architecture; accelerate movement to secure cloud services, including Soft- ware as a Service (SaaS), Infrastructure as a Service (IaaS), and Platform as a Service (PaaS); centralize and streamline access to cybersecurity data to drive analytics for identifying and managing cybersecurity risks; and invest in both technology and personnel to match these modernization goals. (b) Within 60 days of the date of this order, the head of each agency shall:

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(i) update existing agency plans to prioritize resources for the adoption and use of cloud technology as outlined in relevant OMB guidance; (ii) develop a plan to implement Zero Trust Architecture, which shall incorporate, as appropriate, the migration steps that the National Institute of Standards and Technology (NIST) within the Department of Commerce has outlined in standards and guidance, describe any such steps that have already been completed, identify activities that will have the most immediate security impact, and include a schedule to implement them; and (iii) provide a report to the Director of OMB and the Assistant to the President and National Security Advisor (APNSA) discussing the plans required pursuant to subsection (b)(i) and (ii) of this section. (c) As agencies continue to use cloud technology, they shall do so in a coordinated, deliberate way that allows the Federal Government to prevent, detect, assess, and remediate cyber incidents. To facilitate this approach, the migration to cloud technology shall adopt Zero Trust Architecture, as practicable. The CISA shall modernize its current cybersecurity programs, services, and capabilities to be fully functional with cloud-computing environments with Zero Trust Architecture. The Secretary of Homeland Security acting through the Director of CISA, in consultation with the Administrator of General Services acting through the Federal Risk and Authorization Man- agement Program (FedRAMP) within the General Services Administration, shall develop security principles governing Cloud Service Providers (CSPs) for incorporation into agency modernization efforts. To facilitate this work: (i) Within 90 days of the date of this order, the Director of OMB, in consultation with the Secretary of Homeland Security acting through the Director of CISA, and the Administrator of General Services acting through FedRAMP, shall develop a Federal cloud-security strategy and provide guidance to agencies accordingly. Such guidance shall seek to ensure that risks to the FCEB from using cloud-based services are broadly under- stood and effectively addressed, and that FCEB Agencies move closer to Zero Trust Architecture. (ii) Within 90 days of the date of this order, the Secretary of Homeland Security acting through the Director of CISA, in consultation with the Director of OMB and the Administrator of General Services acting through FedRAMP, shall develop and issue, for the FCEB, cloud-security technical reference architecture documentation that illustrates recommended approaches to cloud migration and data protection for agency data collection and reporting. (iii) Within 60 days of the date of this order, the Secretary of Homeland Security acting through the Director of CISA shall develop and issue, for FCEB Agencies, a cloud-service governance framework. That framework shall identify a range of services and protections available to agencies based on incident severity. That framework shall also identify data and processing activities associated with those services and protections. (iv) Within 90 days of the date of this order, the heads of FCEB Agencies, in consultation with the Secretary of Homeland Security acting through the Director of CISA, shall evaluate the types and sensitivity of their respective agency’s unclassified data, and shall provide to the Secretary of Homeland Security through the Director of CISA and to the Director of OMB a report based on such evaluation. The evaluation shall prioritize identification of the unclassified data considered by the agency to be the most sensitive and under the greatest threat, and appropriate processing and storage solutions for those data. (d) Within 180 days of the date of this order, agencies shall adopt multi- factor authentication and encryption for data at rest and in transit, to the maximum extent consistent with Federal records laws and other applicable laws. To that end: (i) Heads of FCEB Agencies shall provide reports to the Secretary of Homeland Security through the Director of CISA, the Director of OMB,

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and the APNSA on their respective agency’s progress in adopting multi- factor authentication and encryption of data at rest and in transit. Such agencies shall provide such reports every 60 days after the date of this order until the agency has fully adopted, agency-wide, multi-factor authentication and data encryption. (ii) Based on identified gaps in agency implementation, CISA shall take all appropriate steps to maximize adoption by FCEB Agencies of technologies and processes to implement multifactor authentication and encryption for data at rest and in transit. (iii) Heads of FCEB Agencies that are unable to fully adopt multi-factor authentication and data encryption within 180 days of the date of this order shall, at the end of the 180-day period, provide a written rationale to the Secretary of Homeland Security through the Director of CISA, the Director of OMB, and the APNSA. (e) Within 90 days of the date of this order, the Secretary of Homeland Security acting through the Director of CISA, in consultation with the Attor- ney General, the Director of the FBI, and the Administrator of General Services acting through the Director of FedRAMP, shall establish a framework to collaborate on cybersecurity and incident response activities related to FCEB cloud technology, in order to ensure effective information sharing among agencies and between agencies and CSPs. (f) Within 60 days of the date of this order, the Administrator of General Services, in consultation with the Director of OMB and the heads of other agencies as the Administrator of General Services deems appropriate, shall begin modernizing FedRAMP by: (i) establishing a training program to ensure agencies are effectively trained and equipped to manage FedRAMP requests, and providing access to training materials, including videos-on-demand; (ii) improving communication with CSPs through automation and standard- ization of messages at each stage of authorization. These communications may include status updates, requirements to complete a vendor’s current stage, next steps, and points of contact for questions; (iii) incorporating automation throughout the lifecycle of FedRAMP, including assessment, authorization, continuous monitoring, and compliance; (iv) digitizing and streamlining documentation that vendors are required to complete, including through online accessibility and pre-populated forms; and (v) identifying relevant compliance frameworks, mapping those frameworks onto requirements in the FedRAMP authorization process, and allowing those frameworks to be used as a substitute for the relevant portion of the authorization process, as appropriate. Sec. 4. Enhancing Software Supply Chain Security. (a) The security of software used by the Federal Government is vital to the Federal Government’s ability to perform its critical functions. The development of commercial software often lacks transparency, sufficient focus on the ability of the software to resist attack, and adequate controls to prevent tampering by malicious actors. There is a pressing need to implement more rigorous and predictable mechanisms for ensuring that products function securely, and as intended. The security and integrity of ‘‘critical software’’—software that performs functions critical to trust (such as affording or requiring elevated system privileges or direct access to networking and computing resources)—is a particular concern. Accordingly, the Federal Government must take action to rapidly improve the security and integrity of the software supply chain, with a priority on addressing critical software. (b) Within 30 days of the date of this order, the Secretary of Commerce acting through the Director of NIST shall solicit input from the Federal Government, private sector, academia, and other appropriate actors to identify existing or develop new standards, tools, and best practices for complying with the standards, procedures, or criteria in subsection (e) of this section.

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The guidelines shall include criteria that can be used to evaluate software security, include criteria to evaluate the security practices of the developers and suppliers themselves, and identify innovative tools or methods to demonstrate conformance with secure practices. (c) Within 180 days of the date of this order, the Director of NIST shall publish preliminary guidelines, based on the consultations described in subsection (b) of this section and drawing on existing documents as practicable, for enhancing software supply chain security and meeting the requirements of this section. (d) Within 360 days of the date of this order, the Director of NIST shall publish additional guidelines that include procedures for periodic review and updating of the guidelines described in subsection (c) of this section. (e) Within 90 days of publication of the preliminary guidelines pursuant to subsection (c) of this section, the Secretary of Commerce acting through the Director of NIST, in consultation with the heads of such agencies as the Director of NIST deems appropriate, shall issue guidance identifying practices that enhance the security of the software supply chain. Such guidance may incorporate the guidelines published pursuant to subsections (c) and (i) of this section. Such guidance shall include standards, procedures, or criteria regarding: (i) secure software development environments, including such actions as: (A) using administratively separate build environments; (B) auditing trust relationships; (C) establishing multi-factor, risk-based authentication and conditional access across the enterprise; (D) documenting and minimizing dependencies on enterprise products that are part of the environments used to develop, build, and edit software; (E) employing encryption for data; and (F) monitoring operations and alerts and responding to attempted and actual cyber incidents; (ii) generating and, when requested by a purchaser, providing artifacts that demonstrate conformance to the processes set forth in subsection (e)(i) of this section; (iii) employing automated tools, or comparable processes, to maintain trusted source code supply chains, thereby ensuring the integrity of the code; (iv) employing automated tools, or comparable processes, that check for known and potential vulnerabilities and remediate them, which shall operate regularly, or at a minimum prior to product, version, or update release; (v) providing, when requested by a purchaser, artifacts of the execution of the tools and processes described in subsection (e)(iii) and (iv) of this section, and making publicly available summary information on completion of these actions, to include a summary description of the risks assessed and mitigated; (vi) maintaining accurate and up-to-date data, provenance (i.e., origin) of software code or components, and controls on internal and third-party software components, tools, and services present in software development processes, and performing audits and enforcement of these controls on a recurring basis; (vii) providing a purchaser a Software Bill of Materials (SBOM) for each product directly or by publishing it on a public website; (viii) participating in a vulnerability disclosure program that includes a reporting and disclosure process; (ix) attesting to conformity with secure software development practices; and

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(x) ensuring and attesting, to the extent practicable, to the integrity and provenance of open source software used within any portion of a product. (f) Within 60 days of the date of this order, the Secretary of Commerce, in coordination with the Assistant Secretary for Communications and Infor- mation and the Administrator of the National Telecommunications and Infor- mation Administration, shall publish minimum elements for an SBOM. (g) Within 45 days of the date of this order, the Secretary of Commerce, acting through the Director of NIST, in consultation with the Secretary of Defense acting through the Director of the NSA, the Secretary of Homeland Security acting through the Director of CISA, the Director of OMB, and the Director of National Intelligence, shall publish a definition of the term ‘‘critical software’’ for inclusion in the guidance issued pursuant to subsection (e) of this section. That definition shall reflect the level of privilege or access required to function, integration and dependencies with other software, direct access to networking and computing resources, performance of a function critical to trust, and potential for harm if compromised. (h) Within 30 days of the publication of the definition required by subsection (g) of this section, the Secretary of Homeland Security acting through the Director of CISA, in consultation with the Secretary of Commerce acting through the Director of NIST, shall identify and make available to agencies a list of categories of software and software products in use or in the acquisition process meeting the definition of critical software issued pursuant to subsection (g) of this section. (i) Within 60 days of the date of this order, the Secretary of Commerce acting through the Director of NIST, in consultation with the Secretary of Homeland Security acting through the Director of CISA and with the Director of OMB, shall publish guidance outlining security measures for critical software as defined in subsection (g) of this section, including applying practices of least privilege, network segmentation, and proper configuration. (j) Within 30 days of the issuance of the guidance described in subsection (i) of this section, the Director of OMB acting through the Administrator of the Office of Electronic Government within OMB shall take appropriate steps to require that agencies comply with such guidance. (k) Within 30 days of issuance of the guidance described in subsection (e) of this section, the Director of OMB acting through the Administrator of the Office of Electronic Government within OMB shall take appropriate steps to require that agencies comply with such guidelines with respect to software procured after the date of this order. (l) Agencies may request an extension for complying with any requirements issued pursuant to subsection (k) of this section. Any such request shall be considered by the Director of OMB on a case-by-case basis, and only if accompanied by a plan for meeting the underlying requirements. The Director of OMB shall on a quarterly basis provide a report to the APNSA identifying and explaining all extensions granted. (m) Agencies may request a waiver as to any requirements issued pursuant to subsection (k) of this section. Waivers shall be considered by the Director of OMB, in consultation with the APNSA, on a case-by-case basis, and shall be granted only in exceptional circumstances and for limited duration, and only if there is an accompanying plan for mitigating any potential risks. (n) Within 1 year of the date of this order, the Secretary of Homeland Security, in consultation with the Secretary of Defense, the Attorney General, the Director of OMB, and the Administrator of the Office of Electronic Government within OMB, shall recommend to the FAR Council contract language requiring suppliers of software available for purchase by agencies to comply with, and attest to complying with, any requirements issued pursuant to subsections (g) through (k) of this section.

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(o) After receiving the recommendations described in subsection (n) of this section, the FAR Council shall review the recommendations and, as appropriate and consistent with applicable law, amend the FAR. (p) Following the issuance of any final rule amending the FAR as described in subsection (o) of this section, agencies shall, as appropriate and consistent with applicable law, remove software products that do not meet the requirements of the amended FAR from all indefinite delivery indefinite quantity contracts; Federal Supply Schedules; Federal Government-wide Acquisition Contracts; Blanket Purchase Agreements; and Multiple Award Contracts. (q) The Director of OMB, acting through the Administrator of the Office of Electronic Government within OMB, shall require agencies employing software developed and procured prior to the date of this order (legacy software) either to comply with any requirements issued pursuant to subsection (k) of this section or to provide a plan outlining actions to remediate or meet those requirements, and shall further require agencies seeking renewals of software contracts, including legacy software, to comply with any requirements issued pursuant to subsection (k) of this section, unless an extension or waiver is granted in accordance with subsection (l) or (m) of this section. (r) Within 60 days of the date of this order, the Secretary of Commerce acting through the Director of NIST, in consultation with the Secretary of Defense acting through the Director of the NSA, shall publish guidelines recommending minimum standards for vendors’ testing of their software source code, including identifying recommended types of manual or automated testing (such as code review tools, static and dynamic analysis, software composition tools, and penetration testing). (s) The Secretary of Commerce acting through the Director of NIST, in coordination with representatives of other agencies as the Director of NIST deems appropriate, shall initiate pilot programs informed by existing consumer product labeling programs to educate the public on the security capabilities of internet-of-Things (IoT) devices and software development practices, and shall consider ways to incentivize manufacturers and developers to participate in these programs. (t) Within 270 days of the date of this order, the Secretary of Commerce acting through the Director of NIST, in coordination with the Chair of the Federal Trade Commission (FTC) and representatives of other agencies as the Director of NIST deems appropriate, shall identify IoT cybersecurity criteria for a consumer labeling program, and shall consider whether such a consumer labeling program may be operated in conjunction with or modeled after any similar existing government programs consistent with applicable law. The criteria shall reflect increasingly comprehensive levels of testing and assessment that a product may have undergone, and shall use or be compatible with existing labeling schemes that manufacturers use to inform consumers about the security of their products. The Director of NIST shall examine all relevant information, labeling, and incentive programs and employ best practices. This review shall focus on ease of use for consumers and a determination of what measures can be taken to maximize manufacturer participation. (u) Within 270 days of the date of this order, the Secretary of Commerce acting through the Director of NIST, in coordination with the Chair of the FTC and representatives from other agencies as the Director of NIST deems appropriate, shall identify secure software development practices or criteria for a consumer software labeling program, and shall consider whether such a consumer software labeling program may be operated in conjunction with or modeled after any similar existing government programs, consistent with applicable law. The criteria shall reflect a baseline level of secure practices, and if practicable, shall reflect increasingly comprehensive levels of testing and assessment that a product may have undergone. The Director

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of NIST shall examine all relevant information, labeling, and incentive programs, employ best practices, and identify, modify, or develop a recommended label or, if practicable, a tiered software security rating system. This review shall focus on ease of use for consumers and a determination of what measures can be taken to maximize participation. (v) These pilot programs shall be conducted in a manner consistent with OMB Circular A–119 and NIST Special Publication 2000–02 (Conformity Assessment Considerations for Federal Agencies). (w) Within 1 year of the date of this order, the Director of NIST shall conduct a review of the pilot programs, consult with the private sector and relevant agencies to assess the effectiveness of the programs, determine what improvements can be made going forward, and submit a summary report to the APNSA. (x) Within 1 year of the date of this order, the Secretary of Commerce, in consultation with the heads of other agencies as the Secretary of Commerce deems appropriate, shall provide to the President, through the APNSA, a report that reviews the progress made under this section and outlines additional steps needed to secure the software supply chain. Sec. 5. Establishing a Cyber Safety Review Board. (a) The Secretary of Homeland Security, in consultation with the Attorney General, shall establish the Cyber Safety Review Board (Board), pursuant to section 871 of the Homeland Security Act of 2002 (6 U.S.C. 451). (b) The Board shall review and assess, with respect to significant cyber incidents (as defined under Presidential Policy Directive 41 of July 26, 2016 (United States Cyber Incident Coordination) (PPD–41)) affecting FCEB Information Systems or non-Federal systems, threat activity, vulnerabilities, mitigation activities, and agency responses. (c) The Secretary of Homeland Security shall convene the Board following a significant cyber incident triggering the establishment of a Cyber Unified Coordination Group (UCG) as provided by section V(B)(2) of PPD–41; at any time as directed by the President acting through the APNSA; or at any time the Secretary of Homeland Security deems necessary. (d) The Board’s initial review shall relate to the cyber activities that prompted the establishment of a UCG in December 2020, and the Board shall, within 90 days of the Board’s establishment, provide recommendations to the Secretary of Homeland Security for improving cybersecurity and incident response practices, as outlined in subsection (i) of this section. (e) The Board’s membership shall include Federal officials and representatives from private-sector entities. The Board shall comprise representatives of the Department of Defense, the Department of Justice, CISA, the NSA, and the FBI, as well as representatives from appropriate private-sector cybersecurity or software suppliers as determined by the Secretary of Homeland Security. A representative from OMB shall participate in Board activities when an incident under review involves FCEB Information Systems, as determined by the Secretary of Homeland Security. The Secretary of Home- land Security may invite the participation of others on a case-by-case basis depending on the nature of the incident under review. (f) The Secretary of Homeland Security shall biennially designate a Chair and Deputy Chair of the Board from among the members of the Board, to include one Federal and one private-sector member. (g) The Board shall protect sensitive law enforcement, operational, business, and other confidential information that has been shared with it, consistent with applicable law. (h) The Secretary of Homeland Security shall provide to the President through the APNSA any advice, information, or recommendations of the Board for improving cybersecurity and incident response practices and policy upon completion of its review of an applicable incident.

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(i) Within 30 days of completion of the initial review described in subsection (d) of this section, the Secretary of Homeland Security shall provide to the President through the APNSA the recommendations of the Board based on the initial review. These recommendations shall describe: (i) identified gaps in, and options for, the Board’s composition or authorities; (ii) the Board’s proposed mission, scope, and responsibilities; (iii) membership eligibility criteria for private-sector representatives; (iv) Board governance structure including interaction with the executive branch and the Executive Office of the President; (v) thresholds and criteria for the types of cyber incidents to be evaluated; (vi) sources of information that should be made available to the Board, consistent with applicable law and policy; (vii) an approach for protecting the information provided to the Board and securing the cooperation of affected United States individuals and entities for the purpose of the Board’s review of incidents; and (viii) administrative and budgetary considerations required for operation of the Board. (j) The Secretary of Homeland Security, in consultation with the Attorney General and the APNSA, shall review the recommendations provided to the President through the APNSA pursuant to subsection (i) of this section and take steps to implement them as appropriate. (k) Unless otherwise directed by the President, the Secretary of Homeland Security shall extend the life of the Board every 2 years as the Secretary of Homeland Security deems appropriate, pursuant to section 871 of the Homeland Security Act of 2002. Sec. 6. Standardizing the Federal Government’s Playbook for Responding to Cybersecurity Vulnerabilities and Incidents. (a) The cybersecurity vulnerability and incident response procedures currently used to identify, remediate, and recover from vulnerabilities and incidents affecting their systems vary across agencies, hindering the ability of lead agencies to analyze vulnerabilities and incidents more comprehensively across agencies. Stand- ardized response processes ensure a more coordinated and centralized cata- loging of incidents and tracking of agencies’ progress toward successful responses. (b) Within 120 days of the date of this order, the Secretary of Homeland Security acting through the Director of CISA, in consultation with the Director of OMB, the Federal Chief Information Officers Council, and the Federal Chief Information Security Council, and in coordination with the Secretary of Defense acting through the Director of the NSA, the Attorney General, and the Director of National Intelligence, shall develop a standard set of operational procedures (playbook) to be used in planning and conducting a cybersecurity vulnerability and incident response activity respecting FCEB Information Systems. The playbook shall: (i) incorporate all appropriate NIST standards; (ii) be used by FCEB Agencies; and (iii) articulate progress and completion through all phases of an incident response, while allowing flexibility so it may be used in support of various response activities. (c) The Director of OMB shall issue guidance on agency use of the playbook. (d) Agencies with cybersecurity vulnerability or incident response procedures that deviate from the playbook may use such procedures only after consulting with the Director of OMB and the APNSA and demonstrating that these procedures meet or exceed the standards proposed in the playbook.

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(e) The Director of CISA, in consultation with the Director of the NSA, shall review and update the playbook annually, and provide information to the Director of OMB for incorporation in guidance updates. (f) To ensure comprehensiveness of incident response activities and build confidence that unauthorized cyber actors no longer have access to FCEB Information Systems, the playbook shall establish, consistent with applicable law, a requirement that the Director of CISA review and validate FCEB Agencies’ incident response and remediation results upon an agency’s completion of its incident response. The Director of CISA may recommend use of another agency or a third-party incident response team as appropriate. (g) To ensure a common understanding of cyber incidents and the cybersecurity status of an agency, the playbook shall define key terms and use such terms consistently with any statutory definitions of those terms, to the extent practicable, thereby providing a shared lexicon among agencies using the playbook. Sec. 7. Improving Detection of Cybersecurity Vulnerabilities and Incidents on Federal Government Networks. (a) The Federal Government shall employ all appropriate resources and authorities to maximize the early detection of cybersecurity vulnerabilities and incidents on its networks. This approach shall include increasing the Federal Government’s visibility into and detection of cybersecurity vulnerabilities and threats to agency networks in order to bolster the Federal Government’s cybersecurity efforts. (b) FCEB Agencies shall deploy an Endpoint Detection and Response (EDR) initiative to support proactive detection of cybersecurity incidents within Federal Government infrastructure, active cyber hunting, containment and remediation, and incident response. (c) Within 30 days of the date of this order, the Secretary of Homeland Security acting through the Director of CISA shall provide to the Director of OMB recommendations on options for implementing an EDR initiative, centrally located to support host-level visibility, attribution, and response regarding FCEB Information Systems. (d) Within 90 days of receiving the recommendations described in subsection (c) of this section, the Director of OMB, in consultation with Secretary of Homeland Security, shall issue requirements for FCEB Agencies to adopt Federal Government-wide EDR approaches. Those requirements shall support a capability of the Secretary of Homeland Secretary, acting through the Director of CISA, to engage in cyber hunt, detection, and response activities. (e) The Director of OMB shall work with the Secretary of Homeland Security and agency heads to ensure that agencies have adequate resources to comply with the requirements issued pursuant to subsection (d) of this section. (f) Defending FCEB Information Systems requires that the Secretary of Homeland Security acting through the Director of CISA have access to agency data that are relevant to a threat and vulnerability analysis, as well as for assessment and threat-hunting purposes. Within 75 days of the date of this order, agencies shall establish or update Memoranda of Agreement (MOA) with CISA for the Continuous Diagnostics and Mitigation Program to ensure object level data, as defined in the MOA, are available and accessible to CISA, consistent with applicable law. (g) Within 45 days of the date of this order, the Director of the NSA as the National Manager for National Security Systems (National Manager) shall recommend to the Secretary of Defense, the Director of National Intel- ligence, and the Committee on National Security Systems (CNSS) appropriate actions for improving detection of cyber incidents affecting National Security Systems, to the extent permitted by applicable law, including recommendations concerning EDR approaches and whether such measures should be operated by agencies or through a centralized service of common concern provided by the National Manager.

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(h) Within 90 days of the date of this order, the Secretary of Defense, the Director of National Intelligence, and the CNSS shall review the recommendations submitted under subsection (g) of this section and, as appropriate, establish policies that effectuate those recommendations, consistent with applicable law. (i) Within 90 days of the date of this order, the Director of CISA shall provide to the Director of OMB and the APNSA a report describing how authorities granted under section 1705 of Public Law 116–283, to conduct threat-hunting activities on FCEB networks without prior authorization from agencies, are being implemented. This report shall also recommend procedures to ensure that mission-critical systems are not disrupted, procedures for notifying system owners of vulnerable government systems, and the range of techniques that can be used during testing of FCEB Information Systems. The Director of CISA shall provide quarterly reports to the APNSA and the Director of OMB regarding actions taken under section 1705 of Public Law 116–283. (j) To ensure alignment between Department of Defense Information Net- work (DODIN) directives and FCEB Information Systems directives, the Sec- retary of Defense and the Secretary of Homeland Security, in consultation with the Director of OMB, shall: (i) within 60 days of the date of this order, establish procedures for the Department of Defense and the Department of Homeland Security to immediately share with each other Department of Defense Incident Response Orders or Department of Homeland Security Emergency Direc- tives and Binding Operational Directives applying to their respective information networks; (ii) evaluate whether to adopt any guidance contained in an Order or Directive issued by the other Department, consistent with regulations concerning sharing of classified information; and (iii) within 7 days of receiving notice of an Order or Directive issued pursuant to the procedures established under subsection (j)(i) of this section, notify the APNSA and Administrator of the Office of Electronic Government within OMB of the evaluation described in subsection (j)(ii) of this section, including a determination whether to adopt guidance issued by the other Department, the rationale for that determination, and a timeline for application of the directive, if applicable. Sec. 8. Improving the Federal Government’s Investigative and Remediation Capabilities. (a) Information from network and system logs on Federal Infor- mation Systems (for both on-premises systems and connections hosted by third parties, such as CSPs) is invaluable for both investigation and remediation purposes. It is essential that agencies and their IT service providers collect and maintain such data and, when necessary to address a cyber incident on FCEB Information Systems, provide them upon request to the Secretary of Homeland Security through the Director of CISA and to the FBI, consistent with applicable law. (b) Within 14 days of the date of this order, the Secretary of Homeland Security, in consultation with the Attorney General and the Administrator of the Office of Electronic Government within OMB, shall provide to the Director of OMB recommendations on requirements for logging events and retaining other relevant data within an agency’s systems and networks. Such recommendations shall include the types of logs to be maintained, the time periods to retain the logs and other relevant data, the time periods for agencies to enable recommended logging and security requirements, and how to protect logs. Logs shall be protected by cryptographic methods to ensure integrity once collected and periodically verified against the hashes throughout their retention. Data shall be retained in a manner consistent with all applicable privacy laws and regulations. Such recommendations shall also be considered by the FAR Council when promulgating rules pursuant to section 2 of this order.

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(c) Within 90 days of receiving the recommendations described in subsection (b) of this section, the Director of OMB, in consultation with the Secretary of Commerce and the Secretary of Homeland Security, shall formulate policies for agencies to establish requirements for logging, log retention, and log management, which shall ensure centralized access and visibility for the highest level security operations center of each agency. (d) The Director of OMB shall work with agency heads to ensure that agencies have adequate resources to comply with the requirements identified in subsection (c) of this section. (e) To address cyber risks or incidents, including potential cyber risks or incidents, the proposed recommendations issued pursuant to subsection (b) of this section shall include requirements to ensure that, upon request, agencies provide logs to the Secretary of Homeland Security through the Director of CISA and to the FBI, consistent with applicable law. These requirements should be designed to permit agencies to share log information, as needed and appropriate, with other Federal agencies for cyber risks or incidents. Sec. 9. National Security Systems. (a) Within 60 days of the date of this order, the Secretary of Defense acting through the National Manager, in coordination with the Director of National Intelligence and the CNSS, and in consultation with the APNSA, shall adopt National Security Systems requirements that are equivalent to or exceed the cybersecurity requirements set forth in this order that are otherwise not applicable to National Security Systems. Such requirements may provide for exceptions in circumstances necessitated by unique mission needs. Such requirements shall be codified in a National Security Memorandum (NSM). Until such time as that NSM is issued, programs, standards, or requirements established pursuant to this order shall not apply with respect to National Security Systems. (b) Nothing in this order shall alter the authority of the National Manager with respect to National Security Systems as defined in National Security Directive 42 of July 5, 1990 (National Policy for the Security of National Security Telecommunications and Information Systems) (NSD–42). The FCEB network shall continue to be within the authority of the Secretary of Home- land Security acting through the Director of CISA. Sec. 10. Definitions. For purposes of this order: (a) the term ‘‘agency’’ has the meaning ascribed to it under 44 U.S.C. 3502. (b) the term ‘‘auditing trust relationship’’ means an agreed-upon relationship between two or more system elements that is governed by criteria for secure interaction, behavior, and outcomes relative to the protection of assets. (c) the term ‘‘cyber incident’’ has the meaning ascribed to an ‘‘incident’’ under 44 U.S.C. 3552(b)(2). (d) the term ‘‘Federal Civilian Executive Branch Agencies’’ or ‘‘FCEB Agen- cies’’ includes all agencies except for the Department of Defense and agencies in the Intelligence Community. (e) the term ‘‘Federal Civilian Executive Branch Information Systems’’ or ‘‘FCEB Information Systems’’ means those information systems operated by Federal Civilian Executive Branch Agencies, but excludes National Secu- rity Systems. (f) the term ‘‘Federal Information Systems’’ means an information system used or operated by an agency or by a contractor of an agency or by another organization on behalf of an agency, including FCEB Information Systems and National Security Systems. (g) the term ‘‘Intelligence Community’’ or ‘‘IC’’ has the meaning ascribed to it under 50 U.S.C. 3003(4). (h) the term ‘‘National Security Systems’’ means information systems as defined in 44 U.S.C. 3552(b)(6), 3553(e)(2), and 3553(e)(3).

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(i) the term ‘‘logs’’ means records of the events occurring within an organization’s systems and networks. Logs are composed of log entries, and each entry contains information related to a specific event that has occurred within a system or network. (j) the term ‘‘Software Bill of Materials’’ or ‘‘SBOM’’ means a formal record containing the details and supply chain relationships of various components used in building software. Software developers and vendors often create products by assembling existing open source and commercial software components. The SBOM enumerates these components in a product. It is analogous to a list of ingredients on food packaging. An SBOM is useful to those who develop or manufacture software, those who select or purchase software, and those who operate software. Developers often use available open source and third-party software components to create a product; an SBOM allows the builder to make sure those components are up to date and to respond quickly to new vulnerabilities. Buyers can use an SBOM to perform vulnerability or license analysis, both of which can be used to evaluate risk in a product. Those who operate software can use SBOMs to quickly and easily determine whether they are at potential risk of a newly discovered vulnerability. A widely used, machine-readable SBOM format allows for greater benefits through automation and tool integration. The SBOMs gain greater value when collectively stored in a repository that can be easily queried by other applications and systems. Understanding the supply chain of software, obtaining an SBOM, and using it to analyze known vulnerabilities are crucial in managing risk. (k) the term ‘‘Zero Trust Architecture’’ means a security model, a set of system design principles, and a coordinated cybersecurity and system management strategy based on an acknowledgement that threats exist both inside and outside traditional network boundaries. The Zero Trust security model eliminates implicit trust in any one element, node, or service and instead requires continuous verification of the operational picture via real- time information from multiple sources to determine access and other system responses. In essence, a Zero Trust Architecture allows users full access but only to the bare minimum they need to perform their jobs. If a device is compromised, zero trust can ensure that the damage is contained. The Zero Trust Architecture security model assumes that a breach is inevitable or has likely already occurred, so it constantly limits access to only what is needed and looks for anomalous or malicious activity. Zero Trust Architec- ture embeds comprehensive security monitoring; granular risk-based access controls; and system security automation in a coordinated manner throughout all aspects of the infrastructure in order to focus on protecting data in real-time within a dynamic threat environment. This data-centric security model allows the concept of least-privileged access to be applied for every access decision, where the answers to the questions of who, what, when, where, and how are critical for appropriately allowing or denying access to resources based on the combination of sever. Sec. 11. General Provisions. (a) Upon the appointment of the National Cyber Director (NCD) and the establishment of the related Office within the Execu- tive Office of the President, pursuant to section 1752 of Public Law 116– 283, portions of this order may be modified to enable the NCD to fully execute its duties and responsibilities. (b) 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. (c) This order shall be implemented in a manner consistent with applicable law and subject to the availability of appropriations. (d) 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

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party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person. (e) Nothing in this order confers authority to interfere with or to direct a criminal or national security investigation, arrest, search, seizure, or disrup- tion operation or to alter a legal restriction that requires an agency to protect information learned in the course of a criminal or national security investigation.

THE WHITE HOUSE, May 12, 2021.

[FR Doc. 2021–10460 Filed 5–14–21; 8:45 am] Billing code 3295–F1–P

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Rules and Regulations Federal Register Vol. 86, No. 93

Monday, May 17, 2021

This section of the FEDERAL REGISTER Grebasch, Council of the Inspectors information to carry out its statutory contains regulatory documents having general General on Integrity and Efficiency, mission. applicability and legal effect, most of which 1717 H Street NW, Suite 825, Executive Orders 12866 and 13563 are keyed to and codified in the Code of Washington, DC 20006. Federal Regulations, which is published under In promulgating this amended rule, 50 titles pursuant to 44 U.S.C. 1510. FOR FURTHER INFORMATION CONTACT: Virginia Grebasch, Senior Counsel, CIGIE has adhered to the regulatory The Code of Federal Regulations is sold by Pandemic Response Accountability philosophy and the applicable the Superintendent of Documents. Committee, Council of the Inspectors principles of regulation set forth in General on Integrity and Efficiency, section 1 of Executive Order 12866, (202) 292–2600 or [email protected]. Regulatory Planning and Review. The COUNCIL OF THE INSPECTORS Office of Management and Budget GENERAL ON INTEGRITY AND SUPPLEMENTARY INFORMATION: (OMB) has determined that this rule is EFFICIENCY Background Information not ‘‘significant’’ under Executive Order 12866. 5 CFR Part 9801 In accordance with the Privacy Act, Regulatory Flexibility Act RIN 3219–AA03 CIGIE is proposing in a concurrently published notice a newly established These amended regulations will not Privacy Act Regulations system of records pursuant to the have a significant economic impact on Privacy Act for the PRAC a substantial number of small entities. AGENCY: Council of the Inspectors Accountability Data System (PADS)— Therefore, a regulatory flexibility General on Integrity and Efficiency CIGIE–6. CIGIE proposes this system of analysis under the Regulatory (CIGIE). records in furtherance of the PRAC’s Flexibility Act, as amended, is not ACTION: Interim final rule; request for statutory mandate to conduct oversight required. comments. of funds disseminated per the CARES Paperwork Reduction Act Act; the Coronavirus Preparedness and SUMMARY: CIGIE is updating its Response Supplemental Appropriations These amended regulations impose no regulations relating to access, Act of 2020; the Families First additional reporting and recordkeeping maintenance, disclosure, and Coronavirus Response Act; divisions M requirements. Therefore, clearance by amendment of records that are in a and N of the Consolidated OMB is not required. CIGIE system of records under the Appropriations Act of 2021; and any Privacy Act of 1974 (Privacy Act). The Federalism (Executive Order 13132) other act primarily making purpose of the update is to implement appropriations for Coronavirus response This amended rule does not have statutory changes in accordance with and related activities. CIGIE is issuing Federalism implications, as set forth in the provisions of the Coronavirus Aid, this Notice of Interim Final Rulemaking Executive Order 13132. It will not have Relief, and Economic Security (CARES) to exempt this new system of records substantial direct effects on the States, Act that established the Pandemic from certain provisions of the Privacy on the relationship between the national Response Accountability Committee Act. government and the States, or on the (PRAC) within CIGIE. CIGIE is giving distribution of power and concurrent notice of a newly established Administrative Procedure Act responsibilities among the various system of records pursuant to the levels of government. Privacy Act for the PRAC Pursuant to 5 U.S.C. 553(d)(3), CIGIE Accountability Data System (PADS)— has determined that good cause exists List of Subjects in 5 CFR Part 9801 CIGIE–6 and this interim final rule. In for waiving the general notice of proposed rulemaking and public Information, Privacy, Privacy Act, this interim final rule, CIGIE exempts Records. portions of the new system of records comment procedures as to these from one or more provisions of the amendments and for issuing this interim For the reasons set forth in the Privacy Act because of criminal, civil, final rule without a delayed effective preamble, CIGIE amends 5 CFR, part and administrative oversight date. The notice and comment 9801, as follows: requirements. procedures are being waived because these amendments are being made to PART 9801—PRIVACY ACT DATES: This interim final rule is fulfill the requirements of the CARES REGULATIONS effective May 17, 2021. Written Act, which took effect without delay on comments may be submitted by June 16, March 27, 2020. Additionally, these ■ 1. The authority citation for part 9801 2021. amendments specify exemptions is revised to read as follows: ADDRESSES: You may submit comments regarding the public’s access to Authority: Section 11 of the Inspector identified by ‘‘Interim Final Rule/ information about themselves General Act of 1978, as amended, 5 U.S.C. CIGIE–6’’ by any of the following maintained by CIGIE. The absence of app.; 5 U.S.C. 301, 552a; 31 U.S.C. 9701; Sec. methods: well-defined exemptions to the Privacy 15010, Pub. L. 116–136, 134 Stat. 281. 1. Email: [email protected]. Act regulations could impair ■ 2. Amend § 9801.103 by adding 2. Mail: Council of the Inspectors confidentiality and privacy rights of paragraph (i) to read as follows: General on Integrity and Efficiency, those who submit sensitive information 1717 H Street NW, Suite 825, to CIGIE through the PRAC and the § 9801.103 Definitions. Washington, DC 20006. ATTN: Virginia ability of the PRAC to use that * * * * *

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(i) PRAC means the Pandemic classified information which would Federal and other law enforcement Response Accountability Committee compromise the national defense or agencies. established under Section 15010 of the disrupt foreign policy. (C) In interviewing individuals or Coronavirus Aid, Relief, and Economic (ii) From subsection (c)(4) because obtaining other forms of evidence Security Act, Public Law 116–136, 134 this system is exempt from the access during an investigation, information Stat. 281. provisions of subsection (d) pursuant to may be supplied to an investigator that ■ 3. Amend § 9801.401 by adding subsections (j) and (k) of the Privacy relates to matters incidental to the paragraph (c) to read as follows: Act. primary purpose of the investigation but (iii) From the access and amendment which may relate also to matters under § 9801.401 Exemptions. provisions of subsection (d) because the investigative jurisdiction of another * * * * * access to the records contained in this agency. Such information cannot readily (c) Specific system of records system of records could inform the be segregated. exempted under (j)(2), (k)(1), and (k)(2). subjects of an investigation of an actual (v) From subsection (e)(2) because, in The system of records maintained in or potential criminal, civil, or regulatory some instances, the application of this connection with PRAC Accountability violation of the existence of that provision would present a serious Data System (CIGIE–6), is subject to investigation and of the nature and impediment to law enforcement for the general exemption under 5 U.S.C. scope of the information and evidence following reasons: 552a(j)(2) and the specific exemptions obtained as to their activities. Such (A) The subjects of an investigation under 5 U.S.C. 552a(k)(1) and (2). These awareness by the subjects could prevent would be placed on notice as to the exemptions apply only to the extent that the successful completion of an existence of an investigation and would information in this system is subject to investigation and/or lead to the therefore be able to avoid detection or exemption pursuant to 5 U.S.C. 552a improper influencing of witnesses, the apprehension, to improperly influence (j)(2), (k)(1) and (k)(2). Where destruction of evidence, or fabricated witnesses, to destroy evidence, or to compliance would not appear to testimony. In addition, granting access fabricate testimony. interfere with or adversely affect the law (B) In certain circumstances the to such information could disclose enforcement process, and/or where it subjects of an investigation cannot be security-sensitive or confidential may be appropriate to permit required to provide information to business information or information that individuals to contest the accuracy of investigators, and information relating would constitute an unwarranted the information collected, e.g., public to their illegal acts, violations of rules of invasion of the personal privacy of third source materials, the applicable conduct, or any other misconduct must parties. Finally, access to the records exemption may be waived, either be obtained from other sources. could result in the release of classified partially or totally, by CIGIE, at the sole (C) In any investigation it is necessary information which would compromise discretion of CIGIE, as appropriate. to obtain evidence from a variety of (1) Pursuant to the provisions of 5 the national defense or disrupt foreign sources other than the subjects of the U.S.C. 552a(j)(2), CIGIE–6 is exempt policy. Amendment of the records investigation. from the following provisions of the would interfere with ongoing (vi) From subsection (e)(3) because Privacy Act: 5 U.S.C. 552a(c)(3) and investigations and law enforcement the application of this provision would (c)(4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G)– activities and impose an impossible provide the subjects of an investigation (H), (e)(5), and (e)(8); (f); and (g). administrative burden by requiring with substantial information which (2) Pursuant to the provisions of 5 investigations to be continuously could impede or compromise the U.S.C. 552a(k)(1) and (2), CIGIE–6 is reinvestigated. investigation. exempt from the following provisions of (iv) From subsection (e)(1) because (vii) From subsection (e)(4)(G)–(I) the Privacy Act: 5 U.S.C. 552a(c)(3); (d); the application of this provision could because this system of records is exempt (e)(1) and (e)(4)(G)–(H); and (f). impair investigations and interfere with from the access provisions of subsection (3) Exemptions from the particular the law enforcement responsibilities of (d). subsections are justified for the CIGIE through the PRAC for the (viii) From subsection (e)(5) because following reasons: following reasons: the application of this provision may (i) From subsection (c)(3) because (A) It is not possible to detect prevent the collection of any data not release of disclosure accounting could relevance or necessity of specific shown to be accurate, relevant, timely, alert the subjects of an investigation of information in the early stages of a civil, and complete at the moment it is an actual or potential criminal, civil, or criminal, or other law enforcement collected. In the collection of regulatory violation to the existence of investigation, case, or matter, including information for law enforcement the investigation and the fact that they investigations in which use is made of purposes, it is impossible to determine are subjects of the investigation, and classified information. Relevance and in advance what information is reveal investigative interest by not only necessity are questions of judgment and accurate, relevant, timely, and complete. CIGIE, through the PRAC, but also by timing, and it is only after the Material which may seem unrelated, external agencies such as Federal information is evaluated that the irrelevant, or incomplete when collected Offices of Inspector General. Because relevance and necessity of such may take on added meaning or release of such information to the information can be established. significance as an investigation subjects of an investigation would (B) During the course of any progresses. The restrictions of this provide them with significant investigation, CIGIE, through the PRAC provision could interfere with the information concerning the nature of the may obtain information concerning preparation of a complete investigative investigation, release could result in the actual or potential violations of laws report, and thereby impede effective law destruction of documentary evidence, other than those within the scope of its enforcement. improper influencing of witnesses, and jurisdiction. In the interest of effective (ix) From subsection (e)(8) because other activities that could impede or law enforcement, the PRAC should the application of this provision could compromise the investigation. In retain this information, as it may aid in prematurely reveal an ongoing criminal addition, accounting for each disclosure establishing patterns of criminal activity investigation to the subjects of an could result in the release of properly and can provide valuable leads for investigation and could reveal

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investigative techniques, procedures, or Type 2 dry shielded canister and change the Code of Federal Regulations to evidence. the maximum assembly heat load from revise the TN Americas LLC (x) From subsection (f) because 1.2kW to 1.7kW. Standardized NUHOMS® Horizontal CIGIE’s rules are inapplicable to those DATES: The effective date of June 7, Modular Storage System listing within portions of the system that are exempt 2021, for the direct final rule published the ‘‘List of approved spent fuel storage and would place the burden on CIGIE of March 24, 2021 (86 FR 15563), is casks’’ to include Renewed Amendment either confirming or denying the confirmed. No. 17 to Certificate of Compliance No. existence of a record pertaining to a 1004. Renewed Amendment No. 17 requesting individual, which might in ADDRESSES: Please refer to Docket ID revises the certificate of compliance itself provide an answer to that NRC–2020–0274 when contacting the technical specifications to 1) add Heat individual relating to an ongoing NRC about the availability of Load Zoning Configurations 11–13 for investigation. The conduct of a information for this action. You may the 61BTH Type 2 dry shielded canister successful investigation leading to the obtain publicly-available information and 2) change the maximum assembly indictment of a criminal offender related to this action by any of the heat load from 1.2kW to 1.7kW. This precludes the applicability of following methods: • amendment also makes minor established agency rules relating to Federal Rulemaking Website: Go to clarifications to the certificate of verification of record, disclosure of the https://www.regulations.gov and search compliance. record to that individual, and record for Docket ID NRC–2020–0274. Address In the direct final rule, the NRC stated amendment procedures for this record questions about NRC dockets to Dawn that if no significant adverse comments system. Forder; telephone: 301–415–3407; were received, the direct final rule (xi) From subsection (g) to the extent email: [email protected]. For would become effective on June 7, 2021. that this system is exempt from the technical questions, contact the The NRC did not receive any comments access and amendment provisions of individuals listed in the FOR FURTHER on the direct final rule. Therefore, this subsection (d) pursuant to subsections INFORMATION CONTACT section of this direct final rule will become effective as (j)(2), (k)(1), and (k)(2) of the Privacy document. • scheduled. Act. NRC’s Agencywide Documents Access and Management System Dated: May 11, 2021 Dated: May 12, 2021. (ADAMS): You may obtain publicly- For the Nuclear Regulatory Commission. Allison C. Lerner, available documents online in the Cindy K. Bladey, Chairperson of the Council of the Inspectors ADAMS Public Documents collection at Chief, Regulatory Analysis and Rulemaking General on Integrity and Efficiency. https://www.nrc.gov/reading-rm/ Support Branch, Division of Rulemaking, [FR Doc. 2021–10375 Filed 5–13–21; 4:15 pm] adams.html. To begin the search, select Environmental, and Financial Support, Office BILLING CODE 6820–C9–P ‘‘Begin Web-based ADAMS Search.’’ For of Nuclear Material Safety and Safeguards. problems with ADAMS, please contact [FR Doc. 2021–10281 Filed 5–14–21; 8:45 am] the NRC’s Public Document Room (PDR) BILLING CODE 7590–01–P NUCLEAR REGULATORY reference staff at 1–800–397–4209, 301– COMMISSION 415–4737, or by email to pdr.resource@ nrc.gov. The proposed amendment to DEPARTMENT OF TRANSPORTATION 10 CFR Part 72 the certificate of compliance, the [NRC–2020–0274] proposed changes to the technical Federal Aviation Administration specifications, and the preliminary RIN 3150–AK57 safety evaluation report are available in 14 CFR Part 39 List of Approved Spent Fuel Storage ADAMS under Accession No. [Docket No. FAA–2020–1038; Project Casks: TN Americas LLC Standardized ML20308A485. The final amendment to Identifier MCAI–2020–00569–E; Amendment NUHOMS® Horizontal Modular Storage the certificate of compliance, final 39–21496; AD 2021–08–02] System, Certificate of Compliance No. changes to the technical specifications, RIN 2120–AA64 1004, Renewed Amendment No. 17 and final safety evaluation report can also be viewed in ADAMS under Airworthiness Directives; Safran AGENCY: Nuclear Regulatory Accession No. ML21109A325. Helicopter Engines, S.A. (Type Commission. • Attention: The PDR, where you may Certificate Previously Held by ACTION: Direct final rule; confirmation of examine and order copies of public Turbomeca, S.A.) Turboshaft Engines effective date. documents, is currently closed. You may submit your request to the PDR via AGENCY: Federal Aviation SUMMARY: The U.S. Nuclear Regulatory email at [email protected] or call 1– Administration (FAA), DOT. Commission (NRC) is confirming the 800–397–4209 between 8:00 a.m. and ACTION: Final rule. effective date of June 7, 2021, for the 4:00 p.m. (EST), Monday through direct final rule that was published in Friday, except Federal holidays. SUMMARY: The FAA is adopting a new the Federal Register on March 24, 2021. airworthiness directive (AD) for all This direct final rule amended the TN FOR FURTHER INFORMATION CONTACT: Safran Helicopter Engines, S.A. (Safran) Americas LLC Standardized NUHOMS® Alexa Sieracki, Office of Nuclear Arriel 2D and Arriel 2E model Horizontal Modular Storage System Material Safety and Safeguards, U.S. turboshaft engines. This AD was listing in the ‘‘List of approved spent Nuclear Regulatory Commission, prompted by the manufacturer revising fuel storage casks’’ to include Renewed Washington, DC 20555–0001; telephone: the maintenance and overhaul manuals Amendment No. 17 to Certificate of 301–415–7509; email: Alexa.Sieracki@ to introduce new or more restrictive Compliance No. 1004. Renewed nrc.gov. airworthiness limitations and Amendment No. 17 revises the SUPPLEMENTARY INFORMATION: On March maintenance tasks. This AD requires the certificate of compliance technical 24, 2021 (86 FR 15563), the NRC replacement of certain critical parts specifications to add Heat Load Zoning published a direct final rule amending before reaching their published in- Configurations 11–13 for the 61BTH its regulations in part 72 of title 10 of service life limits, performing scheduled

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maintenance tasks before reaching their apply to all Safran Arriel 2D and Arriel Conclusion published periodicity, and performing 2E model turboshaft engines. The NPRM unscheduled maintenance tasks when published in the Federal Register on The FAA reviewed the relevant data the engine meets certain conditions. As November 30, 2020 (85 FR 76492). The and determined that air safety requires a terminating action, this AD requires NPRM was prompted by the adopting this AD as proposed. operators to revise the airworthiness manufacturer revising the maintenance Accordingly, the FAA is issuing this AD limitation section (ALS) of their existing and overhaul manuals to introduce new to address the unsafe condition on these approved aircraft maintenance program or more restrictive airworthiness products. Except for minor editorial (AMP) by incorporating the revised limitations and maintenance tasks. In changes, this AD is adopted as proposed airworthiness limitations and the NPRM, the FAA proposed to require in the NPRM. maintenance tasks. The FAA is issuing the replacement of certain critical parts this AD to address the unsafe condition before reaching their published in- Related Service Information Under 1 on these products. service life limits, performing scheduled CFR Part 51 maintenance tasks before reaching their DATES: This AD is effective June 21, The FAA reviewed Section 05–10–00, published periodicity, and performing 2021. Airworthiness Limitations, of Chapter unscheduled maintenance tasks when The Director of the Federal Register 05, Airworthiness Limitations— approved the incorporation by reference the engine meets certain conditions specified in the applicable Safran Arriel Frequencies—Inspections, of the Safran of certain publications listed in this AD Helicopter Engines ARRIEL 2D as of June 21, 2021. maintenance manual (MM) chapter. As a terminating action, the NPRM Maintenance Manual, Volume 1, No. X ADDRESSES: For service information proposed to require operators to revise 292 R1 450 2, Update No. 20, dated June identified in this final rule, contact the ALS of their existing approved AMP 15, 2020. Safran Helicopter Engines Safran Helicopter Engines, S.A., 64511 by incorporating the revised ARRIEL 2D Maintenance Manual No. Bordes—Cedex, France; phone: (33) 05 airworthiness limitations and X292 R1 450 2 identifies the terms used 59 74 40 00; fax: (33) 05 59 74 45 15. maintenance tasks. The FAA is issuing in tables for limits and mandatory You may view this service information this AD to address the unsafe condition maintenance tasks, usage counters of the at the FAA, Airworthiness Products on these products. engine log book, life limits for life- Section, Operational Safety Branch, The European Union Aviation Safety 1200 District Avenue, Burlington, MA limited parts, and mandatory inspection Agency (EASA), which is the Technical tasks to be carried out to reach the 01803. For information on the Agent for the Member States of the availability of this material at the FAA, airworthiness objectives on Safran European Community, has issued EASA Arriel 2D model engines. call (781) 238–7759. It is also available AD 2018–0273, dated December 13, at https://www.regulations.gov by 2018 (referred to after this as ‘‘the The FAA reviewed Section 05–10–00, searching for and locating Docket No. MCAI’’), to address the unsafe condition Airworthiness Limitations, of Chapter FAA–2020–1038. on these products. The MCAI states: 05, Airworthiness Limitations— Frequencies—Inspections, of the Safran Examining the AD Docket The airworthiness limitations and maintenance tasks for the SAFRAN ARRIEL Helicopter Engines ARRIEL 2E You may examine the AD docket at Maintenance Manual No. X 292 R2 300 https://www.regulations.gov by 2D, ARRIEL 2E and ARRIEL 2N engines, which are approved by EASA, are currently 2, Update No. 16, dated June 15, 2020. searching for and locating Docket No. defined and published in the SAFRAN Safran Helicopter Engines ARRIEL 2E FAA–2020–1038; or in person at Docket ARRIEL 2 Maintenance and Overhaul Maintenance Manual No. X292 R2 300 Operations between 9 a.m. and 5 p.m., Manuals, as applicable. These instructions Monday through Friday, except Federal have been identified as mandatory for 2 identifies the terms used in tables for holidays. The AD docket contains this continued airworthiness. limits and mandatory maintenance final rule, the mandatory continuing Failure to accomplish these instructions tasks, usage counters of the engine log airworthiness information (MCAI), any could result in an unsafe condition. book, life limits for life-limited parts, SAFRAN recently revised the applicable comments received, and other and mandatory inspection tasks to be Maintenance and Overhaul Manuals (the carried out to reach the airworthiness information. The address for Docket applicable ALS), introducing new and/or Operations is U.S. Department of more restrictive airworthiness limitations objectives on Safran Arriel 2E model Transportation, Docket Operations, M– and maintenance tasks. engines. 30, West Building Ground Floor, Room For the reason described above, this This service information is reasonably W12–140, 1200 New Jersey Avenue SE, [EASA] AD requires accomplishment of the actions specified in the applicable ALS. available because the interested parties Washington, DC 20590. have access to it through their normal FOR FURTHER INFORMATION CONTACT: You may obtain further information course of business or by the means by examining the MCAI in the AD Wego Wang, Aviation Safety Engineer, identified in ADDRESSES. ECO Branch, FAA, 1200 District docket at https://www.regulations.gov Avenue, Burlington, MA 01803; phone: by searching for and locating Docket No. Costs of Compliance (781) 238–7134; fax: (781) 238–7199; FAA–2020–1038. The FAA estimates that this AD email: [email protected]. Discussion of Final Airworthiness affects 426 engines installed on SUPPLEMENTARY INFORMATION: Directive helicopters of U.S. registry. Background Comments The FAA estimates the following The FAA issued a notice of proposed The FAA received no comments on costs to comply with this AD: rulemaking (NPRM) to amend 14 CFR the NPRM or on the determination of part 39 by adding an AD that would the costs.

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ESTIMATED COSTS

Cost per Cost on U.S. Action Labor cost Parts cost product operators

Remove and replace critical parts ...... 12 work-hours × $85 per hour = $1,020 ...... $1,152 $2,172 $925,272 Perform maintenance tasks ...... 1 work-hour × $85 per hour = $85 ...... 1,152 1,237 526,962 Revise the ALS and AMP ...... 1 work-hour × $85 per hour = $85 ...... 0 85 36,210

The FAA estimates the following the results of the mandated maintenance determining the number of aircraft that costs to do any necessary corrective tasks. The agency has no way of might need these actions. actions that would be required based on

ON-CONDITION COSTS

Cost per Action Labor cost Parts cost product

Perform corrective action ...... 1 work-hour × $85 per hour = $85 ...... $0 $85

Authority for This Rulemaking List of Subjects in 14 CFR Part 39 maintenance tasks. The FAA is issuing this AD to prevent failure of the engine. The Air transportation, Aircraft, Aviation Title 49 of the United States Code unsafe condition, if not addressed, could specifies the FAA’s authority to issue safety, Incorporation by reference, result in uncontained release of a critical rules on aviation safety. Subtitle I, Safety. part, damage to the engine, and damage to section 106, describes the authority of The Amendment the helicopter. the FAA Administrator. Subtitle VII: Aviation Programs, describes in more Accordingly, under the authority (f) Compliance detail the scope of the Agency’s delegated to me by the Administrator, Comply with this AD within the authority. the FAA amends 14 CFR part 39 as compliance times specified, unless already The FAA is issuing this rulemaking follows: done. under the authority described in PART 39—AIRWORTHINESS (g) Required Actions Subtitle VII, Part A, Subpart III, Section DIRECTIVES (1) Replace each critical part before 44701: General requirements. Under reaching the in-service life limits specified in that section, Congress charges the FAA ■ 1. The authority citation for part 39 paragraph 1.C., ‘‘Table of authorized in- with promoting safe flight of civil continues to read as follows: service life limits for the ARRIEL 2D,’’ or aircraft in air commerce by prescribing Authority: 49 U.S.C. 106(g), 40113, 44701. ‘‘Table of authorized in-service life limits for regulations for practices, methods, and the ARRIEL 2E,’’ Chapter 05–10–00 of the procedures the Administrator finds § 39.13 [Amended] Safran ARRIEL Maintenance Manual (MM) necessary for safety in air commerce. ■ 2. The FAA amends § 39.13 by adding for that engine. This regulation is within the scope of the following new airworthiness (2) Before reaching the periodicity that authority because it addresses an directive: specified in paragraph 1., ‘‘Tables of unsafe condition that is likely to exist or Mandatory Maintenance Tasks,’’ table D., develop on products identified in this 2021–08–02 Safran Helicopter Engines, ‘‘Scheduled inspection,’’ Chapter 05–10–00 rulemaking action. S.A. (Type Certificate previously held by of the Safran ARRIEL MM for that engine, Turbomeca, S.A.): Amendment 39– perform all maintenance tasks specified in Regulatory Findings 21496; Docket No. FAA–2020–1038; table D. Project Identifier MCAI–2020–00569–E. This AD will not have federalism (3) When the engine meets the conditions specified in paragraph 1., ‘‘Tables of implications under Executive Order (a) Effective Date Mandatory Maintenance Tasks,’’ table E., 13132. This AD will not have a This airworthiness directive (AD) is effective June 21, 2021. ‘‘Unscheduled inspection,’’ Chapter 05–10– substantial direct effect on the States, on 00 of the Safran ARRIEL MM for that engine, the relationship between the national (b) Affected ADs perform the maintenance tasks specified in government and the States, or on the None. table E. distribution of power and (4) If, during performance of the (c) Applicability responsibilities among the various maintenance tasks required by paragraph levels of government. This AD applies to all Safran Helicopter (g)(2) or (3) of this AD, a discrepancy is For the reasons discussed above, I Engines, S.A. (Safran) (Type Certificate found, as defined in the applicable certify that this AD: previously held by Turbomeca, S.A.) Arriel airworthiness limitation section (ALS), 2D and Arriel 2E model turboshaft engines. (1) Is not a ‘‘significant regulatory perform the corrective actions specified in action’’ under Executive Order 12866, (d) Subject paragraph 1., ‘‘Tables of Mandatory Maintenance Tasks,’’ table D., ‘‘Scheduled (2) Will not affect intrastate aviation Joint Aircraft System Component (JASC) Code 7250, Turbine Section. inspection,’’ or table E. ‘‘Unscheduled in Alaska, and inspection,’’ Chapter 05–10–00 of the Safran (3) Will not have a significant (e) Unsafe Condition ARRIEL MM for the engine. economic impact, positive or negative, This AD was prompted by the (5) If no compliance time is identified in on a substantial number of small entities manufacturer revising the maintenance and Chapter 05–10–00 of the Safran ARRIEL MM, under the criteria of the Regulatory overhaul manuals to introduce new or more perform the corrective action before further Flexibility Act. restrictive airworthiness limitations and flight.

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(h) Exception to Paragraphs (g)(2) and (3) CFR 39.19. In accordance with 14 CFR 39.19, Issued on May 11, 2021. Where the applicable Safran ARRIEL MM send your request to your principal inspector Lance T. Gant, chapters provide instructions to send the or local Flight Standards District Office, as Director, Compliance & Airworthiness Module 03 to a Safran Helicopter Engines- appropriate. If sending information directly Division, Aircraft Certification Service. approved repair center, the operator may to the manager of the certification office, [FR Doc. 2021–10310 Filed 5–14–21; 8:45 am] choose to send the Module 03 to any FAA- send it to the attention of the person BILLING CODE 4910–13–P approved repair center capable of performing identified in Related Information. You may the required actions. email your request to: ANE-AD-AMOC@ (i) Mandatory Terminating Action faa.gov. (2) Before using any approved AMOC, CONSUMER PRODUCT SAFETY As terminating action to the requirements COMMISSION in paragraph (g) of this AD, within 365 days notify your appropriate principal inspector, or lacking a principal inspector, the manager after the effective date of this AD, revise the 16 CFR Parts 1112, 1130, and 1232 ALS of the existing approved aircraft of the local flight standards district office/ maintenance program (AMP) by certificate holding district office. [Docket No. CPSC–2015–0029] incorporating: (m) Related Information (i) Task 05–10–00–150–801–A01, Safety Standard for Children’s Folding ‘‘Airworthiness Limitations—General,’’ from (1) For more information about this AD, Chairs and Stools the applicable Safran ARRIEL MM chapter. contact Wego Wang, Aviation Safety (ii) Task 05–10–00–200–801–A01, Engineer, ECO Branch, FAA, 1200 District AGENCY: Consumer Product Safety ‘‘Airworthiness Limitations—Authorized In- Avenue, Burlington, MA 01803; phone: (781) Commission. Service Life Limits,’’ from the applicable 238–7134; fax: (781) 238–7199; email: wego. ACTION: Direct final rule. Safran ARRIEL MM chapter. [email protected]. (iii) Task 05–10–10–200–801–A01, (2) Refer to European Union Aviation SUMMARY: In December 2017, the U.S. ‘‘Airworthiness Limitations—Tables of Safety Agency (EASA) AD 2018–0273, dated Consumer Product Safety Commission Mandatory Maintenance Tasks,’’ from the (CPSC) issued a consumer product applicable Safran ARRIEL MM chapter. December 13, 2018, for more information. You may examine the EASA AD in the AD safety standard for children’s folding (j) Definitions docket at https://www.regulations.gov by chairs and stools. The standard (1) For the purpose of this AD, a ‘‘critical searching for and locating it in Docket No. incorporated by reference the applicable part’’ is a part identified in paragraph 1.C., FAA–2020–1038. ASTM voluntary standard. The ‘‘Table of authorized in-service life limits for Consumer Product Safety Improvement (n) Material Incorporated by Reference the ARRIEL 2D,’’ or ‘‘Table of authorized in- Act (CPSIA) sets forth a process for service life limits for the ARRIEL 2E,’’ (1) The Director of the Federal Register updating mandatory standards for Chapter 05–10–00 of the Safran ARRIEL MM approved the incorporation by reference durable infant or toddler products that for that engine. (IBR) of the service information listed in this are based on a voluntary standard, when (2) For the purpose of this AD, the paragraph under 5 U.S.C. 552(a) and 1 CFR ‘‘Chapter 05–10–00 of the Safran ARRIEL a voluntary standards organization part 51. revises the standard. Since 2017, ASTM MM’’ is: (2) You must use this service information (i) Chapter 05–10–00 of Safran Aircraft has revised the voluntary standard for as applicable to do the actions required by Engines ARRIEL 2D MM No. X292 R1 450 2, children’s folding chairs and stools Update No. 20, dated June 15, 2020; or this AD, unless the AD specifies otherwise. twice. Consistent with the CPSIA (ii) Chapter 05–10–00 of Safran Aircraft (i) Section 05–10–00, Airworthiness update process, this direct final rule Limitations, of Chapter 05, Airworthiness Engines ARRIEL 2E MM No. X292 R2 300 2, updates the mandatory standard for Limitations—Frequencies—Inspections, of Update No. 16, dated June 15, 2020. children’s folding chairs and stools to the Safran Helicopter Engines ARRIEL 2D (3) For the purpose of this AD, the incorporate by reference ASTM’s 2021 ‘‘approved maintenance program’’ is defined Maintenance Manual, Volume 1, No. X 292 as the basis for which the operator ensures R1 450 2, Update No. 20, dated June 15, version of the voluntary standard. the continuing airworthiness of each 2020. DATES: The rule is effective on August operated helicopter. (ii) Section 05–10–00, Airworthiness 21, 2021, unless we receive significant (k) Credit for Previous Actions Limitations, of Chapter 05, Airworthiness adverse comment by June 16, 2021. If Limitations—Frequencies—Inspections, of we receive timely significant adverse (1) For affected Safran Arriel 2D model the Safran Helicopter Engines ARRIEL 2E comments, we will publish notification turboshaft engines, you may take credit for Maintenance Manual, Volume 1, No. X 292 revising the ALS of the existing approved in the Federal Register, withdrawing AMP that is required by paragraph (i) of this R2 300 2, Update No. 16, dated June 15, this direct final rule before its effective AD if you incorporated the tasks before the 2020. date. The incorporation by reference of effective date of this AD using Chapter 05– (3) For service information identified in the publication listed in this rule is 10–00 of Safran ARRIEL 2D MM No. X292 R1 this AD, contact Safran Helicopter Engines, approved by the Director of the Federal 450 2, Update No. 19, dated December 30, S.A., 64511 Bordes—Cedex, France; phone: Register as of August 21, 2021. 2019. (33) 05 59 74 40 00; fax: (33) 05 59 74 45 15. ADDRESSES: You may submit comments, (2) For affected Safran Arriel 2E model (4) You may view this service information identified by Docket No. CPSC–2015– turboshaft engines, you may take credit for at FAA, Airworthiness Products Section, revising the ALS of the existing approved Operational Safety Branch, 1200 District 0029, by any of the following methods: AMP that is required by paragraph (i) of this Avenue, Burlington, MA 01803. For Electronic Submissions: Submit AD if you incorporated the tasks before the information on the availability of this electronic comments to the Federal effective date of this AD using Chapter 05– material at the FAA, call (781) 238–7759. eRulemaking Portal at: https:// 10–00 of Safran ARRIEL 2E MM No. X292 R2 (5) You may view this service information www.regulations.gov. Follow the 300 2, Update No. 15, dated December 30, that is incorporated by reference at the instructions for submitting comments. 2019. National Archives and Records The CPSC does not accept comments (l) Alternative Methods of Compliance Administration (NARA). For information on submitted by electronic mail (email), (AMOCs) the availability of this material at NARA, except through https:// (1) The Manager, ECO Branch, FAA, has email: [email protected], or go to: www.regulations.gov and as described the authority to approve AMOCs for this AD, https://www.archives.gov/federal-register/cfr/ below. The CPSC encourages you to if requested using the procedures found in 14 ibr-locations.html. submit electronic comments by using

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the Federal eRulemaking Portal, as 104(b)(4)(B) of the CPSIA provides that voluntary standard that is a CPSC described above. if an organization revises a standard that mandatory standard ‘‘does not improve Mail/Hand Delivery/Courier has been adopted, in whole or in part, the safety of the consumer product Submissions: Submit comments by as a consumer product safety standard covered by the standard,’’ the revised mail/hand delivery/courier to: Division under this subsection, it shall notify the voluntary standard becomes the new of the Secretariat, Consumer Product Commission. In addition, the revised mandatory standard. As discussed Safety Commission, Room 820, 4330 voluntary standard shall be considered below, the Commission determines that East West Highway, Bethesda, MD to be a consumer product safety the changes made in ASTM F2613–21 20814; telephone (301) 504–7479. standard issued by the Commission are neutral or improve the safety of Alternatively, as a temporary option under section 9 of the Consumer children’s folding chairs and stools. during the COVID–19 pandemic, you Product Safety Act (CPSA) (15 U.S.C. Therefore, the Commission will allow can email such submissions to: cpsc-os@ 2058), effective 180 days after the date the revised voluntary standard ASTM cpsc.gov. on which the organization notifies the F2613–21 to become effective as a Instructions: All submissions received Commission (or such later date mandatory consumer product safety must include the agency name and specified by the Commission in the standard under the statute, effective docket number for this notice. CPSC Federal Register) unless, within 90 days August 21, 2021. may post all comments without change, after receiving that notice, the Commission notifies the organization Differences Between 16 CFR Part 1232 including any personal identifiers, and ASTM F2613–21 contact information, or other personal that it has determined that the proposed information provided, to: https:// revision does not improve the safety of In February 2021, ASTM revised www.regulations.gov. Do not submit the consumer product covered by the ASTM F2613–19. The resulting electronically confidential business standard and that the Commission is standard, ASTM F2613–21, includes the information, trade secret information, or retaining the existing consumer product following changes: safety standard. other sensitive or protected information Substantive Change that you do not want to be available to 2. ASTM Standard for Children’s Chairs ASTM F2613–21 makes one the public. If you wish to submit such and Stools information please submit it according substantive change to the standard by to the instructions for written On December 15, 2017, the updating the definition of stools in the submissions. Commission published a final rule standard to include ottomans. The issuing a mandatory standard for Docket: For access to the docket to Commission finds the substantive children’s folding chairs and stools that read background documents or change made in ASTM F2613–21 to be incorporated by reference the voluntary comments received, go to: https:// an improvement to safety as it clarifies standard in effect at that time, ASTM www.regulations.gov, and insert the the standard’s scope to include F2613–17a, Standard Consumer docket number, CPSC- 2015–0029, into ottomans, a product previously not Specification for Children’s Chairs and the ‘‘Search’’ box, and follow the clearly subject to the mandatory Stools. 82 FR 59505. The ASTM prompts. standard. standard for children’s folding chairs FOR FURTHER INFORMATION CONTACT: and stools, ASTM F2613, Standard Non-Substantive Changes Keysha Walker, Compliance Officer, Consumer Safety Specification for Other changes to the standard were Office of Compliance and Field Children’s Chairs and Stools, applies to minor or editorial in nature as described Operations, Consumer Product Safety children’s folding chairs and stools with below. Commission, 4330 East West Highway, a seat height of 15 inches or less, and • Clarification that infant/toddler Bethesda, MD 20814–4408; telephone: equipped with or without a rocking rockers are not included within the 301–504–6820; email: kwalker@ base. These chairs are intended to be scope of the standard, because infant/ cpsc.gov. used by a single child who can get in toddler rockers are subject to a different voluntary standard, ASTM F3084–20, SUPPLEMENTARY INFORMATION: and out of the product unassisted. The standard was codified in the Standard Consumer Safety A. Background Commission’s regulations at 16 CFR part Specification for Infant and Infant/ Toddler Rockers. 1. Statutory Authority 1232. Since publication of ASTM F2613–17a, the original mandatory • Removal of a previous version of a Section 104(b)(1)(B) of the CPSIA, standard, ASTM has published two locking test method that is no longer also known as the Danny Keysar Child revisions to ASTM F2613. ASTM referenced in ASTM F2613–21. The Product Safety Notification Act, requires F2613–19 was approved and published ASTM F2613–21 standard contains the the Commission to promulgate in November 2019. On April 1, 2020, current latching and locking test method consumer product safety standards for the Commission issued a direct final that is similar to a previous version of durable infant or toddler products. The rule updating the incorporation by a locking test method. Although law requires these standards to be reference to ASTM F2613–19 as the removal of the previous version of the ‘‘substantially the same as’’ applicable mandatory standard. 85 FR 18111. In test method was included on an ASTM voluntary standards or more stringent February 2021, ASTM approved and ballot, when ASTM published F2613– than the voluntary standards if the published ASTM F2613–21. ASTM 19, the previous locking test method Commission concludes that more officially notified the Commission of was inadvertently retained in the test stringent requirements would further this revision on February 22, 2021. The method section of the standard. There reduce the risk of injury associated with rule is incorporating by reference ASTM are no performance requirements the product. F2613–21 as the mandatory standard. associated with the previous locking The CPSIA also sets forth a process testing method and the test method is for updating CPSC’s durable infant or B. Revisions to the ASTM Standard not currently being used for testing toddler standards when the voluntary Under section 104(b)(4)(B) of the products to the standard. Therefore, standard upon which the CPSC standard CPSIA, unless the Commission ASTM F2613–21 removed this unused was based is changed. Section determines that ASTM’s revision of a test method.

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The Commission finds that all of the summarizes the major provisions of the Commission has previously published a non-substantive changes in ASTM ASTM F2613–21 standard that the notice of requirements (NOR) for F2613–21 are editorial in nature, and Commission incorporates by reference accreditation of third party conformity therefore, neutral regarding safety, and into 16 CFR part 1232. The standard is assessment bodies for testing children’s thus do not affect the safety of reasonably available to interested folding chairs and stools (82 FR 59505, children’s folding chairs and stools. parties, and interested parties can December 15, 2017). The NOR provided purchase a copy of ASTM F2613–21 the criteria and process for our C. Revisions to Parts 1112, 1130, and from ASTM International, 100 Barr acceptance of accreditation of third 1232 Harbor Drive, P.O. Box C700, West party conformity assessment bodies for CPSC has received an inquiry from a Conshohocken, PA 19428–2959 USA; testing children’s folding chairs and testing laboratory regarding whether 16 phone: 610–832–9585; www.astm.org. stools to 16 CFR part 1232. The NORs CFR part 1232 was intended to apply to Additionally, until the direct final rule for all mandatory standards for durable non-folding stools, because the title of takes effect, a read-only copy of ASTM infant or toddler products are listed in the Part did not specifically state it F2613–21 is available for viewing on the Commission’s rule, ‘‘Requirements applied to ‘‘folding chairs and folding ASTM’s website at: https://www.astm. Pertaining to Third Party Conformity stools.’’ Previous discussions in the org/CPSC.htm. Once the rule takes Assessment Bodies,’’ codified at 16 CFR preambles of the NPR (80 FR 63155, effect, a read-only copy of the standard part 1112. October 19, 2015) and the final rule (82 will be available for viewing on the None of the changes to ASTM F2613– FR 59505, December 15, 2017) for the ASTM website at: https://www.astm. 21 would impact a CPSC accepted folding chairs and stools standard org/READINGLIBRARY/. Interested laboratory’s competence to be able to clearly indicate that folding stools fell parties can also schedule an conduct testing to the revised standard. within the scope of the mandatory appointment to inspect a copy of the Therefore, the Commission considers standard. To avoid any standard at CPSC’s Division of the the existing CPSC-accepted laboratories misinterpretation regarding the scope of Secretariat, U.S. Consumer Product for testing to ASTM F2613–19 to be the standard, the Commission is Safety Commission, Room 820, 4330 competent to conduct testing to ASTM amending the title of the rule to read East West Highway, Bethesda, MD F2613–21 as well. Accordingly, the ‘‘Safety standard for children’s folding 20814, telephone: 301–504–7479; email: existing NOR for this standard will chairs and children’s folding stools’’ [email protected]. remain in place, and CPSC-accepted and the title of the requirements in third party conformity assessment section 1232.2 to read ‘‘Requirements E. Certification bodies are expected in the normal for children’s folding chairs and Section 14(a) of the CPSA requires course of renewing their accreditation to children’s folding stools’’ to remove any that products subject to a consumer update the scope of the testing ambiguity regarding whether the product safety rule under the CPSA, or laboratories’ accreditation to reflect the standard to applies to children’s folding to a similar rule, ban, standard, or revised standard. stools versus non-folding stools. The regulation under any other act enforced rule also amends section 1232.1 by the Commission, be certified as G. Direct Final Rule Process regarding scope to state it establishes a complying with all applicable CPSC The Commission is issuing this rule standard for ‘‘children’s folding chairs requirements. 15 U.S.C. 2063(a). Such as a direct final rule. Although the and children’s folding stools.’’ For certification must be based on a test of Administrative Procedure Act (APA) consistency, the rule makes the each product, or on a reasonable testing generally requires notice and comment corresponding amendment to the notice program, or, for children’s products, on rulemaking, section 553 of the APA of requirements listed in section tests on a sufficient number of samples provides an exception when the agency, 1112.15(b)(43) of 16 CFR part 1112 to by a third party conformity assessment for good cause, finds that notice and read ‘‘16 CFR part 1232, Safety Standard body accredited by the Commission to public procedure are ‘‘impracticable, for Children’s Folding Chairs and test according to the applicable unnecessary, or contrary to the public Children’s Folding Stools’’. The rule requirements. As noted, standards interest.’’ 5 U.S.C. 553(b)(B). The also makes the corresponding issued under section 104(b)(1)(B) of the Commission concludes that when the amendment to the definition in section CPSIA are ‘‘consumer product safety Commission updates a reference to an 1130.2(a)(13) of 16 CFR part 1130 to standards.’’ Thus, they are subject to the ASTM standard that the Commission read ‘‘Children’s folding chairs and testing and certification requirements of has incorporated by reference under children’s folding stools.’’ section 14 of the CPSA. section 104(b) of the CPSIA, notice and Because children’s folding chairs and comment are not necessary. D. Incorporation by Reference stools are children’s products, samples Under the process set out in section Section 1232.2 of the direct final rule of these products must be tested by a 104(b)(4)(B) of the CPSIA, when ASTM incorporates by reference ASTM F2613– third party conformity assessment body revises a standard that the Commission 21. The Office of the Federal Register whose accreditation has been accepted has previously incorporated by (OFR) has regulations concerning by the Commission. These products also reference as a Commission standard for incorporation by reference. 1 CFR part must comply with all other applicable a durable infant or toddler product 51. Under these regulations, agencies CPSC requirements, such as the lead under section 104(b)(1)(b) of the CPSIA, must discuss, in the preamble to the content requirements in section 101 of that revision will become the new CPSC final rule, ways that the materials the the CPSIA, the tracking label standard, unless the Commission agency incorporates by reference are requirement in section 14(a)(5) of the determines that ASTM’s revision does reasonably available to interested CPSA, and the consumer registration not improve the safety of the product. persons and how interested parties can form requirements in section 104(d) of Thus, unless the Commission makes obtain the materials. In addition, the the CPSIA. such a determination, the ASTM preamble to the final rule must revision becomes CPSC’s standard by summarize the material. 1 CFR 51.5(b). F. Notice of Requirements operation of law. The Commission is In accordance with the OFR’s In accordance with section allowing ASTM F2613–21 to become requirements, section A of this preamble 14(a)(3)(B)(vi) of the CPSIA, the CPSC’s new standard. The purpose of

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this direct final rule is merely to update H. Regulatory Flexibility Act L. Effective Date the reference in the Code of Federal The Regulatory Flexibility Act (RFA) Under the procedure set forth in Regulations (CFR) so that it reflects generally requires that agencies review accurately the version of the standard section 104(b)(4)(B) of the CPSIA, when proposed and final rules for their a voluntary standard organization that takes effect by statute. The rule potential economic impact on small revises a standard upon which a updates the reference in the CFR, but entities, including small businesses, and consumer product safety standard was under the CPSIA, ASTM F2613–21 takes prepare regulatory flexibility analyses. 5 based, the revision becomes the CPSC effect as the new CPSC standard for U.S.C. 603 and 604. The RFA applies to standard within 180 days of notification children’s folding chairs and children’s any rule that is subject to notice and to the Commission, unless the folding stools, even if the Commission comment procedures under section 553 did not issue this rule. Additionally, the of the APA. Id. As explained, the Commission determines that the title and text of Part 1232 is revised to Commission has determined that notice revision does not improve the safety of clarify the scope of the standard and comment are not necessary for this the product, or the Commission sets a regarding children’s folding stools, with direct final rule. Thus, the RFA does not later date in the Federal Register. The corresponding revisions to the apply. We also note the limited nature Commission is taking neither of those references in Parts 1112 and 1130 for of this document, which merely updates actions with respect to the standard for consistency. Thus, public comment will the incorporation by reference to reflect children’s folding chairs and stools. not impact the substantive changes to the mandatory CPSC standard that takes Therefore, ASTM F2613–21 will the standard or the effect of the revised effect under section 104 of the CPSIA. automatically take effect as the new standard as a consumer product safety mandatory standard for children’s standard under section 104(b) of the I. Paperwork Reduction Act folding chairs and stools on August 21, CPSIA. Under these circumstances, The standard for children’s folding 2021, which is 180 days after the notice and comment are not necessary. chairs and stools contains information- Commission received notice of the In Recommendation 95–4, the collection requirements under the revision on February 22, 2021. Administrative Conference of the Paperwork Reduction Act of 1995 (44 United States (ACUS) endorsed direct U.S.C. 3501–3520). The revisions to the M. The Congressional Review Act final rulemaking as an appropriate standard made no changes to that The Congressional Review Act (CRA; procedure to expedite promulgating section of the standard. Thus, the 5 U.S.C. 801–808) states that, before a rules that are noncontroversial and that revisions will have no effect on the are not expected to generate significant rule may take effect, the agency issuing information-collection requirements the rule must submit the rule, and adverse comment. See 60 FR 43108 related to the standard. (August 18, 1995). ACUS recommended certain related information, to each that agencies use the direct final rule J. Environmental Considerations House of Congress and the Comptroller General. 5 U.S.C. 801(a)(1). The process when they act under the The Commission’s regulations submission must indicate whether the ‘‘unnecessary’’ prong of the good cause provide a categorical exclusion for the exemption in 5 U.S.C. 553(b)(B). Commission’s rules from any rule is a ‘‘major rule.’’ The CRA states Consistent with the ACUS requirement to prepare an that the Office of Information and recommendation, the Commission is environmental assessment or an Regulatory Affairs (OIRA) determines publishing this rule as a direct final rule environmental impact statement where whether a rule qualifies as a ‘‘major because we do not expect any they ‘‘have little or no potential for rule.’’ Pursuant to the CRA, this rule significant adverse comments. affecting the human environment.’’ 16 does not qualify as a ‘‘major rule,’’ as Unless we receive a significant CFR 1021.5(c). This rule falls within the defined in 5 U.S.C. 804(2). To comply adverse comment within 30 days, the categorical exclusion, so no with the CRA, the Office of the General rule will become effective on August 21, environmental assessment or Counsel will submit the required 2021. In accordance with ACUS’s environmental impact statement is information to each House of Congress recommendation, the Commission required. and the Comptroller General. considers a significant adverse comment List of Subjects to be one where the commenter explains K. Preemption why the rule would be inappropriate, Section 26(a) of the CPSA, 15 U.S.C. 16 CFR Part 1112 including an assertion challenging the 2075(a), provides that where a consumer rule’s underlying premise or approach, product safety standard is in effect and Consumer protection, Incorporation or a claim that the rule would be applies to a product, no state or political by reference, Third party conformity ineffective or unacceptable without subdivision of a state may either assessment body requirements, Audit. change. As noted, this rule merely establish or continue in effect a 16 CFR Part 1130 updates a reference in the CFR to reflect requirement dealing with the same risk a change that occurs by statute and of injury unless the state requirement is Administrative practice and corresponding changes to Part 1232 and identical to the federal standard. Section procedure, Business and industry, two other parts for consistency and 26(c) of the CPSA also provides that Consumer protection, Reporting and clarity. states or political subdivisions of states recordkeeping requirements. Should the Commission receive a may apply to the CPSC for an exemption significant adverse comment, the from this preemption under certain 16 CFR Part 1232 Commission would withdraw this direct circumstances. Section 104(b) of the Consumer protection, Imports, final rule. Depending on the comments CPSIA deems rules issued under that Incorporation by reference, Infants and and other circumstances, the provision to be ‘‘consumer product children, Law enforcement, Safety, Commission may then incorporate the safety standards.’’ Therefore, once a rule Toys. adverse comment into a subsequent issued under section 104 of the CPSIA direct final rule or publish a notice of takes effect, it will preempt in For the reasons stated in the proposed rulemaking, providing an accordance with section 26(a) of the preamble, the Commission amends title opportunity for public comment. CPSA. 16 CFR chapter II as follows:

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PART 1112—REQUIREMENTS in accordance with 5 U.S.C. 552(a) and technical amendment to correct a PERTAINING TO THIRD PARTY 1 CFR part 51. You may obtain a copy typographical error in § 2204.301(c). of this ASTM standard from ASTM CONFORMITY ASSESSMENT BODIES I. Revisions to Part 2204 International, 100 Barr Harbor Drive, ■ 1. The authority citation for part 1112 P.O. Box C700, West Conshohocken, PA EAJA directs Federal agencies to continues to read as follows: 19428–2959 USA; phone: 610–832– consult with the Administrative Authority: 15 U.S.C. 2063; Pub. L. 110– 9585; www.astm.org. A read-only copy Conference of the United States 314, section 3, 122 Stat. 3016, 3017 (2008). of the standard is available for viewing (‘‘ACUS’’) to develop procedural rules on the ASTM website at https:// to implement the provisions of the ■ 2. Amend § 1112.15 by revising www.astm.org/READINGLIBRARY/. You statute. 5 U.S.C. 504(c)(1). On August 8, paragraph (b)(43) to read as follows: may inspect a copy at the Division of 2019, ACUS published Revised Model § 1112.15 When can a third party the Secretariat, U.S. Consumer Product Rules for Implementation of the Equal conformity assessment body apply for Safety Commission, Room 820, 4330 Access to Justice Act to reflect CPSC acceptance for a particular CPSC rule East West Highway, Bethesda, MD subsequent amendments to the law and or test method? 20814, telephone 301–504–7479, email: practice, and to promote greater * * * * * [email protected], or at the National accuracy and clarity. 84 FR 38934 (b) * * * Archives and Records Administration (August 8, 2019). The Commission is (43) 16 CFR part 1232, Safety (NARA). For information on the amending its procedural rules in line Standard for Children’s Folding Chairs availability of this material at NARA, with the amendments made by ACUS to and Children’s Folding Stools. email [email protected], or go to: the model rules. ACUS summarized and explained its * * * * * www.archives.gov/federal-register/cfr/ ibr-locations.html. amendments in the preamble to the PART 1130—REQUIREMENTS FOR amended model rules and in CONSUMER REGISTRATION OF Alberta E. Mills, Administrative Conference DURABLE INFANT OR TODDLER Secretary, U.S. Consumer Product Safety Recommendation 2019–4. 84 FR 38934, PRODUCTS Commission. 38934 (August 8, 2019); 84 FR 38927, [FR Doc. 2021–10293 Filed 5–14–21; 8:45 am] 38933 (August 8, 2019). To the extent ■ 3. The authority citation for part 1130 BILLING CODE 6355–01–P applicable, the Commission relies upon continues to read as follows: the rationale ACUS provided in those Authority: 15 U.S.C. 2056a, 2065(b). documents as the basis for the OCCUPATIONAL SAFETY AND amendments to the Commission’s rules. ■ 4. Amend § 1130.2 by revising HEALTH REVIEW COMMISSION In addition, the Commission has paragraph (a)(13) to read as follows: determined that an adjustment for § 1130.2 Definitions. 29 CFR Part 2204 increases in the cost of living is appropriate in considering an * * * * * Rules Implementing the Equal Access applicant’s request for attorney or agent (a) * * * to Justice Act fees. Accordingly, pursuant to 5 U.S.C. (13) Children’s folding chairs and 504(b)(1)(A), the Commission revises children’s folding stools; AGENCY: Occupational Safety and Health Review Commission. §§ 2204.303 and 2204.406(c)(2) to allow * * * * * an applicant to request, with supporting ACTION: Final rule. ■ 5. Revise part 1232 to read as follows: documentation, an increase in hourly SUMMARY: The Occupational Safety and fees to account for inflation as measured PART 1232—SAFETY STANDARD FOR Health Review Commission (‘‘OSHRC’’) by the consumer price index in the CHILDREN’S FOLDING CHAIRS AND is amending its procedural rules relevant locality. CHILDREN’S FOLDING STOOLS implementing the Equal Access to II. Statutory and Executive Order Sec. Justice Act (‘‘EAJA’’). The amendments Reviews 1232.1 Scope. closely conform with new model rules 1232.2 Requirements for children’s folding from the Administrative Conference of Executive Orders 12866 and 13132, chairs and children’s folding stools. the United States. and the Unfunded Mandates Reform Act of 1995: The Review Commission is Authority: Sec. 104, Pub. L. 110–314, 122 DATES: Effective May 17, 2021. an independent regulatory agency and, Stat. 3016 (15 U.S.C. 2056a); Sec 3, Pub. L. FOR FURTHER INFORMATION CONTACT: 112–28, 125 Stat. 273. as such, is not subject to the Carter Tellinghuisen, Attorney-Advisor, requirements of E.O. 12866, E.O. 13132, § 1232.1 Scope. Office of the General Counsel, by or the Unfunded Mandates Reform Act, telephone at (202) 606–5410 ext. 211, by This part establishes a consumer 2 U.S.C. 1501 et seq. email at [email protected], or by product safety standard for children’s Regulatory Flexibility Act: Pursuant to mail at 1120 20th Street NW, Ninth folding chairs and children’s folding 5 U.S.C. 605(a), a regulatory flexibility Floor, Washington, DC 20036–3457. stools. analysis is not required because these SUPPLEMENTARY INFORMATION: OSHRC rules concern ‘‘interpretative rules, § 1232.2 Requirements for children’s published a notice of proposed general statements of policy, or rules of folding chairs and children’s folding stools. rulemaking on March 8, 2021, 86 FR agency organization, procedure, or Each children’s folding chair and 13251, which announced revisions to practice’’ under 5 U.S.C. 553(b). children’s folding stool shall comply the Commission’s rules of procedure Paperwork Reduction Act of 1995: with all applicable provisions of ASTM implementing EAJA, 29 CFR part 2204, The Review Commission has F2613–21, Standard Consumer Safety and invited interested persons to submit determined that the Paperwork Specification for Children’s Chairs and written comments. OSHRC received no Reduction Act, 44 U.S.C. 3501 et seq., Stools, approved on February 1, 2021. public comments. Accordingly, the does not apply because these rules do The Director of the Federal Register Commission now adopts the proposed not contain any information collection approves this incorporation by reference rule as the agency’s final rule, with one requirements that require the approval

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of the Office of Management and Budget even if not a prevailing party, may initiated; except that an organization (OMB). receive an award under 5 U.S.C. described in section 501(c)(3) of the Congressional Review Act: These 504(a)(4) when it successfully defends Internal Revenue Code of 1986 exempt revisions do not constitute a ‘‘rule,’’ as against an excessive demand made by from taxation under section 501(a) of defined by the Congressional Review the Secretary. such Code, or a cooperative association Act, 5 U.S.C. 804(3)(C), because they as defined in section 15(a) of the involve changes to agency organization, Subpart B—Definitions Agricultural Marketing Act, may be a procedure, or practice that do not § 2204.201 Definitions. party regardless of the net worth of such substantially affect the rights or organization or cooperative association. obligations of non-agency parties. For the purposes of this part: For purposes of 5 U.S.C. 504(a)(4), Adversary adjudication means an ‘‘party’’ also includes a small entity as List of Subjects in 29 CFR Part 2204 adjudication under 5 U.S.C. 554 and 29 defined in 5 U.S.C. 601. Administrative practice and U.S.C. 659(c) in which the position of Position of the Secretary means, in procedure, Equal access to justice. the Secretary is represented by counsel addition to the position taken by the ■ For the reasons set forth in the or otherwise, subject to certain Secretary in the adversary adjudication, preamble, the Review Commission exclusions set forth in 5 U.S.C. the action or failure to act by the revises 29 CFR part 2204 to read as 504(b)(1)(C). Secretary upon which the adversary follows: Agent means any person other than an adjudication is based, except that fees attorney who represents a party in a and other expenses may not be awarded PART 2204—IMPLEMENTATION OF proceeding before the Commission to a party for any portion of the THE EQUAL ACCESS TO JUSTICE pursuant to § 2200.22 of this chapter. adversary adjudication in which the Commission means the Occupational ACT IN PROCEEDINGS BEFORE THE party has unreasonably protracted the Safety and Health Review Commission. OCCUPATIONAL SAFETY AND proceedings. HEALTH REVIEW COMMISSION Demand means the express demand Secretary means the Secretary of of the Secretary which led to the Labor. Subpart A—General Provisions adversary adjudication, but does not Sec. include a recitation by the Secretary of Subpart C—EAJA Application 2204.101 Scope of this part. the maximum statutory penalty: § 2204.301 Application requirements. Subpart B—Definitions (1) In the administrative complaint; or (2) Elsewhere when accompanied by (a) A party seeking an award under 2204.201 Definitions. an express demand for a lesser amount. EAJA shall file an application with the Subpart C—EAJA Application Excessive demand means a demand judge that conducted the adversarial 2204.301 Application requirements. by the Secretary, in an adversary adjudication within 30 days after the 2204.302 Net worth exhibit. adjudication arising from the Secretary’s final disposition of the adversary 2204.303 Documentation of fees and action to enforce a party’s compliance adjudication. expenses. with a statutory requirement that is (b) The application shall identify the Subpart D—Procedures for Considering substantially in excess of the decision of applicant and the proceeding for which Applications the judge or Commission and is an award is sought. The application 2204.401 Filing and service of documents. unreasonable when compared with such shall show that the applicant has 2204.402 Answer to application. decision, under the facts and prevailed and identify the position of 2204.403 Reply. circumstances of the case. the Secretary that the applicant alleges 2204.404 Settlement. Final disposition means the date on was not substantially justified; or, if the 2204.405 Further proceedings. which a decision or order disposing of applicant has not prevailed, shall show 2204.406 Decision. the merits of the adversary adjudication that the Secretary’s demand was 2204.407 Commission review. or any other complete resolution of the substantially in excess of the decision of 2204.408 Judicial review. 2204.409 Stay of decision concerning adversary adjudication, such as a the judge or Commission and was award. settlement or voluntary dismissal, unreasonable when compared with that 2204.410 Waiver. become final and unappealable, both decision under the facts and 2204.411 Payment of award. within the agency and to the courts. circumstances of that case. The Authority: 5 U.S.C. 504. Judge means the Administrative Law application shall also identify the Judge appointed under 29 U.S.C. 661(j) Secretary’s position(s) in the proceeding Subpart A—General Provisions who presided over the adversary that the applicant alleges was (were) not adjudication or presides over an EAJA substantially justified or the Secretary’s § 2204.101 Scope of this part. proceeding. demand that is alleged to be excessive The Equal Access to Justice Act, 5 Party means a party, as defined in 5 and unreasonable. Unless the applicant U.S.C. 504 (called ‘‘EAJA’’ in this part), U.S.C. 551(3), who is: is an individual, the application shall provides for the award of attorney or (1) An individual whose net worth also state the number of employees of agent fees and other expenses to eligible did not exceed $2,000,000 at the time the applicant and briefly describe the individuals and entities who are parties the adversary adjudication was type and purpose of its organization or to certain administrative proceedings initiated; or business. (called ‘‘adversary adjudications’’) (2) Any owner of an unincorporated (c) The application shall also show before the Occupational Safety and business, or any partnership, that the applicant meets the definition Health Review Commission. An eligible corporation, association, unit of local of ‘‘party’’ in § 2204.201, including party may receive an award when it government, or organization, the net adequate documentation of its net prevails over the Secretary of Labor, worth of which did not exceed worth, as set forth in § 2204.302. unless the Secretary’s position in the $7,000,000 at the time the adversary (d) The application shall state the proceeding was substantially justified or adjudication was initiated, and which amount of fees and expenses for which special circumstances make an award had not more than 500 employees at the an award is sought, subject to the unjust. Alternatively, an eligible party, time the adversary adjudication was requirements and limitations as set forth

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in 5 U.S.C. 504(b)(1)(A), with adequate itemized statement shall be submitted affidavits or a request for further documentation as set forth in for each professional firm or individual proceedings under § 2204.405. § 2204.303. whose services are covered by the (e) The application shall be signed by application, showing the hours spent in § 2204.404 Settlement. the applicant or an authorized officer, connection with the proceeding by each The applicant and the Secretary may attorney, or agent of the applicant. It individual, a description of the specific agree on a proposed settlement of the shall also contain or be accompanied by services performed, the rate at which award before final action on the a written verification under penalty of each fee has been computed, any application, either in connection with a perjury that the information provided in expenses for which reimbursement is settlement of the underlying adversary the application is true and correct. sought, the total amount claimed, and adjudication, or after the adversary the total amount paid or payable by the adjudication has been concluded, in § 2204.302 Net worth exhibit. applicant or by any other person or accordance with the Commission’s (a) Each applicant except a qualified entity for the services provided. The standard settlement procedures as set tax-exempt organization, cooperative judge or Commission may require the forth in § 2200.120 of this chapter. If a association, or, in the case of an applicant to provide vouchers, receipts, prevailing party and the Secretary agree application for an award related to an or other substantiation for any fees or on a proposed settlement of an award allegedly excessive demand by the expenses claimed. before an application has been filed, the Secretary, a small entity as that term is application shall be filed with the defined by 5 U.S.C. 601(6), shall provide Subpart D—Procedures for proposed settlement. If a proposed with its application a detailed exhibit Considering Applications settlement of an underlying proceeding showing the net worth of the applicant provides that each side shall bear its as required by § 2204.301(c) when the § 2204.401 Filing and service of own expenses and the settlement is documents. proceeding was initiated. The exhibit accepted, no application may be filed. may be in any form convenient to the Any application for an award, or any applicant that provides full disclosure accompanying documentation related to § 2204.405 Further proceedings. of the applicant’s assets and liabilities an application shall be filed and served (a) Ordinarily, the determination of an and is sufficient to determine whether on all parties to the proceeding in award will be made on the basis of the the applicant qualifies under excessive accordance with §§ 2200.7 and 2200.8 of written record. However, on request of demand as defined in § 2204.201. The this chapter, except as provided in either the applicant or the Secretary, or judge or Commission may require an § 2204.302(b) for confidential financial on his or her own initiative, the judge applicant to file additional information information. presiding over an EAJA proceeding may, to determine its eligibility for an award. if necessary for a full and fair decision § 2204.402 Answer to application. (b) Ordinarily, the net worth exhibit on the application, order the filing of will be included in the public record of (a) Within 30 days after service of an additional written submissions; hold the proceeding. However, an applicant application, the Secretary shall file an oral argument; or allow for discovery or that objects to public disclosure of answer to the application. Unless the hold an evidentiary hearing, but only as information in any portion of the exhibit Secretary requests an extension of time to issues other than whether the and believes there are legal grounds for for filing or files a statement of intent to agency’s position was substantially withholding it from disclosure may negotiate under paragraph (b) of this justified (such as those involving the request that the documents be filed section, failure to file an answer within applicant’s eligibility or substantiation under seal or otherwise be treated as the 30-day period may be treated as a of fees and expenses). Any written confidential, pursuant to §§ 2200.8 and consent to the award requested. submissions shall be made, oral 2200.52 of this chapter. (b) If the Secretary and the applicant argument held, discovery conducted, believe that the issues in the fee and evidentiary hearing held as § 2204.303 Documentation of fees and application can be settled, they may promptly as possible so as not to delay expenses. jointly file a statement of their intent to a decision on the application for fees. The application shall be accompanied negotiate a settlement. The filing of this Whether or not the position of the by adequate documentation of the fees statement shall extend the time for filing Secretary was substantially justified and other expenses incurred after the an answer for an additional 30 days, and shall be determined on the basis of the initiation of the adversary adjudication, further extensions may be granted by administrative record, as a whole, including, but not limited to, the the judge upon request. which is made in the adversary reasonable cost of any study, analysis, (c) The answer shall explain in detail adjudication for which fees and other engineering report, test, or project. An any objections to the award requested expenses are sought. application seeking an increase in fees and identify the facts relied on in (b) A request for further proceedings to account for inflation pursuant to support of the Secretary’s position. If under this section shall specifically § 2200.406 of this chapter shall also the answer is based on any alleged facts identify the information sought or the include adequate documentation of the not already in the record of the disputed issues and shall explain why change in the consumer price index for proceeding, the Secretary shall include the additional proceedings are necessary the attorney or agent’s locality. With with the answer either supporting to resolve the issues. respect to a claim for fees and expenses affidavits or a request for further involving an excessive demand by the proceedings under § 2204.405. § 2204.406 Decision. Secretary, the application shall be The preparation and issuance of accompanied by adequate § 2204.403 Reply. decision on the fee application shall be documentation of such fees and Within 15 days after service of an in accordance with § 2200.90 of this expenses incurred after initiation of the answer, the applicant may file a reply. chapter. adversary adjudication for which an If the reply is based on any alleged facts (a) For an application involving a award is sought attributable to the not already in the record of the prevailing party. The decision shall portion of the demand alleged to be proceeding, the applicant shall include include written findings and excessive and unreasonable. A separate with the reply either supporting conclusions on the applicant’s

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eligibility and status as a prevailing attorney, agent, or witness ordinarily DEPARTMENT OF THE TREASURY party and an explanation of the reasons perform services; for any difference between the amount (iii) The time actually spent in the Office of Foreign Assets Control requested and the amount awarded. The representation of the applicant; decision shall also include, if 31 CFR Parts 536 and 598 (iv) The time reasonably spent in light applicable, findings on whether the of the difficulty or complexity of the Secretary’s position was substantially Narcotics Trafficking Sanctions issues in the proceeding; and justified, whether the applicant unduly Regulations and Foreign Narcotics protracted the proceedings, or whether (v) Such other factors as may bear on Kingpin Sanctions Regulations special circumstances make an award the value of the services provided. AGENCY: Office of Foreign Assets unjust. (4) The reasonable cost of any study, Control, Treasury. (b) For an application involving an analysis, engineering report, test, ACTION: Final rule. allegedly excessive agency demand. The project, or similar matter prepared on decision shall include written findings behalf of the party may be awarded, to SUMMARY: The Department of the and conclusions on the applicant’s the extent that the charge for the service Treasury’s Office of Foreign Assets eligibility and an explanation of the does not exceed the prevailing rate for Control (OFAC) is amending the reasons why the agency’s demand was similar services, and the study or other Narcotics Trafficking Sanctions or was not determined to be matter was necessary for preparation of Regulations and the Foreign Narcotics substantially in excess of the underlying the applicant’s case. Kingpin Sanctions Regulations to add or decision in the matter and whether the amend general licenses with respect to Secretary’s demand was or was not § 2204.407 Commission review. payments for legal services, certain unreasonable. That determination shall Either the applicant or the Secretary transactions for personal maintenance, be based upon all the facts and may seek review of the judge’s decision certain transactions for maintenance of circumstances of the case. on the fee application, and the blocked tangible property, and (c) Awards. The judge presiding over Commission may grant such a petition emergency medical services. In an EAJA proceeding or the Commission for review or direct review of the addition, OFAC is amending certain on review may reduce the amount to be decision on the Commission’s own prohibitions, definitions, and awarded, or deny any award, to the initiative. Review by the Commission interpretive sections contained in these extent that the party during the course shall be in accordance with §§ 2200.91 sets of regulations. OFAC is also of the proceedings engaged in conduct and 2200.92 of this chapter. updating certain regulatory provisions which unduly and unreasonably and making other technical and protracted the final resolution of the § 2204.408 Judicial review. conforming edits. matter in controversy. Judicial review of final decisions on DATES: This rule is effective May 17, (1) Awards shall be based on rates awards may be sought as provided in 5 2021. customarily charged by persons engaged U.S.C. 504(c)(2). FOR FURTHER INFORMATION CONTACT: in the business of acting as attorneys, OFAC: Assistant Director for Licensing, agents and expert witnesses, even if the § 2204.409 Stay of decision concerning award. 202–622–2480; Assistant Director for services were made available without Regulatory Affairs, 202–622–4855; or charge or at a reduced rate to the Any proceedings on an application for Assistant Director for Sanctions applicant. fees under this part shall be Compliance & Evaluation, 202–622– (2) An award for the fee of an attorney automatically stayed until the adversary 2490. or agent under this paragraph (c) shall adjudication has become a final SUPPLEMENTARY INFORMATION: not exceed the hourly rate specified in disposition. 5 U.S.C. 504(b)(1)(A), except to account Electronic Availability § 2204.410 Waiver. for inflation since the last update of the This document and additional statute’s maximum award upon the After reasonable notice to the parties, information concerning OFAC are request of the applicant as documented the judge or the Commission may waive, available on OFAC’s website (www. in the application pursuant to for good cause shown, any provision treasury.gov/ofac). § 2204.303. An award to compensate an contained in this part as long as the expert witness shall not exceed the waiver is consistent with the terms and Background highest rate at which the Secretary pays purpose of the EAJA. OFAC administers two sanctions expert witnesses. However, an award programs with respect to narcotics § 2204.411 Payment of award. may include the reasonable expenses of trafficking. The Narcotics Trafficking the attorney, agent or witness as a An applicant seeking payment of an Sanctions Regulations, 31 CFR part 536 separate item, if the attorney, agent or award shall submit to the officer (NTSR), implement Executive Order witness ordinarily charges clients designated by the Secretary a copy of (E.O.) 12978 of October 21, 1995, separately for such expenses. the Commission’s final decision ‘‘Blocking Assets and Prohibiting (3) In determining the reasonableness granting the award, accompanied by a Transactions With Significant Narcotics of the fee sought for an attorney, agent, certification that the applicant will not Traffickers’’ (60 FR 54579, October 24, or expert witness, the following shall be seek review of the decision in the 1995), as amended by E.O. 13286 of considered: United States courts. February 28, 2003, ‘‘Amendment of (i) If the attorney, agent, or witness is Executive Orders, and Other Actions, in Cynthia L. Attwood, in private practice, his or her customary Connection With the Transfer of Certain fee for similar services, or, if an Chairman. Functions to the Secretary of Homeland employee of the applicant, the fully Amanda Wood Laihow, Security’’ (68 FR 10619, March 3, 2003), allocated cost of the services; Commissioner. in which the President declared a (ii) The prevailing rate for similar [FR Doc. 2021–10354 Filed 5–14–21; 8:45 am] national emergency, and imposed services in the community in which the BILLING CODE 7600–01–P sanctions, with respect to ‘‘the actions

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of significant foreign narcotics connection with authorized legal location. OFAC is amending the traffickers centered in Colombia, and services rendered on behalf of blocked definition of specially designated the unparalleled violence, corruption, persons. narcotics trafficker in § 536.312 of the and harm that they cause in the United Certain transactions for personal NTSR and § 598.314 of the FNKSR to States and abroad.’’ maintenance. OFAC also is adding clarify that these terms include entities The Foreign Narcotics Kingpin general licenses in new § 536.509 of the directly or indirectly owned 50 percent Sanctions Regulations, 31 CFR part 598 NTSR and new § 598.510 of the FNKSR, or more by one or more specially (FNKSR), implement the Foreign authorizing SDNTs who are in U.S. designated narcotics traffickers, whether Narcotics Kingpin Designation Act (21 custody or incarcerated in the United individually or in the aggregate, as well U.S.C. 1901–1908), which provides States to engage in certain personal as updating the definition of the terms authority for the application of maintenance transactions. Specifically, blocked account and blocked property sanctions to significant foreign narcotics these new general licenses authorize in § 536.301 of the NTSR and § 598.301 traffickers and their organizations SDNTs in U.S. custody or incarcerated of the FNKSR, to add a note referencing operating worldwide. in the United States to engage in certain the definition of specially designated transactions for their maintenance and Current Regulatory Action narcotics trafficker. OFAC is adding, in the maintenance of their spouse or new § 536.319 of the NTSR and new OFAC is adopting this final rule persons who are sharing or who would § 598.321 of the FNKSR, a definition of amending the NTSR and the FNKSR ordinarily share a common dwelling as the term OFAC to mean the Department with respect to general licenses for a family with them, including receiving of the Treasury’s Office of Foreign payments for legal services, certain goods and services, engaging in Assets Control. transactions for personal maintenance, employment, and establishing accounts Prohibited transactions and certain transactions for maintenance of at U.S. financial institutions. These new interpretive sections. OFAC is updating blocked tangible property, and general licenses are subject to additional the regulatory provisions with respect to emergency medical services, as set forth reporting and recordkeeping prohibited transactions involving in more detail below. OFAC is also requirements and other conditions and blocked property in § 536.201 of the amending certain prohibitions, limitations set forth in those sections. NTSR. OFAC is similarly updating the definitions, and interpretive sections, Certain transactions for maintenance FNKSR by consolidating two existing updating certain regulatory provisions, of tangible blocked property. OFAC is sections into revised § 598.202 and and making other technical and adding general licenses at new § 536.510 removing and reserving § 598.203. In conforming edits, as also described of the NTSR and new § 598.511 of the § 536.204 and § 598.204, OFAC is below. FNKSR, authorizing SDNTs to make clarifying the terms evasions, attempts, Payments for legal services. Section payment for, and receive goods and and conspiracies in the NTSR and the 536.506 of the NTSR and § 598.507 of services for the maintenance of, tangible FNKSR to be consistent with the the FNKSR authorize U.S. persons to property blocked pursuant to § 536.201 definitions of these terms in other OFAC provide certain legal services to or on of the NTSR and § 598.202(a) of the sanctions regulations. In new § 536.410 behalf of a specially designated FNKSR, consistent with §§ 536.206 of of the NTSR and new § 598.411 of the narcotics trafficker (SDNT), as defined the NTSR and 598.207 of the FNKSR. FNKSR, OFAC is clarifying that these in § 536.312 and § 598.314, respectively, These new general licenses are subject prohibitions include the making of any provided that any payment of to additional reporting and contribution or provision of funds, professional fees and reimbursement of recordkeeping requirements and other goods, or services by, to, or for the incurred expenses must be specifically conditions and limitations set forth in benefit of any person whose property licensed. OFAC is amending the NTSR those sections. and interests in property are blocked, and the FNKSR to authorize certain Emergency medical services. OFAC is and the receipt of any contribution or permissible payment mechanisms for amending the general license in provision of funds, goods, or services legal services without the need for a § 536.511 of the NTSR to expand the from any such person. Pursuant to the specific license. With these existing authorization and adding a International Emergency Economic amendments, OFAC incorporates two general license in new § 598.512 of the Powers Act (50 U.S.C. 1701 et seq.) mechanisms for payment for legal FNKSR, each authorizing the provision (IEEPA), the NTSR include an exception services. As set forth in the regulations, and receipt of nonscheduled emergency to this prohibition for donations of these new mechanisms for the payment medical services. Revised § 536.511 of articles, such as food, clothing, and of legal services are subject to additional the NTSR no longer requires that medicine, intended to be used to relieve reporting and recordkeeping payment for such services be human suffering, because E.O. 12978, as requirements and other conditions and specifically licensed. amended, does not include a limitations. Definitions. OFAC is adding and presidential determination to the First, new § 536.507 of the NTSR and amending several definitions. To clarify contrary. new § 598.508 of the FNKSR now the term narcotics trafficking as used in Updated delegation of authority by authorize payments from funds §§ 536.311 and 598.310, OFAC is the Secretary of the Treasury. This rule originating outside the United States adding, in new § 536.318 of the NTSR also updates the delegation of authority and that do not come from a U.S. person and new § 598.320 of the FNKSR, a in § 598.803 of the FNKSR to add the or any person whose property and definition of the term finance. OFAC is Presidential Memorandum of May 15, interests in property are blocked, other also adding, in § 536.319, definitions of 2015: Delegation of Functions Under the than the person to whom or on whose the terms narcotic drug, controlled Foreign Narcotics Kingpin Designation behalf the authorized legal services are substance, and listed chemical. Act and the Presidential Memorandum provided. OFAC also is amending the definition of May 31, 2013: Delegation of Second, new § 536.508 of the NTSR of foreign person in § 536.304 of the Functions Under Subsection and new § 598.509 of the FNKSR now NTSR and § 598.305 of the FNKSR to 804(h)(2)(A) of the Foreign Narcotics authorize payment of professional fees add the qualifier ‘‘wherever located’’ to Kingpin Designation Act. and reimbursement of incurred clarify that the term includes foreign Other technical and conforming expenses from public funds in and dual nationals regardless of their changes. OFAC is updating certain

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regulatory provisions and making other List of Subjects from any person whose property and technical and conforming changes. interests in property are blocked 31 CFR Part 536 OFAC is updating and conforming the pursuant to paragraph (a) of this section. language in § 536.203 of the NTSR and Administrative practice and (c) Unless authorized by this part or § 598.206 of the FNKSR related to the procedure, Banks, Banking, Blocking of by a specific license expressly referring holding of funds in interest-bearing assets, Credit, Currency, Drug traffic to this part, any dealing in securities (or accounts and investment and control, Foreign investments in U.S., evidence thereof) held within the reinvestment. In new § 536.206 of the Narcotics trafficking, Foreign trade, possession or control of a U.S. person NTSR and new § 598.207 of the FNKSR, Penalties, Reporting and recordkeeping and either registered or inscribed in the OFAC is adding a standard provision requirements, Sanctions, Securities, name of, or known to be held for the relating to expenses of maintaining Specially designated narcotics benefit of, or issued by, a specially blocked tangible property and traffickers, Transfer of assets. designated narcotics trafficker is liquidation of blocked property. OFAC 31 CFR Part 598 prohibited. This prohibition includes is updating and combining the the transfer (including the transfer on Administrative practice and definitions of the terms general license, the books of any issuer or agent thereof), procedure, Banks, Banking, Blocking of license, and specific license in disposition, transportation, importation, assets, Credit, Currency, Drug traffic §§ 536.305, 536.308, and 536.313 of the exportation, or withdrawal of, or the control, Foreign investments in U.S., NTSR and §§ 598.306, 598.308, and endorsement or guaranty of signatures Narcotics trafficking, Foreign trade, 598.315 of the FNKSR, as well as adding on, any securities on or after the Penalties, Reporting and recordkeeping § 536.300 to the NTSR and § 598.300 to effective date. This prohibition applies requirements, Sanctions, Securities, the FNKSR to clarify that the definitions irrespective of the fact that at any time Significant foreign narcotics traffickers, described in Subpart C of each part (whether prior to, on, or subsequent to Specially designated narcotics apply to the entire part. OFAC is the effective date) the registered or traffickers, Transfer of assets. updating the language of and making inscribed owner of any such securities conforming edits to §§ 598.404, 598.407, For the reasons set forth in the may have or might appear to have and 598.409 of the FNKSR to reference preamble, the Department of the assigned, transferred, or otherwise § 598.202 instead of § 598.203. OFAC is Treasury’s Office of Foreign Assets disposed of the securities. also updating the language of § 536.406 Control amends 31 CFR parts 536 and in the NTSR and § 598.406 in the 598 as follows: (d) The prohibitions in paragraph (a) FNKSR, including adding a note of this section apply except to the extent referencing the emergency medical PART 536—NARCOTICS TRAFFICKING provided by regulations, orders, services authorization. In § 536.506 of SANCTIONS REGULATIONS directives, or licenses that may be the NTSR and § 598.507 of the FNKSR, issued pursuant to this part, and ■ OFAC is updating regulatory provisions 1. The authority citation for part 536 notwithstanding any contract entered relating to the provision of legal continues to read as follows: into or any license or permit granted services. Finally, OFAC is updating the Authority: 3 U.S.C. 301; 31 U.S.C. 321(b); prior to the effective date. authorities citation of the NTSR. 50 U.S.C. 1601–1651, 1701–1706; Pub. L. Note 1 to § 536.201: See § 536.312 and the 101–410, 104 Stat. 890, as amended (28 notes to that section for the definition and Public Participation U.S.C. 2461 note); E.O. 12978, 60 FR 54579, information about the public listing of Because the NFSR and the FNKSR 3 CFR, 1995 Comp., p. 415; E.O. 13286, 68 specially designated narcotics traffickers and involve a foreign affairs function, the FR 10619, 3 CFR, 2003 Comp., p. 166. OFAC’s Specially Designated Nationals and provisions of E.O. 12866 of September Blocked Persons List (SDN List). See Subpart B—Prohibitions 30, 1993, ‘‘Regulatory Planning and § 536.312(d) concerning entities that may not Review’’ (58 FR 51735, October 4, 1993), be listed on the SDN List but whose property ■ 2. Revise § 536.201 to read as follows: and interests in property are nevertheless and the Administrative Procedure Act (5 blocked pursuant to this section. U.S.C. 553) requiring notice of proposed § 536.201 Prohibited transactions. rulemaking, opportunity for public (a) All property and interests in Note 2 to § 536.201: Sections 501.806 and participation, and delay in effective date property that are in the United States, 501.807 of this chapter describe the are inapplicable. Because no notice of that come within the United States, or procedures to be followed by persons proposed rulemaking is required for this that are or come within the possession seeking, respectively, the unblocking of rule, the Regulatory Flexibility Act (5 or control of any U.S. person, of a funds that they believe were blocked due to U.S.C. 601–612) does not apply. specially designated narcotics trafficker mistaken identity, and administrative reconsideration of their status as persons are blocked and may not be transferred, Paperwork Reduction Act whose property and interests in property are paid, exported, withdrawn, or otherwise blocked pursuant to this section. The collections of information related dealt in. to the NTSR and the FNKSR are (b) The prohibitions in paragraph (a) ■ 3. Revise § 536.203 to read as follows: contained in 31 CFR part 501 (the of this section include prohibitions on ‘‘Reporting, Procedures and Penalties the following transactions: § 536.203 Holding of funds in interest- Regulations’’). Pursuant to the (1) The making of any contribution or bearing accounts; investment and Paperwork Reduction Act of 1995 (44 provision of funds, goods, or services reinvestment. U.S.C. 3507), those collections of by, to, or for the benefit of any person (a) Except as provided in paragraphs information have been approved by the whose property and interests in (e) or (f) of this section, or as otherwise Office of Management and Budget under property are blocked pursuant to directed or authorized by OFAC, any control number 1505–0164. An agency paragraph (a) of this section, other than U.S. person holding funds, such as may not conduct or sponsor, and a donations of articles, such as food, currency, bank deposits, or liquidated person is not required to respond to, a clothing, and medicine, intended to be financial obligations, subject to collection of information unless the used to relieve human suffering; and § 536.201 shall hold or place such funds collection of information displays a (2) The receipt of any contribution or in a blocked interest-bearing account valid control number. provision of funds, goods, or services located in the United States.

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(b)(1) For purposes of this section, the § 536.204 Evasions; attempts; § 536.304 Foreign person. term blocked interest-bearing account conspiracies. The term foreign person means any means a blocked account: (a) Any transaction on or after the citizen or national of a foreign state (i) In a federally insured U.S. bank, effective date that has the purpose of (including any such individual who is thrift institution, or credit union, evading or avoiding, causes a violation also a citizen or national of the United provided the funds are earning interest of, or attempts to violate any of the States), wherever located, or any entity at rates that are commercially prohibitions set forth in this part is not organized solely under the laws of reasonable; or prohibited. the United States or existing solely in (ii) With a broker or dealer registered (b) Any conspiracy formed to violate the United States, but does not include a foreign state. with the Securities and Exchange the prohibitions set forth in this part is prohibited. Commission under the Securities § 536.305 [Removed and Reserved] Exchange Act of 1934 (15 U.S.C. 78a et ■ 5. Add § 536.206 to subpart B to read as follows: ■ 9. Remove and reserve § 536.305. seq.), provided the funds are invested in ■ a money market fund or in U.S. 10. Revise § 536.308 to read as § 536.206 Expenses of maintaining follows: Treasury bills. blocked tangible property; liquidation of (2) Funds held or placed in a blocked blocked property. § 536.308 Licenses; general and specific. account pursuant to paragraph (a) of this (a) Except as otherwise authorized, (a) Except as otherwise provided in section may not be invested in and notwithstanding the existence of this part, the term license means any instruments the maturity of which any rights or obligations conferred or license or authorization contained in or exceeds 180 days. imposed by any international agreement issued pursuant to this part. (c) For purposes of this section, a rate or contract entered into or any license (b) The term general license means is commercially reasonable if it is the or permit granted prior to the effective any license or authorization the terms of rate currently offered to other depositors date, all expenses incident to the which are set forth in subpart E of this on deposits or instruments of maintenance of tangible property part or made available on OFAC’s comparable size and maturity. blocked pursuant to § 536.201 shall be website: www.treasury.gov/ofac. (c) The term specific license means (d) For purposes of this section, if the responsibility of the owners or operators of such property, which any license or authorization issued interest is credited to a separate blocked pursuant to this part, but not set forth account or subaccount, the name of the expenses shall not be met from blocked funds. in subpart E of this part or made account party on each account must be available on OFAC’s website: the same. (b) Property blocked pursuant to § 536.201 may, in the discretion of www.treasury.gov/ofac. (e) Blocked funds held in instruments OFAC, be sold or liquidated and the net Note 1 to § 536.308: See § 501.801 of this the maturity of which exceeds 180 days proceeds placed in a blocked interest- chapter on licensing procedures. at the time the funds become subject to bearing account in the name of the § 536.201 may continue to be held until ■ 11. Revise § 536.312 to read as owner of the property. maturity in the original instrument, follows: provided any interest, earnings, or other Subpart C—General Definitions § 536.312 Specially designated narcotics proceeds derived therefrom are paid trafficker. into a blocked interest-bearing account ■ 6. Add § 536.300 to subpart C to read The term specially designated in accordance with paragraphs (a) or (f) as follows: narcotics trafficker means: of this section. § 536.300 Applicability of definitions. (a) Persons listed in the Annex to (f) Blocked funds held in accounts or Executive Order 12978 of October 24, The definitions in this subpart apply instruments outside the United States at 1995, as amended; throughout the entire part. the time the funds become subject to (b) Foreign persons designated by the § 536.201 may continue to be held in the ■ 7. Revise § 536.301 to read as follows: Secretary of the Treasury, in same type of accounts or instruments, § 536.301 Blocked account; blocked consultation with the Attorney General, provided the funds earn interest at rates property. Secretary of Homeland Security, and the that are commercially reasonable. The terms blocked account and Secretary of State, because they are (g) This section does not create an blocked property mean any account or found: (1) To play a significant role in affirmative obligation for the holder of property subject to the prohibitions in international narcotics trafficking blocked tangible property, such as real § 536.201 held in the name of a or personal property, or of other blocked centered in Colombia; or specially designated narcotics trafficker, (2) Materially to assist in, or provide property, such as debt or equity or in which such person has an interest, securities, to sell or liquidate such financial or technological support for or and with respect to which payments, goods or services in support of, the property. However, OFAC may issue transfers, exportations, withdrawals, or licenses permitting or directing such narcotics trafficking activities of other dealings may not be made or specially designated narcotics sales or liquidation in appropriate cases. effected except pursuant to a license or (h) Funds subject to this section may traffickers; other authorization from OFAC (c) Persons determined by the not be held, invested, or reinvested in expressly authorizing such action. Secretary of the Treasury, in a manner that provides financial or Note 1 to § 536.301: See § 536.312 consultation with the Attorney General, economic benefit or access to a specially concerning the blocked status of property Secretary of Homeland Security, and the designated narcotics trafficker, nor may and interests in property of an entity that is Secretary of State, to be owned or their holder cooperate in or facilitate the directly or indirectly owned, whether controlled by, or to act for or on behalf pledging or other attempted use as individually or in the aggregate, 50 percent of, any other specially designated collateral of blocked funds or other or more by one or more specially designated narcotics traffickers. narcotics trafficker; and assets. (d) Entities owned in the aggregate, ■ 4. Revise § 536.204 to read as follows: ■ 8. Revise § 536.304 to read as follows: directly or indirectly, 50 percent or

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more by one or more specially ■ 14. Add § 536.319 to subpart C to read charge cards, debit cards, or other credit designated narcotics traffickers. as follows: facilities issued by a financial Note 1 to § 536.312: The names of persons institution to a specially designated § 536.319 Narcotic drug; controlled narcotics trafficker. determined to fall within paragraph (a), (b), substance; listed chemical. or (c) of this section, whose property and ■ The terms narcotic drug, controlled 19. Add § 536.410 to subpart D to read interests in property therefore are blocked as follows: pursuant to § 536.201, are published in the substance, and listed chemical have the Federal Register and incorporated into meanings given those terms in section § 536.410 Charitable contributions. OFAC’s Specially Designated Nationals and 102 of the Controlled Substances Act Unless specifically authorized by Blocked Persons List (SDN List) with the (21 U.S.C. 802). OFAC pursuant to this part, no identifier ‘‘[SDNT].’’ The SDN List is ■ 15. Add § 536.320 to subpart C to read charitable contribution of funds, goods, accessible through the following page on as follows: OFAC’s website: www.treasury.gov/sdn. services, or technology, except Additional information pertaining to the SDN § 536.320 OFAC. donations of articles, such as food, List can be found in Appendix A to this clothing, and medicine, intended to The term OFAC means the chapter. Entities that fall within paragraph relieve human suffering, may be made Department of the Treasury’s Office of (d) of this section are also persons whose by, to, or for the benefit of, or received Foreign Assets Control. property and interests in property are from, a specially designated narcotics blocked pursuant to this part, whether or not trafficker. For the purposes of this part, they are identified by OFAC or appear on the Subpart D—Interpretations SDN List. a contribution is made by, to, or for the ■ 16. Revise § 536.406 to read as benefit of, or received from, a specially Note 2 to § 536.312: The International follows: designated narcotics trafficker if made Emergency Economic Powers Act (50 U.S.C. by, to, or in the name of, or received 1701–1706), in Section 203 (50 U.S.C. 1702), § 536.406 Provision of services. from or in the name of, such a person; authorizes the blocking of the property and (a) The prohibitions on transactions if made by, to, or in the name of, or interests in property of a person during the contained in § 536.201 apply to services received from or in the name of, an pendency of an investigation. The names of performed in the United States or by entity or individual acting for or on persons whose property and interests in U.S. persons, wherever located, property are blocked pending investigation behalf of, or owned or controlled by, including by a foreign branch of an such a person; or if made in an attempt pursuant to § 536.201 also are published in entity located in the United States: the Federal Register and incorporated into to violate, to evade, or to avoid the bar the SDN List with the identifier ‘‘[BPI– (1) On behalf of or for the benefit of on the provision of contributions by, to, SDNT].’’ a specially designated narcotics or for the benefit of such a person, or the trafficker; or receipt of contributions from such a Note 3 to § 536.312: Sections 501.806 and (2) With respect to property interests person. 501.807 of this chapter describe the of a specially designated narcotics procedures to be followed by persons trafficker. Subpart E—Licenses, Authorizations, seeking, respectively, the unblocking of (b) For example, U.S. persons may and Statements of Licensing Policy funds that they believe were blocked due to not, except as authorized by or pursuant mistaken identity, or administrative to this part, provide legal, accounting, ■ 20. Revise § 536.506 to read as reconsideration of their status as persons financial, brokering, freight forwarding, whose property and interests in property are follows: blocked pursuant to this part. transportation, public relations, or other services to a specially designated § 536.506 Provision of certain legal narcotics trafficker. services. § 536.313 [Removed and Reserved] (a) The provision of the following ■ 12. Remove and reserve § 536.313. Note 1 to § 536.406: See §§ 536.506 and legal services to or on behalf of specially 536.511 on licensing policy with regard to ■ 13. Add § 536.318 to subpart C to read the provision of certain legal and emergency designated narcotics traffickers is as follows: medical services. authorized, provided that any receipt of payment of professional fees and § 536.318 Finance. ■ 17. Revise § 536.407 to read as reimbursement of incurred expenses The term finance includes engaging in follows: must be authorized pursuant to any transaction involving funds, other § 536.407 Offshore transactions involving § 536.507 or 536.508, which authorize assets, property, or interest in property, blocked property. certain payments for legal services; via that are derived, obtained, or retained The prohibitions in § 536.201 on specific licenses; or otherwise pursuant from, directly or indirectly, narcotic transactions or dealings involving to this part: drugs, controlled substances, or listed blocked property, as defined in (1) Provision of legal advice and chemicals. This includes the § 536.301, apply to transactions by any counseling on the requirements of and transporting, transmitting, or U.S. person in a location outside the compliance with the laws of the United transferring of any such assets, property, United States. States or any jurisdiction within the or interests in property that creates the ■ United States, provided that such advice appearance that the funds, assets, or 18. Revise § 536.409 to read as and counseling are not provided to property were legitimately acquired, follows: facilitate transactions in violation of this furthers the illicit activity, conceals or § 536.409 Credit extended and cards part; disguises the assets, avoids reporting issued by financial institutions to a person (2) Representation of persons named requirements, or otherwise promotes the whose property and interests in property as defendants in or otherwise made carrying on of illicit activity, such as are blocked. parties to legal, arbitration, or money laundering. The prohibition in § 536.201 on administrative proceedings before any Note 1 to § 536.318: The definition of dealing in property subject to that U.S. federal, state, or local court or finance listed above is specific to this part section prohibits U.S. financial agency; and not any other parts of Chapter 31. See institutions from performing under any (3) Initiation and conduct of legal, § 536.101. existing credit agreements, including arbitration, or administrative

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proceedings before any U.S. federal, is authorized from funds originating ■ 24. Add § 536.509 to subpart E to read state, or local court or agency; outside the United States, provided that as follows: (4) Representation of persons before the funds do not originate from: any U.S. federal, state, or local court or (i) A source within the United States; § 536.509 Certain transactions for agency with respect to the imposition, (ii) Any source, wherever located, maintenance, employment, and related within the possession or control of a banking services for blocked individuals administration, or enforcement of U.S. physically located in the United States. sanctions against such persons; and U.S. person; or (5) Provision of legal services in any (iii) Any individual or entity, other (a) Individuals who are specially other context in which prevailing U.S. than the person on whose behalf the designated narcotics traffickers who are law requires access to legal counsel at legal services authorized pursuant to in U.S. custody or incarcerated in jails, public expense. § 536.506(a) are to be provided, whose prisons, or similar facilities in the (b) The provision of any other legal property and interests in property are United States (‘‘covered individuals’’), services to specially designated blocked pursuant to any part of this are authorized to engage in the narcotics traffickers not otherwise chapter or any Executive order or following transactions within the authorized in this part, requires the statute. United States: issuance of a specific license. (2) Nothing in this paragraph (1) Purchasing, making payment for, (c) U.S. persons do not need to obtain authorizes payments for legal services and receiving goods and services for specific authorization to provide related using funds in which a specially their maintenance and the maintenance services, such as making filings and designated narcotics trafficker, or any of their spouse or persons who would providing other administrative services, other person whose property and ordinarily share a common dwelling as that are ordinarily incident to the interests in property are blocked a family with them, located in the provision of services authorized by this pursuant to any other part of this United States, including food, clothing, paragraph. Additionally, U.S. persons chapter, or any Executive order or housing, medical care, education, who provide services authorized by this statute has an interest. transportation, insurance, and utilities; section do not need to obtain specific (b) Reports. (1) U.S. persons who (2) Obtaining or continuing authorization to contract for related receive payments pursuant to paragraph employment and engaging in all services that are ordinarily incident to (a) of this section must submit annual transactions ordinarily incident to such the provision of those legal services, reports no later than 30 days following employment, including receipt of salary such as those provided by private the end of the calendar year during and benefits; investigators or expert witnesses, or to which the payments were received (3) Establishing accounts with a U.S. pay for such services. See § 536.405. providing information on the funds financial institution, or a commissary- (d) Entry into a settlement agreement received. Such reports shall specify: type account with a prison, jail, or other or the enforcement of any lien, (i) The individual or entity from similar facility, located in the United judgment, arbitral award, decree, or whom the funds originated and the States, for use in connection with the other order through execution, amount of funds received; and transactions authorized in paragraph garnishment, or other judicial process (ii) If applicable: (a)(1) and (a)(2) of this section; and (A) The names of any individuals or purporting to transfer or otherwise alter (4) Receiving and making funds entities providing related services to the or affect property or interests in transfers in furtherance of the U.S. person receiving payment in property blocked pursuant to § 536.201 authorized transactions set forth in connection with authorized legal paragraphs (a)(1) through (3) of this is prohibited unless licensed pursuant services, such as private investigators or to this part. section from unblocked funds expert witnesses; originating within or outside the United Note 1 to § 536.506: Pursuant to part 501, (B) A general description of the States, provided that any funds received subpart E, of this chapter, U.S. persons services provided; and may not originate from any individual seeking administrative reconsideration or (C) The amount of funds paid in or entity whose property or interests in judicial review of their designation or the connection with such services. blocking of their property and interests in property are blocked pursuant to any (2) The reports, which must reference part of this chapter or any Executive property may apply for a specific license this section, are to be submitted to from OFAC to authorize the release of certain order or statute, other than the covered OFAC using one of the following blocked funds for the payment of individual or his or her spouse or methods: professional fees and reimbursement of persons who would ordinarily share a (i) Email (preferred method): OFAC. incurred expenses for the provision of such common dwelling as a family with the [email protected]; or legal services where alternative funding covered individual. sources are not available (ii) U.S. Mail: OFAC Regulations Reports, Office of Foreign Assets (b) Any financial institution that has established any account pursuant to § 536.507 [Redesignated as § 536.511] Control, U.S. Department of the Treasury, 1500 Pennsylvania Avenue paragraph (a)(3) of this section, ■ 21. Redesignate § 536.507 as NW, Freedman’s Bank Building, excluding commissary-type accounts § 536.511. Washington, DC 20220. with prisons, jails, or other similar facilities, must provide the name and ■ 22. Add new § 536.507 to subpart E to ■ 23. Add § 536.508 to subpart E to read address of the financial institution, the read as follows: as follows: name of the account holder, and the § 536.507 Payments for legal services from § 536.508 Payment of legal fees and account number to OFAC within 10 funds originating outside the United States. expenses at public expense. business days of the establishment of (a) Professional fees and incurred U.S. persons that are attorneys, law the account. expenses. (1) Receipt of payment of firms, or legal services organizations are (c) This general license does not professional fees and reimbursement of authorized to receive payment of authorize any funds transfers to any incurred expenses for the provision of professional fees and reimbursement of location outside the United States. legal services authorized pursuant to incurred expenses from public funds for Note 1 to paragraph (c): A covered § 536.506(a) to or on behalf of a the provision of legal services individual has an interest in any funds specially designated narcotics trafficker authorized by § 536.506(a). remaining in a commissary-type account

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with a prison, jail, or other similar facility (i) Email (preferred method): OFAC (2) The receipt of any contribution or established pursuant to paragraph (a)(3) of [email protected]; or provision of funds, goods, or services this section after the covered individual is (ii) U.S. mail: OFAC Regulations from any person whose property and released from custody or incarceration. Reports, Office of Foreign Assets interests in property are blocked Note 2 to paragraph (c): In the case of Control, U.S. Department of the pursuant to paragraph (a) of this section. individuals who are in custody or Treasury, 1500 Pennsylvania Avenue (c) Unless authorized by this part or incarcerated, funds transfers must be NW, Freedman’s Bank Building, by a specific license expressly referring authorized by and consistent with the Washington, DC 20220. to this part, any dealing in securities (or conditions, protocols, and other requirements ■ 26. Revise newly redesignated evidence thereof) held within the established by the jail, prison, or other § 536.511 to read as follows: possession or control of a U.S. person facility. and either registered or inscribed in the § 536.511 Emergency medical services. name of, or known to be held for the Note 3 to § 536.509: The authorization in The provision and receipt of this section only applies to laws and benefit of, or issued by, a specially nonscheduled emergency medical designated narcotics trafficker is regulations administered by OFAC and services that are prohibited by this part should not be interpreted to excuse prohibited. This prohibition includes compliance with other applicable laws or are authorized. the transfer (including the transfer on regulations, including the immigration laws the books of any issuer or agent thereof), PART 598—FOREIGN NARCOTICS of the United States. disposition, transportation, importation, KINGPIN SANCTIONS REGULATIONS ■ 25. Add § 536.510 to subpart E to read exportation, or withdrawal of, or the as follows: ■ 27. The authority citation for part 598 endorsement or guaranty of signatures is revised to read as follows: on, any securities on or after the § 536.510 Certain transactions for the effective date. This prohibition applies expenses of maintaining blocked tangible Authority: 3 U.S.C. 301; 21 U.S.C. 1901– 1908; 31 U.S.C. 321(b); Pub. L. 101–410, 104 irrespective of the fact that at any time property. Stat. 890, as amended (28 U.S.C. 2461 note). (whether prior to, on, or subsequent to (a) Specially designated narcotics the effective date) the registered or traffickers are authorized to engage in Subpart B—Prohibitions inscribed owner of any such securities the following transactions: may have or might appear to have (1) Making payment for and receiving ■ 28. Revise § 598.202 to read as assigned, transferred, or otherwise goods and services for the maintenance follows: disposed of the securities. of blocked tangible property required § 598.202 Prohibited transactions. (d) The prohibitions in paragraph (a) pursuant to § 536.206; and of this section apply except to the extent (a) All property and interests in (2) Receiving and making funds provided by regulations, orders, property that are in the United States, transfers in furtherance of the directives, or licenses that may be that come within the United States, or authorized transactions set forth in issued pursuant to this part, and that are or come within the possession paragraph (a)(1) of this section from notwithstanding any contract entered or control of any U.S. person, of a unblocked funds originating outside the into or any license or permit granted specially designated narcotics trafficker United States, provided that any funds prior to the effective date. received may not originate from any are blocked and may not be transferred, individual or entity whose property or paid, exported, withdrawn, or otherwise § 598.203 [Removed and Reserved] dealt in. interests in property are blocked ■ 29. Remove and reserve § 598.203. pursuant to any part of this chapter or Note 1 to paragraph (a): See § 598.314 and ■ the notes to that section for the definition 30. Revise § 598.204 to read as any Executive order or statute, other follows: than the specially designated narcotics and information about the public listing of specially designated narcotics traffickers and § 598.204 Evasions; attempts; trafficker(s), who owns the property. OFAC’s Specially Designated Nationals and conspiracies. (b)(1) Any person making payment for Blocked Persons List (SDN List). See or receiving goods and services for the paragraph (c) of § 598.314 concerning entities (a) Any transaction on or after the maintenance of tangible property that may not be listed on the SDN List but effective date that has the purpose of blocked pursuant to § 536.201 and whose property and interests in property are evading or avoiding, causes a violation authorized by paragraph (a)(1) of this nevertheless blocked pursuant to paragraph of, or attempts to violate any of the section must file a report on the (a) of this section. prohibitions set forth in this part is transactions with OFAC within 30 days Note 2 to paragraph (a): Sections 501.806 prohibited. of the first transaction related to that and 501.807 of this chapter describe the (b) Any conspiracy formed to violate property and annually thereafter. Such procedures to be followed by persons the prohibitions set forth in this part is reports shall include the following seeking, respectively, the unblocking of prohibited. numbered sections and information: funds that they believe were blocked due to ■ 31. Revise § 598.206 to read as (i) Estimated or actual dollar value of mistaken identity, and administrative follows: the transaction(s), as determined by the reconsideration of their status as persons value of the payment, goods, or services; whose property and interests in property are § 598.206 Holding of funds in interest- (ii) A description of the blocked blocked pursuant to paragraph (a) of this bearing accounts; investment and section. property; reinvestment. (iii) The parties involved; (b) The prohibitions in paragraph (a) (a) Except as provided in paragraphs (iv) The type and scope of of this section include prohibitions on (e) or (f) of this section, or as otherwise transactions conducted; and the following transactions: directed or authorized by OFAC, any (v) The dates and duration of the (1) The making of any contribution or U.S. person holding funds, such as transactions. provision of funds, goods, or services currency, bank deposits, or liquidated (2) The reports, which must reference by, to, or for the benefit of any person financial obligations, subject to this section, are to be submitted to whose property and interests in § 598.202 shall hold or place such funds OFAC using one of the following property are blocked pursuant to in a blocked interest-bearing account methods: paragraph (a) of this section; and located in the United States.

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(b)(1) For purposes of this section, the § 598.207 Expenses of maintaining ■ 37. Revise § 598.308 to read as term blocked interest-bearing account blocked tangible property; liquidation of follows: means a blocked account: blocked property. (i) In a federally insured U.S. bank, (a) Except as otherwise authorized, § 598.308 Licenses; general and specific. thrift institution, or credit union, and notwithstanding the existence of (a) Except as otherwise provided in provided the funds are earning interest any rights or obligations conferred or this part, the term license means any at rates that are commercially imposed by any international agreement license or authorization contained in or reasonable; or or contract entered into or any license issued pursuant to this part. (ii) With a broker or dealer registered or permit granted prior to the effective (b) The term general license means with the Securities and Exchange date, all expenses incident to the any license or authorization the terms of Commission under the Securities maintenance of tangible property which are set forth in subpart E of this Exchange Act of 1934 (15 U.S.C. 78a et blocked pursuant to § 598.202 shall be part or made available on OFAC’s seq.), provided the funds are invested in the responsibility of the owners or website: www.treasury.gov/ofac. a money market fund or in U.S. operators of such property, which (c) The term specific license means Treasury bills. expenses shall not be met from blocked any license or authorization issued (2) Funds held or placed in a blocked funds. pursuant to this part, but not set forth account pursuant to paragraph (a) of this (b) Property blocked pursuant to in subpart E of this part or made section may not be invested in § 598.202 may, in the discretion of available on OFAC’s website: www. instruments the maturity of which OFAC, be sold or liquidated and the net treasury.gov/ofac. exceeds 180 days. proceeds placed in a blocked interest- Note 1 to § 598.308: See § 501.801 of this (c) For purposes of this section, a rate bearing account in the name of the chapter on licensing procedures. is commercially reasonable if it is the owner of the property. ■ rate currently offered to other depositors 38. Revise § 598.313 to read as follows: on deposits or instruments of Subpart C—General Definitions comparable size and maturity. § 598.313 Significant foreign narcotics (d) For purposes of this section, if ■ 33. Add § 598.300 to subpart C to read trafficker. interest is credited to a separate blocked as follows: The term significant foreign narcotics account or subaccount, the name of the § 598.300 Applicability of definitions. trafficker means any foreign person that account party on each account must be plays a significant role in international The definitions in this subpart apply the same. narcotics trafficking that the President throughout the entire part. (e) Blocked funds held in instruments has determined to be appropriate for the maturity of which exceeds 180 days ■ 34. Revise § 598.301 to read as sanctions and has publicly identified at the time the funds become subject to follows: under section 804(b) or section 804(h)(1) § 598.202 may continue to be held until of the Foreign Narcotics Kingpin maturity in the original instrument, § 598.301 Blocked account; blocked property. Designation Act (21 U.S.C. 1903(b) or provided any interest, earnings, or other (h)(1)). proceeds derived therefrom are paid The terms blocked account and into a blocked interest-bearing account blocked property shall mean any Note 1 to § 598.313: On May 15, 2015, the in accordance with paragraphs (a) or (f) account or property subject to the functions conferred upon the President by prohibitions in § 598.202 held in the sections 804(b) and (h) of the Foreign of this section. Narcotics Kingpin Designation Act (21 U.S.C. (f) Blocked funds held in accounts or name of a specially designated narcotics 1903(b) and (h)), were delegated to the instruments outside the United States at trafficker, or in which such person has Secretary of the Treasury. the time the funds become subject to an interest, and with respect to which § 598.202 may continue to be held in the payments, transfers, exportations, ■ 39. Revise § 598.314 to read as same type of accounts or instruments, withdrawals, or other dealings may not follows: provided the funds earn interest at rates be made or effected except pursuant to § 598.314 Specially designated narcotics that are commercially reasonable. a license or other authorization from trafficker. (g) This section does not create an OFAC expressly authorizing such The term specially designated affirmative obligation for the holder of action. narcotics trafficker means: blocked tangible property, such as real Note 1 to § 598.301: See § 598.314 (a) Significant foreign narcotics or personal property, or of other blocked concerning the blocked status of property traffickers; and property, such as debt or equity and interests in property of an entity that is (b) Foreign persons designated by the securities, to sell or liquidate such directly or indirectly owned, whether Secretary of the Treasury, in property. However, OFAC may issue individually or in the aggregate, 50 percent consultation with the Attorney General, licenses permitting or directing such or more by one or more specially designated the Director of Central Intelligence, the narcotics traffickers. sales or liquidation in appropriate cases. Director of the Federal Bureau of (h) Funds subject to this section may ■ 35. Revise § 598.305 to read as Investigation, the Administrator of the not be held, invested, or reinvested in follows: Drug Enforcement Administration, the a manner that provides immediate Secretary of Defense, and the Secretary financial or economic benefit or access § 598.305 Foreign person. of State, because they are found to be: to any person whose property and The term foreign person means any (1) Materially assisting in, or interests in property are blocked citizen or national of a foreign state, providing financial or technological pursuant to § 598.202, nor may their wherever located, or any entity not support for or to, or providing goods or holder cooperate in or facilitate the organized under the laws of the United services in support of, the international pledging or other attempted use as States, but does not include a foreign narcotics trafficking activities of a collateral of blocked funds or other state. specially designated narcotics trafficker; assets. (2) Owned, controlled, or directed by, ■ 32. Add § 598.207 to subpart B to read § 598.306 [Removed and Reserved] or acting for or on behalf of, a specially as follows: ■ 36. Remove and reserve § 598.306. designated narcotics trafficker; or

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(3) Playing a significant role in Note 1 to § 598.320: The definition of section prohibits U.S. financial international narcotics trafficking; and finance listed above is specific to this part institutions from performing under any (c) Entities owned in the aggregate, and not any other parts of Chapter 31. See existing credit agreements, including § 598.101. directly or indirectly, 50 percent or charge cards, debit cards, or other credit more by one or more specially ■ 42. Add § 598.321 to subpart C to read facilities issued by a financial designated narcotics traffickers. as follows: institution to a specially designated narcotics trafficker. Note 1 to § 598.314: The names of persons § 598.321 OFAC. determined to fall within paragraph (a) or (b) ■ 47. Add § 598.411 to subpart D to read of this definition, whose property and The term OFAC means the as follows: interests in property therefore are blocked Department of the Treasury’s Office of pursuant to this part, are published in the Foreign Assets Control. § 598.411 Charitable contributions. Federal Register and incorporated into Unless specifically authorized by OFAC’s Specially Designated Nationals and Subpart D—Interpretations OFAC pursuant to this part, no Blocked Persons List (SDN List) with the ■ charitable contribution of funds, goods, identifier ‘‘[SDNTK].’’ The SDN List is 43. Revise § 598.404 to read as services, or technology, including accessible through the following page on follows: contributions to relieve human OFAC’s website: www.treasury.gov/sdn. Additional information pertaining to the SDN § 598.404 Setoffs prohibited. suffering, such as food, clothing, or List can be found in Appendix A to this A setoff against blocked property medicine, may be made by, to, or for the chapter. Entities that fall within paragraph (c) (including a blocked account), whether benefit of, or received from, a specially of this section are also persons whose by a U.S. bank or other U.S. person, is designated narcotics trafficker. For the property and interests in property are a prohibited transfer under § 598.202 if purposes of this part, a contribution is blocked pursuant to this part, regardless of effected after the effective date. made by, to, or for the benefit of, or whether they are identified by OFAC or received from, a specially designated ■ 44. Revise § 598.406 to read as appear on the SDN List. narcotics trafficker if made by, to, or in follows: Note 2 to § 598.314: The Foreign Narcotics the name of, or received from or in the Kingpin Designation Act (21 U.S.C. 1901– § 598.406 Provision of services. name of, such a person; if made by, to, 1908), in Section 806 (21 U.S.C. 1905), (a) The prohibitions on transactions or in the name of, or received from or authorizes the blocking of property and contained in § 598.202 apply to services in the name of, an entity or individual interests in property of a person during the performed in the United States or by acting for or on behalf of, or owned or pendency of an investigation. The names of U.S. persons, wherever located, controlled by, such a person; or if made persons whose property and interests in in an attempt to violate, to evade, or to property are blocked pending investigation including by a foreign branch of an entity located in the United States: avoid the bar on the provision of pursuant to this part also are published in the contributions by, to, or for the benefit of Federal Register and incorporated into the (1) On behalf of or for the benefit of SDN List with the identifier ‘‘[BPI–SDNTK].’’ a specially designated narcotics such a person, or the receipt of trafficker; or contributions from such a person. Note 3 to § 598.314: Sections 501.806 and (2) With respect to property interests Subpart E—Licenses, Authorizations, 501.807 of this chapter describe the of a specially designated narcotics and Statements of Licensing Policy procedures to be followed by persons trafficker. seeking, respectively, the unblocking of (b) For example, U.S. persons may funds that they believe were blocked due to ■ 48. Revise § 598.507 to read as mistaken identity, or administrative not, except as authorized by or pursuant follows: reconsideration of their status as persons to this part, provide legal, accounting, whose property and interests in property are financial, brokering, freight forwarding, § 598.507 Provision of certain legal blocked pursuant to this part. transportation, public relations, or other services. services to a specially designated (a) The provision of the following § 598.315 [Removed and Reserved] narcotics trafficker. legal services to or on behalf of a specially designated narcotics trafficker ■ 40. Remove and reserve § 598.315. Note 1 to § 598.406: See §§ 598.507 and 598.513 on licensing policy with regard to is authorized, provided that any receipt ■ 41. Add § 598.320 to subpart C to read the provision of certain legal and emergency of payment of professional fees and as follows: medical services. reimbursement of incurred expenses must be authorized pursuant to ■ 45. Revise § 598.407 to read as § 598.320 Finance. §§ 598.508 and 598.509, which follows: The term finance includes engaging in authorize certain types of payments for any transaction involving funds, other § 598.407 Offshore transactions involving legal services; via specific license; or assets, property, or interest in property, blocked property. otherwise pursuant to this part: that are derived, obtained, or retained The prohibitions in § 598.202 on (1) Provision of legal advice and from, directly or indirectly, narcotic transactions or dealings involving counseling on the requirements of and drugs, controlled substances, or listed blocked property, as defined in compliance with the laws of the United chemicals. This includes the § 598.301, apply to transactions by any States or any jurisdiction within the transporting, transmitting, or U.S. person in a location outside the United States, provided that such advice transferring of any such assets, property, United States. and counseling are not provided to or interests in property that creates the ■ 46. Revise § 598.409 to read as facilitate transactions in violation of this appearance that the funds, assets, or follows: part; property were legitimately acquired, (2) Representation of persons when furthers the illicit activity, conceals or § 598.409 Credit extended and cards named as defendants in or otherwise disguises the assets, avoids reporting issued by financial institutions to a made parties to legal, arbitration, or requirements, or otherwise promotes the specially designated narcotics trafficker. administrative proceedings before any carrying on of illicit activity, such as The prohibition in § 598.202 on U.S. federal, state, or local court or money laundering. dealing in property subject to that agency;

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(3) Initiation and conduct of legal, (i) A source within the United States; § 598.510 Certain transactions for arbitration, or administrative (ii) Any source, wherever located, maintenance, employment, and related proceedings before any U.S. federal, within the possession or control of a banking services for blocked individuals state, or local court or agency; U.S. person; or physically located in the United States. (4) Representation of persons before (iii) Any individual or entity, other (a) Individuals who are specially any U.S. federal, state, or local court or than the person on whose behalf the designated narcotics traffickers who are agency with respect to the imposition, legal services authorized pursuant to in U.S. custody or incarcerated in jails, administration, or enforcement of U.S. § 598.507(a) are to be provided, whose prisons, or similar facilities in the sanctions against such persons; and property and interests in property are United States (‘‘covered individuals’’), (5) Provision of legal services in any blocked pursuant to any part of this are authorized to engage in the other context in which prevailing U.S. chapter or any Executive order or following transactions within the law requires access to legal counsel at statute. United States: public expense. (2) This paragraph authorizes the (1) Purchasing, making payment for, (b) The provision of any other legal blocked person on whose behalf the and receiving goods and services for services to specially designated legal services authorized pursuant to their maintenance and the maintenance narcotics traffickers, not otherwise § 598.507(a) are to be provided to make of their spouse or persons who are authorized in this part, requires the payments for authorized legal services sharing or who would ordinarily share issuance of a specific license. using funds originating outside the a common dwelling as a family with (c) U.S. persons do not need to obtain United States that were not previously them, located in the United States, specific authorization to provide related blocked. including food, clothing, housing, services, such as making filings and (b) Reports. (1) U.S. persons who medical care, education, transportation, providing other administrative services, receive payments pursuant to paragraph insurance, and utilities; (2) Obtaining or continuing that are ordinarily incident to the (a) of this section must submit annual employment and engaging in all provision of services authorized by this reports no later than 30 days following transactions ordinarily incident to such paragraph. Additionally, U.S. persons the end of the calendar year during employment, including receipt of salary who provide services authorized by this which the payments were received and benefits; paragraph do not need to obtain specific providing information on the funds (3) Establishing accounts with a U.S. authorization to contract for related received. Such reports shall specify: financial institution, or a commissary- services that are ordinarily incident to (i) The individual or entity from type account with a prison, jail, or other the provision of those legal services, whom the funds originated and the similar facility, located in the United such as those provided by private amount of funds received; and States, for use in connection with the investigators or expert witnesses, or to (ii) If applicable: pay for such services. See § 598.405. transactions authorized in paragraph (A) The names of any individuals or (a)(1) and (a)(2) of this section; and (d) Entry into a settlement agreement entities providing related services to the or the enforcement of any lien, (4) Receiving and making funds U.S. person receiving payment in transfers in furtherance of the judgment, arbitral award, decree, or connection with authorized legal other order through execution, authorized transactions set forth in services, such as private investigators or paragraphs (a)(1) through (3) of this garnishment, or other judicial process expert witnesses; purporting to transfer or otherwise alter section from unblocked funds (B) A general description of the originating within or outside the United or affect property or interests in services provided; and property blocked pursuant to States, provided that any funds received (C) The amount of funds paid in may not originate from any individual § 598.202(a), is prohibited unless connection with such services. licensed pursuant to this part. or entity whose property or interests in (2) The reports, which must reference property are blocked pursuant to any Note 1 to § 598.507: Pursuant to part 501, this section, are to be submitted to part of this chapter or any Executive subpart E, of this chapter, U.S. persons OFAC using one of the following seeking administrative reconsideration or order or statute, other than the covered methods: individual or his or her spouse or judicial review of their designation or the (i) Email (preferred method): OFAC. blocking of their property and interests in persons who are sharing or who would property may apply for a specific license [email protected]; or ordinarily share a common dwelling as from OFAC to authorize the release of certain (ii) U.S. mail: OFAC Regulations a family with the covered individual. blocked funds necessary for the payment of Reports, Office of Foreign Assets (b) Any financial institution that has professional fees and reimbursement of Control, U.S. Department of the established any account pursuant to incurred expenses where alternative funding Treasury, 1500 Pennsylvania Avenue paragraph (a)(3) of this section, sources are not available. NW, Freedman’s Bank Building, excluding commissary-type accounts Washington, DC 20220. ■ 49. Add § 598.508 to subpart E to read with prisons, jails, or other similar as follows: ■ 50. Add § 598.509 to subpart E to read facilities, must provide the name and as follows: address of the financial institution, the § 598.508 Payments for legal services from name of the account holder, and the funds originating outside the United States. § 598.509 Payment of legal fees and expenses at public expense. account number to OFAC within 10 (a) Professional fees and incurred business days of the establishment of expenses. (1) Receipt of payment of U.S. persons that are attorneys, law the account. professional fees and reimbursement of firms, or legal services organizations are (c) This general license does not incurred expenses for the provision of authorized to receive payment of authorize any funds transfers to any legal services authorized pursuant to professional fees and reimbursement of location outside the United States. § 598.507(a) to or on behalf of a incurred expenses from public funds for the provision of legal services Note 1 to paragraph (c): A covered specially designated narcotics trafficker individual has an interest in any funds is authorized from funds originating authorized by § 598.507(a). remaining in a commissary-type account outside the United States, provided that ■ 51. Add § 598.510 to subpart E to read with a prison, jail, or other similar facility the funds do not originate from: as follows: established pursuant to paragraph (a)(3) of

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this section after the covered individual is (i) Email (preferred method): has been published in the Federal released from custody or incarceration. OFAC.Regulations.Reports@ Register. treasury.gov; or DATES: This final rule is effective June Note 2 to paragraph (c): In the case of (ii) U.S. mail: OFAC Regulations individuals who are in custody or 16, 2021. Reports, Office of Foreign Assets incarcerated, funds transfers must be FOR FURTHER INFORMATION CONTACT: Ms. Control, U.S. Department of the authorized by and consistent with the Luz D. Ortiz, Chief, Records, Privacy Treasury, 1500 Pennsylvania Avenue conditions, protocols, and other requirements and Declassification Division (RPDD), established by the jail, prison, or other NW, Freedman’s Bank Building, 1155 Defense Pentagon, Washington, DC facility. Washington, DC 20220. 20311–1155, or by phone at (571) 372– ■ 53. Add § 598.512 to subpart E to read Note 3 to § 598.510: The authorization in 0478. this section only applies to laws and as follows: SUPPLEMENTARY INFORMATION: On August regulations administered by OFAC and § 598.512 Emergency medical services. 21, 2018, the Department of Defense should not be interpreted to excuse published a proposed rule titled compliance with other applicable laws or The provision and receipt of nonscheduled emergency medical ‘‘Privacy Act of 1974; Implementation,’’ regulations, including the immigration laws which proposed to exempt some records of the United States. services that are prohibited by this part are authorized. maintained in DMDC 18 DoD, ‘‘Synchronized Predeployment and ■ 52. Add § 598.511 to subpart E to read ■ 54. Revise § 598.803 to read as as follows: Operational Tracker Enterprise Suite follows: (SPOT–ES) Records’’ (83 FR 42234– § 598.511 Certain transactions for the § 598.803 Delegation by the Secretary of 42235) from subsection (d) of the expenses of maintaining blocked tangible the Treasury. Privacy Act. The public comment property Any action that the Secretary of the period ended on September 20, 2018. At (a) Specially designated narcotics Treasury is authorized to take pursuant the end of the public comment period, traffickers are authorized to engage in to the Foreign Narcotics Kingpin DoD did not receive any pertinent the following transactions: Designation Act, the Presidential public comments. (1) Making payment for and receiving Memorandum of May 15, 2015: DoD now has a single DoD-level goods and services for the maintenance Delegation of Functions Under the Privacy Program rule at 32 CFR part 310 of tangible property blocked pursuant to Foreign Narcotics Kingpin Designation (84 FR 14728–14811) that contains all § 598.202(a); and Act, or the Presidential Memorandum of the codified information required for the (2) Receiving and making funds May 31, 2013: Delegation of Functions Department. That revised Privacy transfers in furtherance of the Under Subsection 804(h)(2)(A) of the Program rule also includes all DoD authorized transactions set forth in Foreign Narcotics Kingpin Designation component exemption rules. The OSD/ paragraph (a)(1) of this section from Act may be taken by the Director of the JS Privacy Program regulation at 32 CFR unblocked funds originating outside the OFAC or by any other person to whom part 311, last updated on October 30, United States, provided that any funds the Secretary of the Treasury has 2009 (74 FR 56114), was no longer received may not originate from any delegated authority so to act. required and was removed from the CFR on August 7, 2019 (84 FR 38552). A individual or entity whose property or Dated: May 12, 2021. interests in property are blocked system of records notice for this system Bradley T. Smith, pursuant to any part of this chapter or was published in the Federal Register any Executive order or statute, other Acting Director, Office of Foreign Assets on August 21, 2018 (83 FR 42262– Control. than the specially designated narcotics 42266). trafficker(s) who owns the property. [FR Doc. 2021–10314 Filed 5–14–21; 8:45 am] This modification to 32 CFR part 310 BILLING CODE 4810–AL–P adds a new Privacy Act exemption rule (b)(1) Any person making payment for for the Synchronized Redeployment and or receiving goods and services for the Operational Tracker Enterprise Suite maintenance of tangible property (SPOT–ES), which is used at blocked pursuant to § 598.202(a) DEPARTMENT OF DEFENSE installations to manage, track, account authorized by paragraph (a)(1) of this Office of the Secretary for, monitor, and report on contracts, section must file a report on the companies, and contractor employees transactions with OFAC within 30 days 32 CFR Part 310 supporting contingency operations, of the first transaction related to that humanitarian assistance operations, property. Such reports shall include the [Docket ID: DoD–2018–OS–0055] peace operations, disaster relief following numbered sections and RIN 0790–AK41 operations, military exercises, events, information: and other activities that require (i) Estimated or actual dollar value of Privacy Act of 1974; Implementation contractor support. Contract scope, the transaction(s), as determined by the installations, and/or activities requiring value of the payment, goods, or services; AGENCY: Office of the Secretary of Defense, Department of Defense (DoD). contractor support as documented in (ii) A description of the blocked ACTION: Final rule. SPOT–ES may be classified under property; Executive Order (E.O.) 13526, (iii) The parties involved; SUMMARY: The Office of the Secretary of ‘‘Classified National Security (iv) The type and scope of Defense is finalizing the rule to exempt Information.’’ Information classified transactions conducted; and from the Privacy Act some records under E.O. 13526, as implemented by (iv) The dates and duration of the maintained in the DoD Defense DoD Manual (DoDM) 5200.01 Volumes transactions. Manpower Data Center system of 1 and 3, and DoD Instruction (DoDI) (2) The reports, which must reference records titled ‘‘Synchronized 5200.01, may be exempt pursuant to 5 this section, are to be submitted to Predeployment and Operational Tracker U.S.C. 552a(k)(1). Granting unfettered OFAC using one of the following Enterprise Suite (SPOT–ES) Records,’’ A access to information that is properly methods: system of records notice for this system classified pursuant to those authorities

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may cause damage to the national Public Law 96–511, ‘‘Paperwork ENVIRONMENTAL PROTECTION security. Reduction Act’’ (44 U.S.C. Chapter 35) AGENCY Regulatory Procedures It has been determined that this rule 40 CFR Part 180 Executive Order 12866, ‘‘Regulatory does not impose additional information Planning and Review,’’ Executive Order collection requirements on the public [EPA–HQ–OPP–2018–0762; FRL–10019–62] 13563, ‘‘Improving Regulation and under the Paperwork Reduction Act of Regulatory Review’’ 1995 (44 U.S.C. 3501 et seq.). Trifludimoxazin; Pesticide Tolerances Executive Order 13132, ‘‘Federalism’’ Executive Orders 12866 and 13563 AGENCY: Environmental Protection direct agencies to assess all costs and Executive Order 13132 establishes Agency (EPA). benefits of available regulatory certain requirements that an agency ACTION: Final rule. alternatives and, if regulation is must meet when it promulgates a necessary, to select regulatory proposed rule (and subsequent final SUMMARY: This regulation establishes approaches that maximize net benefits rule) that imposes substantial direct tolerances for residues of (including potential economic, requirement costs on State and local trifludimoxazin in or on multiple environmental, public health and safety governments, preempts State law, or commodities which are identified and effects, distribute impacts, and equity). otherwise has Federalism implications. discussed later in this document. BASF Executive Order 13563 also emphasizes This final rule will not have a corporation requested these tolerances the importance of quantifying both costs substantial effect on State and local under the Federal Food, Drug, and and benefits, of reducing costs, of governments. Cosmetic Act (FFDCA). harmonizing rules, and of promoting DATES: This regulation is effective May List of Subjects in 32 CFR Part 310 flexibility. It has been determined that 17, 2021. Objections and requests for this rule is not a significant regulatory Privacy. hearings must be received on or before action under these Executive Orders. July 16, 2021 and must be filed in Congressional Review Act Accordingly, 32 CFR part 310 is accordance with the instructions amended as follows: provided in 40 CFR part 178 (see also The Congressional Review Act, title 5, Unit I.C. of the SUPPLEMENTARY U.S.C. 801 et seq., as amended by the PART 310—[AMENDED] INFORMATION). Small Business Regulatory Enforcement Fairness Act of 1996, generally provides ■ 1. The authority citation for 32 CFR ADDRESSES: The docket for this action, that before a rule may take effect, the part 310 continues to read as follows: identified by docket identification (ID) number EPA–HQ–OPP–2018–0762, is agency promulgating the rule must Authority: 5 U.S.C. 552a. submit a rule report, which includes a available at http://www.regulations.gov copy of the rule, to each House of the ■ 2. Section 310.29 is amended by or at the Office of Pesticide Programs Congress and to the Comptroller General adding paragraph (c)(28) to read as Regulatory Public Docket (OPP Docket) of the United States. The DoD will follows: in the Environmental Protection Agency submit a report containing this rule and Docket Center (EPA/DC), West William other required information to the U.S. § 310.29 Procedures for exemptions. Jefferson Clinton Bldg., Rm. 3334, 1301 Senate, the U.S. House of * * * * * Constitution Ave. NW, Washington, DC 20460–0001. The Public Reading Room Representatives, and the Comptroller (c) * * * General of the United States. A major is open from 8:30 a.m. to 4:30 p.m., (28) System identifier and name. rule cannot take effect until 60 days Monday through Friday, excluding legal DMDC 18 DoD, Synchronized after it is published in the Federal holidays. The telephone number for the Predeployment and Operational Tracker Register. This final rule is not a ‘‘major Public Reading Room is (202) 566–1744, Enterprise Suite (SPOT–ES) Records. rule’’ as defined by 5 U.S.C. 804(2). and the telephone number for the OPP (i) Exemption. Information classified Docket is (703) 305–5805. 2 U.S.C. Ch. 25, ‘‘Unfunded Mandates under E.O. 13526, as implemented by Due to the public health concerns Reform Act’’ DoD Instruction (DoDI) 5200.01 and related to COVID–19, the EPA Docket This final rule is not subject to the DoD Manual (DoDM) 5200.01, Volumes Center (EPA/DC) and Reading Room is Unfunded Mandates Reform Act 1 and 3, may be exempt pursuant to 5 closed to visitors with limited exceptions. The staff continues to (UMRA) (2 U.S.C. 1532) because it does U.S.C. 552a(k)(1). provide remote customer service via not contain a federal mandate that may (ii) Authority. 5 U.S.C. 552a(k)(1). email, phone, and webform. For the result in the expenditure by state, local, (iii) Reasons. From subsection 5 latest status information on EPA/DC and tribal governments, in the aggregate, U.S.C. 552a(d) because granting access services and docket access, visit https:// or by the private sector, of $100M or to information that is properly classified www.epa.gov/dockets. more in any one year. pursuant to E.O. 13526, as implemented by DoD Instruction 5200.01 and DoD FOR FURTHER INFORMATION CONTACT: Public Law 96–354, ‘‘Regulatory Marietta Echeverria, Acting Director, Flexibility Act’’ (5 U.S.C. Chapter 6) Manual 5200.01, Volumes 1 and 3, may cause damage to the national security. Registration Division (7505P), Office of It has been certified that this rule does Pesticide Programs, Environmental Dated: May 12, 2021. not have a significant economic impact Protection Agency, 1200 Pennsylvania on a substantial number of small entities Aaron T. Siegel, Ave. NW, Washington, DC 20460–0001; because it is concerned only with the Alternate OSD Federal Register Liaison main telephone number: (703) 305– administration of Privacy Act systems of Officer, Department of Defense. 7090; email address: RDFRNotices@epa. records within DoD. A Regulatory [FR Doc. 2021–10313 Filed 5–14–21; 8:45 am] gov. Flexibility Analysis is not required. BILLING CODE 5001–06–P SUPPLEMENTARY INFORMATION:

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I. General Information instructions for submitting comments. exposure through drinking water and in Do not submit electronically any residential settings but does not include A. Does this action apply to me? information you consider to be CBI or occupational exposure. Section You may be potentially affected by other information whose disclosure is 408(b)(2)(C) of FFDCA requires EPA to this action if you are an agricultural restricted by statute. give special consideration to exposure producer, food manufacturer, or • Mail: OPP Docket, Environmental of infants and children to the pesticide pesticide manufacturer. The following Protection Agency Docket Center (EPA/ chemical residue in establishing a list of North American Industrial DC), (28221T), 1200 Pennsylvania Ave. tolerance and to ‘‘ensure that there is a Classification System (NAICS) codes is NW, Washington, DC 20460–0001. reasonable certainty that no harm will not intended to be exhaustive, but rather • Hand Delivery: To make special result to infants and children from provides a guide to help readers arrangements for hand delivery or aggregate exposure to the pesticide determine whether this document delivery of boxed information, please chemical residue. . . .’’ applies to them. Potentially affected follow the instructions at http:// Consistent with FFDCA section entities may include: www.epa.gov/dockets/contacts.html. 408(b)(2)(D), and the factors specified in • Crop production (NAICS code 111). Additional instructions on FFDCA section 408(b)(2)(D), EPA has • Animal production (NAICS code commenting or visiting the docket, reviewed the available scientific data 112). along with more information about and other relevant information in • Food manufacturing (NAICS code dockets generally, is available at http:// support of this action. EPA has 311). www.epa.gov/dockets. sufficient data to assess the hazards of • Pesticide manufacturing (NAICS II. Summary of Petitioned-For and to make a determination on code 32532). Tolerance aggregate exposure for trifludimoxazin including exposure resulting from the B. How can I get electronic access to In the Federal Register of April 19, other related information? tolerances established by this action. 2019 (84 FR 16430) (FRL–9991–14), EPA’s assessment of exposures and risks You may access a frequently updated EPA issued a document pursuant to associated with trifludimoxazin follows. electronic version of EPA’s tolerance FFDCA section 408(d)(3), 21 U.S.C. regulations at 40 CFR part 180 through 346a(d)(3), announcing the filing of a A. Toxicological Profile the Government Publishing Office’s e- pesticide petition (PP 8F8709) by BASF EPA has evaluated the available CFR site at http://www.ecfr.gov/cgi-bin/ corporation, 26 Davis Drive, P.O. Box toxicity data and considered its validity, text-idx?&c=ecfr&tpl=/ecfrbrowse/ 13528, Research Triangle Park, NC completeness, and reliability as well as Title40/40tab_02.tpl. 27709. The petition requested that 40 the relationship of the results of the CFR part 180 be amended by studies to human risk. EPA has also C. How can I file an objection or hearing establishing tolerances for residues of considered available information request? the herbicide trifludimoxazin, in or on concerning the variability of the Under FFDCA section 408(g), 21 almond, hulls at 0.15 parts per million sensitivities of major identifiable U.S.C. 346a, any person may file an (ppm); fruit, citrus, group 10–10 at 0.01 subgroups of consumers, including objection to any aspect of this regulation ppm; fruit, pome, group 11–10 at 0.01 infants and children. and may also request a hearing on those ppm; grain, cereal, forage, fodder and The available database of guideline objections. You must file your objection straw, group 16 (except rice) at 0.01 studies for trifludimoxazin indicates or request a hearing on this regulation ppm; grain, cereal, group 15 at 0.01 that the primary target organs are the in accordance with the instructions ppm; nut, tree, group 14–12 at 0.01 thyroid and liver. Trifludimoxazin is a provided in 40 CFR part 178. To ensure ppm; peanut at 0.01 ppm; peanut, hay protoporphyrinogen oxidase (PPO)- proper receipt by EPA, you must at 0.01 ppm; vegetable, foliage of inhibitor. PPO is a key enzyme in identify docket ID number EPA–HQ– legume, group 07 at 0.01 ppm; chlorophyll and cytochrome pigments, OPP–2018–0762 in the subject line on vegetable, legume, group 06 at 0.01 as well as in heme. Although the first page of your submission. All ppm. That document referenced a hematological effects associated with objections and requests for a hearing summary of the petition prepared by this class were observed, they are not must be in writing and must be received BASF Corporation, the registrant, which considered adverse at the selected by the Hearing Clerk on or before July is available in the docket, http:// lowest-observable adverse-effects levels 16, 2021. Addresses for mail and hand www.regulations.gov. One comment was (LOAELs). Effects on the thyroid delivery of objections and hearing received on the notice of filing. EPA’s occurred in rats and consisted primarily requests are provided in 40 CFR response to this comment is discussed of follicular cell hypertrophy/ 178.25(b). in Unit IV.C. hyperplasia and altered colloid of the In addition to filing an objection or thyroid after subchronic and chronic hearing request with the Hearing Clerk III. Aggregate Risk Assessment and exposure durations. Increased relative as described in 40 CFR part 178, please Determination of Safety thyroid weights were also observed in submit a copy of the filing (excluding Section 408(b)(2)(A)(i) of FFDCA male rats; however, thyroid hormones any Confidential Business Information allows EPA to establish a tolerance (the were not adversely affected after (CBI)) for inclusion in the public docket. legal limit for a pesticide chemical subchronic exposure for males and Information not marked confidential residue in or on a food) only if EPA females. Liver effects (increased alanine pursuant to 40 CFR part 2 may be determines that the tolerance is ‘‘safe.’’ aminotransferase (ALT) and alkaline disclosed publicly by EPA without prior Section 408(b)(2)(A)(ii) of FFDCA phosphatase (ALP), organ weight, and notice. Submit the non-CBI copy of your defines ‘‘safe’’ to mean that ‘‘there is a histopathology) were also observed at objection or hearing request, identified reasonable certainty that no harm will the same dose as thyroid effects in male by docket ID number EPA–HQ–OPP– result from aggregate exposure to the rats after subchronic exposure. In mice, 2018–0762, by one of the following pesticide chemical residue, including increased liver weight, increased g- methods: all anticipated dietary exposures and all glutamyl transferase (GGT), and • Federal eRulemaking Portal: http:// other exposures for which there is hypertrophy were observed after www.regulations.gov. Follow the online reliable information.’’ This includes subchronic exposures. Increased liver

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weight, foci of (eosinophilic) cellular (i.e., reference dose (RfD)) will A summary of the toxicological alteration, centrilobular hypertrophy, adequately account for all chronic endpoints for trifludimoxazin used for macrovesicular fatty change and toxicity, including potential human risk assessment can be found in centrilobular pigment storage was carcinogenicity, that could result from the Trifludimoxazin Human Health Risk observed in male mice and oval cell exposure to trifludimoxazin. The Assessment. hyperplasia and (multi)focal necrosis chronic reference dose (0.11 mg/kg/day) C. Exposure Assessment was observed in female mice after is several times lower than the level at chronic exposure. After chronic which tumors were observed. 1. Dietary exposure from food and exposure to the rat, increased pigment, Specific information on the studies feed uses. In evaluating dietary multinucleated hepatocytes, and bile received and the nature of the adverse exposure to trifludimoxazin, EPA duct hyperplasia in the liver was effects caused by trifludimoxazin as considered exposure under the observed at the same dose as thyroid well as the no-observed-adverse-effect- petitioned-for trifludimoxazin effects. Effects on the reproductive level (NOAEL) and the lowest-observed- tolerances in 40 CFR part 180. EPA assessed dietary exposures from system were observed as evidence of adverse-effect-level (LOAEL) from the trifludimoxazin in food as follows: increased abnormal sperm in male rats toxicity studies can be found at http:// i. Acute exposure. Quantitative acute in the extended one generation www.regulations.gov in pages 13–19 of reproductive toxicity study (EOGRTS), dietary exposure and risk assessments document Trifludimoxazin: New Active are performed for a food-use pesticide, and as effects to the epididymis in rats Ingredient Human Health Risk after subchronic and chronic exposure. if a toxicological study has indicated the Assessment for Registrations on Legume possibility of an effect of concern Trifludimoxazin did not demonstrate Vegetable Group 6, Foliage of Legume neurotoxic potential in either acute or occurring as a result of a 1-day or single Vegetable Group 7, Citrus Fruit Group exposure. No such effects were subchronic neurotoxicity studies in rats. 10–10, Pome Fruit Group 11–10, Tree Observations suggestive of neurotoxicity identified in the toxicological studies Nut Group 14–12, Cereal Grain Group for trifludimoxazin; therefore, a were seen in the 90-day subchronic 15 (except rice), Forage Fodder and study in dogs (e.g., functional quantitative acute dietary exposure Straw of Cereal Grain Group 16 (except observational battery (FOB) deficits, assessment is unnecessary. rice), Peanut and Peanut Hay histopathological findings in the spinal ii. Chronic exposure. In conducting (hereinafter ‘‘Trifludimoxazin Human cord and medulla oblongata the chronic dietary exposure assessment Health Risk Assessment’’) in docket ID (degeneration of fasciculus gracilis and EPA used the 2003–2008 food number EPA–HQ–OPP–2018–0762. white matter)), but no neurotoxicity consumption data from the United effects were seen in either the 28-day B. Toxicological Points of Departure/ States Department of Agriculture’s dog study, which tested lower doses, or Levels of Concern (USDA’s) National Health and Nutrition the chronic dog study, which tested Examination Survey, What We Eat in higher doses relative to the 90-day Once a pesticide’s toxicological America, (NHANES/WWEIA). As to study. profile is determined, EPA identifies residue levels in food, EPA conducted There were no adverse maternal or toxicological points of departure (POD) an unrefined chronic dietary exposure developmental effects observed in the and levels of concern to use in assessment using tolerance-level rat developmental toxicity study at the evaluating the risk posed by human residues, 100 percent crop treated limit dose. However, in the rabbit exposure to the pesticide. For hazards (PCT), and default processing factors. developmental study, decreased fetal that have a threshold below which there iii. Cancer. Based on the Agency’s body weight was observed at a lower is no appreciable risk, the toxicological analysis of the available data, EPA has dose than maternal toxicity (increased POD is used as the basis for derivation concluded that a nonlinear RfD incidence of late abortions); thus, of reference values for risk assessment. approach is appropriate for assessing increased quantitative susceptibility PODs are developed based on a careful cancer risk to trifludimoxazin. was observed. The Extended One- analysis of the doses in each Quantification of cancer risk using a Generation Reproductive Toxicity Study toxicological study to determine the non-linear RfD approach will (EOGRTS) in rats demonstrated no dose at which no adverse effects are adequately account for all chronic increase in susceptibility as no effects observed (the NOAEL) and the lowest toxicity, including carcinogenicity that were observed in the offspring while dose at which adverse effects of concern could result from exposure to increased incidence and severity of are identified (the LOAEL). Uncertainty/ trifludimoxazin; therefore, a separate follicular cell hypertrophy/hyperplasia safety factors are used in conjunction cancer dietary assessment was not and altered colloid in the thyroid was with the POD to calculate a safe conducted. observed in the parental animals. exposure level—generally referred to as iv. Anticipated residue and PCT Immunotoxicity was not observed a population-adjusted dose (PAD) or a information. EPA did not use throughout the toxicity database. reference dose (RfD)—and a safe margin anticipated residue and/or PCT Additionally, there were no effects in of exposure (MOE). For non-threshold information in the dietary assessment the dermal toxicity study, including any risks, the Agency assumes that any for trifludimoxazin. Tolerance level effects to the thyroid. amount of exposure will lead to some residues and/or 100 PCT were assumed The Agency has classified degree of risk. Thus, the Agency for all food commodities. trifludimoxazin as ‘‘suggestive evidence estimates risk in terms of the probability 2. Dietary exposure from drinking of carcinogenic potential’’ based on of an occurrence of the adverse effect water. The Agency used screening level thyroid tumors, driven by adenomas, expected in a lifetime. For more water exposure models in the dietary observed in male rats at 750 ppm (33 information on the general principles exposure analysis and risk assessment mg/kg/day); an absence of treatment- EPA uses in risk characterization and a for trifludimoxazin in drinking water. related tumors in female rats and in complete description of the risk These simulation models take into male and female mice, and a lack of assessment process, see http:// account data on the physical, chemical, concern for mutagenicity. The Agency www2.epa.gov/pesticide-science-and- and fate/transport characteristics of has concluded that quantification of assessing-pesticide-risks/assessing- trifludimoxazin. Further information cancer risk using a non-linear approach human-health-risk-pesticide. regarding EPA drinking water models

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used in pesticide exposure assessment completeness of the database on toxicity E. Aggregate Risks and Determination of can be found at http://www2.epa.gov/ and exposure unless EPA determines Safety pesticide-science-and-assessing- based on reliable data that a different EPA determines whether acute and pesticide-risks/about-water-exposure- margin of safety will be safe for infants chronic dietary pesticide exposures are models-used-pesticide. and children. This additional margin of safe by comparing aggregate exposure Using the Pesticides in Water safety is commonly referred to as the estimates to the acute PAD (aPAD) and Calculator (PWC), Pesticide Root Zone FQPA Safety Factor (SF). In applying chronic PAD (cPAD). For linear cancer Model and the Varying Volume Water this provision, EPA either retains the risks, EPA calculates the lifetime Model (PRZM/VVWM), EPA calculated default value of 10X, or uses a different probability of acquiring cancer given the the estimated drinking water additional safety factor when reliable estimated aggregate exposure. Short-, concentrations (EDWCs) of data available to EPA support the choice intermediate-, and chronic-term risks trifludimoxazin for acute and chronic of a different factor. are evaluated by comparing the exposures in surface and ground water. estimated aggregate food, water, and EPA used the modeled EDWCs directly 2. Prenatal and postnatal sensitivity. residential exposure to the appropriate in dietary exposure model to account for There was evidence of quantitative pre- the contribution of trifludimoxazin natal susceptibility in the rabbit PODs to ensure that an adequate MOE residues in drinking water as follows: developmental toxicity study. However, exists. 1. Acute risk. An acute aggregate risk 5.0 ppb was used in acute dietary the degree of concern is low because assessment takes into account acute assessment and 3.6 ppb was used in clear NOAELs were identified for the exposure estimates from dietary chronic dietary risk assessment. effects, and the selected endpoints and consumption of food and drinking 3. From non-dietary exposure. The doses are protective of the observed water. No adverse effect resulting from term ‘‘residential exposure’’ is used in developmental effects and observed a single oral exposure was identified this document to refer to non- susceptibility. occupational, non-dietary exposure and no acute dietary endpoint was 3. Conclusion. EPA has determined (e.g., for lawn and garden pest control, selected. Therefore, trifludimoxazin is that reliable data show the safety of indoor pest control, termiticides, and not expected to pose an acute risk. infants and children would be flea and tick control on pets). 2. Chronic risk. Using the exposure Trifludimoxazin is not registered for adequately protected if the FQPA SF assumptions described in this unit for any specific use patterns that would were reduced to 1X. That decision is chronic exposure, EPA has concluded result in residential exposure. based on the following findings: that the chronic risk estimates of food 4. Cumulative effects from substances i. The toxicity database for and drinking water for trifludimoxazin with a common mechanism of toxicity. trifludimoxazin is complete. are below the Agency’s LOC at <1% of Section 408(b)(2)(D)(v) of FFDCA the cPAD for the United States ii. Although there was evidence for population and all population requires that, when considering whether neurotoxicity in the 90-day subchronic to establish, modify, or revoke a subgroups. There are no residential uses dog study, the degree of concern for the tolerance, the Agency consider for trifludimoxazin. toxicity is low because this study is ‘‘available information’’ concerning the 3. Short-term risk and Intermediate- used as the basis for the risk assessment cumulative effects of a particular term risk. Short-term and intermediate- PODs and is protective of any potential pesticide’s residues and ‘‘other term aggregate exposure takes into neurotoxicity. substances that have a common account short-term and intermediate- mechanism of toxicity.’’ iii. Clear NOAELs were identified for term residential exposure plus chronic The Agency has not found the developmental/offspring effects exposure to food and water (considered trifludimoxazin to share a common observed in the rat and rabbit prenatal to be a background exposure level). mechanism of toxicity with any other developmental studies, and endpoints A short-term and intermediate-term substances, and trifludimoxazin does selected for risk assessment are adverse effect was identified; however, not appear to produce a toxic metabolite protective of these effects and the trifludimoxazin is not registered for any produced by other substances. For the quantitative susceptibility observed in use patterns that would result in short- purposes of this tolerance action, the rabbit developmental study and rat term or intermediate-term residential therefore, EPA has assumed that EOGRTS. exposure. Short-term and intermediate- trifludimoxazin does not have a term risk is assessed based on short- iv. There is no concern due to any term or intermediate-term residential common mechanism of toxicity with residual uncertainties in the exposure other substances. For information exposure plus chronic dietary exposure. database. No data gaps were identified, regarding EPA’s efforts to determine Because there is no short-term or and exposure estimates are based upon which chemicals have a common intermediate-term residential exposure conservative default assumptions. mechanism of toxicity and to evaluate and chronic dietary exposure has Tolerance-level residues and 100PCT the cumulative effects of such already been assessed under the are used in dietary exposure chemicals, see EPA’s website at http:// appropriately protective cPAD (which is www2.epa.gov/pesticide-science-and- assessments, and residential exposures at least as protective as the POD used to assessing-pesticide-risks/cumulative- are not anticipated from the proposed assess short-term risk), no further assessment-risk-pesticides. use pattern. As such, residual assessment of short-term risk is uncertainty is negligible and does not necessary, and EPA relies on the D. Safety Factor for Infants and impact considerations for the FQPA chronic dietary risk assessment for Children Safety Factor. EPA made conservative evaluating short-term and intermediate- 1. In general. Section 408(b)(2)(C) of (protective) assumptions in the ground term risk for trifludimoxazin. FFDCA provides that EPA shall apply and surface water modeling used to 4. Aggregate cancer risk for U.S. an additional tenfold (10X) margin of assess exposure to trifludimoxazin in population. As indicated above, the safety for infants and children in the drinking water. These assessments will Agency has determined that the non- case of threshold effects to account for not underestimate the exposure and cancer chronic dietary assessment prenatal and postnatal toxicity and the risks posed by trifludimoxazin. would account for any dietary cancer

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risks. Based on the level of chronic risk the Agency can determine that such and Controlling Regulatory Costs’’ (82 being below the Agency’s level of tolerances are safe. Taking into FR 9339, February 3, 2017). This action concern, EPA concludes aggregate consideration the factors required in the does not contain any information exposure to trifludimoxazin will not FFDCA, EPA has made that safety collections subject to OMB approval pose a cancer risk. determination for the tolerances subject under the Paperwork Reduction Act 5. Determination of safety. Based on to this action; the commenter provided (PRA) (44 U.S.C. 3501 et seq.), nor does these risk assessments, EPA concludes no information relevant to that it require any special considerations that there is a reasonable certainty that conclusion. under Executive Order 12898, entitled ‘‘Federal Actions to Address no harm will result to the general D. Revisions to Petitioned-For Environmental Justice in Minority population, or to infants and children Tolerances from aggregate exposure to Populations and Low-Income trifludimoxazin residues. Based upon review of submitted data, Populations’’ (59 FR 7629, February 16, the Agency is establishing tolerances 1994). IV. Other Considerations that vary from what the petitioner Since tolerances and exemptions that A. Analytical Enforcement Methodology requested. The petitioner had requested are established on the basis of a petition to establish tolerance on the entire under FFDCA section 408(d), such as Adequate enforcement methodology cereal crop groups 15 and 16; however, the tolerances in this final rule, do not (High-Performance Liquid the Agency has determined that the require the issuance of a proposed rule, Chromatography with tandem Mass petitioned tolerance for cereal crop the requirements of the Regulatory Spectroscopy (HPLC–MS/MS) method groups 15 and 16 must be revised to Flexibility Act (RFA) (5 U.S.C. 601 et (Method D147/02 in plant matrices)) is exclude rice commodities. While there seq.), do not apply. available to enforce the tolerance are no data gaps for human health, the This action directly regulates growers, expression. Agency has insufficient environmental food processors, food handlers, and food The method may be requested from: fate data to support a tolerance on rice; retailers, not States or Tribes, nor does Chief, Analytical Chemistry Branch, therefore, the request to allow use on this action alter the relationships or Environmental Science Center, 701 rice on the trifludimoxazin label will distribution of power and Mapes Rd., Ft. Meade, MD 20755–5350; not be granted at this time. Because the responsibilities established by Congress telephone number: (410) 305–2905; product will not be used on rice, in the preemption provisions of FFDCA email address: residuemethods@ tolerances are not needed for residues in section 408(n)(4). As such, the Agency epa.gov. or on rice. Consequently, EPA is has determined that this action will not B. International Residue Limits excluding rice from the tolerances being have a substantial direct effect on States set on cereal crop groups 15 and 16. or Tribal Governments, on the In making its tolerance decisions, EPA relationship between the National seeks to harmonize U.S. tolerances with V. Conclusion Government and the States or Tribal international standards whenever Therefore, tolerances are established Governments, or on the distribution of possible, consistent with U.S. food for residues of trifludimoxazin in or on power and responsibilities among the safety standards and agricultural almond, hulls; fruit, citrus, group 10–10; various levels of government or between practices. EPA considers the fruit, pome, group 11–10; grain, cereal, the Federal Government and Indian international maximum residue limits forage, fodder and straw, group 16 Tribes. Thus, the Agency has (MRLs) established by the Codex (except rice); grain, cereal, group 15 determined that Executive Order 13132, Alimentarius Commission (Codex), as (except rice); nut, tree, group 14–12; entitled ‘‘Federalism’’ (64 FR 43255, required by FFDCA section 408(b)(4). peanut; peanut, hay; vegetable, foliage August 10, 1999) and Executive Order The Codex Alimentarius is a joint of legume, group 07 and vegetable, 13175, entitled ‘‘Consultation and United Nations Food and Agriculture legume, group 06. Coordination with Indian Tribal Organization/World Health Governments’’ (65 FR 67249, November Organization food standards program, VI. Statutory and Executive Order Reviews 9, 2000) do not apply to this action. In and it is recognized as an international addition, this action does not impose food safety standards-setting This action establishes tolerances any enforceable duty or contain any organization in trade agreements to under FFDCA section 408(d) in unfunded mandate as described under which the United States is a party. EPA response to a petition submitted to the Title II of the Unfunded Mandates may establish a tolerance that is Agency. The Office of Management and Reform Act (UMRA) (2 U.S.C. 1501 et different from a Codex MRL; however, Budget (OMB) has exempted these types seq.). FFDCA section 408(b)(4) requires that of actions from review under Executive This action does not involve any EPA explain the reasons for departing Order 12866, entitled ‘‘Regulatory technical standards that would require from the Codex level. Planning and Review’’ (58 FR 51735, Agency consideration of voluntary Trifludimoxazin is a new active October 4, 1993). Because this action consensus standards pursuant to section ingredient, and no maximum residue has been exempted from review under 12(d) of the National Technology limits (MRLs) have yet been established Executive Order 12866, this action is Transfer and Advancement Act by Codex. not subject to Executive Order 13211, (NTTAA) (15 U.S.C. 272 note). entitled ‘‘Actions Concerning C. Response to Comments Regulations That Significantly Affect VII. Congressional Review Act One commenter expressed concern Energy Supply, Distribution, or Use’’ (66 Pursuant to the Congressional Review about the release of pesticide chemicals FR 28355, May 22, 2001) or Executive Act (5 U.S.C. 801 et seq.), EPA will to the environment. The FFDCA does Order 13045, entitled ‘‘Protection of submit a report containing this rule and not authorize EPA to consider risks to Children from Environmental Health other required information to the U.S. the environment, per se; rather, the Risks and Safety Risks’’ (62 FR 19885, Senate, the U.S. House of FFDCA authorizes EPA to establish April 23, 1997), nor is it considered a Representatives, and the Comptroller tolerances that permit certain levels of regulatory action under Executive Order General of the United States prior to pesticide residues in or on food when 13771, entitled ‘‘Reducing Regulations publication of the rule in the Federal

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Register. This action is not a ‘‘major FEDERAL COMMUNICATIONS C. Congressional Review Act rule’’ as defined by 5 U.S.C. 804(2). COMMISSION 3. The Commission has determined, and the Administrator of the Office of List of Subjects in 40 CFR Part 180 47 CFR Part 1 Information and Regulatory Affairs, Environmental protection, Office of Management and Budget, Administrative practice and procedure, [MD Docket Nos. 20–105; MD Docket Nos. concurs that these rules are non-major Agricultural commodities, Pesticides 21–190; FCC 21–49; FRS 26030] under the Congressional Review Act, 5 and pests, Reporting and recordkeeping Assessment and Collection of U.S.C. 804(2). The Commission will requirements. Regulatory Fees for Fiscal Year 2021 send a copy of this Report & Order to Congress and the Government Dated: May 5, 2021. AGENCY: Federal Communications Accountability Office pursuant to 5 Edward Messina, Commission. U.S.C. 801(a)(1)(A). Acting Director, Office of Pesticide Programs. ACTION: Final action. II. Introduction Therefore, for the reasons stated in the 1. In this Report and Order, we adopt SUMMARY: In this document, the Federal preamble, EPA is amending 40 CFR a new distinction between non- Communications Commission chapter I as follows: geostationary orbit (NGSO) satellite (Commission) acts on several proposals systems, as further described below, by that will impact FY 2021 regulatory PART 180—TOLERANCES AND creating two new fee subcategories, one fees. EXEMPTIONS FOR PESTICIDE for ‘‘less complex’’ NGSO systems and CHEMICAL RESIDUES IN FOOD DATES: This final action is effective June a second for all other NGSO systems 16, 2021. identified as ‘‘other’’ NGSO systems, ■ 1. The authority citation for part 180 ADDRESSES: both under the broader category of continues to read as follows: This is a summary of the Commission’s Report and Order, FCC ‘‘Space Stations (Non-Geostationary Authority: 21 U.S.C. 321(q), 346a and 371. 21–49, MD Docket No. 21–190, and MD Orbit)’’. Docket No. 20–105, adopted on May 3, III. Report and Order—New Regulatory ■ 2. Add § 180.717 to subpart C to read 2021 and released on May 4, 2021. The Fee Categories for Certain NGSO Space as follows: full text of this document is available for Stations public inspection and copying during § 180.717 Trifludimoxazin; tolerances for 2. We first address the recent normal business hours in the FCC residues. modifications in methodology for Reference Center (Room CY–A257), 445 International Bureau licensee fees to (a) General. Tolerances are 12th Street SW, Washington, DC 20554, more closely reflect the statutory established for residues of the herbicide or by downloading the text from the requirement. After previously increasing trifludimoxazin, including its Commission’s website at http:// the allocation of indirect full time metabolites and degradates, in or on the transition.fcc.gov/Daily_Releases/Daily_ equivalents (FTEs) in the International commodities to Table 1 of this section. Business/2017/db0906/FCC-17- Bureau, in FY 2020 the Commission Compliance with the tolerance levels 111A1.pdf.a. adopted a regulatory fee for foreign specified in Table 1 is to be determined FOR FURTHER INFORMATION CONTACT: licensed space stations with U.S. market by measuring only trifludimoxazin, Roland Helvajian, Office of Managing access, recharacterizing and thereby dihydro-1,5-dimethyl-6-thioxo-3-[2,2,7- Director at (202) 418–0444. increasing the total number of direct trifluoro-3,4-dihydro-3-oxo-4-(2-propyn- SUPPLEMENTARY INFORMATION: FTEs for the International Bureau to 28. 1-yl)-2H-1,4-benzoxazin-6-yl]-1,3,5- The Commission also adjusted the FTE triazine-2,4(1H,3H)-dione, in or on the I. Administrative Matters allocation for the international bearer commodity. A. Final Regulatory Flexibility Analysis circuit (IBC) category to eight FTEs, from 6.9 FTEs, to better reflect the direct TABLE 1 TO PARAGRAPH (a) 1. As required by the Regulatory FTE work in the International Bureau Flexibility Act of 1980 (RFA), the for that fee category, resulting in 20 Parts per Commodity million Commission has prepared a Final FTEs assigned to the satellite and earth Regulatory Flexibility Analysis (FRFA) station regulatory fee category. The Almond, hulls ...... 0.15 relating to this Report and Order. The Commission also adjusted the allocation Fruit, citrus, group 10–10 ...... 0.01 FRFA is located towards the end of this of FTEs among geostationary orbit Fruit, pome, group 11–10 ...... 0.01 document. (GSO) and NGSO space station and Grain, cereal, forage, fodder, and straw, earth station operators. The Commission Group 16, except rice ...... 0.01 B. Final Paperwork Reduction Act of noted the disparity in number of units Grain, cereal, group 15, except rice ...... 0.01 1995 Analysis Nut, tree, group 14–12 ...... 0.01 between GSO space stations (98) and Peanut ...... 0.01 2. This document does not contain NGSO space stations (seven), and noted Peanut, hay ...... 0.01 new or modified information collection that under a single NGSO license, many Vegetable, legume, group 6 ...... 0.01 requirements subject to the Paperwork satellites can be operated while Vegetable, foliage of legume, group 7 .... 0.01 Reduction Act of 1995 (PRA), Public counting as a single unit for regulatory Law 104–13. In addition, therefore, it fee purposes, but only one satellite can (b)–(d) [Reserved] does not contain any new or modified be operated per GSO space station [FR Doc. 2021–10286 Filed 5–14–21; 8:45 am] information collection burden for small regulatory fee unit. To ensure that BILLING CODE 6560–50–P business concerns with fewer than 25 regulatory fees more closely reflect the employees, pursuant to the Small work of processing applications and Business Paperwork Relief Act of 2002, rulemaking for each category, the Public Law 107–198, see 44 U.S.C. Commission allocated 80% of space 3506(c)(4). station regulatory fees to GSOs and 20%

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of the space station regulatory fees to necessary spectrum, and services we agree with commenters asserting that NGSOs. provided. In comments to the FNPRM, we should differentiate within the 3. In the further notice of proposed Kepler Communications Inc. (Kepler) NGSO space station category for rulemaking (FNPRM) (85 FR 71593, recommends a variation on Kineis’s regulatory fees. The amount of work Nov. 10, 2020) accompanying the FY approach, proposing fee tiers based on involved in regulating NGSO systems 2020 Report and Order (85 FR 59864, quantity of desired bandwidth, the and the number of reasonably related Sept. 23, 2020), the Commission sought ‘‘value’’ of the desired spectral band, benefits provided to the payors of the comment on different proposals for new and aggregate on-orbit mass. NGSO fee category by our activities fee categories for different types of Additionally, the Commission sought appear to directly correlate with certain NGSO systems. In response to the comment on a proposal from Eutelsat characteristics in a requested FNPRM, some commenters generally S.A. (Eutelsat) to create two regulatory authorization for an NGSO system. Both argue that the size of an NGSO system, fee categories for NGSO systems based the number of earth stations and the or the services the system may provide, on the number of satellites, as well as primary use of the system are relevant. does not correlate to Commission a proposal of Myriota Pty. Ltd. (Myriota) Accordingly, we adopt a regulatory fee resources. Others support adopting to assign each NGSO system into one of category for ‘‘less complex’’ NGSO various aspects of the FNPRM three fee categories: Fixed-satellite systems and define this ‘‘less complex’’ proposals, and that NGSO systems service (FSS), mobile satellite service NGSO system category by adopting should be distinguished by type. For (MSS) and remote sensing (EESS), and elements of several of the FNPRM purposes of calculating regulatory fees, other NGSO systems. proposals. For regulatory fee purposes, we determine that the number of U.S.- 5. In connection with these various we define a ‘‘less complex’’ systems as authorized earth stations with which an proposals, a number of commenters NGSO satellite systems that plan to NGSO system will communicate and the agree that the Commission expends communicate with 20 or fewer U.S. primary use of the NGSO system are more resources on certain types of authorized earth stations, primarily complementary considerations that NGSO systems. Commenters focus on used for EESS and/or AIS. Any NGSO together define the complexity of the various characteristics of the NGSO satellite systems that do not qualify as system. After consideration of the systems. AWS, for example, suggests ‘‘less complex’’ would fall into the record, we conclude that the majority of that EESS systems that communicate category of ‘‘other’’ NGSO satellite our NGSO-related regulatory activities with five or fewer U.S.-licensed earth systems, for regulatory fee purposes. involve certain types of NGSO systems, stations for TT&C and non-domestic and that the NGSO category can be data downlink purposes do not 8. Our experience demonstrates that divided into two types of systems for meaningfully gain access to the United the systems providing EESS and or AIS purposes of the assessment of regulatory States market. AWS explains that are most likely to be ‘‘less complex’’ fees: (1) ‘‘less complex’’ systems, instead, the U.S.-located earth stations systems if they also are planning to defined as NGSO satellite systems function as a data transit location, and communicate with 20 or fewer earth planning to communicate with 20 or actual service occurs in the cloud where stations. These ‘‘less complex’’ systems fewer U.S. authorized earth stations that the data is processed. Planet Labs Inc. require fewer Commission resources are primarily used for Earth Exploration (Planet) supports Myriota’s proposal to because, for example, they are nearly Satellite Service (EESS) and/or distinguish between systems based always granted pursuant to waivers of Automatic Identification System (AIS); solely on the type of service offered. resource-intensive processing rounds, and (2) ‘‘other’’ NGSO satellite systems. Planet asserts that the Commission based on their ability to share with other We therefore adopt two subcategories expended greater resources in 2020 on operators in the requested frequency under the Space Station (Non- FSS-related report and orders, bands. We agree with Planet’s assertion Geostationary Orbit) fee category: (1) proceedings, rulemakings, and that those systems authorized through a Space Station (Non-Geostationary processing adjudications than it did for processing round typically do involve Orbit)—Less Complex; and (2) Space other services. considerable time and effort Station (Non-Geostationary Orbit)— 6. Not all commenters take this view, adjudicating contentious processing Other, as discussed below. however. For example, Space round disputes and related licensing 4. In the FNPRM, the Commission Exploration Technologies Corp. matters. In addition, the Commission sought comment on several specific (SpaceX) disagrees with Myriota’s has expended significant resources on proposals to define multiple NGSO proposal and contends that the record rulemakings and licensing proceedings system fee categories. Among these was contains no evidence that the service for ‘‘more complex’’ NGSO systems. a proposal from Amazon Web Services, provided by an NGSO system correlates These rulemakings and licensing Inc. (AWS) to adopt a nominal with the expenditure of Commission proceedings have focused on issues that regulatory fees for NGSO systems with resources. SpaceX offers that many correlate to systems planning to five or fewer U.S.-licensed earth stations EESS systems require Commission staff communicate with a large number of for Telemetry, Tracking, and Control to coordinate with government systems earth stations. As Planet notes in its (TT&C) and non-domestic data and through the Interdepartmental Radio comments, the Commission historically downlink purposes. As discussed Advisory Committee process, while has devoted significant resources to below, we adopt a variation on this many FSS systems do not, and that the NGSO FSS-related rulemaking matters. proposal. The Commission also sought Commission has recently conducted The Commission has also expended comment on a proposal from Kineis to rulemakings affecting various types of considerable resources evaluating use a formula to calculate fee tiers for satellite systems beyond FSS systems. spectrum sharing issues between NGSO an NGSO system based on the number Planet counters that, although FSS and terrestrial services, which of operating satellites and the total processing EESS applications can also increase in complexity as the number of transmit bandwidth. Kineis had argued be time consuming, the vast majority of earth stations increase. Moreover, that its proposal would allow for fair the processing burden is borne by the systems planning to communicate with allocation of fees in consideration of the applicant. larger numbers of earth stations varying facets of each NGSO system, 7. After reviewing and evaluating the typically have a large global presence. such as size, number of space stations, regulatory tasks for all NGSO systems, These global systems are likely to

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require more International Bureau staff not fall within the definition of ‘‘earth 13. We assess the ‘‘less complex’’ resources in connection with station’’ under part 25 of the regulatory fee on a per NGSO space international forums, such as the Commission’s rules since satellite station system basis, rather than on a International Telecommunication reception is not intended, but rather is per-earth station basis as proposed by Union, because of the significant global an incidental monitoring of a signal AWS. Additionally, although AWS presence of these systems. They also primarily intended for reception by proposes that we assess only a nominal require, in many cases, more significant terrestrial stations. fee for NGSO systems with a small spectrum needs, which may involve 11. We are persuaded by AWS to number of earth stations, we find that increased multi-lateral coordination. include TT&C earth stations used for NGSO systems communicating with Taking all of these facts together, we spacecraft control in this earth station even a small number of earth stations do find both that adopting a category for count. In addition, the total number of still benefit from the Commission’s ‘‘less complex’’ NGSO systems is earth stations include all earth stations regulation, including enforcement, appropriate, and that the criteria we planning to communicate with the rulemakings, and international have identified for this category relevant system—whether the earth activities, and require Commission generally correlates with those systems station is operated by the system resources, therefore justifying a that receive fewer regulatory benefits operator or a third party is irrelevant for substantive, rather than nominal, fee. As from the Commission’s overall activities regulatory fee purposes. AWS notes, most NGSO systems plan to 12. As discussed above, we expect benefiting NGSOs. utilize earth stations globally to remain less complex NGSO space systems 9. We also find the Commission’s competitive, and, for these NGSOs, operations would involve primarily regulatory work and related benefits downlinking to the United States is provided to the payor of this fee EESS and/or AIS. NGSO systems that done as a function of needing a robust category appear to have a direct plan to communicate with 20 or fewer earth station network for its operations. correlation with the number of U.S.- U.S.-authorized stations often are Regardless of whether a space system authorized earth stations with which an developed for collecting earth communicates with one or thousands of NGSO system will communicate. As exploration data and utilize earth stations, the Commission still AWS points out, the complexity of that communications primarily for the expends significant time and resources system relates generally with the purpose of transferring data collected in in regulating these space systems, and amount of regulatory resources space back to the ground. Such those considerations will be calculated expended in connection with this type operations do not include objectively of system. Specifically, we find that complex services like industrial Internet accordingly into the ‘‘less complex,’’ yet those systems planning to use 20 or of Things services and other data substantive, fee. We also find that fewer earth stations have generally services which involve space stations among the new less complex category of limited scope of authorization and that typically communicate with space systems, there are not significant require significantly less Commission hundreds or thousands of user differences with respect to our oversight than the regulatory work terminals, and impose larger regulatory regulatory activities benefiting each involved with other NGSO systems. Our review burdens. Although we expect space system. We further decline to internal analysis also shows that less complex NGSO space systems assess fees for an NGSO space station regulation of NGSO systems planning to would be used primarily for EESS and/ system on a ‘‘per earth station’’ basis. communicate with 20 or fewer U.S.- or AIS, we decline to explicitly limit We note that the number of earth authorized earth stations tends to be ‘‘less complex’’ system eligibility to a stations does not drive the regulatory noticeably less complex compared to particular service class alone, as resources expended for regulating space the regulation of NGSO systems proposed by Myriota, because some stations per se; rather, the number of planning to communicate with more ‘‘less complex’’ systems may use earth stations typically correlates to the than 20 earth stations. Although 20 multiple types of services, and the complexity of an NGSO space station. earth stations are greater in number than number of earth stations with which a As noted elsewhere, we use the number AWS’s proposed five earth stations, we system plans to communicate is a of earth stations as a proxy to determine think that it would be a more accurate reasonable proxy for identifying complexity of a space system. Our number as a proxy to reflect the complexity of NGSO space stations experience shows that there is not a complexity of space systems based on systems, and our regulatory costs. We meaningful resource difference, for our analysis. note that EESS services typically are example, between regulation of a system 10. We use the phrase ‘‘planning to authorized to communicate with 20 or planning to communicate with four U.S. communicate’’ since some more fewer U.S.-authorized earth stations. earth stations versus a system planning complex NGSO systems may With respect to AIS, as a shipboard to communicate with 17 U.S. earth communicate with a small number of broadcast system that transmits a stations. The clear differentiation, at this earth stations during initial operational marine vessel’s identification and point, appears to be between those phases, but actually intend to position to aid in navigation and NGSO systems planning to communicate with a significantly larger maritime safety, we also found that communicate with roughly 20 or fewer set of earth stations. We find this initial these systems receiving AIS signals and earth stations authorized by the United phase to not be reflective of Commission planning to operate with 20 or fewer States and other NGSO systems, the vast costs, and therefore we will look to earth stations involve less Commission majority of which plan to communicate longer-term system design in order to oversight compared to other NGSO with more than 100 earth stations determine complexity. We will interpret systems. We do not, however, foreclose authorized by the United States, which ‘‘planning to communicate’’ based on the possibility of designating other may include user terminals or otherwise the system design provided at the NGSO categories of NGSO systems as ‘‘less ubiquitously deployed earth stations. In space station application stage. For complex’’ systems in the future if our our experience, there are not ‘‘close regulatory fee purposes, the term ‘‘earth experience supports a finding that our cases’’ between these two categories of station’’ encompasses all stations, regulatory work for such systems is systems. Accordingly, we adopt this fee including satellite gateways and user significantly less than those for other on a per NGSO space station system terminals. Transmitters, such as AIS, do NGSO systems. basis given the regulatory cost and

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benefits directly related to NGSO space significant continuous benefits the amount of the Commission’s annual systems, not earth stations. reasonably related to our regulatory appropriation. The objective in the 14. We disagree with those work. Instead, we find that the number Report and Order for adopting the new commenters advocating against of earth stations authorized by the regulatory fee category is to have a new adopting additional categories of NGSO United States with which a system category (and lower fee) for the smaller fees. The Commission collects plans to communicate provides a clearer NGSO systems instead of grouping them regulatory fees based on the proxy for identifying system complexity with the larger NGSO systems. Commission’s efforts spent on upon which to allocate fees. This B. Summary of the Significant Issues regulating a payor and taking into approach ensures that our fee Raised by the Public Comments in account the benefits provided to the apportionment is reasonably related to Response to the IRFA payor by the Commission’s activities. our regulatory cost and that the fee Telesat and SES suggest that, if a system structure is easier to administer. 4. None. operator believes that in a particular 16. In summary, after reviewing the C. Response to Comments by the Chief case the standard NGSO fee is record and analyzing the resources the Counsel for Advocacy of the Small substantially disproportionate, it can International Bureau devotes to NGSO Business Administration seek a fee waiver or reduction. While oversight and regulation, we adopt an our rules do enable waiver requests, additional NGSO space station category 5. No comments were filed by the they are exceptional in nature, and we for ‘‘less complex’’ NGSO systems, for Chief Counsel for Advocacy of the Small decline to set up a process based on an regulatory fees. In addition, we create a Business Administration. expectation of a fee waiver or reduction. fee category for ‘‘other’’ NGSO systems D. Description and Estimate of the As described above, we see a clear that do not qualify as ‘‘less complex’’ Number of Small Entities To Which the dividing point between systems that are systems. We place these two categories: Rules Will Apply more complex to regulate and systems (1) Space Station (Non-Geostationary that require far fewer resources to Orbit)—Less Complex; and (2) Space 6. The RFA directs agencies to regulate, and find that this dividing line Station (Non-Geostationary Orbit)— provide a description of, and where is fairer and easier to administer than a Other under the current Space Station feasible, an estimate of the number of fee waiver or other process. We also (Non-Geostationary Orbit) fee category. small entities that may be affected by disagree with Eutelsat and OneWeb that the proposed rules and policies, if IV. Final Regulatory Flexibility we need additional development of the adopted. The RFA generally defines the Analysis record before creating a new NGSO fee term ‘‘small entity’’ as having the same category. We sought further comment in 1. As required by the Regulatory meaning as the terms ‘‘small business,’’ the FNPRM to develop the record on Flexibility Act of 1980, as amended ‘‘small organization,’’ and ‘‘small this issue and using a combination of (RFA), an Initial Regulatory Flexibility governmental jurisdiction.’’ In addition, factors explored in the record, conclude Analysis (IRFA) was included in the the term ‘‘small business’’ has the same that certain NGSO systems should pay Further Notice of Proposed Rulemaking meaning as the term ‘‘small business a different fee based on the resources (FNPRM) accompanying the regulatory concern’’ under the Small Business Act. required to regulate such systems. If fee Report and Order for fiscal year A ‘‘small business concern’’ is one circumstances warrant, the Commission 2020. The Commission sought written which: (1) Is independently owned and may choose revisit or revise this new public comment on these proposals operated; (2) is not dominant in its field category in the future. including comment on the IRFA. This of operation; and (3) satisfies any 15. We also disagree, at this time, Final Regulatory Flexibility Analysis additional criteria established by the with the formula-based systems (FRFA) conforms to the IRFA. SBA. Nationwide, there are a total of proposed by Kineis and Kepler, since approximately 27.9 million small A. Need for, and Objectives of, the these proposals are overly complex and businesses, according to the SBA. Report and Order would require the additional 7. Other Toll Carriers. Neither the expenditure of Commission resources to 2. In the Report and Order, the Commission nor the SBA has developed calculate and assign fees for each Commission adopts a modified version a definition for small businesses individual system. Moreover, we do not of a proposal to the FNPRM on creating specifically applicable to Other Toll find that all aspects proposed to be a new regulatory fee category for ‘‘less Carriers. This category includes toll factored into these formulas correlate complex’’ non-geostationary orbit carriers that do not fall within the with the resources the Commission (NGSO) satellite systems. The categories of interexchange carriers, expends in regulating each system. In Commission defines ‘‘less complex’’ operator service providers, prepaid our experience, number of satellites, NGSO satellite systems as those NGSO calling card providers, satellite service total bandwidth, on-orbit mass, and systems that plan to communicate with carriers, or toll resellers. The closest market share of the service type are not 20 or fewer earth stations in the United applicable NAICS code category is for consistently indicative of the States primarily used for Earth Wired Telecommunications Carriers as complexity of NGSO regulation. We also Exploration Satellite Service (EESS) defined in paragraph 6 of this FRFA. decline to adopt Eutelsat’s proposal to and/or Automatic Identification System Under the applicable SBA size standard, create two regulatory fee categories for (AIS). such a business is small if it has 1,500 NGSO systems based on the number of 3. Under section 9 of the or fewer employees. Census data for satellites. It is not our experience that Communications Act of 1934, as 2012 shows that there were 3,117 firms number of satellites (or satellite mass) is amended, (Communications Act or Act), that operated that year. Of this total, the key driver of system complexity and regulatory fees are mandated by 3,083 operated with fewer than 1,000 regulation. For example, an NGSO Congress and collected to recover the employees. Thus, under this category system with a small number of regulatory costs associated with the and the associated small business size satellites, authorized as part of a Commission’s enforcement, policy and standard, most Other Toll Carriers can processing round to operate in the FSS rulemaking, user information, and be considered small. According to to provide broadband to user terminals international activities in an amount internally developed Commission data, in a particular area, will receive that can be reasonably expected to equal 284 companies reported that their

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primary telecommunications service E. Description of Projected Reporting, only, require significantly less activity was the provision of other toll Recordkeeping and Other Compliance Commission oversight than the carriage. Of these, an estimated 279 Requirements regulatory work involved with other NGSO systems. For that reason, the have 1,500 or fewer employees. 9. This Report and Order does not Commission adopted a new regulatory Consequently, the Commission adopt any new reporting, recordkeeping, fee category for these smaller NGSO estimates that most Other Toll Carriers or other compliance requirements. are small entities. systems. F. Steps Taken To Minimize Significant 12. In keeping with the requirements 8. All Other Telecommunications. Economic Impact on Small Entities and of the Regulatory Flexibility Act, we ‘‘All Other Telecommunications’’ is Significant Alternatives Considered have considered certain alternative defined as follows: This U.S. industry is means of mitigating the effects of fee 10. The RFA requires an agency to comprised of establishments that are increases. This new fee category describe any significant alternatives that primarily engaged in providing adopted for ‘‘less complex’’ NGSO it has considered in reaching its specialized telecommunications systems will have a lower regulatory fee approach, which may include the services, such as satellite tracking, than that for the other NGSO systems, following four alternatives, among communications telemetry, and radar because these systems are much smaller others: (1) The establishment of station operation. This industry also than traditional NGSO systems. includes establishments primarily differing compliance or reporting requirements or timetables that take into V. Ordering Clauses engaged in providing satellite terminal account the resources available to small stations and associated facilities 13. Accordingly, it is ordered that, entities; (2) the clarification, connected with one or more terrestrial pursuant to the authority found in consolidation, or simplification of systems and capable of transmitting sections 4(i) and (j), 9, 9A, and 303(r) of compliance or reporting requirements the Communications Act of 1934, as telecommunications to, and receiving under the rule for small entities; (3) the telecommunications from, satellite amended, 47 U.S.C. 154(i), 154(j), 159, use of performance, rather than design, 159A, and 303(r), this Report and Order systems. Establishments providing standards; and (4) an exemption from internet services or voice over internet is hereby adopted. coverage of the rule, or any part thereof, 14. It is further ordered that the protocol (VoIP) services via client- for small entities. supplied telecommunications Report and Order shall be effective30 11. In the FNPRM, the Commission days after publication in the Federal connections are also included in this sought comment on whether it should Register. industry. The SBA has developed a adopt a new fee category for certain 15. It is further ordered that the small business size standard for ‘‘All types of NGSO systems, and in the Commission’s Consumer and Other Telecommunications,’’ which Report and Order the Commission Governmental Affairs Bureau, Reference consists of all such firms with gross adopted a new category for a type of Information Center, shall send a copy of annual receipts of $35 million or less. smaller ‘‘less complex’’ NGSO system this Report and Order, including the For this category, census data for 2012 that would have a lower regulatory fee Final Regulatory Flexibility Analysis in show that there were 1,442 firms that than the other NGSO systems. The this document to Congress and the operated for the entire year. Of these Commission reviewed and evaluated the Government Accountability Office firms, a total of 1,400 had gross annual regulatory work done for all NGSO pursuant to 5 U.S.C. 801(a)(1)(A). receipts of less than $25 million. Thus, systems and found that those systems Federal Communications Commission. most ‘‘All Other Telecommunications’’ planning to use 20 or fewer earth Cecilia Sigmund, firms potentially affected by the rules stations have generally limited scope of Federal Register Liaison Officer. adopted can be considered small. authorization, i.e., Earth Exploration Satellite Service (EESS) and/or [FR Doc. 2021–10261 Filed 5–14–21; 8:45 am] Automatic Identification System (AIS) BILLING CODE 6712–01–P

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Proposed Rules Federal Register Vol. 86, No. 93

Monday, May 17, 2021

This section of the FEDERAL REGISTER • Hand Delivery: Deliver to Mail Except for Confidential Business contains notices to the public of the proposed address above between 9 a.m. and 5 Information (CBI) as described in the issuance of rules and regulations. The p.m., Monday through Friday, except following paragraph, and other purpose of these notices is to give interested Federal holidays. information as described in 14 CFR persons an opportunity to participate in the 11.35, the FAA will post all comments rule making prior to the adoption of the final For material that will be incorporated rules. by reference (IBR) in this AD, contact received, without change, to https:// EASA, Konrad-Adenauer-Ufer 3, 50668 www.regulations.gov, including any Cologne, Germany; telephone +49 221 personal information you provide. The DEPARTMENT OF TRANSPORTATION 8999 000; email [email protected]; agency will also post a report internet www.easa.europa.eu. You may summarizing each substantive verbal Federal Aviation Administration find this IBR material on the EASA contact received about this proposed website at https://ad.easa.europa.eu. AD. 14 CFR Part 39 You may view this IBR material at the Confidential Business Information [Docket No. FAA–2021–0368; Project FAA, Airworthiness Products Section, Identifier MCAI–2021–00204–T] Operational Safety Branch, 2200 South CBI is commercial or financial 216th St., Des Moines, WA. For information that is both customarily and RIN 2120–AA64 information on the availability of this actually treated as private by its owner. Under the Freedom of Information Act Airworthiness Directives; Airbus SAS material at the FAA, call 206–231–3195. (FOIA) (5 U.S.C. 552), CBI is exempt Airplanes It is also available in the AD docket on the internet at https:// from public disclosure. If your AGENCY: Federal Aviation www.regulations.gov by searching for comments responsive to this NPRM Administration (FAA), DOT. and locating Docket No. FAA–2021– contain commercial or financial ACTION: Notice of proposed rulemaking 0368. information that is customarily treated (NPRM). as private, that you actually treat as Examining the AD Docket private, and that is relevant or SUMMARY: The FAA proposes to adopt a You may examine the AD docket on responsive to this NPRM, it is important new airworthiness directive (AD) for all the internet at https:// that you clearly designate the submitted Airbus SAS Model A318, A319, A320, www.regulations.gov by searching for comments as CBI. Please mark each and A321 series airplanes. This and locating Docket No. FAA–2021– page of your submission containing CBI proposed AD was prompted by reports 0368; or in person at Docket Operations as ‘‘PROPIN.’’ The FAA will treat such of low halon concentration in the between 9 a.m. and 5 p.m., Monday marked submissions as confidential forward and aft cargo compartments due through Friday, except Federal holidays. under the FOIA, and they will not be to air leakage through cargo door seals, The AD docket contains this NPRM, any placed in the public docket of this and the certification of improved cargo comments received, and other NPRM. Submissions containing CBI door seals. This proposed AD would information. The street address for should be sent to Sanjay Ralhan, require replacing the forward, aft, and Docket Operations is listed above. Aerospace Engineer, Large Aircraft bulk cargo compartment door seals with Section, International Validation FOR FURTHER INFORMATION CONTACT: new seals; and installing a placard on Branch, FAA, 2200 South 216th St., Des the forward, aft, and cargo compartment Sanjay Ralhan, Aerospace Engineer, Moines, WA 98198; telephone and fax doors; and for certain airplanes, Large Aircraft Section, International 206–231–3223; email sanjay.ralhan@ implementing an operational limitation Validation Branch, FAA, 2200 South faa.gov. Any commentary that the FAA for certain routes, as specified in a 216th St., Des Moines, WA 98198; receives which is not specifically European Union Aviation Safety Agency telephone and fax 206–231–3223; email designated as CBI will be placed in the (EASA) AD, which is proposed for [email protected]. public docket for this rulemaking. incorporation by reference. The FAA is SUPPLEMENTARY INFORMATION: proposing this AD to address the unsafe Background Comments Invited condition on these products. EASA, which is the Technical Agent DATES: The FAA must receive comments The FAA invites you to send any for the Member States of the European on this proposed AD by July 1, 2021. written relevant data, views, or Union, has issued EASA AD 2021–0049, ADDRESSES: You may send comments, arguments about this proposal. Send dated February 18, 2021 (EASA AD using the procedures found in 14 CFR your comments to an address listed 2021–0049) (also referred to as the 11.43 and 11.45, by any of the following under ADDRESSES. Include ‘‘Docket No. Mandatory Continuing Airworthiness methods: FAA–2021–0368; Project Identifier Information, or the MCAI), to correct an • Federal eRulemaking Portal: Go to MCAI–2021–00204–T’’ at the beginning unsafe condition for all Airbus SAS https://www.regulations.gov. Follow the of your comments. The most helpful Model A318–111, –112, –121, and –122; instructions for submitting comments. comments reference a specific portion of A319–111, –112, –113, –114, –115, • Fax: 202–493–2251. the proposal, explain the reason for any –131, –132, –133, –151N, –153N, and • Mail: U.S. Department of recommended change, and include –171N; A320–211, –212, –214, –215, Transportation, Docket Operations, supporting data. The FAA will consider –216, –231, –232, –233, –251N, –252N, M–30, West Building Ground Floor, all comments received by the closing –253N, –271N, –272N, and –273N; and Room W12–140, 1200 New Jersey date and may amend the proposal A321–111, –112, –131, –211, –212, Avenue SE, Washington, DC 20590. because of those comments. –213, –231, –232, –251N, –252N,

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–253N, –271N, –272N, –251NX, Related Service Information Under 1 requirement in this AD to operate the –252NX, –253NX, –271NX, and –272NX CFR Part 51 airplane according to the revised AFM airplanes. Model A320–215 airplanes EASA AD 2021–0049 describes would be redundant and unnecessary. are not certificated by the FAA and are procedures for replacing the forward, Further, compliance with such a not included on the U.S. type certificate aft, and bulk cargo compartment door requirement in an AD would be data sheet; this AD therefore does not seals with new seals; and installing a impracticable to demonstrate or track on include those airplanes in the placard on the forward, aft, and bulk an ongoing basis; therefore, a applicability. cargo compartment door. For certain requirement to operate the airplane in This proposed AD was prompted by airplanes, EASA AD 2021–0049 such a manner would be unenforceable. reports of low halon concentration in describes procedures for implementing Explanation of Required Compliance the forward and aft cargo compartments an operational limitation prohibiting Information due to air leakage through cargo door flying the airplane over a route having seals, and the certification of improved a diversion time of more than 60 In the FAA’s ongoing efforts to cargo door seals. The FAA is proposing minutes. This material is reasonably this AD to address low halon improve the efficiency of the AD available because the interested parties process, the FAA initially worked with concentration, which could affect the have access to it through their normal fire extinguishing system efficiency in Airbus and EASA to develop a process course of business or by the means to use certain EASA ADs as the primary the cargo compartments and possibly identified in the ADDRESSES section. result in failure of the system to contain source of information for compliance a cargo compartment fire. See the MCAI FAA’s Determination and Requirements with requirements for corresponding for additional background information. of This Proposed AD FAA ADs. The FAA has since This product has been approved by coordinated with other manufacturers Relationship Between This Proposed and civil aviation authorities (CAAs) to AD and AD 2020–16–01 the aviation authority of another country, and is approved for operation use this process. As a result, EASA AD This NPRM would not supersede AD in the United States. Pursuant to the 2021–0049 will be incorporated by 2020–16–01, Amendment 39–21185 (85 FAA’s bilateral agreement with the State reference in the FAA final rule. This FR 47013, August 4, 2020) (AD 2020– of Design Authority, the FAA has been proposed AD would, therefore, require 16–01). Rather, the FAA has determined notified of the unsafe condition compliance with EASA AD 2021–0049 that a stand-alone AD would be more described in the MCAI referenced in its entirety, through that appropriate to address the changes in above. The FAA is proposing this AD incorporation, except for any differences the MCAI. This NPRM would require because the FAA evaluated all pertinent identified as exceptions in the replacing the forward, aft, and bulk information and determined an unsafe regulatory text of this proposed AD. cargo compartment door seals with new condition exists and is likely to exist or Using common terms that are the same seals; and installing a placard on the develop on other products of the same as the heading of a particular section in forward, aft, and bulk cargo type design. the EASA AD does not mean that compartment doors; and for certain operators need comply only with that airplanes, implementing an operational Proposed AD Requirements section. For example, where the AD limitation for certain routes. This proposed AD would require requirement refers to ‘‘all required Accomplishment of the proposed accomplishing the actions specified in actions and compliance times,’’ actions would then terminate all EASA AD 2021–0049 described compliance with this AD requirement is requirements of AD 2020–16–01 for previously, as incorporated by not limited to the section titled forward and aft cargo door seals having reference, except for any differences ‘‘Required Action(s) and Compliance part number (p/n) D5237106020000, identified as exceptions in the Time(s)’’ in the EASA AD. Service D5237106020200, D5237106020400, regulatory text of this AD. D5237300120000, or D5237300120200; EASA AD 2021–0049 specifies information specified in EASA AD and bulk cargo door seals having p/n amending the Aircraft Flight Manual 2021–0049 that is required for D5237200220000 or D5237200220200 (AFM) and ‘‘operating that aeroplane compliance with EASA AD 2021–0049 only. AD 2020–16–01 also addresses accordingly.’’ However this AD would will be available on the internet at paragraphs (1) and (2) of EASA AD not include a requirement for ‘‘operating https://www.regulations.gov by 2021–0049, and forward and aft cargo that aeroplane accordingly’’ as that searching for and locating Docket No. door seals p/n D5237106020400S, action is already required by existing FAA–2021–0368 after the FAA final approved under parts manufacturer FAA operating regulations. FAA rule is published. approval (PMA) PQ1715CE. This AD regulations require pilots to follow the Costs of Compliance does not address p/n D5237106020400S, procedures in the existing AFM approved under PMA PQ1715CE. The including all updates. 14 CFR 91.9 The FAA estimates that this proposed FAA is considering additional requires that any person operating a AD affects 1,728 airplanes of U.S. rulemaking to require replacement of p/ civil aircraft must comply with the registry. The FAA estimates the n D5237106020400S, approved under operating limitations specified in the following costs to comply with this PMA PQ1715CE. AFM. Therefore, including a proposed AD:

ESTIMATED COSTS FOR REQUIRED ACTIONS

Cost on U.S. Labor cost Parts cost Cost per product operators

Up to 11 work-hours × $85 per hour = Up to $935 ...... Up to $6,760 ...... Up to $7,695 ...... Up to $13,296,960.

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Authority for This Rulemaking § 39.13 [Amended] requirement for ‘‘operating that aeroplane ■ 2. The FAA amends § 39.13 by adding accordingly’’ as that action is already Title 49 of the United States Code the following new airworthiness required by existing FAA operating specifies the FAA’s authority to issue directive: regulations. rules on aviation safety. Subtitle I, (4) Paragraph (4) of EASA AD 2021–0049 section 106, describes the authority of Airbus SAS: Docket No. FAA–2021–0368; specifies amending ‘‘the Aircraft Flight Project Identifier MCAI–2021–00204–T. the FAA Administrator. Subtitle VII: Manual (AFM) of the aeroplane by inserting (a) Comments Due Date a copy of this AD,’’ however, this AD Aviation Programs, describes in more requires amending ‘‘the existing AFM and detail the scope of the Agency’s The FAA must receive comments on this applicable corresponding operational authority. airworthiness directive (AD) by July 1, 2021. procedures.’’ The FAA is issuing this rulemaking (b) Affected ADs (5) The ‘‘Remarks’’ section of EASA AD EASA AD 2021–0049 does not apply to this under the authority described in This AD affects AD 2020–16–01, Subtitle VII, Part A, Subpart III, Section AD. Amendment 39–21185 (85 FR 47013, August (6) The provisions specified in paragraphs 44701: General requirements. Under 4, 2020) (AD 2020–16–01). (5) and (6) of EASA AD 2021–0049 do not that section, Congress charges the FAA (c) Applicability apply to this AD. with promoting safe flight of civil aircraft in air commerce by prescribing This AD applies to all Airbus SAS (i) Terminating Action for AD 2020–16–01 airplanes specified in paragraphs (c)(1) Accomplishing the actions required by this regulations for practices, methods, and through (4) of this AD, certificated in any AD for the affected parts defined in EASA procedures the Administrator finds category. AD 2021–0049 terminates all requirements of necessary for safety in air commerce. (1) Model A318–111, –112, –121, and –122 AD 2020–16–01 for forward and aft cargo This regulation is within the scope of airplanes. door seals having part number (p/n) (2) Model A319–111, –112, –113, –114, that authority because it addresses an D5237106020000, D5237106020200, –115, –131, –132, –133, –151N, –153N, and unsafe condition that is likely to exist or D5237106020400, D5237300120000, or –171N airplanes. develop on products identified in this D5237300120200; and bulk cargo door seals (3) Model A320–211, –212, –214, –216, rulemaking action. having p/n D5237200220000 or –231, –232, –233, –251N, –252N, –253N, D5237200220200 only. Regulatory Findings –271N, –272N, and –273N airplanes. (4) Model A321–111, –112, –131, –211, (j) Other FAA AD Provisions The FAA determined that this –212, –213, –231, –232, –251N, –252N, The following provisions also apply to this proposed AD would not have federalism –253N, –271N, –272N, –251NX, –252NX, AD: implications under Executive Order –253NX, –271NX, and –272NX airplanes. (1) Alternative Methods of Compliance 13132. This proposed AD would not (d) Subject (AMOCs): The Manager, Large Aircraft Section, International Validation Branch, have a substantial direct effect on the Air Transport Association (ATA) of FAA, has the authority to approve AMOCs States, on the relationship between the America Code 26, Fire protection; 52, Doors. national Government and the States, or for this AD, if requested using the procedures on the distribution of power and (e) Reason found in 14 CFR 39.19. In accordance with responsibilities among the various This AD was prompted by reports of low 14 CFR 39.19, send your request to your principal inspector or responsible Flight levels of government. halon concentration in the forward and aft cargo compartments due to air leakage Standards Office, as appropriate. If sending For the reasons discussed above, I through cargo door seals, and the information directly to the Large Aircraft certify this proposed regulation: certification of improved cargo door seals. Section, International Validation Branch, The FAA is issuing this AD to address low send it to the attention of the person (1) Is not a ‘‘significant regulatory identified in paragraph (k)(2) of this AD. action’’ under Executive Order 12866, halon concentration, which could affect the fire extinguishing system efficiency in the Information may be emailed to: 9-AVS-AIR- (2) Would not affect intrastate cargo compartments and possibly result in [email protected]. Before using any aviation in Alaska, and failure of the system to contain a cargo approved AMOC, notify your appropriate compartment fire. principal inspector, or lacking a principal (3) Would not have a significant inspector, the manager of the responsible economic impact, positive or negative, (f) Compliance Flight Standards Office. on a substantial number of small entities Comply with this AD within the (2) Contacting the Manufacturer: For any under the criteria of the Regulatory compliance times specified, unless already requirement in this AD to obtain instructions Flexibility Act. done. from a manufacturer, the instructions must be accomplished using a method approved List of Subjects in 14 CFR Part 39 (g) Requirements by the Manager, Large Aircraft Section, Except as specified in paragraph (h) of this International Validation Branch, FAA; or Air transportation, Aircraft, Aviation AD: Comply with all required actions and EASA; or Airbus SAS’s EASA Design safety, Incorporation by reference, compliance times specified in, and in Organization Approval (DOA). If approved by Safety. accordance with, European Union Aviation the DOA, the approval must include the Safety Agency (EASA) AD 2021–0049, dated DOA-authorized signature. The Proposed Amendment February 18, 2021 (EASA AD 2021–0049). (3) Required for Compliance (RC): For any service information referenced in EASA AD Accordingly, under the authority (h) Exceptions to EASA AD 2021–0049 2021–0049 that contains RC procedures and delegated to me by the Administrator, (1) Where EASA AD 2021–0049 refers to its tests: Except as required by paragraph (j)(2) the FAA proposes to amend 14 CFR part effective date, this AD requires using the of this AD, RC procedures and tests must be 39 as follows: effective date of this AD. done to comply with this AD; any procedures (2) The requirements specified in or tests that are not identified as RC are PART 39—AIRWORTHINESS paragraphs (1) and (2) of EASA AD 2021– recommended. Those procedures and tests DIRECTIVES 0049 do not apply to this AD; FAA AD 2020– that are not identified as RC may be deviated 16–01 addresses those requirements. from using accepted methods in accordance ■ 1. The authority citation for part 39 (3) Where paragraph (4) of EASA AD 2021– with the operator’s maintenance or 0049 specifies amending the Aircraft Flight inspection program without obtaining continues to read as follows: Manual (AFM) and ‘‘operating that aeroplane approval of an AMOC, provided the Authority: 49 U.S.C. 106(g), 40113, 44701. accordingly,’’ this AD does not include a procedures and tests identified as RC can be

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done and the airplane can be put back in an specified in the definition of ‘‘qualified appropriate ‘‘fulcrum fee’’ is used.5 airworthy condition. Any substitutions or client’’ will be issued unless the Congress subsequently authorized the changes to procedures or tests identified as Commission orders a hearing. Interested Commission to exempt, by rule or order, RC require approval of an AMOC. persons may request a hearing by any advisory contract from the (k) Related Information writing to the Commission’s Secretary. performance fee prohibition if the (1) For information about EASA AD 2021– Hearing requests should be received by contract is with any person that the 0049, contact EASA, Konrad-Adenauer-Ufer the Commission’s Office of the Secretary Commission determines does not need 3, 50668 Cologne, Germany; telephone +49 by 5:30 p.m. on June 4, 2021. Hearing the protections of that prohibition.6 221 8999 000; email [email protected]; requests should state the nature of the The Commission adopted rule 205–3 Internet www.easa.europa.eu. You may find writer’s interest, the reason for the in 1985 to exempt an investment adviser this EASA AD on the EASA website at from the prohibition against charging a https://ad.easa.europa.eu.at You may view request, and the issues contested. Persons who wish to be notified of a client performance fees in certain this material at the FAA, Airworthiness 7 Products Section, Operational Safety Branch, hearing may request notification by circumstances. The rule, when 2200 South 216th St., Des Moines, WA. For writing to the Commission’s Secretary. adopted, allowed an adviser to charge information on the availability of this Any such communication should be performance fees if the client had at material at the FAA, call 206–231–3195. This emailed to the Commission’s Secretary least $500,000 under management with material may be found in the AD docket on at [email protected]. the adviser immediately after entering the internet at https://www.regulations.gov into the advisory contract (‘‘assets- FOR FURTHER INFORMATION CONTACT: by searching for and locating Docket No. under-management test’’) or if the Matthew Cook, Senior Counsel, at (202) FAA–2021–0368. adviser reasonably believed, (2) For more information about this AD, 551–6787 or [email protected], immediately prior to entering into the contact Sanjay Ralhan, Aerospace Engineer, Investment Adviser Regulation Office, advisory contract, that the client had a Large Aircraft Section, International Division of Investment Management, net worth of more than $1,000,000 at the Validation Branch, FAA, 2200 South 216th Securities and Exchange Commission, St., Des Moines, WA 98198; telephone and time the contract was entered into (‘‘net 100 F Street NE, Washington, DC fax 206–231–3223; email sanjay.ralhan@ worth test’’). The Commission stated 20549–8549. faa.gov. that these standards would limit the Issued on May 11, 2021. SUPPLEMENTARY INFORMATION: The availability of the exemption to clients Lance T. Gant, Commission intends to issue an order who are financially experienced and under the Investment Advisers Act of able to bear the risks of performance fee Director, Compliance & Airworthiness 1 Division, Aircraft Certification Service. 1940 (‘‘Advisers Act’’ or ‘‘Act’’). arrangements.8 In 1998, the Commission [FR Doc. 2021–10230 Filed 5–14–21; 8:45 am] I. Background amended rule 205–3 to, among other BILLING CODE 4910–13–P Section 205(a)(1) of the Advisers Act 5 15 U.S.C. 80b–5(b). A fulcrum fee generally generally prohibits an investment involves averaging the adviser’s fee over a specified adviser from entering into, extending, period and increasing or decreasing the fee SECURITIES AND EXCHANGE renewing, or performing any investment proportionately with the investment performance of COMMISSION the company or fund in relation to the investment advisory contract that provides for record of an appropriate index of securities prices. 17 CFR Part 275 compensation to the adviser based on a See rule 205–2 under the Advisers Act; Adoption share of capital gains on, or capital of Rule 205–2 under the Investment Advisers Act [Release No. IA–5733; File No. S7–05–21] appreciation of, the funds of a client.2 of 1940, As Amended, Definition of ‘‘Specified Period’’ Over Which Asset Value of Company or Congress prohibited these compensation Performance-Based Investment Fund Under Management is Averaged, Advisers Act arrangements (also known as Release No. 347 (Nov. 10, 1972) [37 FR 24895 (Nov. Advisory Fees performance compensation or 23, 1972)]. In 1980, Congress added another exception to the prohibition against charging AGENCY performance fees) in 1940 to protect : Securities and Exchange performance fees, for contracts involving business Commission. advisory clients from arrangements that development companies under certain conditions. ACTION: Intent to issue order. Congress believed might encourage See section 205(b)(3) of the Advisers Act. advisers to take undue risks with client 6 Section 205(e) of the Advisers Act. Section SUMMARY: The Securities and Exchange funds to increase advisory fees.3 In 205(e) of the Advisers Act authorizes the Commission (‘‘Commission’’) intends to Commission to exempt conditionally or 1970, Congress provided an exception unconditionally from the performance fee issue an order that would adjust for from the prohibition for advisory prohibition advisory contracts with persons that the inflation dollar amount thresholds in contracts relating to the investment of Commission determines do not need its protections. the rule under the Investment Advisers assets in excess of $1,000,000,4 if an Section 205(e) provides that the Commission may Act of 1940 that permits investment determine that persons do not need the protections of section 205(a)(1) on the basis of such factors as advisers to charge performance-based 1 15 U.S.C. 80b. Unless otherwise noted, all ‘‘financial sophistication, net worth, knowledge of fees to ‘‘qualified clients.’’ Under that references to statutory sections are to the Advisers and experience in financial matters, amount of rule, an investment adviser may charge Act, and all references to rules under the Advisers assets under management, relationship with a performance-based fees if a ‘‘qualified Act, including rule 205–3, are to Title 17, Part 275 registered investment adviser, and such other of the Code of Federal Regulations [17 CFR 275]. factors as the Commission determines are consistent client’’ has a certain minimum net 2 15 U.S.C. 80b–5(a)(1). with [section 205].’’ worth or minimum dollar amount of 3 H.R. Rep. No. 2639, 76th Cong., 3d Sess. 29 7 Exemption To Allow Registered Investment assets under the management of the (1940). Performance fees were characterized as Advisers To Charge Fees Based Upon a Share of adviser. The Commission’s order would ‘‘heads I win, tails you lose’’ arrangements in which Capital Gains Upon or Capital Appreciation of a increase, to reflect inflation, the the adviser had everything to gain if successful and Client’s Account, Advisers Act Release No. 996 little, if anything, to lose if not. S. Rep No. 1775, (Nov. 14, 1985) [50 FR 48556 (Nov. 26, 1985)] minimum net worth that a ‘‘qualified 76th Cong., 3d Sess. 22 (1940). (‘‘1985 Adopting Release’’). The exemption applies client’’ must have under the rule. The 4 15 U.S.C. 80b–5(b)(2). Trusts, governmental to the entrance into, performance, renewal, and order would also increase, to reflect plans, collective trust funds, and separate accounts extension of advisory contracts. See rule 205–3(a). inflation, the minimum dollar amount referred to in section 3(c)(11) of the Investment 8 See 1985 Adopting Release, supra footnote 7, at Company Act of 1940 (‘‘Investment Company Act’’) Sections I.C and II.B. The rule also imposed other of assets under management. [15 U.S.C. 80a–3(c)(11)] are not eligible for this conditions, including specific disclosure Hearing or Notification of Hearing: An exception from the performance fee prohibition requirements and restrictions on calculation of order adjusting the dollar amount tests under section 205(b)(2)(B) of the Advisers Act. performance fees. See id. at Sections II.C–E.

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things, change the dollar amounts of the Rule 205–3, as amended, states that the are providing notice 21 that the assets-under-management test and net Commission will issue an order on or Commission intends to issue an order worth test to adjust for the effects of about May 1, 2016, and approximately making the required inflation inflation since 1985.9 The Commission every five years thereafter, adjusting for adjustment to the assets-under- revised the former from $500,000 to inflation the dollar amount thresholds management test and the net worth test $750,000, and the latter from $1,000,000 of the rule’s assets-under-management in the definition of ‘‘qualified client’’ in to $1,500,000.10 and net worth tests,16 and specifies the rule 205–3. As discussed above, rule The Dodd-Frank Wall Street Reform price index on which future inflation 205–3(e) requires that we adjust the and Consumer Protection Act (‘‘Dodd- adjustments will be based—the Personal dollar amount thresholds of the rule by 11 Frank Act’’) amended section 205(e) Consumption Expenditures Chain-Type order on or about May 1, 2016 and every of the Advisers Act to provide that, by Price Index (‘‘PCE Index’’), which is five years thereafter. We intend to issue July 21, 2011 and every five years published by the United States an order that would increase the dollar thereafter, the Commission shall, by Department of Commerce,17 and is used amount of the assets-under-management order, adjust for the effects of inflation in other provisions of the federal test from $1,000,000 to $1,100,000, and the dollar amount thresholds included 18 securities laws. would increase the dollar amount of the in rules issued under section 205(e), On June 14, 2016, the Commission net worth test from $2,100,000 to rounded to the nearest multiple of issued an order adjusting for inflation, $100,000.12 In May 2011, the $2,200,000. As required under rule 205– as appropriate, the dollar amount 3, both dollar amounts would take into Commission published a release (the thresholds of the assets-under- ‘‘May 2011 Release’’) that included a account the effects of inflation by management test and the net worth reference to historic and current levels notice of intent to issue an order test.19 As of August 15, 2016, the dollar revising the dollar amount thresholds of of the PCE Index. Because the amount amount of the assets-under-management of the Commission’s inflation the assets-under-management test (from test is $1,000,000, and the dollar $750,000 to $1,000,000) and the net adjustment calculations are larger than amount of the net worth test is the rounding amount specified under worth test (from $1,500,000 to $2,100,000.20 $2,000,000).13 rule 205–3, the dollar amounts of both The May 2011 Release also proposed II. Discussion tests would be adjusted as a result of the amendments to rule 205–3 providing, Commission’s inflation adjustment A. Order Adjusting Dollar Amount Tests among other things, that the calculation effected pursuant to the Commission would issue an order every Pursuant to section 418 of the Dodd- rule.22 five years in the future adjusting the Frank Act and rule 205–3(e), today we B. Effective Date rule’s dollar amount thresholds for inflation.14 On February 15, 2012, the 16 See rule 205–3(e). We anticipate that, if we issue the Commission adopted these proposed 17 See rule 205–3(e)(1). The PCE Index is an order described above, the effective date amendments, which amended rule 205– indicator of inflation in the personal sector of the U.S. economy. See Performance-Based Investment will be 60 days following the order 3 to carry out the inflation adjustment Advisory Fees, Advisers Act Release No. 4388 (May 15 of the rule’s dollar amount thresholds. 18, 2016) [81 FR 32686 (May 24, 2016)], at text 21 See section 211(c) of the Advisers Act accompanying n.20. (requiring the Commission to provide appropriate 9 See Exemption To Allow Investment Advisers 18 See Definitions of Terms and Exemptions notice of and opportunity for hearing for orders To Charge Fees Based Upon a Share of Capital Relating to the ‘‘Broker’’ Exceptions for Banks, issued under the Advisers Act). Gains Upon or Capital Appreciation of a Client’s Securities Exchange Act Release No. 56501 (Sept. 22 Specifically, rule 205–3(e) provides that the Account, Advisers Act Release No. 1731 (July 15, 24, 2007) [72 FR 56514 (Oct. 3, 2007)] (adopting adjusted dollar amounts shall be computed by: (1) 1998) [63 FR 39022 (July 21, 1998)]. periodic inflation adjustments to the fixed-dollar Dividing the year-end value of the PCE Index (or 10 See id. at Section II.B.1. thresholds for both ‘‘institutional customers’’ and any successor index thereto) for the calendar year 11 Public Law 111–203, 124 Stat. 1376 (2010). ‘‘high net worth customers’’ under Rule 701 of preceding the calendar year in which the order is 12 See section 418 of the Dodd-Frank Act Regulation R); see also Amendments to Form ADV, being issued (in this case, 2020), by the year-end (requiring the Commission to issue an order every Advisers Act Release No. 3060 (July 28, 2010) [75 value of the PCE Index (or successor) for the five years revising dollar amount tests in a rule that FR 49234 (Aug. 12, 2010)] (increasing for inflation calendar year 1997 (such quotient, the ‘‘Adjustment exempts a person or transaction from section the threshold amount for prepayment of advisory Percentage’’); (2) for the assets-under-management 205(a)(1) of the Advisers Act if the dollar amount fees that triggers an adviser’s duty to provide clients test, multiplying $750,000 by the Adjustment test was a factor in the Commission’s determination with an audited balance sheet and the dollar Percentage and rounding the product to the nearest that the persons do not need the protections of that threshold triggering the exception to the delivery of multiple of $100,000; and (3) for the net worth test, section). brochures to advisory clients receiving only multiplying $1,500,000 by the Adjustment 13 See Investment Adviser Performance impersonal advice). The Dodd-Frank Act also Percentage and rounding the product to the nearest Compensation, Advisers Act Release No. 3198 (May requires the use of the PCE Index to calculate multiple of $100,000. As of April 29, 2021, the end- 10, 2011) [76 FR 27959 (May 13, 2011)]. The inflation adjustments for the cash limit protection of-year 2020 PCE Index was 111.146, and the end- Commission issued an order to revise the dollar of each investor under the Securities Investor of-year 1997 PCE Index was 74.623. Assets-under- amount thresholds of the assets-under-management Protection Act of 1970. See section 929H(a) of the management test calculation to adjust for the effects and net worth tests, as described above, on July 12, Dodd-Frank Act; see also Securities Investor of inflation: (111.146/74.623) × $750,000 = 2011. See Order Approving Adjustment for Inflation Protection Corporation, Securities Investor $1,117,075.16; $1,117,075.16 rounded to the nearest of the Dollar Amount Tests in Rule 205–3 under the Protection Act of 1970 Release No. 183 (Jan. 27, multiple of $100,000 = $1,100,000. Net worth test Investment Advisers Act of 1940, Advisers Act 2021) [86 FR 7900 (Feb. 2, 2021)]. calculation to adjust for the effects of inflation: Release No. 3236 (July 12, 2011) [76 FR 41838 (July 19 Order Approving Adjustment for Inflation of (111.146/74.623) × $1,500,000 = $2,234,150.33; 15, 2011)] (‘‘2011 Order’’). The 2011 Order was the Dollar Amount Tests in Rule 205–3 under the $2,234,150.33 rounded to the nearest multiple of effective as of September 19, 2011. Id. The 2011 Investment Advisers Act of 1940, Advisers Act $100,000 = $2,200,000. The values of the PCE Index Order applied to contractual relationships entered Release No. 4421 (June 14, 2016) [81 FR 39985 (June are available from the Bureau of Economic into on or after the effective date and did not apply 20, 2016)] (‘‘2016 Order’’). The 2016 Order was Analysis, a bureau of the United States Department retroactively to contractual relationships previously effective as of August 15, 2016. Id. of Commerce. See http://www.bea.gov; see also in existence. 20 Id. As a result of the 2016 Order, the dollar Bureau of Economic Analysis, Table 2.3.4., ‘‘Price 14 See May 2011 Release, supra footnote 13. amount threshold of the net worth test was Indexes for Personal Consumption Expenditures by 15 See Investment Adviser Performance increased to $2,100,000, but the dollar amount Major Type of Product,’’ available at https:// Compensation, Advisers Act Release No. 3372 (Feb. threshold of the assets-under-management test apps.bea.gov/iTable/iTable.cfm?reqid=19&step=3& 15, 2012) [77 FR 10358 (Feb. 22, 2012)] (amending remained at $1,000,000 because the amount of the isuri=1&select_all_years=0&nipa_table_list=64& rule 205–3 by, in part, revising the dollar amount Commission’s inflation adjustment calculation was series=a&first_year=1997&last_year=2020&scale=- thresholds to codify the 2011 Order); see also rule smaller than the rounding amount specified under 99&categories=survey&thetable= (last visited Apr. 205–3(d)(1)(i)–(ii). rule 205–3. Id., at nn.8–9 and accompanying text. 30, 2021).

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date.23 To the extent that contractual regulatory requirement. The proposed submission (i.e., on the web, cloud, or relationships are entered into prior to revisions do not impact the stringency other file sharing system). For the order’s effective date, the dollar of the SIP or air quality nor do they additional submission methods, the full amount test adjustments in the order impact the State’s ability to attain or EPA public comment policy, would not generally apply retroactively maintain the National Ambient Air information about CBI or multimedia to such contractual relationships, Quality Standards. The EPA’s proposed submissions, and general guidance on subject to the transition rules approval of this rule revision is in making effective comments, please visit incorporated in rule 205–3.24 accordance with the requirements of the https://www.epa.gov/dockets/ By the Commission. Clean Air Act (CAA). commenting-epa-dockets. Dated: May 10, 2021. DATES: Comments must be received on II. What is being addressed in this J. Matthew DeLesDernier, or before June 16, 2021. document? Assistant Secretary. ADDRESSES: You may send comments, identified by Docket ID No. EPA–R07– The EPA is proposing to amend [FR Doc. 2021–10164 Filed 5–14–21; 8:45 am] OAR–2021–0298 to https:// Nebraska’s SIP to include revisions to BILLING CODE 8011–01–P www.regulations.gov. Follow the online title 129 of the Nebraska Administrative instructions for submitting comments. Code. The EPA is proposing to approve Instructions: All submissions received revisions to the Nebraska SIP submitted ENVIRONMENTAL PROTECTION must include the Docket ID No. for this by the State of Nebraska on July 16, AGENCY rulemaking. Comments received will be 2020. Specifically, the EPA is proposing posted without change to https:// to amend the Nebraska SIP by removing 40 CFR Part 52 www.regulations.gov/, including any a portion of the SIP as follows: Title [EPA–R07–OAR–2021–0298; FRL–10023– personal information provided. For 129, Chapter 40. General Conformity. 53–Region 7] detailed instructions on sending EPA is proposing approval of these comments and additional information revisions as they remove unnecessary Air Plan Approval; Nebraska; on the rulemaking process, see the language and do not substantively Revisions to Title 129 of the Nebraska ‘‘Written Comments’’ heading of the change any existing statutory or Administrative Code; General SUPPLEMENTARY INFORMATION section of regulatory requirement. The EPA approved this rule into the Conformity this document. Nebraska SIP in 1972. In August 2005, FOR FURTHER INFORMATION CONTACT: AGENCY: Environmental Protection Congress passed the Safe, Accountable, Agency (EPA). Allie Donohue, Environmental Flexible, Efficient Transportation Equity ACTION: Proposed rule. Protection Agency, Region 7 Office, Air Act: A Legacy for Users (SAFETEA–LU) Quality Planning Branch, 11201 Renner SUMMARY: The Environmental Protection which eliminated the requirement for Boulevard, Lenexa, Kansas 66219; states to adopt and submit General Agency (EPA) is proposing to approve telephone number: (913) 551–7986; revisions to the State Implementation Conformity SIPs. Section 6011 of email address: [email protected]. SAFETEA–LU revised the conformity Plan (SIP) submitted by the State of SUPPLEMENTARY INFORMATION: Nebraska on July 16, 2020. This requirements in section 176(c)of the Throughout this document ‘‘we,’’ ‘‘us,’’ CAA. Specifically, section 6011(f) proposed action will amend the SIP to and ‘‘our’’ refer to the EPA. revise title 129 of the Nebraska revised section 176(c)(4)(A) of the CAA Administrative Code by removing a Table of Contents by deleting the requirement for the portion of the SIP that addresses general states to adopt and submit General I. Written Comments Conformity SIPs. conformity. General Conformity ensures II. What is being addressed in this document? In 2010, EPA revised the General that the actions taken by federal III. Have the requirements for approval of a Conformity regulations to make the agencies do not interfere with a state’s SIP revision been met? adoption and submittal of the General plan to attain and maintain national IV. What action is the EPA taking? Conformity SIP optional for state and standards for air quality. Since states are V. Incorporation by Reference VI. Statutory and Executive Order Reviews eligible federally-recognized tribal no longer required to include general governments. See 75 FR 17253 (April 5, conformity requirements in SIPs, these I. Written Comments 2010). Since there is no longer a proposed revisions remove unnecessary Submit your comments, identified by requirement for SIPs to include general language and do not substantively Docket ID No. EPA–R07–OAR–2021– conformity requirements, EPA finds that change any existing statutory or 0298, at https://www.regulations.gov. the proposed revisions will not impact Once submitted, comments cannot be the stringency of the SIP or air quality. 23 When the Commission issued the 2011 and edited or removed from Regulations.gov. 2016 Orders adjusting the dollar amount tests of States are no longer required to have rule 205–3 as described above, the effective dates The EPA may publish any comment their own general conformity rules. If a of the Orders were approximately 60 days following received to its public docket. Do not state does not have a conformity SIP, their issuance. See 2011 Order, supra footnote 13, submit electronically any information then federal agencies will conduct an at section III; 2016 Order, supra footnote 19, at you consider to be Confidential section III. evaluation under the requirements of 40 24 See rule 205–3(c)(1) (‘‘If a registered investment Business Information (CBI) or other CFR 93.150–93.165. The SIP revision adviser entered into a contract and satisfied the information whose disclosure is being proposed for approval by this conditions of this [section] that were in effect when restricted by statute. Multimedia action removes unnecessary language the contract was entered into, the adviser will be submissions (audio, video, etc.) must be considered to satisfy the conditions of this [section]; from the SIP and does not have an Provided, however, that if a natural person or accompanied by a written comment. adverse effect on air quality in company who was not a party to the contract The written comment is considered the Nebraska. becomes a party (including an equity owner of a official comment and should include private investment company advised by the discussion of all points you wish to III. Have the requirements for approval adviser), the conditions of this [section] in effect at of a SIP revision been met? that time will apply with regard to that person or make. The EPA will generally not company.’’); see also May 2011 Release, supra consider comments or comment The State submission has met the footnote 13, at section II.B.3. contents located outside of the primary public notice requirements for SIP

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submissions in accordance with 40 CFR VI. Statutory and Executive Order rulemaking does not involve technical 51.102. The submission also satisfied Reviews standards; and • the completeness criteria of 40 CFR part Under the CAA, the Administrator is Does not provide EPA with the 51, appendix V. The State provided required to approve a SIP submission discretionary authority to address, as public notice of this SIP revision from that complies with the provisions of the appropriate, disproportionate human September 28, 2019 to November 6, CAA and applicable Federal regulations. health or environmental effects, using 2019 and held a public hearing on 42 U.S.C. 7410(k); 40 CFR 52.02(a). practicable and legally permissible November 7, 2019. In a letter to the state Thus, in reviewing SIP submissions, the methods, under Executive Order 12898 dated November 7, 2019, the EPA stated EPA’s role is to approve state choices, (59 FR 7629, February 16, 1994). that the agency ‘‘has no comment on the provided that they meet the criteria of The SIP is not approved to apply on proposed repeal of this regulation.’’ The the CAA. Accordingly, this action any Indian reservation land or in any SIP revision meets the substantive merely approves state law as meeting other area where EPA or an Indian tribe has demonstrated that a tribe has requirements of the CAA, including Federal requirements and does not jurisdiction. In those areas of Indian section 110 and implementing impose additional requirements beyond country, the rule does not have tribal regulations. those imposed by state law. For that reason, this action: implications and will not impose IV. What action is the EPA taking? • Is not a significant regulatory action substantial direct costs on tribal subject to review by the Office of governments or preempt tribal law as The EPA is proposing to amend the Management and Budget under specified by Executive Order 13175 (65 Nebraska SIP by approving the state’s Executive Orders 12866 (58 FR 51735, FR 67249, November 9, 2000). request to remove Title 129 section 40. October 4, 1993) and 13563 (76 FR 3821, List of Subjects in 40 CFR Part 52 General Conformity. The removal of this January 21, 2011); portion of the SIP will remove • Does not impose an information Environmental protection, Air unnecessary language and does not collection burden under the provisions pollution control, Incorporation by substantively change any existing of the Paperwork Reduction Act (44 reference, Intergovernmental relations. statutory or regulatory requirement. The U.S.C. 3501 et seq.); Dated: May 7, 2021. • Is certified as not having a EPA has determined that these changes Edward H. Chu, significant economic impact on a will not impact the stringency of the SIP Acting Regional Administrator, Region 7. or adversely impact air quality. substantial number of small entities under the Regulatory Flexibility Act (5 For the reasons stated in the The EPA is processing this as a U.S.C. 601 et seq.); preamble, the EPA proposes to amend proposed action because we are • Does not contain any unfunded 40 CFR part 52 as set forth below: soliciting comments on this proposed mandate or significantly or uniquely action. Final rulemaking will occur after affect small governments, as described PART 52—APPROVAL AND consideration of any comments. in the Unfunded Mandates Reform Act PROMULGATION OF of 1995 (Pub. L. 104–4); IMPLEMENTATION PLANS V. Incorporation by Reference • Does not have federalism implications as specified in Executive ■ 1. The authority citation for part 52 In this document, the EPA is continues to read as follows: proposing to amend regulatory text that Order 13132 (64 FR 43255, August 10, 1999); includes incorporation by reference. As Authority: 42 U.S.C. 7401 et seq. • Is not an economically significant described in the proposed amendments regulatory action based on health or Subpart CC—Nebraska to 40 CFR part 52 set forth below, the safety risks subject to Executive Order ■ 2. In § 52.1420, the table in paragraph EPA is proposing to remove provisions 13045 (62 FR 19885, April 23, 1997); of the EPA-Approved Nebraska • Is not a significant regulatory action (c) is amended by removing the entry Regulations from the Nebraska State subject to Executive Order 13211 (66 FR ‘‘129–40’’ under the heading ‘‘Title Implementation Plan, which is 28355, May 22, 2001); 129—Nebraska Air Quality incorporated by reference in accordance • Is not subject to requirements of the Regulations’’. with the requirements of 1 CFR part 51. National Technology Transfer and [FR Doc. 2021–10123 Filed 5–14–21; 8:45 am] Advancement Act (NTTA) because this BILLING CODE 6560–50–P

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Notices Federal Register Vol. 86, No. 93

Monday, May 17, 2021

This section of the FEDERAL REGISTER made available for public inspection at Extension of Comment Period Deadline contains documents other than rules or the above address during regular This document notifies the public that proposed rules that are applicable to the business hours or via the internet at AMS is extending the comment period public. Notices of hearings and investigations, www.regulations.gov. committee meetings, agency decisions and on the Notice on Supply Chains for the Production of Agricultural Commodities rulings, delegations of authority, filing of FOR FURTHER INFORMATION CONTACT: Dr. petitions and applications and agency and Food Products, 86 FR 20652 (Apr. Melissa R. Bailey, Agricultural statements of organization and functions are 21, 2021) from May 21, 2021 to June 21, examples of documents appearing in this Marketing Service, at (202) 205–9356; or 2021. Comments previously submitted section. by email at [email protected]. during the initial 30-day comment SUPPLEMENTARY INFORMATION: period [April 21, 2021–May 21, 2021] need not be resubmitted, as these DEPARTMENT OF AGRICULTURE Background comments are already incorporated into the public record. Agricultural Marketing Service On February 24, 2021, President Biden issued Executive Order 14017, Erin Morris, [Document Number AMS–TM–21–0034] ‘‘America’s Supply Chains’’ (86 FR Associate Administrator, Agricultural Supply Chains for the Production of 11849) (E.O. 14017). E.O. 14017 focuses Marketing Service. Agricultural Commodities and Food on the need for resilient, diverse, and [FR Doc. 2021–10351 Filed 5–14–21; 8:45 am] Products secure supply chains to ensure U.S. BILLING CODE 3410–02–P economic prosperity and national AGENCY: Agricultural Marketing Service, security. Such supply chains are needed USDA. to address conditions that can reduce DEPARTMENT OF AGRICULTURE ACTION: Notice; 30-day extension for critical manufacturing capacity and the Forest Service public comments. availability and integrity of critical goods, products, and services. In SUMMARY: The Agricultural Marketing Information Collection: Qualified relevant part, E.O. 14017 directs that, Service (AMS) is providing an Products Lists for Fire Chemicals for within one year, the Secretary shall additional 30 days for public comments Wildland Fire Management submit a report to the President, through on the Notice on Supply Chains for the the Assistant to the President for AGENCY: Forest Service, USDA. Production of Agricultural Commodities ACTION: Notice; request for comment. and Food Products published on April National Security Affairs (APNSA) and the Assistant to the President for 21, 2021. During the first two weeks of SUMMARY: In accordance with the the comment period, AMS received Economic Policy (APEP), on the supply Paperwork Reduction Act of 1995, the requests from stakeholders and chains for the production of agricultural Forest Service is seeking comments organizations for additional time to commodities and food products. This from all interested individuals and provide thoughtful and thorough notice requests comments and organizations on the renewal of a feedback to this request. Requests were information from the public to assist currently approved information received from representatives of critical USDA in preparing the report required collection, Qualified Products Lists for supply chain activities whose comments by E.O. 14017. Further, USDA will use Fire Chemicals for Wildland Fire would be of great value to the U.S. public comments received through this Management. notice to inform our thinking regarding Department of Agriculture (USDA) in DATES: Comments must be received in preparing the report required by the how available authorities and funding writing on or before July 16, 2021 to be Executive Order on ‘‘America’s Supply related to food supply chain resilience assured of consideration. Comments Chains.’’ can help to increase durability and received after that date will be DATES: Comments on the notice resilience within the U.S. food supply. considered to the extent practicable. We are particularly interested in published April 21, 2021, must be ADDRESSES: Comments concerning this received by June 21, 2021. comments addressing local and regional notice should be addressed to David ADDRESSES: All written comments in food systems, creating new market Haston, Branch Chief, Equipment and response to this notice should be posted opportunities (including for value- Chemicals, US Forest Service, National online at www.regulations.gov. added agriculture and value-added Interagency Fire Center, 3833 S Comments received will be posted products), facilitating fair and Development Avenue, Boise, Idaho without change, including any personal competitive markets (including 83705. information provided. All comments traceability and supply chain Comments also may be submitted via should reference the docket number transparency), advancing efforts to facsimile to 208–387–5398 or by email AMS–TM–21–0034, the date of transform the food system, meeting the to: [email protected]. Comments submission, and the page number of this needs of the agricultural workforce, submitted in response to this notice may issue of the Federal Register. Comments supporting and promoting consumers’ be made available to the public through may also be sent to Dr. Melissa R. nutrition security, particularly for low- relevant websites and upon request. For Bailey, Agricultural Marketing Service, income populations, and supporting the this reason, please do not include in USDA, Room 2055–S, STOP 0201, 1400 needs of socially disadvantaged and your comments information of a Independence Avenue SW, Washington, small to mid-sized producers and confidential nature, such as sensitive DC 20250–0201. Comments will be processors. personal information or proprietary

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information. If you send an email completed successfully, the product is A number of product characteristics are comment, your email address will be added to the Qualified Products List measured over the operational automatically captured and included as (QPL) for the appropriate product type. performance range of the product to part of the comment that is placed in the All Federal procurements of wildland ensure that the product meets the needs public docket and made available on the fire chemicals are made from these lists. of the firefighters in the field. To initiate an evaluation, product internet. Please note that responses to The collection of this information for manufacturers (or authorized suppliers) this public comment request containing each product submission is necessary enter into an agreement with the Forest any routine notice about the due to the length of time needed to test Service and pay all costs associated confidentiality of the communication the product (16 to 18 months) and the will be treated as public comments that with the submission and evaluation of need to ensure that products do not may be made available to the public the product. Once the agreement is in pose a hazard for laboratory personnel notwithstanding the inclusion of the place and funds are deposited to cover during the evaluation prior to purchase routine notice. the associated costs, the manufacturer The public may inspect the draft submits the following information to and use. This information collection supporting statement and/or comments WFCS: and the product evaluation must be received at the National Interagency Fire 1. List of the specific ingredients and conducted on an ongoing basis to ensure Center (NIFC), Jack Wilson Building, in quantity used to prepare the product; the Agency can solicit and award Boise, Idaho during normal business 2. Identification of a specific company contracts in a timely manner to provide hours. Visitors are encouraged to call as the source of supply for each firefighters with safe and effective ahead to 208–387–5512 to facilitate ingredient; wildland fire chemical products. entry to the building. The public may 3. Copies of the Safety Data Sheet Estimate of Annual Burden: 4.5 hours. (SDS) for the product and for each request an electronic copy of the draft Type of Respondents: Businesses ingredient used to prepare the product supporting statement and/or any (manufacturers and suppliers) of fire comments received be sent via return (from the company that supplies that chemical); and chemicals for wildland fire email. Requests should be emailed to management. [email protected]. 4. Specific mixing requirements and performance information. Estimated Annual Number of FOR FURTHER INFORMATION CONTACT: Review of the submitted information Respondents: 5. Shirley Zylstra, National Technology assures that the product does not and Development Program, (NTDP) at Estimated Annual Number of contain ingredients meeting the criteria (406) 329–4859 or David Haston, Responses per Respondent: 3. for Chemicals of Concern. Chemicals of National InterAgency Fire Center at Concern are defined as chemicals Estimated Total Annual Burden on (208) 387–5642. Individuals who use appearing on one or more of the Respondents: 67.5 hours. telecommunication devices for the deaf following lists: Comment Is Invited (TDD) may call the Federal Information • Agency list of unacceptable Relay Service (FIRS) at 1(800) 877–8339 ingredients; Comment is invited on: (1) Whether twenty-four hours a day, every day of • National Toxicology Program (NTP) this collection of information is the year, including holidays. Annual Report on Carcinogens; necessary for the stated purposes and • SUPPLEMENTARY INFORMATION: International Agency for Research the proper performance of the functions Title: Qualified Products Lists for Fire on Cancer (IARC) Monographs for of the Agency, including whether the Chemicals for Wildland Fire Potential Carcinogen; information will have practical or • Management. Comprehensive Environmental scientific utility; (2) the accuracy of the OMB Number: 0596–0182. Response, Compensation, and Liability Agency’s estimate of the burden of the Expiration Date of Approval: July 31, Act (CERCLA) List of Extremely collection of information, including the 2021. Hazardous Substances and Their validity of the methodology and Type of Request: Extension with no Threshold Planning Quantities; assumptions used; (3) ways to enhance Revision of a currently approved • Resources Conservation and information collection. the quality, utility, and clarity of the Recovery Act (RCRA), Acutely information to be collected; and (4) Abstract: The Forest Service and Hazardous and Toxic Wastes; and ways to minimize the burden of the cooperating wildland firefighting • Emergency Planning and collection of information on agencies need adequate types and Community Right to Know (EPCRA), respondents, including the use of quantities of qualified fire chemical Toxic Release Inventory. products available to accomplish fire A risk assessment, performed at the automated, electronic, mechanical, or management activities as safely and manufacturer expense, is required. The other technological collection effectively as possible. To accomplish risk assessment, performed by a third techniques or other forms of information this objective, the Agency evaluates and party selected by the Agency, assesses technology. pre-approves commercial wildland the products and levels of ingredients All comments received in response to firefighting chemicals. The Agency is found in typical applications relative to this notice, including names and required to submit the formulations to human and environmental impact. addresses when provided, will be a the U.S. Fish and Wildlife Service and Each product submitted is tested to matter of public record. Comments will National Oceanic Atmospheric determine the mammalian and aquatic be summarized and included in the Administration Fisheries during the toxicity of the product and must meet submission request toward Office of evaluation process. All products must specific levels of performance to Management and Budget approval. meet the requirements of specifications minimize potential risk during identified and maintained by the firefighting operations. Additional tests Patricia A. Grantham, Wildland Fire Chemical Systems are performed to determine the Acting Director, Fire and Aviation (WFCS) staff at the National Technology effectiveness of the product to reduce Management. & Development Program (Missoula). spread rate and intensity of the fire by [FR Doc. 2021–10347 Filed 5–14–21; 8:45 am] After a product evaluation has been application directly on or near the fire. BILLING CODE 3411–15–P

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CIVIL RIGHTS COMMISSION FACAPublicViewCommitteeDetails?id= expect to incur regular charges for calls a10t0000001gzlJAAQ. they initiate over wireless lines, Notice of Public Meeting of the Nevada Please click on the ‘‘Committee according to their wireless plan. The Advisory Committee Meetings’’ tab. Records generated from Commission will not refund any these meetings may also be inspected incurred charges. Individuals who are AGENCY: U.S. Commission on Civil and reproduced at the Regional deaf, deafblind and hard of hearing may Rights. Programs Unit, as they become also follow the proceedings by first ACTION: Announcement of meeting. available, both before and after the calling the Federal Relay Service at 1– meetings. Persons interested in the work 800–877–8339 and providing the SUMMARY: Notice is hereby given, of this Committee are directed to the Service with the conference call number pursuant to the provisions of the rules Commission’s website, https:// and conference ID number. and regulations of the U.S. Commission www.usccr.gov, or may contact the Members of the public are entitled to on Civil Rights (Commission) and the Regional Programs Unit at the above submit written comments; the Federal Advisory Committee Act email or street address. comments must be received in the (FACA) that the Nevada Advisory regional office within 30 days following Agenda Committee (Committee) will hold a the meeting. Written comments may be meeting via web conference on I. Welcome emailed to Melissa Wojnaroski at Thursday, August 12, 2021, from 12:00 II. Review Report Draft [email protected]. p.m. to 2:00 p.m. Pacific Time. The III. Public Comment Records generated from this meeting purpose of the meeting is to review VI. Next Steps may be inspected and reproduced at the report draft. V. Adjournment Regional Programs Unit Office, as they DATES: The meeting will be held on Dated: May 12, 2021. become available, both before and after Thursday, August 12, 2021, from 12:00 David Mussatt, the meeting. Records of the meeting will p.m. to 2:00 p.m. PT. Supervisory Chief, Regional Programs Unit. be available via www.facadatabase.gov WEBEX Information: Register online under the Commission on Civil Rights, [FR Doc. 2021–10355 Filed 5–14–21; 8:45 am] https://civilrights.webex.com/meet/ Arkansas Advisory Committee link. afortes. BILLING CODE P Persons interested in the work of this Audio: (800) 360–9505. Committee are directed to the FOR FURTHER INFORMATION CONTACT: Ana COMMISSION ON CIVIL RIGHTS Commission’s website, http:// Victoria Fortes, Designated Federal www.usccr.gov, or may contact the Officer (DFO) at [email protected] or by Notice of Public Meetings of the Regional Programs Unit at the above phone at (202) 681–0857. Arkansas Advisory Committee email or street address. SUPPLEMENTARY INFORMATION: Any AGENCY: U.S. Commission on Civil Agenda interested member of the public may Rights. I. Welcome & Roll Call call this number and listen to the III. Committee Discussion: IDEA meeting. Callers can expect to incur ACTION: Announcement of meeting. Compliance and Implementation in charges for calls they initiate over SUMMARY: Notice is hereby given, Arkansas Schools wireless lines, and the Commission will pursuant to the provisions of the rules IV. Next Steps not refund any incurred charges. Callers and regulations of the U.S. Commission V. Public Comment will incur no charge for calls they on Civil Rights (Commission) and the VI. Adjournment initiate over land-line connections to Federal Advisory Committee Act that the toll-free telephone number. Persons Dated: May 11, 2021. the Arkansas Advisory Committee David Mussatt, with hearing impairments may also (Committee) will hold a virtual (online) Supervisory Chief, Regional Programs Unit. follow the proceedings by first calling meeting Friday, June 4, 2021 at 1:00 the Federal Relay Service at 1–800–877– p.m. Central Time. The purpose of the [FR Doc. 2021–10265 Filed 5–14–21; 8:45 am] 8339 and providing the Service with the meeting is for the Committee to discuss BILLING CODE P conference call number and conference civil rights concerns related to IDEA ID number. compliance and implementation in COMMISSION ON CIVIL RIGHTS Members of the public are entitled to Arkansas schools. make comments during the open period DATES: The meeting will be held on at the end of the meeting. Members of Notice of Public Meeting of the Friday, June 4, 2021 at 1 p.m. Central the public may also submit written Michigan Advisory Committee to the time. comments; the comments must be U.S. Commission on Civil Rights Web Access (audio/visual): Register at: received in the Regional Programs Unit AGENCY: U.S. Commission on Civil https://bit.ly/3bsPqxh Office within 30 days following the Rights. Phone Access (audio only): 800–360– meeting. Written comments may be ACTION: Announcement of meeting. mailed to Ana Victoria Fortes at 9505, Access Code 199 997 4747 [email protected] in the Regional FOR FURTHER INFORMATION CONTACT: SUMMARY: Notice is hereby given, Programs Unit Office/Advisory Melissa Wojnaroski, Designated Federal pursuant to the provisions of the rules Committee Management Unit. Persons Officer, at [email protected] or and regulations of the U.S. Commission who desire additional information may (202) 618–4158. on Civil Rights (Commission) and the contact the Regional Programs Unit SUPPLEMENTARY INFORMATION: Members Federal Advisory Committee Act that Office (202) 681–0587. of the public may join online or listen the Michigan Advisory Committee Records and documents discussed to this discussion through the above (Committee) will hold a meeting via during the meeting will be available for call-in number. An open comment web-conference, for the purpose of public viewing prior to and after the period will be provided to allow finalizing their report on the impact of meetings at https:// members of the public to make a the COVID–19 pandemic on voting www.facadatabase.gov/FACA/ statement as time allows. Callers can rights in the state.

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DATES: The meeting will take place Adjournment Regional Programs Unit at (312) 353– Monday May 17 at 9:30 a.m. Eastern Exceptional Circumstance: Pursuant 8311. time to 41 CFR 102–3.150, the notice for this Records generated from this meeting Public Access: meeting is given fewer than 15 calendar may be inspected and reproduced at the • Register online (audio/visual): https:// days prior to the meeting because of the Regional Programs Unit Office, as they bit.ly/3xZul7e exceptional circumstances of pending become available, both before and after • Telephone (audio only): Dial 800– expiration of Committee member the meeting. Records of the meeting will 360–9505; Access code: 199 041 2339 appointment terms. be available via www.facadatabase.gov under the Commission on Civil Rights, FOR FURTHER INFORMATION CONTACT: Dated: May 11, 2021. Oklahoma Advisory Committee link. Melissa Wojnaroski, DFO, at David Mussatt, [email protected] or 202–618– Persons interested in the work of this Supervisory Chief, Regional Programs Unit. 4158. Committee are directed to the [FR Doc. 2021–10266 Filed 5–14–21; 8:45 am] Commission’s website, http:// SUPPLEMENTARY INFORMATION: Members BILLING CODE P www.usccr.gov, or may contact the of the public can listen to the Regional Programs Unit at the above discussion. This meeting is available to phone number or email. the public through the above listed toll- COMMISSION ON CIVIL RIGHTS free number or online through the above Agenda: Notice of Public Meetings of the registration link. An open comment Tuesday, May 25, 2021 (CT) period will be provided to allow Oklahoma Advisory Committee members of the public to make a I. Welcome & Roll Call AGENCY: U.S. Commission on Civil statement as time allows. Callers can II. Approval of Minutes Rights. expect to incur regular charges for calls III. Discussion Memo Draft they initiate over wireless lines, ACTION: Announcement of meeting. IV. Public Comment V. Adjournment according to their wireless plan. The SUMMARY: Notice is hereby given, Commission will not refund any pursuant to the provisions of the rules Dated: May 11, 2021. incurred charges. Callers will incur no and regulations of the U.S. Commission David Mussatt, charge for calls they initiate over land- on Civil Rights (Commission) and the Supervisory Chief, Regional Programs Unit. line connections to the toll-free Federal Advisory Committee Act [FR Doc. 2021–10270 Filed 5–14–21; 8:45 am] telephone number. Persons who are deaf (FACA), that the Oklahoma Advisory BILLING CODE P or hard of hearing may also follow the Committee to the Commission will hold proceedings by first calling the Federal virtual of meetings on Tuesday, May 25, Relay Service at 1–800–877–8339 and 2021 from 10:00 a.m.–11:00 a.m. (CT). CIVIL RIGHTS COMMISSION providing the Service with the The purpose of the meeting is to review Notice of Public Meeting of the Nevada conference call number and conference and approve the current draft advisory Advisory Committee ID number. memorandum on racial disparities and Members of the public are also policing in Oklahoma. AGENCY: U.S. Commission on Civil entitled to submit written comments; The meetings will be held on: Rights. the comments must be received in the • Tuesday, May 25, 2021, at 10:00 a.m. regional office within 30 days following ACTION: Announcement of meeting. Central Time the meeting. Written comments may be • To join by web conference: https:// SUMMARY: Notice is hereby given, emailed to Melissa Wojnaroski at tinyurl.com/nfm8x798 pursuant to the provisions of the rules [email protected]. Persons who FOR FURTHER INFORMATION CONTACT: and regulations of the U.S. Commission desire additional information may on Civil Rights (Commission) and the contact the Regional Programs Unit Brooke Peery, DFO, at [email protected] or (202) 701–1376. Federal Advisory Committee Act Office at 202–618–4158. (FACA) that the Nevada Advisory Records generated from this meeting SUPPLEMENTARY INFORMATION: These meetings are available to the public Committee (Committee) will hold a may be inspected and reproduced at the meeting via web conference on Regional Programs Unit Office, as they through the Webex links above. If joining only via phone callers can Wednesday, September 1, 2021, from become available, both before and after 12:00 p.m. to 2:00 p.m. Pacific Time. the meeting. Records of the meeting will expect to incur charges for calls they initiate over wireless lines, according to The purpose of the meeting is to review be available via https:// report draft. www.facadatabase.gov/FACA/ their wireless plan. The Commission DATES: The meeting will be held on FACAPublicViewCommitteeDetails?id= will not refund any incurred charges. Wednesday, September 1, 2021, from a10t0000001gzjPAAQ under the Individual who is deaf, deafblind and 12:00 p.m. to 2:00 p.m. Pacific Time. Commission on Civil Rights, Michigan hard of hearing may also follow the WEBEX Information: Register online Advisory Committee link. Persons proceedings by first calling the Federal https://civilrights.webex.com/meet/ interested in the work of this Committee Relay Service at 1–800–877–8339 and providing the Service with the afortes. are also directed to the Commission’s Audio: (800) 360–9505. website, http://www.usccr.gov, or may conference call number found through contact the Regional Programs Unit registering at the web link. FOR FURTHER INFORMATION CONTACT: Ana office at the above email or phone Members of the public are entitled to Victoria Fortes, Designated Federal number. submit written comments; the Officer (DFO) at [email protected] or by comments must be received in the phone at (202) 681–0857. Agenda regional office within 30 days following SUPPLEMENTARY INFORMATION: Any Welcome and Roll Call the meeting. Written comments may be interested member of the public may Discussion & VOTE: COVID–19 & emailed to Brooke Peery at bpeery@ call this number and listen to the Voting Rights in Michigan usccr.gov. Persons who desire meeting. Callers can expect to incur Public Comment additional information may contact the charges for calls they initiate over

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wireless lines, and the Commission will SUMMARY: Notice is hereby given, Commission’s website, https:// not refund any incurred charges. Callers pursuant to the provisions of the rules www.usccr.gov, or may contact the will incur no charge for calls they and regulations of the U.S. Commission Regional Programs Unit at the above initiate over land-line connections to on Civil Rights (Commission) and the email or street address. the toll-free telephone number. Persons Federal Advisory Committee Act Agenda with hearing impairments may also (FACA) that the Nevada Advisory follow the proceedings by first calling Committee (Committee) will hold a I. Welcome the Federal Relay Service at 1–800–877– meeting via web conference on Tuesday, II. Review Report Outline 8339 and providing the Service with the June 22, 2021, from 12:00 p.m. to 1:00 III. Public Comment conference call number and conference p.m. Pacific Time. The purpose of the VI. Next Steps ID number. meeting is to review report outline. V. Adjournment Members of the public are entitled to DATES: The meeting will be held on Dated: May 12, 2021. make comments during the open period Tuesday, June 22, 2021, from 12:00 p.m. David Mussatt, at the end of the meeting. Members of to 1:00 p.m. PT Supervisory Chief, Regional Programs Unit. the public may also submit written WEBEX Information: Register online [FR Doc. 2021–10357 Filed 5–14–21; 8:45 am] comments; the comments must be https://civilrights.webex.com/meet/ BILLING CODE P received in the Regional Programs Unit afortes. Office within 30 days following the Audio: (800) 360–9505 meeting. Written comments may be FOR FURTHER INFORMATION CONTACT: Ana COMMISSION ON CIVIL RIGHTS mailed to Ana Victoria Fortes at Victoria Fortes, Designated Federal [email protected] in the Regional Officer (DFO) at [email protected] or by Notice of Public Meeting of the South Programs Unit Office/Advisory phone at (202) 681–0857. Carolina Advisory Committee Committee Management Unit. Persons SUPPLEMENTARY INFORMATION: Any who desire additional information may AGENCY: U.S. Commission on Civil interested member of the public may Rights. contact the Regional Programs Unit call this number and listen to the ACTION: Office (202) 681–0587. meeting. Callers can expect to incur Notice of meeting. Records and documents discussed charges for calls they initiate over SUMMARY: Notice is hereby given, during the meeting will be available for wireless lines, and the Commission will pursuant to the provisions of the rules public viewing prior to and after the not refund any incurred charges. Callers and regulations of the U.S. Commission meetings at https:// will incur no charge for calls they on Civil Rights (Commission) and the www.facadatabase.gov/FACA/ initiate over land-line connections to Federal Advisory Committee Act that FACAPublicViewCommitteeDetails?id= the toll-free telephone number. Persons the South Carolina Advisory Committee a10t0000001gzlJAAQ. with hearing impairments may also (Committee) will hold a meeting via- Please click on the ‘‘Committee follow the proceedings by first calling teleconference on Thursday, June 3, Meetings’’ tab. Records generated from the Federal Relay Service at 1–800–877– 2021, at 12:00 p.m. (EST) the purpose of these meetings may also be inspected 8339 and providing the Service with the the meeting is to for the Committee to and reproduced at the Regional conference call number and conference plan its next civil rights project. Programs Unit, as they become ID number. DATES: The meeting will be held on: available, both before and after the Members of the public are entitled to Thursday, June 3, 2021 at 12:00 p.m. meetings. Persons interested in the work make comments during the open period Eastern Time, https://tinyurl.com/ of this Committee are directed to the at the end of the meeting. Members of y46v27ky, or Join by phone 800–360– Commission’s website, https:// the public may also submit written 9505 USA Toll Free. www.usccr.gov, or may contact the comments; the comments must be Regional Programs Unit at the above received in the Regional Programs Unit FOR FURTHER INFORMATION CONTACT: email or street address. Office within 30 days following the Barbara Delaviez at [email protected] or (202) 539–8246. Agenda meeting. Written comments may be mailed to Ana Victoria Fortes at SUPPLEMENTARY INFORMATION: Members I. Welcome [email protected] in the Regional of the public can listen to the II. Review Report Draft Programs Unit Office/Advisory discussion. This meeting is available to III. Public Comment Committee Management Unit. Persons the public through the following toll- VI. Next Steps who desire additional information may free call-in number. An open comment V. Adjournment contact the Regional Programs Unit period will be provided to allow members of the public to make a Dated: May 12, 2021. Office (202) 681–0587. Records and documents discussed statement as time allows. The David Mussatt, during the meeting will be available for conference operator will ask callers to Supervisory Chief, Regional Programs Unit. public viewing prior to and after the identify themselves, the organizations [FR Doc. 2021–10356 Filed 5–14–21; 8:45 am] meetings at https:// they are affiliated with (if any), and an BILLING CODE P www.facadatabase.gov/FACA/ email address prior to placing callers FACAPublicViewCommitteeDetails?id= into the conference call. Callers can a10t0000001gzlJAAQ. expect to incur charges for calls they CIVIL RIGHTS COMMISSION Please click on the ‘‘Committee initiate over wireless lines, and the Meetings’’ tab. Records generated from Commission will not refund any Notice of Public Meeting of the Nevada these meetings may also be inspected incurred charges. Callers will incur no Advisory Committee and reproduced at the Regional charge for calls they initiate over land- AGENCY: U.S. Commission on Civil Programs Unit, as they become line connections to the toll-free Rights. available, both before and after the telephone number. Persons with hearing meetings. Persons interested in the work impairments may also follow the ACTION: Announcement of meeting. of this Committee are directed to the proceedings by first calling the Federal

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Relay Service at 1–800–977–8339 and investigation (POI) is January 1, 2020, modifying the scope of this and the providing the Service with the through June 30, 2020. companion countervailing duty (CVD) conference call number and conference DATES: Applicable May 17, 2021. investigation. Specifically, we removed ID number. FOR FURTHER INFORMATION CONTACT: individual components from the Members of the public are also Hermes Pinilla or Mary Kolberg, AD/ definition of in-scope subassemblies entitled to submit written comments; CVD Operations, Office I, Enforcement and added language to clarify that the the comments must be received in the and Compliance, International Trade individual components that enter regional office within 30 days following Administration, U.S. Department of separately are not covered by the scope the meeting. Written comments may be Commerce, 1401 Constitution Avenue of these investigations. We established a emailed to Carolyn Allen at callen@ period for parties to address issues in NW, Washington, DC 20230; telephone: 6 usccr.gov in the Regional Program Unit (202) 482–3477 or (202) 482–1785, scope case and rebuttal briefs. We Office/Advisory Committee respectively. received scope comments and addressed Management Unit. Persons who desire them in the Final Scope Decision additional information may contact the SUPPLEMENTARY INFORMATION: Memorandum.7 Regional Program Unit Office at (202) Background Analysis of Comments Received 539–8246. On March 4, 2021, Commerce Records generated from this meeting All issues raised in the case briefs and published its Preliminary Determination may be inspected and reproduced at the rebuttal briefs submitted by interested in the antidumping duty investigation of Regional Program Unit, as they become parties in this proceeding are discussed chassis from China.1 A summary of the available, both before and after the in the Issues and Decision events that occurred since Commerce meeting. Records of the meeting will be Memorandum. A list of the issues raised published the Preliminary available via https://www.faca by parties and responded to by Determination, as well as a full database.gov/FACA/FACAPublic Commerce is attached to this notice as discussion of the issues raised by parties ViewCommitteeDetails?id= Appendix II. The Issues and Decision for this final determination, may be a10t0000001gzmPAAQ under the Memorandum is a public document and found in the Issues and Decision Commission on Civil Rights, South is available electronically via Memorandum.2 Carolina Advisory Committee link. Enforcement and Compliance’s Persons interested in the work of this Period of Investigation Antidumping and Countervailing Duty Committee are directed to the Centralized Electronic Service System The POI is January 1, 2020, through (ACCESS). ACCESS is available to Commission’s website, http:// June 30, 2020. www.usccr.gov, or may contact the registered users at https:// Regional Program Unit at the above Scope of the Investigation access.trade.gov. In addition, a complete email or phone number. version of the Issues and Decision The products covered by this Memorandum can be accessed directly Agenda investigation are certain chassis and at http://enforcement.trade.gov/frn./. subassemblies thereof from China. For a 1. Roll Call full description of the scope of this Changes Since the Preliminary 2. Project Planning—update on civil investigation, see Appendix I. Determination assert court case Pursuant to section 772(c)(1)(C) of the 3. Public Comment Scope Comments Act, Commerce normally adjusts the 4. Adjourn In accordance with the preamble to dumping margin for countervailable 3 Dated: May 11, 2021. Commerce’s regulations, the Initiation export subsidies. In the Preliminary David Mussatt, Notice set aside a period of time for Determination, we determined a Supervisory Chief, Regional Programs Unit. parties to raise issues regarding product countervailable export subsidy rate of 4 [FR Doc. 2021–10268 Filed 5–14–21; 8:45 am] coverage (i.e., scope). Certain interested 5.77 percent ad valorem based on the parties commented on the scope of the BILLING CODE P export buyer’s credit. However, for the investigations as they appeared in the final determination of the concurrent Initiation Notice and we addressed CVD investigation, Commerce adjusted these comments in the Preliminary its calculation of the export subsidy rate 5 DEPARTMENT OF COMMERCE Scope Decision Memorandum, because we determined that CIMC benefitted from several subsidy International Trade Administration 1 See Certain Chassis and Subassemblies Thereof from the People’s Republic of China: Preliminary programs contingent on exports totaling [A–570–135] Affirmative Determination of Sales at Less Than 11.00 percent ad valorem for the China- Fair Value, 86 FR 12616 (March 4, 2021) wide entity. Accordingly, Commerce Certain Chassis and Subassemblies (Preliminary Determination), and accompanying adjusted the calculated estimated Thereof From the People’s Republic of Preliminary Decision Memorandum (PDM). 2 weighted-average dumping margin for See Memorandum, ‘‘Certain Chassis and 8 China: Final Affirmative Determination Subassemblies Thereof from the People’s Republic this investigation by the offset. of Sales at Less Than Fair Value of China: Decision Memorandum for the Final Affirmative Determination of Sales at Less-Than- Memorandum,’’ dated February 9, 2021 AGENCY: Enforcement and Compliance, Fair-Value,’’ dated concurrently with, and hereby (Preliminary Scope Decision Memorandum). International Trade Administration, adopted by, this notice (Issues and Decision 6 See Preliminary Scope Decision Memorandum. Department of Commerce. Memorandum). 7 See Memorandum, ‘‘Antidumping and 3 See Antidumping Duties; Countervailing Duties, Countervailing Duty Investigations of Certain SUMMARY: The Department of Commerce Final Rule, 62 FR 27296, 27323 (May 19, 1997). Chassis and Subassemblies Thereof from the (Commerce) determines that certain 4 See Certain Chassis and Subassemblies Thereof People’s Republic of China: Scope Comments chassis and subassemblies thereof from the People’s Republic of China: Initiation of Decision Memorandum for the Final (chassis) from the People’s Republic of Less-Than-Fair-Value Investigation, 85 FR 52552 Determinations,’’ dated March 15, 2021 (Final (August 26, 2020) (Initiation Notice). Scope Decision Memorandum). China (China) are being, or are likely to 5 See Memorandum, ‘‘Certain Chassis and 8 The export subsidy rate determined in the final be, sold in the United States at less than Subassemblies Thereof from the People’s Republic determination of the companion CVD investigation fair value (LTFV). The period of of China: Scope Comments Preliminary Decision is 11.00 percent. See Chassis and Subassemblies

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China-Wide Entity and Use of Adverse The China-wide entity includes CIMC and Fuwa have not demonstrated Facts Available mandatory respondents Dongguan CIMC eligibility for a separate rate. Because Vehicle Co., Ltd. and Qingdao CIMC none of the companies responded to the We continue to find that the use of Special Vehicles Co., Ltd. (collectively, best of their ability to Commerce’s facts available is warranted in CIMC) and Guangdong Fuwa Heavy questionnaires, we assigned the highest determining the rate of the China-wide Industries Co., Ltd. (Fuwa), as well as margin alleged in the petition, 188.05 entity pursuant to sections 776(a)(1) and the companies that received, but did not percent, to the China-wide entity. (a)(2)(A)–(C) of the Act. Further, use of complete, Commerce’s quantity and adverse facts available (AFA) is value questionnaire. Because CIMC Combination Rates warranted because the China-wide submitted its supplemental Because no companies qualified for a entity did not cooperate to the best of questionnaire responses in an untimely separate rate, producer/exporter its ability to comply with our request for manner, necessary information combination rates were not calculated. information and, accordingly, we regarding our separate rate inquiries is Final Determination applied adverse inferences in selecting not available on the record. Further, from the facts available, pursuant to Fuwa did not provide information on all Commerce determines that the section 776(b) of the Act and 19 CFR shareholders and ultimate shareholders. estimated weighted-average dumping 351.308(a). Therefore, we continue to find that margin is as follows:

Estimated weighted- Estimated weighted- average dumping margin Producer/exporter average dumping margin adjusted for export (percent) subsidy offset(s) (percent)

China-Wide Entity ...... 188.05 177.05

Disclosure entity; and (2) for all third-country subsidies from the final margin and The dumping margin calculations in exporters of subject merchandise not adjusted the cash deposit rate in the the Preliminary Determination were listed in the table above, the cash chart above. However, suspension of based on AFA.9 As noted above, there deposit rate is the cash deposit rate liquidation for provisional measures in are no changes to the calculations for applicable to the Chinese producer/ the companion CVD case has been the Final Determination. Thus, no exporter combination (or China-wide discontinued; therefore, we are not additional disclosure is necessary for entity) that supplied that third-country instructing CBP to collect cash deposits this final determination. exporter. These suspension of based upon the adjusted estimated liquidation instructions will remain in weighted-average dumping margin for Continuation of Suspension of effect until further notice. those subsidies at this time. Liquidation To determine the cash deposit rate, International Trade Commission (ITC) As a result of our Preliminary Commerce normally adjusts the Notification Determination and pursuant to section estimated weighted-average dumping 735(c)(1)(B) of the Act, Commerce will margin by the amount of domestic In accordance with section 735(d) of instruct U.S. Customs and Border subsidy pass-through and export the Act, we will notify the ITC of our Protection (CBP) to continue to suspend subsidies determined in a companion final affirmative determination of sales liquidation of entries of subject CVD proceeding when CVD provisional at LTFV. Commerce will allow the ITC merchandise as described in the ‘‘Scope measures are in effect. Accordingly, access to all privileged and business of the Investigation’’ section entered, or where Commerce makes an affirmative proprietary information in our files, withdrawn from warehouse, for determination for domestic subsidy provided the ITC confirms that it will consumption, on or after March 4, 2021, pass-through or export subsidies, not disclose such information, either which is the date of publication of the Commerce offsets the calculated publicly or under an administrative Preliminary Determination in the estimated weighted-average dumping protective order, without the written Federal Register. margin by the appropriate rate(s). In this consent of the Assistant Secretary for Pursuant to section 735(c)(1)(B)(ii) of case, there was no demonstration on the Enforcement and Compliance. Because the Act, upon the publication of this record that an adjustment for domestic Commerce’s final determination is notice, Commerce will instruct CBP to subsidies was warranted in the affirmative, in accordance with section require a cash deposit equal to the Preliminary Determination, which 735(b)(2) of the Act, the ITC will make weighted-average amount by which the remains unchanged for the final its final determination as to whether the normal value exceeds U.S. price as determination.10 However, with respect domestic industry in the United States follows: (1) For all combinations of to export subsidies for all respondents, is materially injured, or threatened with Chinese producers/exporters of subject Commerce issued the final material injury, by reason of imports or merchandise that have not established determination of the concurrent CVD sales (or the likelihood of sales) for eligibility for their own separate rates, investigation of chassis from China, in importation of chassis from China no the cash deposit rate will be equal to the which it found export-contingent later than 45 days after this final estimated weighted-average dumping subsidies of 11.00 percent for CIMC.11 determination. If the ITC determines margin established for the China-wide Therefore, we have deducted export that such injury does exist, Commerce

Thereof from the People’s Republic of China: Final 9 See Preliminary Determination. 11 See Chassis CVD Final Determination IDM at Affirmative Countervailing Duty Determination, 86 10 See section VII. Adjustment under Section 8. FR 15186 (March 22, 2021) (Chassis CVD Final 777A(f) of the Act in the Preliminary Determination Determination), and accompanying Issues and PDM. Decision Memorandum (IDM) at 8.

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will issue an AD order directing CBP to axles, brake chambers, locking pins, and tires finished and unfinished chassis may also assess, upon further instructions by and wheels; enter under HTSUS subheading • Commerce, antidumping duties on all Landing gear assemblies, for connection 8716.90.5010. While the HTSUS subheadings imports of the subject merchandise to the chassis frame, capable of supporting are provided for convenience and customs the chassis when it is not engaged to a purposes, the written description of the entered, or withdrawn from warehouse, tractor; and merchandise under investigation is for consumption on or after the effective • Assemblies that connect to the chassis dispositive. date of the suspension of liquidation, as frame or a section of the chassis frame, such discussed above in the ‘‘Continuation of as, but not limited to, pintle hooks or B-trains Appendix II Suspension of Liquidation’’ section of (which include a fifth wheel), which are List of Topics Discussed in the Final this notice. capable of connecting a chassis to a converter Decision Memorandum dolly or another chassis. Notification Regarding Administrative Importation of any of these subassemblies, I. Summary Protective Order (APO) whether assembled or unassembled, II. Background III. Period of Investigation This notice will serve as a final constitutes an unfinished chassis for purposes of this investigation. IV. Scope of Investigation reminder to parties subject to an APO of Subject merchandise also includes chassis, V. Adjustment under Section 777A(f) of the their responsibility concerning the whether finished or unfinished, entered with Act destruction of proprietary information or for further assembly with components VI. Adjustment to Cash Deposit Rate for disclosed under APO in accordance such as, but not limited to: hub and drum Export Subsidies VII. Use of Facts Otherwise Available and with 19 CFR 351.305(a)(3). Timely assemblies, brake assemblies (either drum or disc), axles, brake chambers, suspensions and Adverse Inferences written notification of the return/ VIII. Discussion of the Issues destruction of APO materials or suspension components, wheel end components, landing gear legs, spoke or disc Comment 1: Whether Total AFA is conversion to judicial protective order is Warranted for CIMC wheels, tires, brake control systems, Comment 2: Whether CIMC is Eligible for hereby requested. Failure to comply electrical harnesses and lighting systems. a Separate Rate with the regulations and terms of an Processing of finished and unfinished IX. Recommendation APO is a sanctionable violation. chassis and components such as trimming, [FR Doc. 2021–10346 Filed 5–14–21; 8:45 am] Notification to Interested Parties cutting, grinding, notching, punching, drilling, painting, coating, staining, finishing, BILLING CODE 3510–DS–P This determination is issued and assembly, or any other processing either in published pursuant to sections 735(d) the country of manufacture of the in-scope and 777(i)(1) of the Act and 19 CFR product or in a third country does not DEPARTMENT OF COMMERCE 351.210(c). remove the product from the scope. Inclusion of other components not identified as International Trade Administration Dated: May 11, 2021. comprising the finished or unfinished chassis Christian Marsh, does not remove the product from the scope. United States Investment Advisory Acting Assistant Secretary for Enforcement Individual components entered and sold Council; Solicitation of Applications and Compliance. by themselves are not subject to the investigation, but components entered with AGENCY: SelectUSA, International Trade Appendix I or for further assembly with a finished or Administration, U.S. Department of Scope of the Investigation unfinished chassis are subject merchandise. Commerce. A finished chassis is ultimately comprised of The merchandise covered by this ACTION: Notice of an opportunity to several different types of subassemblies. investigation consists of chassis and Within each subassembly there are numerous apply for membership on the United subassemblies thereof, whether finished or components that comprise a given States Investment Advisory Council. unfinished, whether assembled or subassembly. unassembled, whether coated or uncoated, SUMMARY: The Department of Commerce This scope excludes dry van trailers, regardless of the number of axles, for carriage is currently seeking applications for of containers, or other payloads (including refrigerated van trailers and flatbed trailers. Dry van trailers are trailers with a wholly membership on the United States self-supporting payloads) for road, marine Investment Advisory Council. The roll-on/roll-off (RORO) and/or rail transport. enclosed cargo space comprised of fixed Chassis are typically, but are not limited to, sides, nose, floor and roof, with articulated purpose of the Board is to advise the rectangular framed trailers with a suspension panels (doors) across the rear and Secretary of Commerce on strategies to and axle system, wheels and tires, brakes, a occasionally at selected places on the sides, attract and retain foreign direct lighting and electrical system, a coupling for with the cargo space being permanently investment to the United States. incorporated in the trailer itself. Refrigerated towing behind a truck tractor, and a locking DATES: Applications for immediate system or systems to secure the shipping van trailers are trailers with a wholly enclosed cargo space comprised of fixed consideration for membership must be container or containers to the chassis using received by the Office of SelectUSA by twistlocks, slide pins or similar attachment sides, nose, floor and roof, with articulated devices to engage the corner fittings on the panels (doors) across the rear and 5:00 p.m. Eastern Daylight Time (EDT) container or other payload. occasionally at selected places on the sides, on Friday, June 30, 2021. The Subject merchandise includes, but is not with the cargo space being permanently International Trade Administration limited to, the following subassemblies: incorporated in the trailer and being (ITA) will continue to accept • Chassis frames, or sections of chassis insulated, possessing specific thermal applications under this notice for two frames, including kingpin assemblies, properties intended for use with self- years from the deadline to fill any bolsters consisting of transverse beams with contained refrigeration systems. Flatbed (or vacancies. locking or support mechanisms, goosenecks, platform) trailers consist of load-carrying drop assemblies, extension mechanisms and/ main frames and a solid, flat or stepped ADDRESSES: Please submit application or rear impact guards; loading deck or floor permanently information by email to [email protected]. • Running gear assemblies or axle incorporated with and supported by frame FOR FURTHER INFORMATION CONTACT: assemblies for connection to the chassis rails and cross members. Rachel David, SelectUSA, U.S. The finished and unfinished chassis frame, whether fixed in nature or capable of Department of Commerce; telephone: sliding fore and aft or lifting up and lowering subject to this investigation are typically down, which may or may not include classified in the Harmonized Tariff Schedule (202) 302–6858; email: [email protected]. suspension(s) (mechanical or pneumatic), of the United States (HTSUS) at subheadings: SUPPLEMENTARY INFORMATION: The wheel end components, slack adjusters, 8716.39.0090 and 8716.90.5060. Imports of United States Investment Advisory

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Council (IAC) is established in range of products and services and shall including an affirmative statement that accordance with the provisions of the be drawn from large, medium, and small the applicant is not required to register Federal Advisory Committee Act, as enterprises, private-sector organizations as a foreign agent under the Foreign amended, 5 U.S.C. App., to advise the involved in investment, and other Agents Registration Act of 1938, as Secretary of Commerce (Secretary) on investment-related entities including amended. matters relating to the promotion and non-governmental organizations, 5. Information regarding the retention of foreign direct investment in associations, and economic ownership and control of the sponsoring the United States (FDI). development organizations. entity, including the stock holdings as SelectUSA is accepting applications Priority may be given to executives appropriate. for membership on the IAC. The IAC (Chief Executive Officer, Executive 6. The sponsoring entity’s size, place functions solely as an advisory Chairman, President, or comparable of incorporation, product or service line, committee. The IAC shall advise the level of responsibility). major markets in which the entity Secretary on U.S. government policies Members shall serve in a operates, and the entity’s export or and programs that affect FDI; identify representative capacity, representing the import experience. and recommend programs and policies views and interests of their sponsoring 7. A profile of the entity’s foreign to help the United States attract and entity and those of their particular direct investment activities, including retain FDI; and recommend ways to sector (if applicable). Members are not investment activities, investment plans, support the position of the United States special government employees and will investment-facilitation activities, or as the world’s preeminent destination receive no compensation for their other foreign direct investment for FDI. The IAC shall act as a liaison participation in IAC activities. Members activities. among the stakeholders represented by will not be reimbursed for travel 8. Brief statement describing how the the membership and shall provide a expenses related to IAC activities. applicant will contribute to the work of forum for the stakeholders on current Appointments to the IAC shall be made the IAC based on his or her unique and emerging issues regarding FDI. The without regard to political affiliation. experience and perspective (not to IAC shall report to the Secretary on its Because the IAC will advise the exceed 100 words). activities and recommendations Secretary on U.S. international 9. All relevant contact information, regarding FDI. In creating its reports, the competitiveness in attracting and including mailing address, fax, email, IAC should survey and evaluate the retaining FDI, each member must be a phone number, and support staff investment and investment-facilitating U.S. national. information where relevant. activities of stakeholders, should Each member shall be appointed for a Bill Burwell, identify and examine specific problems term of two years and will serve at the Deputy Executive Director, Select USA. facing potential foreign investors, and pleasure of the Secretary. The Secretary should examine the needs of may at his/her discretion reappoint any [FR Doc. 2021–10358 Filed 5–14–21; 8:45 am] stakeholders to inform the IAC’s efforts. member to an additional term or terms, BILLING CODE 3510–DR–P The IAC should recommend specific provided that the member proves to solutions to the problems and needs that work effectively on the IAC and that DEPARTMENT OF COMMERCE it identifies. his/her knowledge and advice is still The IAC shall consist of no more than needed. International Trade Administration twenty members appointed by the The Secretary shall designate a Chair Secretary. Members shall represent and Vice Chair from among the [A–427–831] companies and organizations investing, members. seeking to invest, seeking foreign The IAC will meet a minimum of two Methionine From France: Final investors, or facilitating investment times a year with, to the extent Determination of Sales at Less Than across many sectors, including but not practical, additional meetings called at Fair Value and Final Partial limited to: the discretion of the Secretary or his/her Determination of Critical U.S.-incorporated companies that are designee. Meetings will be held in Circumstances majority-owned by foreign companies or Washington, DC or elsewhere in the AGENCY: Enforcement and Compliance, by a foreign individual or individuals, United States, or by teleconference, as International Trade Administration, or that generate significant foreign direct feasible. Members are expected to attend Department of Commerce. investment (e.g., through their supply a majority of IAC meetings. SUMMARY: chains); U.S. companies or entities The Department of Commerce To be considered for membership, (Commerce) determines that imports of whose business includes FDI-related submit the following information by activities or the facilitation of FDI; and methionine from France are being, or 5:00 p.m. EDT on June 30, 2021 to the are likely to be, sold in the United States Economic development organizations email address listed in the ADDRESSES and other U.S. governmental and non- at less than fair value (LTFV) for the section: period of investigation July 1, 2019, governmental organizations and 1. Name and title of the individual associations whose missions or through June 30, 2020. Further, requesting consideration. Commerce determines that critical activities include the promotion or 2. A sponsor letter from the applicant circumstances exist for Adisseo France facilitation of FDI. on the sponsoring entity’s letterhead SAS and Commentary. Members shall be selected based on containing a brief statement of why the their ability to carry out the objectives applicant should be considered for DATES: Applicable May 17, 2021. of the IAC, in accordance with membership on the IAC. This sponsor FOR FURTHER INFORMATION CONTACT: applicable Department of Commerce letter should also address the Zachary Shaykin, AD/CVD Operations, guidelines, in a manner that ensures applicant’s experience and leadership Office IV, Enforcement and Compliance, that the IAC is balanced in terms of related to foreign direct investment. International Trade Administration, points of view, demographics, industry 3. The applicant’s personal resume U.S. Department of Commerce, 1401 subsector, geography of the source and and short bio (less than 300 words). Constitution Avenue NW, Washington, the destination of the FDI, and company 4. An affirmative statement that the DC 20230; telephone: (202) 482–2638. size. Members shall represent a broad applicant meets all eligibility criteria, SUPPLEMENTARY INFORMATION:

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Background conduct a verification of Adisseo’s all-others rate as a simple average of the information. alleged dumping margins from the On March 4, 2021, Commerce petition.3 However, there is only one published in the Federal Register its Use of Adverse Facts Available dumping margin alleged in the petition preliminary affirmative determination In the Preliminary Determination, (i.e., 16.17 percent) for this in the LTFV investigation of methionine Commerce found that Adisseo failed to investigation. Therefore, we used that from France.1 Commerce invited comply with Commerce’s request for rate as the estimated weighted-average interested parties to comment on the information, which significantly dumping margin for all other producers Preliminary Determination. A summary impeded the investigation. Further, and exporters, (i.e., all-others rate). of the events that occurred since Commerce found that Adisseo failed to Commerce published the Preliminary cooperate to the best of its ability in this Final Partial Affirmative Determination Determination, may be found in the investigation. Therefore, in the of Critical Circumstances Issues and Decision Memorandum.2 Preliminary Determination, pursuant to Consistent with the Preliminary Scope of the Investigation sections 776(a) and (b) of the Tariff Act Determination 4 and in accordance with of 1930, as amended (the Act), section 773(e) of the Act and 19 CFR The product covered by this Commerce assigned Adisseo an 351.206, Commerce continues to investigation is methionine from France. estimated weighted-average dumping determine that critical circumstances For a complete description of the scope margin based on adverse facts available exist with respect to imports of of this investigation, see Appendix I. (AFA). We have continued to find that methionine produced and exported by Scope Comments the application of AFA, pursuant to Adisseo. Furthermore, Commerce sections 776(a) and (b) of the Act is continues to find that critical Commerce did not receive scope warranted in determining Adisseo’s circumstances do not exist with respect comments from interested parties estimated weighted-average dumping to imports of methionine produced and during the course of this investigation. margin. exported by all other producers and Therefore, Commerce is not modifying In the Preliminary Determination, as exporters from France.5 the scope language as it appeared in the AFA, we assigned Adisseo, as an Preliminary Determination. See estimated weighted-average dumping Final Determination Appendix I for the final scope of the margin, a rate equal to the highest Pursuant to section 735 of the Act, the investigation. individual dumping margin based on an final estimated weighted-average Analysis of Comments Received average-to-average comparison and dumping margins are as follows: based on the record information All issues raised in the case and submitted by Adisseo. Because this rate Estimated rebuttal briefs that were submitted by weighted- is not secondary information, but rather average parties in this investigation are is based on information obtained in the Exporter or producer dumping addressed in the Issues and Decision course of the investigation, Commerce margin Memorandum. A list of the sections of need not corroborate this rate pursuant (percent) the Issues and Decision Memorandum to section 776(c) of the Act. are in Appendix II of this notice. The Adisseo France SAS and Issues and Decision Memorandum is a All-Others Rate Commentry ...... 43.82 All Others ...... 16.17 public document and is on file Section 735(c)(5)(A) of the Act electronically via Enforcement and provides that the estimated weighted- Disclosure Compliance’s Antidumping and average dumping margin for all other Countervailing Duty Centralized producers and exporters not Normally, Commerce discloses to Electronic Service System (ACCESS). individually investigated shall be equal interested parties the calculations ACCESS is available to registered users to the weighted average of the estimated performed in connection with a final at https://access.trade.gov. In addition, a weighted-average dumping margins determination, in accordance with 19 complete version of the Issues and established for exporters and producers CFR 351.224(b). However, because Decision Memorandum can be accessed individually investigated excluding directly at http://enforcement.trade.gov/ rates that are zero, de minimis, or 3 See, e.g., Notice of Preliminary Determinations of Sales at Less Than Fair Value: Sodium Nitrite frn. determined entirely under section 776 from the Federal Republic of Germany, 73 FR of the Act. Pursuant to section Verification 21909, 21912 (April 23, 2008), unchanged in Notice 735(c)(5)(B) of the Act, if the estimated of Final Determination of Sales at Less Than Fair Because Adisseo France SAS and weighted-average dumping margins Value: Sodium Nitrite from the Federal Republic of Germany, 73 FR 38986, 38987 (July 8, 2008), and Commentry (collectively, Adisseo) established for all exporters and accompanying Issues and Decision Memorandum at stated prior to the Preliminary producers individually examined are Comment 2; see also Notice of Final Determination Determination that it would not zero, de minimis or determined based of Sales at Less Than Fair Value: Raw Flexible continue to respond to Commerce’s entirely on facts otherwise available, Magnets from Taiwan, 73 FR 39673, 39674 (July 10, 2008); Steel Threaded Rod from Thailand: request for information, we did not Commerce may use any reasonable Preliminary Determination of Sales at Less Than method to establish the estimated Fair Value and Affirmative Preliminary 1 See Preliminary Affirmative Determination of weighted-average dumping margin for Determination of Critical Circumstances, 78 FR Sales at Less Than Fair Value and Partial all other producers or exporters. 79670, 79671 (December 31, 2013), unchanged in Affirmative Determination of Critical Commerce has determined the Steel Threaded Rod from Thailand: Final Circumstances, 86 FR 12627 (March 4, 2021) Determination of Sales at Less Than Fair Value and (Preliminary Determination), and accompanying estimated weighted-average dumping Affirmative Final Determination of Critical Preliminary Decision Memorandum. margin for the sole respondent, Adisseo, Circumstances, 79 FR 14476, 14477 (March 14, 2 See Memorandum, ‘‘Decision Memorandum for entirely under section 776 of the Act. 2014); and Polyethylene Terephthalate Resin from the Final Affirmative Determination in the Less- Consequently, pursuant to section Pakistan: Final Determination of Sales at Less Than Than-Fair-Value Investigation of Methionine from Fair Value, 83 FR 48281, 48282 (September 24, France,’’ dated concurrently with, and hereby 735(c)(5)(B) of the Act, Commerce’s 2018). adopted by, this notice (Issues and Decision normal practice under these 4 See Preliminary Determination at 12628. Memorandum). circumstances has been to calculate the 5 Id.

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Commerce made no changes to the weighted-average dumping margin Dated: May 10, 2021. margin calculations in the Preliminary listed in the table above. Christian Marsh, Determination, there are no new These suspension of liquidation Acting Assistant Secretary for Enforcement 6 calculations to disclose. instructions will remain in effect until and Compliance. Continuation of Suspension of further notice. Appendix I Liquidation International Trade Commission Scope of the Investigation In accordance with section Notification 735(c)(1)(B) of the Act, Commerce will The merchandise covered by this instruct U.S. Customs and Border In accordance with section 735(d) of investigation is methionine and dl-Hydroxy Protection (CBP) to continue to suspend the Act, we will notify the International analogue of dl-methionine, also known as 2- liquidation of all appropriate entries of Trade Commission (ITC) of this final Hydroxy 4-(Methylthio) Butanoic acid methionine from France, as described in affirmative determination of sales at (HMTBa), regardless of purity, particle size, grade, or physical form. Methionine has the Appendix I of this notice, which were LTFV. Because Commerce’s final chemical formula C H NO S, liquid HMTBa entered, or withdrawn from warehouse, 5 11 2 determination is affirmative, in has the chemical formula C H O S, and dry for consumption on or after March 4, 5 10 3 accordance with section 735(b)(2) of the HMTBa has the chemical formula 2021 the date of publication in the Act, the ITC will make its final (C H O S) Ca. Federal Register of the affirmative 5 9 3 2 determination as to whether the Subject merchandise also includes Preliminary Determination. domestic industry in the United States methionine processed in a third country Section 735(c)(4) of the Act provides is materially injured, or threatened with including, but not limited to, refining, that if there is an affirmative material injury, by reason of imports or converting from liquid to dry or dry to liquid determination of critical circumstances, sales (or the likelihood of sales) for form, or any other processing that would not any suspension of liquidation shall importation of methionine from France otherwise remove the merchandise from the apply to unliquidated entries of subject no later than 45 days after this final scope of this investigation if performed in the merchandise entered, or withdrawn determination. If the ITC determines country of manufacture of the in-scope from warehouse, for consumption on or that such injury does not exist, this methionine or dl-Hydroxy analogue of dl- after the later of: (a) The date which is proceeding will be terminated, all cash methionine. 90 days before the date on which the The scope also includes methionine that is suspension of liquidation was first deposits posted will be refunded, and suspension of liquidation will be lifted. commingled (i.e., mixed or combined) with ordered; or (b) the date on which notice methionine from sources not subject to this If the ITC determines that such injury of initiation of the investigation was investigation. Only the subject component of does exist, Commerce will issue an published. As noted above, Commerce such commingled products is covered by the finds that critical circumstances exist antidumping duty order directing CBP scope of this investigation. for imports of subject merchandise to assess, upon further instruction by Excluded from this investigation is United produced and exported by Adisseo. Commerce, antidumping duties on all States Pharmacopoeia (USP) grade Therefore, in accordance with section imports of the subject merchandise methionine. In order to qualify for this 735(c)(4) of the Act, suspension of entered, or withdrawn from warehouse, exclusion, USP grade methionine must meet liquidation shall continue to apply to for consumption on or after the effective or exceed all of the chemical, purity, unliquidated entries of subject date of the suspension of liquidation, as performance, and labeling requirements of merchandise produced and exported by discussed above in the ‘‘Continuation of the United States Pharmacopeia and the Adisseo that were entered, or Suspension of Liquidation’’ section. National Formulary for USP grade withdrawn from warehouse, for methionine. consumption on or after the date which Notification Regarding Administrative Methionine is currently classified under is 90 days before the date of publication Protective Orders subheadings 2930.40.00.00 and 2930.90.46.00 of the Harmonized Tariff of the Preliminary Determination in the This notice will serve as a final Federal Register. Schedule of the United States (HTSUS). reminder to the parties subject to Pursuant to section 735(c)(1)(B)(ii) of Methionine has the Chemical Abstracts administrative protective order (APO) of the Act and 19 CFR 351.210(d), we will Service (CAS) registry numbers 583–91–5, instruct CBP to require a cash deposit their responsibility concerning the 4857–44–7, 59–51–8 and 922–50–9. While for such entries of merchandise equal to disposition of proprietary information the HTSUS subheadings and CAS registry the following: (1) The cash deposit rate disclosed under APO in accordance number are provided for convenience and for Adisseo will be equal to the with 19 CFR 351.305(a)(3). Timely customs purposes, the written description of respondent-specific estimated weighted- written notification of return or the scope of this investigation is dispositive. destruction of APO materials or average dumping margin listed for Appendix II Adisseo in the table; (2) if the exporter conversion to judicial protective order is is not identified in the table above but hereby requested. Failure to comply List of Sections in the Issues and Decision Adisseo is the producer, then the cash with the regulations and the terms of an Memorandum deposit rate will be equal to the APO is a sanctionable violation. I. Summary respondent-specific estimated weighted- II. Background Notification to Interested Parties average dumping margin established for III. Final Partial Affirmative Determination of Adisseo; and (3) the cash deposit rate This determination and this notice are Critical Circumstances for all other producers and exporters issued and published pursuant to IV. Discussion of the Issue: Whether To will be equal to the all-others estimated sections 735(d) and 777(i)(1) of the Act, Retain Adisseo’s BPI on the Record and 19 CFR 351.210(c). V. Recommendation 6 See Commerce’s Memorandum, ‘‘Final [FR Doc. 2021–10264 Filed 5–14–21; 8:45 am] Determination in the Antidumping Duty BILLING CODE 3510–DS–P Investigation of Methionine from France: AFA Rate for Adisseo France SAS,’’ dated concurrently with this notice.

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DEPARTMENT OF COMMERCE Analysis of Comments Received issuance of these final results, All issues raised parties’ briefs are Commerce will determine, and U.S. International Trade Administration addressed in the Issues and Decision Customs and Border Protection (CBP) shall assess, countervailing duties on all [C–533–825] Memorandum. A list of the issues addressed is attached to this notice as appropriate entries covered by this Polyethylene Terephthalate Film, an appendix. The Issues and Decision review. We intend to issue assessment Sheet, and Strip From India: Final Memorandum is a public document and instructions to CBP no earlier than 35 Results of Countervailing Duty is on file electronically via Enforcement days after publication of the final results Administrative Review; 2018 and Compliance’s Antidumping and of this review in the Federal Register. Countervailing Duty Centralized If a timely summons is filed at the U.S. AGENCY: Enforcement and Compliance, Electronic Service System (ACCESS). Court of International Trade, the International Trade Administration, ACCESS is available to registered users assessment instructions will direct CBP Department of Commerce. at http://access.trade.gov. In addition, a not to liquidate relevant entries until the SUMMARY: The Department of Commerce complete version of the Issues and time for parties to file a request for a (Commerce) determines that Jindal Poly Decision Memorandum can be accessed statutory injunction has expired (i.e., Films Limited of India (Jindal), directly on the internet at http:// within 90 days of publication). producer and/or exporter of enforcement.trade.gov/frn/. Cash Deposit Requirements polyethylene terephthalate film, sheet, and strip (PET film) from India, received Changes Since the Preliminary Results In accordance with section 751(a)(1) countervailable subsidies during the Based on the comments received from of the Act, Commerce also intends to period of review (POR), January 1, 2018, interested parties, we made changes to instruct CBP to collect cash deposits of through December 31, 2018. the net subsidy rate calculated for the estimated countervailing duties in the amount shown above for Jindal with DATES: Applicable May 17, 2021. mandatory respondent. For a discussion of these issues, see the Issues and regard to shipments of subject FOR FURTHER INFORMATION CONTACT: Decision Memorandum. merchandise entered, or withdrawn Nicholas Czajkowski or Konrad from warehouse, for consumption on or Ptaszynski, AD/CVD Operations, Office Methodology after the date of publication of these I, Enforcement and Compliance, Commerce conducted this review in final results of review. For all non- International Trade Administration, accordance with section 751(a)(1)(A) of reviewed firms, CBP will continue to U.S. Department of Commerce, 1401 the Tariff Act of 1930, as amended (the collect cash deposits of estimated Constitution Avenue NW, Washington, Act). For each of the subsidy programs countervailing duties at the all-others DC 20230; telephone: (202) 482–1395 or found countervailable, we find that rate or the most recent company-specific (202) 482–6187, respectively. there is a subsidy, i.e., a government- rate applicable to the company, as SUPPLEMENTARY INFORMATION: provided financial contribution that appropriate. These cash deposit requirements, when imposed, shall Background gives rise to a benefit to the recipient, and that the subsidy is specific.4 For a remain in effect until further notice. Commerce published the Preliminary description of the methodology Administrative Protective Order Results of this review on November 23, underlying all of Commerce’s 2020.1 We invited interested parties to conclusions, see the Issues and Decision This notice also serves as a final comment on our Preliminary Results. Memorandum. reminder to parties subject to an On February 25, 2021, Commerce administrative protective order (APO) of extended the deadline to issue the final Final Results of Review their responsibility concerning the results of this review until May 21, We determine the following net disposition of proprietary information 2021.2 For a complete description of the countervailable subsidy rate for the disclosed under APO in accordance events that occurred since the period January 1, 2018, through with 19 CFR 351.305(a)(3). Timely Preliminary Results, see the Issues and December 31, 2018: written notification of the return or Decision Memorandum.3 destruction of APO materials or Subsidy rate conversion to judicial protective order, Scope of the Order Manufacturer/exporter (percent is hereby requested. Failure to comply ad valorem) The merchandise covered by the order with the regulations and terms of an is PET film. For a complete description Jindal Poly Films Limited of APO is a sanctionable violation. of the scope, see the Issue and Decision India ...... 11.67 Notification to Interested Parties Memorandum. Disclosure The final results are issued and 1 See Polyethylene Terephthalate Film, Sheet, and published in accordance with sections Strip from India: Preliminary Results and Partial Commerce intends to disclose the 751(a)(1) and 777(i)(1) of the Act and 19 Rescission of Countervailing Duty Administrative calculations performed for the final CFR 351.221(b)(5). Review; 2018; 85 FR 74679 (November 23, 2020) results of review within five days of the (Preliminary Results), and accompanying date of publication of this notice in the Dated: May 11, 2021. Preliminary Decision Memorandum (PDM). Christian Marsh, 2 See Memorandum, ‘‘Polyethylene Terephthalate Federal Register, in accordance with 19 Film, Sheet and Strip from India: Extension of CFR 351.224(b). Acting Assistant Secretary for Enforcement Deadline for Final Results of Countervailing Duty and Compliance. Assessment Requirements Administrative Review; 2018,’’ dated February 25, Appendix 2021. Consistent with section 751(a)(2)(C) of 3 See Memorandum, ‘‘Issues and Decision the Act and 19 CFR 351.212(b)(2), upon List of Topics Discussed in the Issues and Memorandum for the Final Results of the 2018 Decision Memorandum Administrative Review of the Countervailing Duty Order of Polyethylene Terephthalate Film, Sheet 4 See sections 771(5)(B) and (D) of the Act I. Summary and Strip from India,’’ dated concurrently with, and regarding financial contribution; section 771(5)(E) II. Background hereby adopted by, this notice (Issues and Decision of the Act regarding benefit; and section 771(5A) of III. Scope of the Order Memorandum). the Act regarding specificity. IV. Period of Review

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V. Subsidies Valuation Information support, please contact our Wednesday, June 9, 2021, Through VI. Use of Facts Otherwise Available and administrative staff, email: Friday, June 11, 2021; Monday, June 14, Adverse Inferences [email protected]. 2021, Through Wednesday, June 16, VII. Analysis of Programs 2021 VIII. Analysis of Comments SUPPLEMENTARY INFORMATION: Comment 1: Whether Commerce Should Agenda The Council agenda will include the Find the Package Scheme of Incentives following issues. The Council may take to be a Countervailable Subsidy Monday, June 1, 2021, Through Friday, appropriate action on any of the issues Comment 2: Whether Commerce has June 4, 2021 identified. Correctly Determined the Benefits under the MEIS Program The SSC agenda will include the (1) All B Reports (Executive Director, Comment 3: Whether Commerce has following issues: NMFS Management, NOAA GC, Correctly Determined the Benefits under (1) Observer Report on 2020 NOAA Enforcement, AFSC, the SEIS Program Deployment during COVID ADF&G, USCG, USFWS, AP, SSC Comment 4: Whether Commerce used the (2) BSAI Crab—SAFE report, ABC/OFL reports) Correct Long-Term Rupee-Denominated for AIGKC and PIBKC; Plan Team (2) Observer Report on 2020 Interest Rates IX. Recommendation report Deployment during COVID— (3) BSAI Pacific cod Trawl CV LAPP— Review; PCFMAC and FMAC [FR Doc. 2021–10350 Filed 5–14–21; 8:45 am] Initial Review reports BILLING CODE 3510–DS–P (4) Finalize research priorities process (3) Trawl EM analysis—Adopt (5) BS Fishery Ecosystem Plan—FEP alternatives, Trawl EM Committee DEPARTMENT OF COMMERCE Team report, Climate Change report Taskforce report (4) BSAI Crab—SAFE report, ABC/OFL National Oceanic and Atmospheric (6) Report from SSC Workshop on Risk for AIGKC and PIBKC; Plan Team Administration Table Advice—Discuss report (7) AFSC Report (5) BSAI Pacific cod Trawl CV LAPP— [RTID 0648–XB090] The agenda is subject to change, and Initial Review North Pacific Fishery Management the latest version will be posted at (6) BSAI Pacific cod small boat access— Council; Public Meetings https://meetings.npfmc.org/Meeting/ Discussion Paper Details/2105 prior to the meeting, along (7) Sablefish trawl overages—Discussion AGENCY: National Marine Fisheries with meeting materials. Paper (T) Service (NMFS), National Oceanic and In addition to providing ongoing (8) BS Fishery Ecosystem Plan—FEP Atmospheric Administration (NOAA), scientific advice for fishery management Team report, Climate Change Commerce. decisions, the SSC functions as the Taskforce report ACTION: Notice of public meeting. Council’s primary peer review panel for (9) Report from SSC Workshop on Risk scientific information, as described by Table Advice SUMMARY: The North Pacific Fishery the Magnuson-Stevens Act section (10) Staff Tasking Management Council (Council) and its 302(g)(1)(e), and the National Standard advisory committees will meet via web 2 guidelines (78 FR 43066). The peer- Connection Information conference from June 1, 2021, through review process is also deemed to satisfy June 16, 2021. You can attend the meeting online the requirements of the Information using a computer, tablet, or smartphone; DATES: The Council’s Scientific and Quality Act, including the OMB Peer or by telephone only. Connection Statistical Committee (SSC) will begin at Review Bulletin guidelines. information will be posted online at: 8 a.m. on Monday, June 1, 2021, and Thursday, June 3, 2021, Through Friday, https://www.npfmc.org/upcoming- continue through Friday, June 4, 2021. council-meetings. For technical support, The Council’s Advisory Panel (AP) will June 4, 2021; Monday, June 7, 2021 Through Wednesday, June 9, 2021 please contact our administrative staff, begin at 8 a.m. on Thursday, June 3, email: [email protected]. 2021, through Friday, June 4, 2021, and The Advisory Panel agenda will on Monday, June 7, 2021, through include the following issues: Public Comment Wednesday, June 9, 2021. The Council (1) Observer Report on 2020 Public comment letters will be will meet on Wednesday, June 9, 2021, Deployment during COVID— accepted and should be submitted through Friday, June 11, 2021, and on Review; PCFMAC and FMAC electronically through the links at Monday, June 14, 2021, through reports https://www.npfmc.org/upcoming- Wednesday, June 16, 2021. All times (2) Trawl EM analysis—Adopt council-meetings. The Council strongly listed are Alaska Time. alternatives, Trawl EM Committee encourages written public comment for ADDRESSES: The meetings will be by report this meeting, to avoid any potential for web conference. Join online through the (3) BSAI Crab—SAFE report, ABC/OFL technical difficulties to compromise oral links at https://www.npfmc.org/ for AIGKC, PIBKC; Plan Team testimony. The written comment period upcoming-council-meetings. report is open from May 12, 2021 to May 26, Council address: North Pacific (4) BSAI Pacific cod small boat access— 2021 and closes at 5 p.m. Alaska Time Fishery Management Council, 1007 W Discussion Paper on May 26th. 3rd Ave., Anchorage, AK 99501–2252; (5) Sablefish trawl overages—Discussion Authority: 16 U.S.C. 1801 et seq. telephone: (907) 271–2809. Instructions Paper (T) for attending the meeting via web (6) BS Fishery Ecosystem Plan—FEP Dated: May 12, 2021. conference are given under Connection Team report, Climate Change Tracey L. Thompson, Information below. Taskforce report Acting Deputy Director, Office of Sustainable FOR FURTHER INFORMATION CONTACT: (7) BSAI Pacific cod Trawl CV LAPP— Fisheries, National Marine Fisheries Service. Diana Evans, Council staff; email: Initial Review [FR Doc. 2021–10312 Filed 5–14–21; 8:45 am] [email protected]. For technical (8) Staff Tasking BILLING CODE 3510–22–P

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DEPARTMENT OF COMMERCE and clicking on the AP meeting on the (2) By hand delivery or by courier to calendar. the AmeriCorps mailroom at the mail National Oceanic and Atmospheric The Agenda is subject to change, and address given in paragraph (1) above, Administration the latest version along with other between 9:00 a.m. and 4:00 p.m. Eastern [RTID 0648–XB084] meeting materials will be posted on Time, Monday through Friday, except www.gulfcouncil.org as they become federal holidays. Gulf of Mexico Fishery Management available. (3) Electronically through Council; Public Meeting Although other non-emergency issues www.regulations.gov. not on the agenda may come before the Comments submitted in response to AGENCY: National Marine Fisheries group for discussion, in accordance this notice may be made available to the Service (NMFS), National Oceanic and with the Magnuson-Stevens Fishery public through regulations.gov. For this Atmospheric Administration (NOAA), Conservation and Management Act reason, please do not include in your Commerce. (Magnuson-Stevens Act), those issues comments information of a confidential ACTION: Notice of a public meeting. may not be the subject of formal action nature, such as sensitive personal during this meeting. Actions will be information or proprietary information. SUMMARY: The Gulf of Mexico Fishery restricted to those issues specifically If you send an email comment, your Management Council will hold a one- identified in this notice and any issues email address will be automatically day meeting via webinar of its Ad Hoc arising after publication of this notice captured and included as part of the Red Snapper & Grouper-Tilefish that require emergency action under comment that is placed in the public Individual Fishing Quota (IFQ) Section 305(c) of the Magnuson-Stevens docket and made available on the Advisory Panel (AP). Act, provided the public has been internet. Please note that responses to DATES: The meeting will convene on notified of the Council’s intent to take this public comment request containing Wednesday, June 2, 2021, from 9 a.m. to action to address the emergency at least any routine notice about the 5 p.m., EDT. For agenda details, see 5 working days prior to the meeting. confidentiality of the communication SUPPLEMENTARY INFORMATION. Authority: 16 U.S.C. 1801 et seq. will be treated as public comment that ADDRESSES: The meeting will take place may be made available to the public, via webinar; you may register by visiting Dated: May 12, 2021. notwithstanding the inclusion of the www.gulfcouncil.org and clicking on the Tracey L. Thompson, routine notice. AP meeting on the calendar. Acting Deputy Director, Office of Sustainable FOR FURTHER INFORMATION CONTACT: Council address: Gulf of Mexico Fisheries, National Marine Fisheries Service. Xiaodong Zhang, 703–251–0883, or by Fishery Management Council, 4107 W [FR Doc. 2021–10311 Filed 5–14–21; 8:45 am] email at [email protected]. BILLING CODE 3510–22–P Spruce Street, Suite 200, Tampa, FL SUPPLEMENTARY INFORMATION: 33607; telephone: (813) 348–1630. Title of Collection: AmeriCorps FOR FURTHER INFORMATION CONTACT: Dr. Program Life Cycle Evaluation— Ava Lasseter, Anthropologist CORPORATION FOR NATIONAL AND Volunteer Generation Fund Bundled [email protected] and Dr. COMMUNITY SERVICE Evaluation. Assane Diagne, Economist, OMB Control Number: TBD. Type of [email protected], Gulf of Agency Information Collection Review: New. Mexico Fishery Management Council Activities; Submission to the Office of Respondents/Affected Public: telephone: (813) 348–1630. The Management and Budget for Review Grantees, program implementers, Council’s website, www.gulfcouncil.org and Approval; Comment Request; volunteer organizations and volunteers. also has details on the proposed agenda Application Package for AmeriCorps Total Estimated Number of Annual and other meeting materials. Program Life Cycle Evaluation— Responses: 971 respondents. SUPPLEMENTARY INFORMATION: The Volunteer Generation Fund Grant Total Estimated Number of Annual following items are on the agenda, Program Evaluation Burden Hours: 327 hours. though agenda items may be addressed Abstract: The purpose of this AGENCY: The Corporation for National out of order (changes will be noted on evaluation is to understand grantees’ and Community Service. the Council’s website when possible). use of Volunteer Generation Fund (VGF) ACTION: Notice of information collection; grant program funds to support Tuesday, June 2, 2021; 9 a.m.–5 p.m. request for comment. volunteer organizations and determine EDT how effective grantees’ approaches are SUMMARY: In accordance with the The Advisory Panel will begin with at enhancing the capacity of these Paperwork Reduction Act of 1995, the Welcome and Introductions, Adoption organizations, increasing volunteer Corporation for National and of Agenda, Approval of November 7, recruitment and retention, and Community Service, operating as 2018, Meeting Summary, and Scope of increasing implementation of volunteer AmeriCorps, is proposing a new work. management best practices within their information collection. The AP will receive presentations on states. The research questions for this Red Snapper-IFQ and Grouper-Tilefish- DATES: Written comments must be evaluation are: IFQ Review and for Amendments 36B submitted to the individual and office 1. What are the grantees’ approaches and 36C, followed by discussion and listed in the ADDRESSES section by July for utilizing VGF funds to improve recommendations and public 16, 2021. volunteer recruitment, retention, and comments. ADDRESSES: You may submit comments, support of volunteers within their states The AP will discuss any Other identified by the title of the information and among volunteer organizations? Business items. collection activity, by any of the 2. What are promising practices and following methods: challenges in implementing these —Meeting Adjourns (1) By mail sent to: AmeriCorps, programs? You may attend the meeting via Attention Lily Zandniapour, 250 E 3. What are preliminary outcomes of webinar by visiting www.gulfcouncil.org Street SW, Washington, DC 20525. these programs on volunteer

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organizations? AmeriCorps will conduct CORPORATION FOR NATIONAL AND Recovery Coach Model Bundled a bundled evaluation of grantees that are COMMUNITY SERVICE Evaluation. implementing VGF grants. Bundling OMB Control Number: TBD. Type of allows AmeriCorps to combine a group Agency Information Collection Review: New. of small programs across different Activities; Submission to the Office of Respondents/Affected Public: funding streams with similar program Management and Budget for Review Grantees, beneficiaries, and peer models and intended outcomes into a and Approval; Comment Request; recovery coaches. Total Estimated Number of Annual single evaluation. Spanning 27 months, Application Package for AmeriCorps Program Life Cycle Evaluation—Opioid Responses: 434 respondents. the evaluation will work with 15 Recovery Coach Model Bundled Total Estimated Number of Annual grantees to examine program design, Evaluation Burden Hours: 188 hours. implementation, and outcomes using Abstract: The purpose of this surveys, interviews, and focus groups AGENCY: The Corporation for National evaluation is to study questions with a wide range of stakeholders and Community Service. regarding grantees’ use of the peer including grantee staff, program ACTION: Notice of information collection; recovery coach model and better implementers, volunteers, and request for comment. determine how effective the model is at beneficiaries. This is a new information increasing individuals’ recovery capital, collection. SUMMARY: In accordance with the increasing attendance of health services, Paperwork Reduction Act of 1995, the and decreasing incidence of substance Comments submitted in response to Corporation for National and this notice will be summarized and/or use as well as on the peer recovery Community Service, operating as coaches and grantee organizations. The included in the request for OMB AmeriCorps, is proposing a new research questions for this evaluation approval. Comments are invited on: (a) information collection. are: Whether the collection of information is DATES: Written comments must be 1. Determine what recovery coach necessary for the proper performance of submitted to the individual and office models look like (activity, setting, the functions of the agency, including listed in the ADDRESSES section by July modality, etc.). whether the information shall have 16, 2021. 2. Describe promising practices and practical utility; (b) the accuracy of the ADDRESSES: You may submit comments, challenges in implementing these agency’s estimate of the burden of the identified by the title of the information models. collection of information; (c) ways to collection activity, by any of the 3. Measure the effectiveness of the enhance the quality, utility, and clarity following methods: recovery coach model in improving of the information to be collected; (d) (1) By mail sent to: AmeriCorps, outcomes for grantee organizations, ways to minimize the burden of the Attention Lily Zandniapour, 250 E recovery coaches, and beneficiaries. AmeriCorps will conduct a bundled collection of information on Street SW, Washington, DC 20525. evaluation of grantees that are respondents, including through the use (2) By hand delivery or by courier to implementing opioid recovery coaching of automated collection techniques or the AmeriCorps mailroom at the mail models. Bundling allows AmeriCorps to other forms of information technology; address given in paragraph (1) above, combine a group of small programs and (e) estimates of capital or start-up between 9:00 a.m. and 4:00 p.m. Eastern across different funding streams with costs and costs of operation, Time, Monday through Friday, except similar program models and intended maintenance, and purchase of services federal holidays. outcomes into a single evaluation. to provide information. Burden means (3) Electronically through Spanning 27 months, the evaluation www.regulations.gov. the total time, effort, or financial will work with 14 grantees to examine Comments submitted in response to resources expended by persons to program design, implementation, and this notice may be made available to the generate, maintain, retain, disclose or outcomes using surveys, interviews, and public through regulations.gov. For this provide information to or for a Federal focus groups with a wide range of reason, please do not include in your agency. This includes the time needed stakeholders, including grantee staff, comments information of a confidential to review instructions; to develop, volunteers who support the peer nature, such as sensitive personal acquire, install and utilize technology recovery coach model, beneficiaries, information or proprietary information. and systems for the purpose of and staff at organizations which partner If you send an email comment, your collecting, validating and verifying with grantees. This is a new information email address will be automatically information, processing and collection. captured and included as part of the maintaining information, and disclosing Comments submitted in response to comment that is placed in the public and providing information; to train this notice will be summarized and/or docket and made available on the personnel and to be able to respond to included in the request for OMB internet. Please note that responses to a collection of information, to search approval. Comments are invited on: (a) this public comment request containing Whether the collection of information is data sources, to complete and review any routine notice about the the collection of information; and to necessary for the proper performance of confidentiality of the communication the functions of the agency, including transmit or otherwise disclose the will be treated as public comment that information. All written comments will whether the information shall have may be made available to the public, practical utility; (b) the accuracy of the be available for public inspection on notwithstanding the inclusion of the regulations.gov. agency’s estimate of the burden of the routine notice. collection of information; (c) ways to Dated: May 12, 2021. FOR FURTHER INFORMATION CONTACT: enhance the quality, utility, and clarity Lily Zandniapour, Xiaodong Zhang, 703–251–0883, or by of the information to be collected; (d) Research and Evaluation Manager. email at [email protected]. ways to minimize the burden of the [FR Doc. 2021–10333 Filed 5–14–21; 8:45 am] SUPPLEMENTARY INFORMATION: collection of information on Title of Collection: AmeriCorps respondents, including through the use BILLING CODE 6050–28–P Program Life Cycle Evaluation—Opioid of automated collection techniques or

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other forms of information technology; would result in a contrary Preparedness and Response and (e) estimates of capital or start-up determination. Supplemental Appropriations Act of costs and costs of operation, ADDRESSES: Submit comments 2020; the Families First Coronavirus maintenance, and purchase of services identified by ‘‘CIGIE–6’’ by any of the Response Act; divisions M and N of the to provide information. Burden means following methods: Consolidated Appropriations Act of the total time, effort, or financial 1. Mail: Council of Inspectors General 2021; or any other act primarily making resources expended by persons to on Integrity and Efficiency, 1717 H appropriations for the Federal generate, maintain, retain, disclose or Street NW, Suite 825, Washington, DC, Government’s Coronavirus response and provide information to or for a Federal 20006. ATTN: Virginia Grebasch/CIGIE– related activities. agency. This includes the time needed 6, Notice of New System of Records. The new system of records described to review instructions; to develop, 2. Email: [email protected]. in this notice, the PRAC Accountability acquire, install and utilize technology FOR FURTHER INFORMATION CONTACT: Data System (CIGIE–6), will enable and systems for the purpose of Virginia Grebasch, Senior Counsel, CIGIE to carry out its responsibilities to collecting, validating and verifying Pandemic Response Accountability conduct oversight of covered funds and information, processing and Committee, Council of the Inspectors the Coronavirus response. In accordance maintaining information, and disclosing General on Integrity and Efficiency, with 5 U.S.C. 552a(r), CIGIE has and providing information; to train (202) 292–2600 or [email protected]. provided a report of this new system of personnel and to be able to respond to SUPPLEMENTARY INFORMATION: In 2008, records to OMB and to Congress. The a collection of information, to search Congress established CIGIE as an new system of records reads as follows: data sources, to complete and review independent entity within the executive SYSTEM NAME AND NUMBER: the collection of information; and to branch in order to address integrity, transmit or otherwise disclose the PRAC Accountability Data System economy, and effectiveness issues that (PADS)—CIGIE–6. information. All written comments will transcend individual Government be available for public inspection on agencies; and increase the SECURITY CLASSIFICATION: regulations.gov. professionalism and effectiveness of Controlled Unclassified Information. Dated: May 12, 2021. personnel by developing policies, SYSTEM LOCATION: Lily Zandniapour, standards, and approaches to aid in the The location of paper records Research and Evaluation Manager. establishment of a well-trained and contained within the PADS is the [FR Doc. 2021–10330 Filed 5–14–21; 8:45 am] highly skilled workforce in the offices of the Inspector General. CIGIE’s headquarters of the Council of the BILLING CODE 6050–28–P membership is comprised of all Inspectors General on Integrity and Inspectors General whose offices are Efficiency (CIGIE), 1717 H Street NW, established under the Inspector General Suite 825, Washington, DC 20006. Records maintained in electronic form COUNCIL OF THE INSPECTORS Act of 1978, as amended, 5 U.S.C. app are principally located in contractor- GENERAL ON INTEGRITY AND (IG Act), as well as the Controller of the hosted data centers in the United States. EFFICIENCY Office of Federal Financial Management, a designated official of the Contact the System Manager identified Privacy Act of 1974; System of Federal Bureau of Investigation (FBI), below for additional information. Records the Director of the Office of Government SYSTEM MANAGER(S): Ethics, the Special Counsel of the Office Executive Director, Pandemic AGENCY: Council of the Inspectors of Special Counsel, the Deputy Director Response Accountability Committee, General on Integrity and Efficiency of the Office of Personnel Management, Council of the Inspectors General on (CIGIE). the Deputy Director for Management of Integrity and Efficiency, 1717 H Street ACTION: Notice of a new system of the Office of Management and Budget NW, Suite 825, Washington, DC 20006, records. (OMB), and the Inspectors General of (202) 292–2600, cigie.information@ the Office of the Director of National cigie.gov. SUMMARY: CIGIE proposes to establish a Intelligence, Central Intelligence system of records that is subject to the Agency, Library of Congress, Capitol AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Privacy Act of 1974. Pursuant to Public Police, Government Publishing Office, Section 11 of the Inspector General Law 116–136, CIGIE proposes this Government Accountability Office, and Act of 1978, as amended, 5 U.S.C. app system of records in furtherance of the the Architect of the Capitol. The Deputy (IG Act); 5 U.S.C. 301; 44 U.S.C. 3101; statutory mandate of CIGIE’s Pandemic Director for Management of OMB serves Public Law 116–136; Public Law 116– Response Accountability Committee as the Executive Chairperson of CIGIE. 123; Public Law 116–127; and any other (PRAC) to conduct oversight of the Section 15010 of Public Law 116–136, act primarily making appropriations for funds disseminated per the Coronavirus established the PRAC as a committee Coronavirus response and related Aid, Relief, and Economic Security Act within CIGIE. The mission of the PRAC activities. (CARES Act); the Coronavirus is to promote transparency and conduct Preparedness and Response and support oversight to: (1) Prevent PURPOSE(S) OF THE SYSTEM: Supplemental Appropriations Act of and detect fraud, waste, abuse, and To carry out the PRAC’s 2020; the Families First Coronavirus mismanagement of covered funds; and responsibilities to conduct oversight of Response Act; divisions M and N of the (2) mitigate major risks that cut across any funds, including but not limited to Consolidated Appropriations Act of programs and agencies with respect to loans, that are made available in any 2021; and any other act primarily covered funds. The term ‘‘covered form to any non-Federal entity, not making appropriations for Coronavirus funds’’ means any funds, including but including an individual, under: Public response and related activities. not limited to loans, that are made Law 116–136; Public Law 116–123; DATES: This proposal will be effective available in any form to any non-Federal Public Law 116–127; or any other act without further notice on June 16, 2021 entity, not including an individual, primarily making appropriations for unless comments are received that under: The CARES Act; the Coronavirus Coronavirus response and related

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activities (Coronavirus Funds). The term to, records concerning: Coronavirus A. To a Member of Congress in ‘‘Coronavirus response’’ means the Funds and other Federal funding; the response to an inquiry from that Federal Government’s response to the Coronavirus Response; individuals in Member made at the request of the nationwide public health emergency their personal capacity or individuals individual. In such cases, however, the declared by the Secretary of Health and who are employees or representatives of Member’s right to a record is no greater Human Services, retroactive to January businesses, corporations, tribal than that of the individual. 27, 2020, pursuant to 42 U.S.C. 247d as governments, not-for-profit B. If the disclosure of certain records a result of confirmed cases of the novel organizations, or other organizations to the Department of Justice (DOJ) is Coronavirus, COVID–19, in the United that have applied for, sought, or relevant and necessary to litigation, States (Coronavirus Response). received Coronavirus Funds or have CIGIE may disclose those records to the been involved in any capacity in the DOJ. CIGIE may make such a disclosure CATEGORIES OF INDIVIDUALS COVERED BY THE Coronavirus Response. Such records if one of the following parties is SYSTEM: may include, but are not limited to, involved in the litigation or has an This system contains records on these individuals’ home addresses, interest in the litigation: individuals acting in a personal capacity telephone numbers, social security 1. CIGIE or any component thereof; or who relate to PRAC efforts undertaken numbers or tax identifications numbers, 2. Any employee or former employee in support of its mission to conduct and company business addresses, business of CIGIE in his or her official capacity; support oversight of Coronavirus Funds financial information and records, bank or and the Coronavirus Response to account information, payroll records, 3. Any employee or former employee prevent and detect fraud, waste, abuse, personal contact information, business of CIGIE in his or her individual and mismanagement and mitigate major affiliations, and employment history. capacity when the DOJ has agreed to risks that cut across programs and The records may further include: represent the employee; or agencies. Individuals include but are (a) Letters, memoranda, and other 4. The United States, if CIGIE not limited to those who have applied documents describing complaints, determines that litigation is likely to for, sought, or received Federal funds. In derogatory information, or alleged affect CIGIE or any of its components. addition, these individuals include: criminal, civil, or administrative C. If disclosure of certain records to a (a) Individuals who are or have been misconduct; and court, adjudicative body before which the subject of investigations or other (b) General intelligence and relevant CIGIE is authorized to appear, inquiries identified by or submitted to data, leads for the PRAC or Offices of individual or entity designated by CIGIE the PRAC; Inspector General (or other applicable or otherwise empowered to resolve (b) Individuals who are or have been oversight and law enforcement entities), disputes, counsel or other witnesses, complainants, or informants reports of investigations and related representative, party, or potential in investigations or other inquiries exhibits, statements and affidavits, and witness is relevant and necessary to identified by or submitted to the PRAC; records obtained or generated during an litigation, CIGIE may disclose those (c) Individuals who are or have been investigation or other inquiry, including potential subjects or parties to an records to the court, adjudicative body, but not limited to risk-based analytical individual or entity, counsel or other investigation or other inquiry identified research. by or submitted to the PRAC; representative, party, or potential witness. CIGIE may make such a (d) Individuals who are or have been RECORD SOURCE CATEGORIES: disclosure if one of the following parties related to entities or individuals that are Publicly and/or commercially is involved in the litigation or has an or have been a subject of, potential available data sets and other source interest in the litigation: subject of, or party to an investigation or material; Federal agencies; and 1. CIGIE or any component thereof; or other inquiry identified by or submitted individuals and entities, including 2. Any employee or former employee to the PRAC; states and local jurisdictions, tribal of CIGIE in his or her official capacity; (e)Individuals who have or have had governments, businesses, corporations, or increased risk factors indicating they and other organizations, that have 3. Any employee or former employee may have been involved with possible applied for, sought, or received of CIGIE in his or her individual fraud, waste, abuse, mismanagement, or Coronavirus Funds or other Federal capacity when the DOJ has agreed to improper payments related to Federal funds or have been involved in any represent the employee; or funds; and capacity in the Coronavirus Response. 4. The United States, if CIGIE (f) Individuals who are or have been The subjects of investigations and other determines that litigation is likely to related to entities or individuals that inquiries; individuals and entities with affect CIGIE or any of its components. have or have had increased risk factors which the subjects of investigations and D. To the appropriate Federal, state, indicating they may have been involved other inquiries are associated; Federal, local, tribal, or foreign agency with possible fraud, waste, abuse, state, local, and foreign law enforcement responsible for investigating, mismanagement, or improper payments and non-law enforcement agencies and prosecuting, enforcing, or implementing related to Federal funds. entities; private citizens; witnesses; and a statute, rule, regulation, or order, if the informants. CATEGORIES OF RECORDS IN THE SYSTEM: information is relevant to a violation or The system maintains records that ROUTINE USES OF RECORDS MAINTAINED IN THE potential violation of civil or criminal contribute to the oversight of SYSTEM, INCLUDING CATEGORIES OF USERS AND law or regulation within the jurisdiction Coronavirus Funds and the Coronavirus PURPOSES OF SUCH USES: of the receiving entity. Response and effective oversight of In addition to those disclosures E. To officials and employees of any fraud, waste, abuse, and generally permitted under 5 U.S.C. Federal agency to the extent the record mismanagement and mitigation of major 552a(b), all or portions of the records or contains information that is relevant to risks that cut across programs and information contained in this system that agency’s decision concerning the agencies related to Coronavirus Funds may specifically be disclosed outside of hiring, appointment, or retention of an and the Coronavirus Response. These CIGIE as a routine use pursuant to 5 employee; issuance of a security records may include, but are not limited U.S.C. 552a(b)(3) as follows: clearance; execution of a security or

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suitability investigation; or N. To appropriate agencies, entities, and (k)(2). To the extent that this system classification of a job. and persons, to the extent necessary to is not subject to exemption, it is subject F. To the National Archives and respond to or refer correspondence. to notification and access requirements. Records Administration (NARA) O. To the news media and the public, Individuals seeking notification and pursuant to records management unless it is determined that release of access to any record contained in this inspections being conducted under the the specific information would system of records, or seeking to contest authority of 44 U.S.C. 2904 and 2906. constitute an unwarranted invasion of its content, may inquire in writing to the G. To contractors, grantees, personal privacy. System Manager listed above. CIGIE has consultants, volunteers, or other P. To populate public-facing published a rule, entitled ‘‘Privacy Act individuals performing or working on a government websites to promote Regulations,’’ to establish its procedures contract, interagency agreement, service, transparency and oversight of relating to access, maintenance, grant, cooperative agreement, job, or Coronavirus Funds and the Coronavirus disclosure and amendment of records other activity for CIGIE and who have a Response, unless it is determined that which are in a CIGIE system of records need to access the information in the release of the specific information per the Privacy Act, promulgated at 5 performance of their duties or activities would constitute an unwarranted CFR part 9801 (https://www.ecfr.gov/ for CIGIE. invasion of personal privacy. cgi-bin/text-idx?SID=c3344b4e456 H. To appropriate agencies, entities, Q. Disclosure may be made to (a) f682fe915c0e982f8ce94&mc=true&tpl=/ and persons when: CIGIE suspects or complainants and/or victims to the ecfrbrowse/Title05/5cfr9801_main_ has confirmed that there has been a extent necessary to provide such 02.tpl). breach of the system of records; CIGIE persons with information and CONTESTING RECORD PROCEDURES: has determined that as a result of the explanations concerning the results of suspected or confirmed breach there is the investigation or other inquiry arising See ‘‘Records Access Procedures’’ a risk of harm to individuals, CIGIE from the matters about which they above. complained and/or with respect to (including its information systems, NOTIFICATION PROCEDURES: programs, and operations), the Federal which they were a victim, and (b) to an individual who has been interviewed or See ‘‘Records Access Procedures’’ Government, or national security; and above. the disclosure made to such agencies, contacted by the PRAC pursuant to an entities, and persons is reasonably investigation or other inquiry, to the EXEMPTIONS PROMULGATED FOR THE SYSTEM: necessary to assist in connection with extent that the PRAC may provide CIGIE has exempted this system of CIGIE’s efforts to respond to the copies of that individual’s statements, records from the following provisions of suspected or confirmed breach or to testimony, or records produced. the Privacy Act pursuant to the general prevent, minimize, or remedy such POLICIES AND PRACTICES FOR STORAGE OF authority in 5 U.S.C. 552a(j)(2): 5 U.S.C. harm. RECORDS: 552a(c)(3) and (c)(4); (d); (e)(1), (e)(2), I. To another Federal agency or Information within this system of (e)(3), (e)(4)(G)–(H), (e)(5), and (e)(8); (f); Federal entity, when: CIGIE determines records is maintained in paper/or and (g). Additionally, CIGIE has that information from this system of electronic form. exempted this system from the records is reasonably necessary to assist following provisions of the Privacy Act the recipient agency or entity in POLICIES AND PRACTICES FOR RETRIEVAL OF pursuant to the general authority in 5 responding to a suspected or confirmed RECORDS: U.S.C. 552a(k)(1) and (k)(2): 5 U.S.C. breach; or preventing, minimizing, or These records are retrieved by the 552a(c)(3); (d); (e)(1) and (e)(4)(G)–(H); remedying the risk of harm to name or other programmatic identifier and (f). See 5 CFR part 9801. individuals, the recipient agency or assigned to the individuals on whom entity (including its information they are maintained. HISTORY: systems, programs, and operations), the N/A. Federal Government, or national POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS: Dated: May 12, 2021 security, resulting from a suspected or The information is retained and Allison C. Lerner, confirmed breach. Chairperson of the Council of the Inspectors J. To Federal agencies and disposed of in accordance with the General Records Schedule and/or the General on Integrity and Efficiency. independent certified public accounting [FR Doc. 2021–10376 Filed 5–13–21; 4:15 pm] firms that have a need for the CIGIE records schedule applicable to the BILLING CODE P information in order to audit the record and/or otherwise required by the financial statements of CIGIE. Federal Records Act and implementing K. To an organization or an individual regulations. DEPARTMENT OF DEFENSE in the public or private sector if there is ADMINISTRATIVE, TECHNICAL AND PHYSICAL reason to believe the recipient is or SAFEGUARDS: Department of the Army could become the target of a particular Paper records are located in locked [Docket ID USA–2021–HQ–0009] criminal activity or conspiracy, or to the file storage areas or in specified areas to extent the information is relevant to the which only authorized personnel have Proposed Collection; Comment protection or life or property. access. Electronic records are protected Request L. To officials of CIGIE, as well as from unauthorized access through CIGIE members and their employees, password identification procedures, AGENCY: Department of the Army, who have need of the information in the limited access, firewalls, and other Department of Defense (DoD). performance of their duties. system-based protection methods. ACTION: Information collection notice. M. To the Office of Personnel Management (OPM) in accordance with RECORD ACCESS PROCEDURES: SUMMARY: In compliance with the OPM’s responsibility for evaluation and Part of this system is exempt from Paperwork Reduction Act of 1995, the oversight of Federal personnel notification and access requirements Office of the Chief of Staff of the Army management. pursuant to 5 U.S.C. 552a(j)(2), (k)(1), announces a proposed public

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information collection and seeks public assess how current Survivor programs ADDRESSES: Written comments and comment on the provisions thereof. and initiatives may affect the Survivor recommendations for the proposed Comments are invited on: Whether the community. SAWG members are information collection should be sent proposed collection of information is required to meet biannually for a four- within 30 days of publication of this necessary for the proper performance of day period. Additionally, members hold notice to www.reginfo.gov/public/do/ the functions of the agency, including monthly phone calls discussion on PRAMain. Find this particular whether the information shall have SAWG issues. information collection by selecting practical utility; the accuracy of the Affected Public: Individuals or ‘‘Currently under 30-day Review—Open agency’s estimate of the burden of the households. for Public Comments’’ or by using the proposed information collection; ways Annual Burden Hours: 306.3. search function. to enhance the quality, utility, and Number of Respondents: 150. FOR FURTHER INFORMATION CONTACT: clarity of the information to be Responses per Respondent: 1.167. Angela Duncan, 571–372–7574, or collected; and ways to minimize the Annual Responses: 175. Average Burden per Response: 1.75 whs.mc-alex.esd.mbx.dd-dod- burden of the information collection on [email protected]. respondents, including through the use hours. Frequency: Annually. SUPPLEMENTARY INFORMATION: of automated collection techniques or Respondents may be surviving Title; Associated Form; and OMB other forms of information technology. spouses, parents, and dependents over Number: Dependency Statements; DATES: Consideration will be given to all the age of 18 of fallen Service members. Parent (DD Form 137–3), Incapacitated comments received by July 16, 2021. Applicants will be nominated by the Child Over Age 21 (DD Form 137–5), ADDRESSES: You may submit comments, Army’s Survivor Outreach Services Full Time Student 21–22 Years of Age identified by docket number and title, office or survivor-related Non-Federal (DD Form 137–6), and Ward of a Court by any of the following methods: Entities. Individuals will receive a (DD Form 137–7); OMB Control Number Federal eRulemaking Portal: http:// fillable PDF application and cover letter 0730–0014. www.regulations.gov. Follow the outlining the SAWG’s purpose and Type of Request: Revision. instructions for submitting comments. length of service. The staff reviews all Number of Respondents: 14,975. Mail: The DoD cannot receive written applications and verifies the applicant Responses per Respondent: 1. Annual Responses: 14,975. comments at this time due to the is an Army Survivor. Applications are COVID–19 pandemic. Comments should Average Burden per Response: 30 sorted into a list of 1–20 based on the minutes. be sent electronically to the docket criteria listed in the SAWG Charter and listed above. Annual Burden Hours: 7,487.50. the list is provided to the Chief of Staff, Needs and Uses: The information Instructions: All submissions received Army (CSA) for final approval. must include the agency name, docket collection requirement is necessary to Individuals not selected will be notified certify dependency or obtain number and title for this Federal by email that they were not selected. Register document. The general policy information to determine entitlement to Those selected will be notified by basic allowance for housing (BAH) with for comments and other submissions telephone by program manager. At the from members of the public is to make dependent rate, travel allowance, or completion of the application process, uniformed services identification and these submissions available for public the CSA will select new members to fill viewing on the internet at http:// privilege card. Information regarding a up to 12 positions every year the SAWG parent, an incapacitated child over age www.regulations.gov as they are exists. received without change, including any 21, a student age 21–22, or a ward of a personal identifiers or contact Dated: May 12, 2021. court is provided by the military information. Kayyonne T. Marston, member. A medical doctor or Alternate OSD Federal Register Liaison psychiatrist, college administrator, or a FOR FURTHER INFORMATION CONTACT: To Officer, Department of Defense. dependent’s employer may need to request more information on this provide information for claims. proposed information collection or to [FR Doc. 2021–10343 Filed 5–14–21; 8:45 am] BILLING CODE 5001–06–P Pursuant to 37 U.S.C. 401, 403, 406, and obtain a copy of the proposal and 10 U.S.C. 1072 and 1076, the member associated collection instruments, must provide more than one half of the please write to Department of the Army, DEPARTMENT OF DEFENSE claimed dependent’s monthly expenses. Office of the Deputy Chief of Staff, G– DoDFMR 7000.14–R, Vol 7A, defines 9, Soldier & Family Readiness Division, Office of the Secretary dependency and directs that 600 Army Pentagon, Washington, DC [Docket ID DOD–2020–OS–0106] dependency be proven. Dependency 20310; ATTN: Jill Knaus, or call 703– claim examiners use the information 695–7095. Submission for OMB Review; from these forms to determine the SUPPLEMENTARY INFORMATION: Comment Request degree of benefits. The requirement to Title; Associated Form; and OMB provide the information decreased the Number: Army Survivor Advisory AGENCY: Defense Finance and possibility of monetary allowances Working Group Application; OMB Accounting Service, Department of being approved on behalf of ineligible Control Number 0702–0144. Defense, (DoD). dependents. Needs and Uses: The information ACTION: 30-Day information collection Affected Public: Individuals or collection requirement is necessary to notice. households. assess individuals who apply to become Frequency: On occasion. new members of the Army’s Survivor SUMMARY: The DoD has submitted to Respondent’s Obligation: Voluntary. Advisory Working Group (SAWG). OMB for clearance the following OMB Desk Officer: Ms. Jasmeet SAWG advisors may provide advice and proposal for collection of information Seehra. recommendations regarding vital Total under the provisions of the Paperwork You may also submit comments and Army (Active Component, Army Reduction Act. recommendations, identified by Docket National Guard, and U.S. Army Reserve) DATES: Consideration will be given to all ID number and title, by the following Survivor quality of life issues. Advisors comments received by June 16, 2021. method:

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• Federal eRulemaking Portal: http:// Federal eRulemaking Portal: http:// facilitate the initiation, investigation www.regulations.gov. Follow the www.regulations.gov. Follow the and adjudication of information relevant instructions for submitting comments. instructions for submitting comments. to DoD security clearances and Instructions: All submissions received Mail: The DoD cannot receive written employment suitability determinations must include the agency name, Docket comments at this time due to the for active duty military, civilian ID number, and title for this Federal COVID–19 pandemic. Comments should employees, and contractors requiring Register document. The general policy be sent electronically to the docket such credentials. Facility Security for comments and other submissions listed above. Officers (FSOs) working in private from members of the public is to make Instructions: All submissions received companies that contract with DoD and these submissions available for public must include the agency name, docket who need access to the DISS system to viewing on the internet at http:// number and title for this Federal update security-related information www.regulations.gov as they are Register document. The general policy about their company’s employees must received without change, including any for comments and other submissions complete DD Form 2962 (OMB Control personal identifiers or contact from members of the public is to make Number 0704–0542). Specific uses information. these submissions available for public include: Facilitation for DoD DOD Clearance Officer: Ms. Angela viewing on the internet at http:// Adjudicators and Security Managers to Duncan. www.regulations.gov as they are obtain accurate up-to-date eligibility Requests for copies of the information received without change, including any and access information on all personnel collection proposal should be sent to personal identifiers or contact (military, civilian and contractor Ms. Duncan at whs.mc-alex.esd.mbx.dd- information. personnel) adjudicated by the DoD. The DoD Adjudicators and Security [email protected]. FOR FURTHER INFORMATION CONTACT: To Managers are also able to update Dated: May 12, 2021. request more information on this eligibility and access levels of military, Kayyonne T. Marston, proposed information collection or to civilian and contractor personnel Alternate OSD Federal Register Liaison obtain a copy of the proposal and nominated for access to sensitive DoD Officer, Department of Defense. associated collection instruments, information. Once granted access, the [FR Doc. 2021–10349 Filed 5–14–21; 8:45 am] please write to Defense FSOs maintain employee personal BILLING CODE 5001–06–P Counterintelligence and Security information, submit requests for Agency, Defense Counterintelligence investigations, and submit other and Security Agency, 27130 Telegraph relevant personnel security information DEPARTMENT OF DEFENSE Road, Quantico, VA 22134; ATTN: Ms. into DISS on over 1,000,000 contract Valerie Heil, or call 703–692–3754. employees annually. Office of the Secretary SUPPLEMENTARY INFORMATION: Dated: May 12, 2021. [Docket ID DoD–2021–OS–0036] Title; Associated Form; and OMB Number: Defense Information System Kayyonne T. Marston, Proposed Collection; Comment for Security; OMB Control Number Alternate OSD Federal Register Liaison Request 0704–0573. Officer, Department of Defense. Needs and Uses: This information [FR Doc. 2021–10344 Filed 5–14–21; 8:45 am] AGENCY: Defense Counterintelligence collection is necessary as the DISS BILLING CODE 5001–06–P and Security Agency, Department of system requires personal data collection Defense (DoD). to facilitate the initiation, investigation DEPARTMENT OF DEFENSE ACTION: Information collection notice. and adjudication of information relevant to DoD security clearances and SUMMARY: In compliance with the Office of the Secretary employment suitability determinations Paperwork Reduction Act of 1995, the [Docket ID DOD–2021–OS–0037] Defense Counterintelligence and for active duty military, civilian Security Agency announces a proposed employees and contractors requiring such credentials. As a Personnel Proposed Collection; Comment public information collection and seeks Request public comment on the provisions Security System it is the authoritative thereof. Comments are invited on: source for clearance information AGENCY: The Office of the Director of Whether the proposed collection of resulting in accesses determinations to Administration and Management, information is necessary for the proper sensitive/classified information and Department of Defense (DoD). performance of the functions of the facilities. ACTION: Information collection notice. Affected Public: Individuals or agency, including whether the households. SUMMARY: In compliance with the information shall have practical utility; Annual Burden Hours: 333,375. Paperwork Reduction Act of 1995, the the accuracy of the agency’s estimate of Number of Respondents: 22,225. Pentagon Force Protection Agency the burden of the proposed information Responses per Respondent: 45. announces a proposed public collection; ways to enhance the quality, Annual Responses: 1,000,125. information collection and seeks public utility, and clarity of the information to Average Burden per Response: 20 comment on the provisions thereof. be collected; and ways to minimize the minutes. Comments are invited on: Whether the burden of the information collection on Frequency: On occasion. proposed collection of information is respondents, including through the use The Defense Information System for necessary for the proper performance of of automated collection techniques or Security (DISS) is a DoD personnel the functions of the agency, including other forms of information technology. security system and is the authoritative whether the information shall have DATES: Consideration will be given to all source for clearance information practical utility; the accuracy of the comments received by July 16, 2021. resulting in access determinations to agency’s estimate of the burden of the ADDRESSES: You may submit comments, sensitive/classified information and proposed information collection; ways identified by docket number and title, facilities. Collection and maintenance of to enhance the quality, utility, and by any of the following methods: personal data in DISS is required to clarity of the information to be

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collected; and ways to minimize the Dated: May 12, 2021. obtain a copy of the proposal and burden of the information collection on Kayyonne T. Marston, associated collection instruments, respondents, including through the use Alternate OSD Federal Register Liaison please write to Defense Finance and of automated collection techniques or Officer, Department of Defense. Accounting Services, Kellen Stout, 8899 other forms of information technology. [FR Doc. 2021–10345 Filed 5–14–21; 8:45 am] E 56th St., Indianapolis, IN 46249 or call (317) 212–1801. DATES: Consideration will be given to all BILLING CODE 5001–06–P comments received by July 16, 2021. SUPPLEMENTARY INFORMATION: Title; Associated Form; and OMB ADDRESSES: You may submit comments, DEPARTMENT OF DEFENSE Number: Waiver/Remission of identified by docket number and title, Indebtedness Application; DD Form [Docket ID: DOD–2021–OS–0038] by any of the following methods: 2789; OMB Number 0730–0009. Federal eRulemaking Portal: http:// Proposed Collection; Comment Needs and Uses: The information www.regulations.gov. Follow the Request collection requirement is necessary for instructions for submitting comments. current or former DoD civilian AGENCY: Defense Finance and employees or military members to Mail: The DoD cannot receive written Accounting Service, Department of request waiver or remission of an comments at this time due to the Defense (DoD). indebtedness owed to the Department of COVID–19 pandemic. Comments should ACTION: Defense. Under 5 U.S.C. 5584, 10 U.S.C. be sent electronically to the docket Information collection notice. 2774, and 32 U.S.C. 716, certain debts listed above. SUMMARY: In compliance with the arising out of erroneous payments may Instructions: All submissions received Paperwork Reduction Act of 1995, the be waived. Under 10 U.S.C. 4837, 10 must include the agency name, docket Defense Finance and Accounting U.S.C. 6161, and 10 U.S.C. 9837, certain number and title for this Federal Service announces a proposed public debts may be remitted. Information Register document. The general policy information collection and seeks public obtained through this form is used in for comments and other submissions comment on the provisions thereof. adjudicating the request for waiver or from members of the public is to make Comments are invited on: Whether the remission. Remissions apply only to these submissions available for public proposed collection of information is active duty military members, and thus viewing on the internet at http:// necessary for the proper performance of are not covered under the Paperwork www.regulations.gov as they are the functions of the agency, including Reduction Act of 1995. received without change, including any whether the information shall have Affected Public: Individuals or personal identifiers or contact practical utility; the accuracy of the households. information. agency’s estimate of the burden of the Annual Burden Hours: 5,985. proposed information collection; ways Number of Respondents: 4,500. FOR FURTHER INFORMATION CONTACT: To to enhance the quality, utility, and Responses per Respondent: 1. request more information on this clarity of the information to be Annual Responses: 4,500. proposed information collection or to collected; and ways to minimize the Average Burden per Response: 1.33 obtain a copy of the proposal and burden of the information collection on hours. associated collection instruments, respondents, including through the use Frequency: On occasion. please write to 9000 Defense Pentagon, of automated collection techniques or Dated: May 12, 2021. 5B890 Washington, DC 20301, ATTN: other forms of information technology. Kayyonne T. Marston, Mr. Dajonte Holsey or call 703–571– DATES: Consideration will be given to all Alternate OSD Federal Register Liaison 2939. comments received by July 16, 2021. Officer, Department of Defense. SUPPLEMENTARY INFORMATION: ADDRESSES: You may submit comments, [FR Doc. 2021–10341 Filed 5–14–21; 8:45 am] Title; Associated Form; and OMB identified by docket number and title, BILLING CODE 5001–06–P Number: Pentagon Facilities Access by any of the following methods: Federal eRulemaking Portal: http:// Control System; OMB Control Number DEPARTMENT OF DEFENSE 0704–AAFV. www.regulations.gov. Follow the instructions for submitting comments. Office of the Secretary Needs and Uses: The information will Mail: The DoD cannot receive written be used by the Pentagon Pass Office to comments at this time due to the [Docket ID DoD–2021–OS–0012] conduct a NCIC check of all members of COVID–19 pandemic. Comments should the public 18 years and older that be sent electronically to the docket Submission for OMB Review; request access to the Pentagon or a listed above. Comment Request Pentagon facility. The method for Instructions: All submissions received AGENCY: Defense Counterintelligence collecting the required information must include the agency name, docket varies depending on the status of the and Security Agency, Department of number and title for this Federal Defense, (DoD). individual making the request and the Register document. The general policy ACTION: 30-Day information collection length of time that access is required. for comments and other submissions notice. Affected Public: Individuals or from members of the public is to make households. these submissions available for public SUMMARY: The DoD has submitted to Annual Burden Hours: 24,617. viewing on the internet at http:// OMB for clearance the following Number of Respondents: 211,000. www.regulations.gov as they are proposal for collection of information received without change, including any under the provisions of the Paperwork Responses per Respondent: 1. personal identifiers or contact Reduction Act. Annual Responses: 211,000. information. DATES: Consideration will be given to all Average Burden per Response: 7 FOR FURTHER INFORMATION CONTACT: To comments received by June 16, 2021. minutes. request more information on this ADDRESSES: Written comments and Frequency: On occasion. proposed information collection or to recommendations for the proposed

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information collection should be sent Register document. The general policy ASCII file format, and avoid the use of within 30 days of publication of this for comments and other submissions special characters or any form of notice to www.reginfo.gov/public/do/ from members of the public is to make encryption. PRAMain. Find this particular these submissions available for public Although DOE has routinely accepted information collection by selecting viewing on the internet at http:// public comment submissions through a ‘‘Currently under 30-day Review—Open www.regulations.gov as they are variety of mechanisms, including postal for Public Comments’’ or by using the received without change, including any mail and hand delivery/courier, the search function. personal identifiers or contact Department has found it necessary to FOR FURTHER INFORMATION CONTACT: information. make temporary modifications to the Angela Duncan, 571–372–7574, or DOD Clearance Officer: Ms. Angela comment submission process in light of whs.mc-alex.esd.mbx.dd-dod- Duncan. the ongoing Covid-19 pandemic. DOE is [email protected]. Requests for copies of the information currently accepting only electronic collection proposal should be sent to SUPPLEMENTARY INFORMATION: submissions at this time. If a commenter Ms. Duncan at whs.mc-alex.esd.mbx.dd- Title; Associated Form; and OMB finds that this change poses an undue [email protected]. Number: Personnel Security hardship, please the parties listed below Investigation Projection for Industry Dated: May 12, 2021. to discuss the need for alternative Census Survey; OMB Control Number Kayyonne T. Marston, arrangements. Once the Covid-19 0704–0417. Alternate OSD Federal Register Liaison pandemic health emergency is resolved, Type of Request: Revision. Officer, Department of Defense. DOE anticipates resuming all of its Number of Respondents: 7,999. [FR Doc. 2021–10348 Filed 5–14–21; 8:45 am] regular options for public comment submission, including postal mail and Responses per Respondent: 1. BILLING CODE 5001–06–P Annual Responses: 7,999. hand delivery/courier. Average Burden per Response: 40 Public Docket: The docket, which includes Federal Register notices, minutes. DEPARTMENT OF ENERGY Annual Burden Hours: 5,333. comments, and other supporting Needs and Uses: Executive Order [EERE–2021–BT–DET–0010] documents/materials, is available for (E.O.) 12829, ‘‘National Industrial review at http://www.regulations.gov. Preliminary Analysis Regarding All documents in the docket are listed Security Program (NISP),’’ stipulates Energy Efficiency Improvements in the that the Secretary of Defense shall serve in the http://www.regulations.gov index. 2021 International Energy However, some documents listed in the as the Executive Agent for inspecting Conservation Code (IECC) and monitoring the contractors, index, such as those containing licensees, and grantees who require or AGENCY: Office of Energy Efficiency and information that is exempt from public will require access to classified Renewable Energy, Department of disclosure, may not be publicly information; and for determining the Energy. available. A link to the docket on the eligibility for access to classified ACTION: Notice of availability. http://www.regulations.gov site can be information of contractors, licensees, found at: http://www.regulations.gov/ and grantees and their respective SUMMARY: The U.S. Department of #!docketDetail;D=EERE-2021-BT-DET- employees. The Under Secretary of Energy (DOE) is announcing the 0010. The http://www.regulations.gov Defense for Intelligence assigned availability of a Preliminary Energy web page will contain instructions on Defense Counterintelligence and Savings Analysis of the 2021 how to access all documents, including Security Agency (DCSA) the International Energy Conservation Code public comments, in the docket. See responsibility for central operational (Preliminary Analysis). DOE welcomes section III for further information on management of NISP personnel security written comments from interested how to submit comments through investigation (PSI) workload parties on any subject within the scope http://www.regulations.gov. projections, and for monitoring of NISP of this Preliminary Analysis. FOR FURTHER INFORMATION CONTACT: PSI funding and investigations. The DATES: DOE will accept written Mr. Jeremiah Williams; U.S. execution of the collection instrument is comments and information on the Department of Energy, Office of Energy an essential element of DCSA’s ability to Preliminary Analysis no later than June Efficiency and Renewable Energy, 1000 plan, program and budget for the PSI 16, 2021. Independence Avenue SW, EE–5B, needs of NISP personnel security ADDRESSES: A copy of the Preliminary Washington, DC 20585; (202) 287–1941; investigations. Analysis is available at https:// [email protected]. Affected Public: Businesses or other www.energycodes.gov/sites/default/ Mr. Matthew Ring; U.S. Department of for-profit, not-for-profit institutions, files/documents/2021_IECC_Preliminary Energy, Office of the General Counsel, state, local or tribal governments. Determination_TSD.pdf. Interested 1000 Independence Avenue SW, GC–33, Frequency: Annually. persons are encouraged to submit Washington, DC 20585; (202) 586–2555; Respondent’s Obligation: Voluntary. comments using the Federal [email protected]. OMB Desk Officer: Ms. Jasmeet eRulemaking Portal at http:// SUPPLEMENTARY INFORMATION: Seehra. www.regulations.gov. Follow the I. Background You may also submit comments and instructions for submitting comments. II. Discussion of Findings recommendations, identified by Docket Alternatively, interested persons may III. Public Participation ID number and title, by the following submit comments by email to the method: following address: I. Background • Federal eRulemaking Portal: http:// [email protected]. Title III of the Energy Conservation www.regulations.gov. Follow the Include docket number EERE–2021–BT– and Production Act, as amended instructions for submitting comments. DET–0010 and/or RIN number 1904– (ECPA), establishes requirements for Instructions: All submissions received AF15 in the subject line of the message. building energy conservation standards, must include the agency name, Docket Submit electronic comments in administered by the DOE Building ID number, and title for this Federal WordPerfect, Microsoft Word, PDF, or Energy Codes Program. (42 U.S.C. 6831

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et seq.) Section 304(a)(5)(A), as development process is available at: buildings (cumulative 2010 through amended, of ECPA provides that https://www.iccsafe.org/codes-tech- 2040), or $3.14 billion in annual energy whenever the CABO Model Energy support/codes/code-development- cost savings and 18.38 MMT in annual Code, or any successor to that code, is process/code-development-2/. avoided CO2 emissions (annually by revised, the Secretary of Energy 2030).2 II. Discussion of Findings (Secretary) must make a determination, not later than 12 months after such To meet the statutory requirement, III. Public Participation revision, whether the revised code DOE conducted a Preliminary Energy DOE will accept comments, data, and would improve energy efficiency in Savings Analysis of the 2021 information regarding the Preliminary residential buildings, and must publish International Energy Conservation Code Analysis no later than the date provided notice of such determination in the (Preliminary Analysis) to quantify the in the DATES section at the beginning of Federal Register. (42 U.S.C. expected energy savings associated with this notice. Interested parties may 6833(a)(5)(A)) If the Secretary the 2021 IECC. The Preliminary submit comments, data, and other determines that the revision of the Analysis indicates, of the 35 proposed information using any of the methods CABO Model Energy Code, or any code changes which directly impact described in the ADDRESSES section at successor thereof, improves the level of energy use, 29 changes resulted in a the beginning of this notice. energy efficiency in residential reduction of energy use, with 6 changes Submitting Comments via http:// buildings then, not later than two years projected to increase energy use. www.regulations.gov after the date of the publication of such DOE’s Preliminary review and affirmative determination, each State is analysis of the 2021 IECC identified 11 The http://www.regulations.gov web required to certify that it has reviewed key changes which are expected to have page will require you to provide your its residential building code regarding a significant and measurable impact on name and contact information. Your energy efficiency, and made a energy efficiency in residential contact information will be viewable to determination as to whether it is buildings. These changes are expected DOE Building Technologies Office staff appropriate to revise its code to meet or to increase energy savings, impact a only. Your contact information will not exceed the provisions of the successor significant fraction of new homes, and be publicly viewable, except for your code. (42 U.S.C. 6833(a)(5)(B)) The can be reasonably quantified through first and last names, organization name International Energy Conservation Code the established methodology. More (if any), and submitter representative (IECC) is the contemporary successor to information on these changes and their name (if any). If your comment is not the CABO Model Energy Code specified expected energy savings impacts are processed properly because of technical in ECPA. presented in a separate technical difficulties, DOE will use this In addition, on January 20, 2021, the analysis, Preliminary Energy Savings information to contact you. If DOE President issued Executive Order 13990, Analysis: 2021 IECC for Residential cannot read your comment due to ‘‘Protecting Public Health and the Buildings.1 technical difficulties and cannot contact Environment and Restoring Science to Review of the 2021 IECC indicates the you for clarification, DOE may not be Tackle the Climate Crisis.’’ 86 FR 7037 updated model code will increase able to consider your comment. (Jan. 25, 2021). The Executive Order energy efficiency in residential However, your contact information directed DOE to consider publishing for buildings. Residential buildings meeting will be publicly viewable if you include notice and comment a proposed rule the 2021 IECC (compared to the it in the comment itself or in any suspending, revising, or rescinding the previous 2018 IECC edition) are documents attached to your comment. final technical determination regarding expected to incur the following annual Any information that you do not want the final technical determination savings on a weighted national average to be publicly viewable should not be regarding the 2018 IECC by May 2021. basis: included in your comment, nor in any Id. at 86 FR 7038. In response, DOE has • 9.38 percent of site energy; document attached to your comment. conducted this preliminary analysis of • 8.79 percent of source energy; Do not submit to http:// the 2021 IECC so that DOE’s • 8.66 percent of energy costs, and; www.regulations.gov information for determination under section 304(a) of • 8.66 percent of carbon emissions. which disclosure is restricted by statute, ECPA reflects the most recent version of The full Preliminary Analysis, such as trade secrets and commercial or the IECC, and to facilitate State and including an assessment of the expected financial information (hereinafter local adoption of the 2021 IECC, which energy and energy cost impacts, is referred to as Confidential Business will provide greater energy savings for available via the DOE Building Energy Information (CBI)). Comments the nation’s residential buildings. Codes Program: https:// submitted through http:// The 2021 IECC (2021 edition), the www.energycodes.gov/sites/default/ www.regulations.gov cannot be claimed most recent edition of the IECC, was files/documents/2021_IECC_ as CBI. Comments received through the published on January 29, 2021, PreliminaryDetermination_TSD.pdf. website will waive any CBI claims for triggering the statutorily required DOE DOE welcomes written comments from the information submitted. For review process. The IECC is developed interested parties on this preliminary information on submitting CBI, see the through an industry consensus process determination and supporting technical Confidential Business Information administered by the International Code analysis. section below. Council (ICC). The ICC has an States can experience significant DOE processes submissions made established program for regular review benefits by updating their codes to through http://www.regulations.gov of the IECC, identifying whether reflect current construction standards, a proposed changes have energy and cost total estimated $74.34 billion in energy 2 https://www.energycodes.gov/about/results. impacts, and incorporating changes cost savings and 435.43 MMT of Financial benefits are calculated by applying approved by public officials making up avoided CO emissions in residential historical and future fuel prices to site energy the ICC governmental voting body. 2 savings and by discounting future savings to 2016 dollars. Historical and future real fuel prices are Updated editions of the IECC are 1 https://www.energycodes.gov/sites/default/files/ obtained through EIA’s AEO 2015 report (EIA typically published every three years. documents/2021_IECC_PreliminaryDetermination_ 2015). A real discount factor of 5% is applied to More information on the ICC code TSD.pdf. discount future energy cost savings.

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before posting. Normally, comments confidential status of the information with the alternate test procedure set will be posted within a few days of and treat it according to its forth in the Decision and Order. being submitted. However, if large determination. DATES: The Decision and Order is volumes of comments are being It is DOE’s policy that all comments effective on May 17, 2021. processed simultaneously, your may be included in the public docket, FOR FURTHER INFORMATION CONTACT: comment may not be viewable for up to without change and as received, Ms. Lucy deButts, U.S. Department of several weeks. Please keep the comment including any personal information Energy, Office of Energy Efficiency and tracking number that http:// provided in the comments (except Renewable Energy, Building www.regulations.gov provides after you information deemed to be exempt from Technologies Office, EE–5B, 1000 have successfully uploaded your public disclosure). Independence Avenue SW, Washington, comment. Signing Authority DC 20585–0121. Email: AS_Waiver_ Submitting Comments via Email This document of the Department of [email protected]. Ms. Amelia Whiting, U.S. Department Comments and documents submitted Energy was signed on May 10, 2021, by of Energy, Office of the General Counsel, via email also will be posted to http:// Kelly Speakes-Backman, Principal Mail Stop GC–33, Forrestal Building, www.regulations.gov. If you do not want Deputy Assistant Secretary and Acting 1000 Independence Avenue SW, your personal contact information to be Assistant Secretary for Energy Efficiency Washington, DC 20585–0103. publicly viewable, do not include it in and Renewable Energy, pursuant to Telephone: (202) 586–2588. Email: your comment or any accompanying delegated authority from the Secretary [email protected]. documents. Instead, provide your of Energy. That document with the contact information in a cover letter, original signature and date is SUPPLEMENTARY INFORMATION: The including your first and last names, maintained by DOE. For administrative Decision and Order will terminate upon email address, telephone number, and purposes only, and in compliance with the compliance date of any future optional mailing address. The cover requirements of the Office of the Federal amendment to the test procedure for letter will not be publicly viewable as Register, the undersigned DOE Federal dishwashers located at title 10 of the long as it does not include any Register Liaison Officer has been Code of Federal Regulations (‘‘CFR’’), comments. Include contact information authorized to sign and submit the part 430, subpart B, appendix C1 that each time you submit comments, data, document in electronic format for addresses the issues presented in this documents, and other information to publication, as an official document of waiver. At such time, FOTILE must use DOE. No facsimiles (faxes) will be the Department of Energy. This the relevant test procedure for this accepted. administrative process in no way alters product for any testing to demonstrate Comments, data, and other the legal effect of this document upon compliance with the applicable information submitted to DOE publication in the Federal Register. standards, and any other representations of energy use. electronically should be provided in Signed in Washington, DC, May 12, 2021. PDF (preferred), Microsoft Word or In accordance with section Treena V. Garrett, 430.27(f)(2) of title 10 of the CFR, DOE Excel, WordPerfect, or text (ASCII) file Federal Register Liaison Officer, U.S. format. Provide documents that are not hereby provides notice of the issuance Department of Energy. of its Decision and Order as set forth secured, that are written in English, and [FR Doc. 2021–10291 Filed 5–14–21; 8:45 am] that are free of any defects or viruses. below. The Decision and Order grants BILLING CODE 6450–01–P Documents should not contain special FOTILE a waiver from the applicable characters or any form of encryption test procedure at 10 CFR part 430, subpart B, appendix C1 for specified and, if possible, they should carry the DEPARTMENT OF ENERGY electronic signature of the author. basic models of dishwashers, and [Case Number 2020–020; EERE–2020–BT– provides that FOTILE must test and rate Campaign Form Letters WAV–0035] such products using the alternate test Please submit campaign form letters procedure specified in the Decision and Energy Conservation Program: by the originating organization in Order. FOTILE’s representations Decision and Order Granting a Waiver batches of between 50 to 500 form concerning the energy and water to Ningbo FOTILE Kitchen Ware Co. letters per PDF or as one form letter consumption of the specified basic Ltd. From the Department of Energy with a list of supporters’ names models must be based on testing Dishwashers Test Procedure compiled into one or more PDFs. This according to the provisions and reduces comment processing and AGENCY: Office of Energy Efficiency and restrictions in the alternate test posting time. Renewable Energy, Department of procedure set forth in the Decision and Order, and any such representations Confidential Business Information Energy. ACTION: Notification of decision and must fairly disclose the test results. According to 10 CFR 1004.11, any order. Distributors, retailers, and private person submitting information that he labelers are held to the same or she believes to be confidential and SUMMARY: The U.S. Department of requirements when making exempt by law from public disclosure Energy (‘‘DOE’’) gives notice of a representations regarding the energy should submit via email two well- Decision and Order (Case Number and water consumption of these marked copies: One copy of the 2020–020) that grants to Ningbo FOTILE products. (42 U.S.C. 6293(c)) document marked confidential Kitchen Ware Co. Ltd. (‘‘FOTILE’’) a Consistent with 10 CFR 430.27(j), not including all the information believed to waiver from specified portions of the later than July 16, 2021, any be confidential, and one copy of the DOE test procedure for determining the manufacturer currently distributing in document marked non-confidential with energy and water consumption of commerce in the United States products the information believed to be specified dishwashers. Under the employing a technology or characteristic confidential deleted. Submit these Decision and Order, FOTILE is required that results in the same need for a documents via email. DOE will make its to test and rate the specified basic waiver from the applicable test own determination about the models of its dishwashers in accordance procedure must submit a petition for

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waiver. Manufacturers not currently products. EPCA requires that any test requirements and placement of the distributing such products/equipment procedures prescribed or amended detergent. FOTILE suggested an in commerce in the United States must under this section must be reasonably alternate test procedure to install the petition for and be granted a waiver designed to produce test results which dishwasher basic models from the top of prior to the distribution in commerce of reflect energy efficiency, energy use or a rectangular enclosure (as opposed to those products/that equipment in the estimated annual operating cost of a the front) and to specify placement of United States. Manufacturers may also covered product during a representative the detergent directly into the submit a request for interim waiver average use cycle or period of use and dishwasher chamber. pursuant to the requirements of 10 CFR requires that test procedures not be DOE posted the petition on the DOE 430.27. 10 CFR 430.27(j). unduly burdensome to conduct. (42 website, absent any information for U.S.C. 6293(b)(3)) The test procedure for which petitioner requested treatment as Case #2020–020 dishwashers is set forth at 10 CFR part confidential business information, at: Decision and Order 430, subpart B, appendix C1, ‘‘Uniform https://www.regulations.gov/docket?D= I. Background and Authority Test Method for Measuring the Energy EERE-2020-BT-WAV-0035-0001. On Consumption of Dishwashers’’ February 8, 2021, DOE published a The Energy Policy and Conservation (‘‘Appendix C1’’). notification that announced its receipt 1 Act, as amended (‘‘EPCA’’), authorizes Any interested person may submit a of the petition for waiver and granted the U.S. Department of Energy (‘‘DOE’’) petition for waiver from DOE’s test FOTILE an interim waiver. 86 FR 8548 to regulate the energy efficiency of a procedure requirements. 10 CFR (‘‘Notification of Petition for Waiver’’). number of consumer products and 430.27(a)(1). DOE will grant a waiver In the Notification of Petition for certain industrial equipment. (42 U.S.C. from the test procedure requirements if Waiver, DOE reviewed FOTILE’s 2 6291–6317) Title III, Part B of EPCA, DOE determines either that the basic application for an interim waiver and Public Law 94–163 (42 U.S.C. 6291– model for which the waiver was the alternate test procedure requested by 6309, as codified), established the requested contains a design FOTILE. DOE also reviewed Energy Conservation Program for characteristic that prevents testing of the manufacturer information available on- Consumer Products Other Than basic model according to the prescribed line, including the operation manual 3 Automobiles, which sets forth a variety test procedures, or that the prescribed for the specified basic models. Based on of provisions designed to improve test procedures evaluate the basic model the assertions in the petition and DOE’s energy efficiency for certain types of in a manner so unrepresentative of its review, DOE initially determined that consumer products. These products true energy consumption characteristics the installation and detergent placement include dishwashers the focus of this as to provide materially inaccurate characteristics of the subject basic document. (42 U.S.C. 6292(a)(6)) comparative data. 10 CFR 430.27(f)(2). models prevent testing of the basic Under EPCA, the energy conservation DOE may grant the waiver subject to models according to the prescribed test program consists essentially of four conditions, including adherence to procedure. 86 FR 8548, 8551. Also parts: (1) Testing, (2) labeling, (3) alternate test procedures. Id. based on this review, DOE initially Federal energy conservation standards, As soon as practicable after the determined that the suggested alternate and (4) certification and enforcement granting of any waiver, DOE will test procedure appeared to allow for the procedures. Relevant provisions of publish in the Federal Register a notice accurate measurement of the energy and EPCA include definitions (42 U.S.C. of proposed rulemaking to amend its 6291), test procedures (42 U.S.C. 6293), water consumption of the specified regulations so as to eliminate any need basic models, while alleviating the labeling provisions (42 U.S.C. 6294), for the continuation of such waiver. 10 energy conservation standards (42 testing problems associated with CFR 430.27(l). As soon thereafter as FOTILE’s implementation of dishwasher U.S.C. 6295), and the authority to practicable, DOE will publish in the require information and reports from testing for these basic models. Id. Federal Register a final rule to that Consequently, DOE determined that manufacturers (42 U.S.C. 6296). effect. Id. When DOE amends the test The Federal testing requirements FOTILE’s petition for waiver likely procedure to address the issues would be granted. Id. Furthermore, DOE consist of test procedures that presented in a waiver, the waiver will manufacturers of covered products must determined that it was desirable for automatically terminate on the date on public policy reasons to grant FOTILE use as the basis for: (1) Certifying to which use of that test procedure is DOE that their products comply with immediate relief pending a required to demonstrate compliance. 10 determination of the petition for waiver. the applicable energy conservation CFR 430.27(h)(3). standards adopted pursuant to EPCA (42 Id. U.S.C. 6295(s)), and (2) making II. FOTILE’s Petition for Waiver: In the Notification of Petition for representations about the efficiency of Assertions and Determinations Waiver, DOE noted that FOTILE’s alternate test procedure specified a test that product (42 U.S.C. 6293(c)). On October 15, 2020, DOE received Similarly, DOE must use these test enclosure that differs from the from FOTILE a petition for waiver and installation instructions provided in the procedures to determine whether the a petition for interim waiver from the product complies with relevant operation manual. 86 FR 8548, 8549. DOE test procedure applicable to Specifically, the alternate test procedure standards promulgated under EPCA. (42 dishwashers set forth in Appendix C1. U.S.C. 6295(s)) retained a requirement specified in In its petition for waiver, FOTILE stated Section 2.1 of Appendix C1 that the Under 42 U.S.C. 6293, EPCA sets forth that the subject dishwasher models, the criteria and procedures DOE is enclosure be brought into the closest which FOTILE described as ‘‘in-sink’’ contact with the appliance as allowed required to follow when prescribing or compact dishwashers, do not have a amending test procedures for covered by the configuration of the dishwasher. main detergent compartment and have In the case of FOTILE’s basic model, different installation instructions than 1 this would include close contact All references to EPCA in this document refer under-counter or under-sink to the statute as amended through the Energy Act of 2020, Public Law 116–260 (Dec. 27, 2020). dishwashers. FOTILE requested that 3 The operation manual is available in the docket 2 For editorial reasons, upon codification in the DOE waive sections of the dishwasher at https://www.regulations.gov/document/EERE- U.S. Code, Part B was redesignated as Part A. test procedure pertaining to installation 2020-BT-WAV-0035-0002.

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between the bottom of the enclosure and installed. Additionally, the alternate test Likewise, FOTILE may request that DOE the underside of the in-sink dishwasher. procedure requirements in the Interim rescind or modify the waiver if the The height of the product is 215⁄16 Waiver Order may result in varying company discovers an error in the inches (541 millimeters (‘‘mm’’)). placement of the enclosure bottom, information provided to DOE as part of Bringing the bottom of the enclosure given that the drain pipe at the bottom its petition, determines that the waiver into the closest possible contact with of the unit could be configured is no longer needed, or for other the dishwasher (i.e., creating an differently in different installations, appropriate reasons. 10 CFR enclosure height of around 215⁄16 resulting in different enclosure heights 430.27(k)(2). inches) would conflict with the corresponding to the closest contact that As set forth above, the test procedure installation instructions in the operation the configuration of the dishwasher specified in this Decision and Order is manual, which specify a minimum would allow. This could introduce not the same as the test procedure enclosure height of 357⁄16 inches (900 variability in the measured energy offered by FOTILE. If FOTILE believes mm). DOE stated that this difference in consumption. The specification to that the alternate test method it installation may potentially result in install the subject basic models suggested provides representative differing heat losses from the consistent with the installation results and is less burdensome than the dishwasher during testing as compared instructions provided in the operation test method required by this Decision to installation in the field that could manual will ensure reproducibility of and Order, FOTILE may submit a impact energy consumption during the test results and further ensure the test request for modification under 10 CFR cycle. Id. DOE requested comment on procedure provides results that are 430.27(k)(2) that addresses the concerns any such potential impacts on energy representative of the average use cycle. that DOE has specified with that consumption as a result of the test As provided in 10 CFR 430.27(i), to procedure. FOTILE may also submit enclosure specifications in the alternate the extent that FOTILE has already another less burdensome alternative test test procedure, and whether installation certified the subject basic models using procedure not expressly considered in should be required in accordance with the procedure permitted in DOE’s grant this notification under the same the operation manual to provide results of the interim test procedure waiver, provision. that are more representative of average FOTILE is not required to re-test and re- III. Consultations With Other Agencies use. Id. DOE also solicited comments rate those basic models so long as: It from interested parties on all other used that alternative procedure to In accordance with 10 CFR aspects of the petition and the specified certify the compliance of the basic 430.27(f)(2), DOE consulted with the alternate test procedure. Id. DOE model after DOE granted the company’s Federal Trade Commission staff received no comments in response to interim waiver request; changes have concerning the FOTILE petition for the Notification of Petition for Waiver. not been made to those basic models waiver. that would cause them to use more For the reasons explained here and in energy or otherwise be less energy IV. Order the Notification of Petition for Waiver, efficient; and FOTILE does not modify After careful consideration of all the absent a waiver, the basic models the certified rating. material that was submitted by FOTILE identified by FOTILE in its petition For subsequent certification of the and the various public-facing materials cannot be tested and rated for energy subject basic models, FOTILE must test (e.g., marketing materials, product and water consumption on a basis and rate the specified dishwasher basic specification sheets, and installation representative of their true energy models according to the alternate test manuals) for the units identified in the consumption characteristics. DOE has procedure specified in this Decision and petition, in this matter, it is ordered reviewed the recommended procedure Order. that: suggested by FOTILE and concludes This Decision and Order is applicable (1) For certifications required on and that, with the modification discussed only to the basic models listed and does after the date of publication of this below, it will allow for the accurate not extend to any other basic models. Order in the Federal Register, FOTILE measurement of the energy use of the DOE evaluates and grants waivers for must test and rate the following product, while alleviating the testing only those basic models specifically set dishwasher basic models with the problems associated with FOTILE’s out in the petition, not future models alternate test procedure as set forth in implementation of DOE’s applicable that may be manufactured by the paragraph (2): dishwashers test procedure for the petitioner. FOTILE may request that specified basic models. The alternate DOE extend the scope of this waiver to Brand Basic model test procedure required under this include additional basic models that Decision and Order modifies that employ the same technology as those FOTILE ...... SD2F–P1X specified in the Interim Waiver Order. listed in this waiver. 10 CFR 430.27(g). FOTILE ...... SD2F–P1XL In the alternate test procedure required FOTILE may also submit another under this Decision and Order, the petition for waiver from the test (2) The alternate test procedure for the height of the rectangular test enclosure procedure for additional basic models FOTILE basic models listed in must be the height that provides the that employ a different technology and paragraph (1) of this Order is the test minimum clearances as specified in the meet the criteria for test procedure procedure for dishwashers prescribed manufacturer’s operation manual. While waivers. 10 CFR 430.27(a)(1). by DOE at 10 CFR part 430, subpart B, DOE did not receive any comments on DOE notes that it may modify or appendix C1, with the modifications this topic in response to the Notification rescind the waiver at any time upon provided below. All other requirements of Petition for Waiver, installing DOE’s determination that the factual of Appendix C1 and DOE’s other compact in-sink dishwashers according basis underlying the petition for waiver relevant regulations remain applicable. to manufacturer’s instructions is is incorrect, or upon a determination In section 2.1, Installation, add at the representative, particularly since the that the results from the alternate test end of the section: manufacturer’s instructions explicitly procedure are unrepresentative of the A compact in-sink dishwasher with a provide a minimum height for the basic models’ true energy consumption combination sink must be installed in a cabinetry in which the dishwasher is characteristics. 10 CFR 430.27(k)(1). rectangular enclosure constructed of nominal

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0.374 inch (9.5 mm) plywood painted black. Deputy Assistant Secretary and Acting Applicants: Cogen Technologies The enclosure must consist of a front, a Assistant Secretary for Energy Efficiency Linden Venture, L.P., East Coast Power bottom, a back, and two sides. The front, and Renewable Energy, pursuant to Linden Holding, L.L.C. back, and sides of the enclosure must be delegated authority from the Secretary brought into the closest contact with the Description: Notice of Non-Material appliance that the configuration of the of Energy. That document with the Change in Status of Cogen Technologies dishwasher will allow. The height of the original signature and date is Linden Venture, L.P., et al. rectangular test enclosure must be the height maintained by DOE. For administrative Filed Date: 5/10/21. that provides the minimum clearances as purposes only, and in compliance with Accession Number: 20210510–5216. specified in the manufacturer’s operation requirements of the Office of the Federal Comments Due: 5 p.m. ET 6/1/21. manual. The dishwasher must be installed Register, the undersigned DOE Federal Docket Numbers: ER11–4267–013; from the top and mounted to the edges of the Register Liaison Officer has been enclosure. ER16–2169–005; ER16–2364–005; authorized to sign and submit the ER17–692–004. In section 2.10, Detergent, add at the document in electronic format for Applicants: Algonquin Energy end of the section: publication, as an official document of Services Inc., Algonquin SKIC 20 Solar, For compact in-sink dishwashers with a the Department of Energy. This LLC, Algonquin SKIC 10 Solar, LLC, combination sink that have neither prewash administrative process in no way alters Algonquin Power Sanger LLC. program nor a main detergent compartment, the legal effect of this document upon Description: Notice of Non-Material determine the amount of main wash publication in the Federal Register. detergent (in grams) to be added directly into Change in Status of Algonquin Energy the washing chamber according to section Signed in Washington, DC, on May 12, Services Inc., et al. 2.10.2 of this appendix. 2021. Filed Date: 5/7/21. Accession Number: 20210507–5237. (3) Representations. FOTILE may not Treena V. Garrett, make representations about the energy Federal Register Liaison Officer, U.S. Comments Due: 5 p.m. ET 5/28/21. and water use of a basic model listed in Department of Energy. Docket Numbers: ER20–1708–002. paragraph (1) of this Order for [FR Doc. 2021–10292 Filed 5–14–21; 8:45 am] Applicants: California State compliance or marketing, unless the BILLING CODE 6450–01–P University Channel Islands Site basic model has been tested in Authority. accordance with the provisions set forth Description: Compliance filing: above and such representations fairly DEPARTMENT OF ENERGY Approved Offer of Settlement For RMR (ER20–1708) to be effective 5/1/2020. disclose the results of such testing. Federal Energy Regulatory (4) This waiver shall remain in effect Filed Date: 5/11/21. Commission according to the provisions of 10 CFR Accession Number: 20210511–5043. 430.27. Combined Notice of Filings #1 Comments Due: 5 p.m. ET 6/1/21. (5) DOE issues this waiver on the Docket Numbers: ER21–1373–001; condition that the statements, Take notice that the Commission ER21–1376–001; ER21–1369–000; representations, test data, and received the following electric rate ER21–1371–000; ER21–1368–000. information provided by FOTILE are filings: Applicants: ES 1A Group 2 Opco, valid. If FOTILE makes any Docket Numbers: ER10–2398–010; LLC, ES 1A Group 3 Opco, LLC, modifications to the controls or ER10–2399–010; ER10–2406–011; Edwards Sanborn Storage I, LLC, configurations of these basic models, ER10–2409–010; ER10–2410–010; Edwards Sanborn Storage II, LLC, Valley such modifications will render the ER10–2411–011; ER10–2412–011; Center ESS, LLC. waiver invalid with respect to that basic ER10–2414–013; ER11–2935–012; Description: Supplement to the March model, and FOTILE will either be ER13–1816–013; ER14–1933–010; 12, 2021 ES 1A Group 2 Opco, LLC, et required to use the current Federal test ER16–1724–007; ER17–1315–008; al. tariff filings. method or submit a new application for ER17–2087–006; ER18–1189–005; Filed Date: 5/10/21. a test procedure waiver. DOE may ER19–1281–002; ER19–1282–003. Accession Number: 20210510–5212. rescind or modify this waiver at any Applicants: Blackstone Wind Farm, Comments Due: 5 p.m. ET 5/24/21. time if it determines the factual basis LLC, Blackstone Wind Farm II LLC, Docket Numbers: ER21–1653–000. underlying the petition for waiver is Headwaters Wind Farm LLC, High Trail Applicants: Deer Creek Solar I LLC. incorrect, or the results from the Wind Farm, LLC, Hog Creek Wind Description: Supplement to the April alternate test procedure are Project, LLC, Lexington Chenoa Wind 9, 2021 Deer Creek Solar I LLC tariff unrepresentative of a basic model’s true Farm LLC, Meadow Lake Wind Farm filing. energy consumption characteristics. 10 LLC, Meadow Lake Wind Farm II LLC, Filed Date: 5/10/21. CFR 430.27(k)(1). Likewise, FOTILE Meadow Lake Wind Farm III LLC, Accession Number: 20210510–5215. may request that DOE rescind or modify Meadow Lake Wind Farm IV LLC, Comments Due: 5 p.m. ET 5/20/21. the waiver if FOTILE discovers an error Meadow Lake Wind Farm V LLC, Docket Numbers: ER21–1877–000. in the information provided to DOE as Meadow Lake Wind Farm VI LLC, Old Applicants: Midcontinent part of its petition, determines that the Trail Wind Farm, LLC, Paulding Wind Independent System Operator, Inc., waiver is no longer needed, or for other Farm II LLC, Paulding Wind Farm III Michigan Electric Transmission appropriate reasons. 10 CFR LLC, Paulding Wind Farm IV LLC, Company, LLC. 430.27(k)(2). Sustaining Power Solutions LLC. Description: § 205(d) Rate Filing: (6) FOTILE remains obligated to fulfill Description: Notice of Non-Material _ any applicable requirements set forth at Change in Status of Blackstone Wind 2021–05–11 SA 3657 METC-Freshwater 10 CFR part 429. Farm, LLC, et al. Solar E&P (J1379) to be effective 4/20/ Filed Date: 5/10/21. 2021. Signing Authority Accession Number: 20210510–5222. Filed Date: 5/11/21. This document of the Department of Comments Due: 5 p.m. ET 6/1/21. Accession Number: 20210511–5033. Energy was signed on May 11, 2021, by Docket Numbers: ER10–2718–037; Comments Due: 5 p.m. ET 6/1/21. Kelly Speakes-Backman, Principal ER10–2719–038. Docket Numbers: ER21–1878–000.

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Applicants: Sundance Wind Project eFiling is encouraged. More detailed Filing—Macquarie Energy LLC to be Holdings LLC. information relating to filing effective 5/8/2021. Description: Tariff Cancellation: requirements, interventions, protests, Filed Date: 5/7/21. Notice of Cancellation of Market-Based service, and qualifying facilities filings Accession Number: 20210507–5190. Rate Tariff to be effective 7/11/2021. can be found at: http://www.ferc.gov/ Comments Due: 5 p.m. ET 5/19/21. Filed Date: 5/11/21. docs-filing/efiling/filing-req.pdf. For Docket Numbers: RP21–818–000. Accession Number: 20210511–5051. other information, call (866) 208–3676 Applicants: Midwestern Gas Comments Due: 5 p.m. ET 6/1/21. (toll free). For TTY, call (202) 502–8659. Transmission Company. Docket Numbers: ER21–1879–000. Description: § 4(d) Rate Filing: Update Dated: May 11, 2021. to Remove Neg Rate PAL Agreement— Applicants: Farmington Solar, LLC. Debbie-Anne A. Reese, Description: Baseline eTariff Filing: Exelon Generation Co to be effective 6/ Deputy Secretary. Farmington Solar, LLC Application for 10/2021. MBR Authority to be effective 5/12/ [FR Doc. 2021–10321 Filed 5–14–21; 8:45 am] Filed Date: 5/7/21. 2021. BILLING CODE 6717–01–P Accession Number: 20210507–5032. Comments Due: 5 p.m. ET 5/19/21. Filed Date: 5/11/21. Accession Number: 20210511–5054. Docket Numbers: RP21–819–000. Comments Due: 5 p.m. ET 6/1/21. DEPARTMENT OF ENERGY Applicants: Viking Gas Transmission Company. Docket Numbers: ER21–1880–000. Federal Energy Regulatory Description: § 4(d) Rate Filing: Update Applicants: Niyol Wind, LLC. Commission to Remove Negotiated Rate PAL Description: Baseline eTariff Filing: Agreements—February 2021 to be Niyol Wind, LLC Application for MBR Combined Notice of Filings effective 6/10/2021. Authority to be effective 7/11/2021. Filed Date: 5/7/21. Filed Date: 5/11/21. Take notice that the Commission has received the following Natural Gas Accession Number: 20210507–5040. Accession Number: 20210511–5059. Comments Due: 5 p.m. ET 5/19/21. Pipeline Rate and Refund Report filings: Comments Due: 5 p.m. ET 6/1/21. The filings are accessible in the Docket Numbers: ER21–1881–000. Docket Numbers: RP12–609–000. Commission’s eLibrary system (https:// Applicants: Grand Tower Energy Applicants: Texas Gas Transmission, elibrary.ferc.gov/idmws/search/ Center, LLC. LLC. fercgensearch.asp) by querying the Description: Report Filing: 2020 Description: Tariff Cancellation: docket number. Notice of Cancellation of Reactive Tariff Operational Purchases and Sales Any person desiring to intervene or to be effective 5/12/2021. Reports. protest in any of the above proceedings Filed Date: 5/11/21. Filed Date: 4/30/21. must file in accordance with Rules 211 Accession Number: 20210511–5072. Accession Number: 20210430–5066. and 214 of the Commission’s Comments Due: 5 p.m. ET 6/1/21. Comments Due: 5 p.m. ET 5/12/21. Regulations (18 CFR 385.211 and Docket Numbers: ER21–1882–000. Docket Numbers: RP13–212–000. 385.214) on or before 5:00 p.m. Eastern Applicants: Duke Energy Carolinas, Applicants: Boardwalk Storage time on the specified comment date. LLC. Company, LLC. Protests may be considered, but Description: § 205(d) Rate Filing: Description: Report Filing: 2020 intervention is necessary to become a DEC—Southern Power—NCEMC Operational Purchases and Sales party to the proceeding. Dynamic Power Agreement RS–570 to Reports. eFiling is encouraged. More detailed be effective 7/11/2021. Filed Date: 4/30/21. information relating to filing Filed Date: 5/11/21. Accession Number: 20210430–5067. requirements, interventions, protests, Accession Number: 20210511–5078. Comments Due: 5 p.m. ET 5/12/21. service, and qualifying facilities filings Comments Due: 5 p.m. ET 6/1/21. Docket Numbers: RP21–806–000. can be found at: http://www.ferc.gov/ Docket Numbers: ER21–1883–000. Applicants: Cameron Interstate docs-filing/efiling/filing-req.pdf. For Applicants: ISO New England Inc. Pipeline, LLC. other information, call (866) 208–3676 Description: § 205(d) Rate Filing: Description: Annual Operational (toll free). For TTY, call (202) 502–8659. Transactions Report of Cameron True-Up of Section III.13.7 to Reflect Dated: May 11, 2021. Only Commission-Accepted Language Interstate Pipeline, LLC under RP21– Debbie-Anne A. Reese, to be effective 4/1/2021. 806. Filed Date: 5/11/21. Filed Date: 4/30/21. Deputy Secretary. Accession Number: 20210511–5102. Accession Number: 20210430–5608. [FR Doc. 2021–10320 Filed 5–14–21; 8:45 am] Comments Due: 5 p.m. ET 6/1/21. Comments Due: 5 p.m. ET 5/12/21. BILLING CODE 6717–01–P The filings are accessible in the Docket Numbers: RP21–817–000. Applicants: Natural Gas Pipeline Commission’s eLibrary system (https:// DEPARTMENT OF ENERGY elibrary.ferc.gov/idmws/search/ Company of America. fercgensearch.asp) by querying the Description: § 4(d) Rate Filing: Federal Energy Regulatory docket number. Amendment to a Negotiated Rate Commission Any person desiring to intervene or Agreement—Macquarie Energy LLC to protest in any of the above proceedings be effective 5/8/2021. [Project No. 2955–011] Filed Date: 5/7/21. must file in accordance with Rules 211 City of Watervliet, New York; Notice of and 214 of the Commission’s Accession Number: 20210507–5002. Comments Due: 5 p.m. ET 5/19/21. Application Ready for Environmental Regulations (18 CFR 385.211 and Analysis and Soliciting Comments, 385.214) on or before 5:00 p.m. Eastern Docket Numbers: RP21–817–001. Recommendations, Terms and time on the specified comment date. Applicants: Natural Gas Pipeline Conditions, and Prescriptions Protests may be considered, but Company of America. intervention is necessary to become a Description: Tariff Amendment: Take notice that the following party to the proceeding. Amendment to a Negotiated Rate hydroelectric application has been filed

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with the Commission and is available page of any filing should include docket ‘‘eLibrary’’ link. Enter the docket for public inspection. number P–2955–011. number excluding the last three digits in a. Type of Application: Subsequent The Commission’s Rules of Practice the docket number field to access the Minor License. require all intervenors filing documents document. For assistance, contact FERC b. Project No.: P–2955–011. with the Commission to serve a copy of Online Support. c. Date Filed: February 28, 2020. that document on each person on the All filings must (1) bear in all capital d. Applicant: City of Watervliet, New official service list for the project. letters the title ‘‘COMMENTS,’’ ‘‘REPLY York. Further, if an intervenor files comments COMMENTS,’’ e. Name of Project: Normanskill or documents with the Commission ‘‘RECOMMENDATIONS,’’ ‘‘TERMS Hydroelectric Project. relating to the merits of an issue that AND CONDITIONS,’’ or f. Location: The project is located on may affect the responsibilities of a ‘‘PRESCRIPTIONS;’’ (2) set forth in the the Normans Kill in Guilderland, particular resource agency, they must heading the name of the applicant and Albany County, New York. The project also serve a copy of the document on the project number of the application to does not occupy any federal land. that resource agency. which the filing responds; (3) furnish g. Filed Pursuant to: Federal Power k. This application has been accepted the name, address, and telephone Act 16 U.S.C. 791 (a)–825(r). and is now ready for environmental number of the person submitting the h. Applicant Contact: Michele E. analysis. filing; and (4) otherwise comply with Stottler, Gomez and Sullivan Engineers, The Council on Environmental the requirements of 18 CFR 385.2001 DPC, 399 Albany Shaker Road, Suite Quality (CEQ) issued a final rule on July through 385.2005. All comments, 203, Loudonville, NY 12211; (518) 407– 15, 2020, revising the regulations under recommendations, terms and conditions 0050; email—mstottler@ 40 CFR parts 1500–1518 that federal or prescriptions must set forth their gomezandsullivan.com or Joseph agencies use to implement NEPA (see evidentiary basis and otherwise comply LaCivita, General Manager, The City of Update to the Regulations Implementing with the requirements of 18 CFR 4.34(b). Watervliet, 2 Fifteenth Street, the Procedural Provisions of the Agencies may obtain copies of the Watervliet, NY 12189; (518) 270–3800; National Environmental Policy Act, 85 application directly from the applicant. email—[email protected]. FR 43,304). The Final Rule became Each filing must be accompanied by i. FERC Contact: Woohee Choi at effective on and applies to any NEPA proof of service on all persons listed on (202) 502–6336; or woohee.choi@ process begun after September 14, 2020. the service list prepared by the ferc.gov. An agency may also apply the Commission in this proceeding, in j. Deadline for filing comments, regulations to ongoing activities and accordance with 18 CFR 4.34(b) and recommendations, terms and environmental documents begun before 385.2010. conditions, and prescriptions: 60 days September 14, 2020, which includes the You may also register online at http:// from the issuance date of this notice; proposed Normanskill Hydroelectric www.ferc.gov/docs-filing/ reply comments are due 105 days from Project. Commission staff intends to esubscription.asp to be notified via the issuance date of this notice. conduct its NEPA review in accordance email of new filings and issuances The Commission strongly encourages with CEQ’s new regulations. electronic filing. Please file comments, l. The Normanskill Project consists of: related to this or other pending projects. recommendations, terms and (1) A 380-foot-long reinforced concrete For assistance, contact FERC Online conditions, and prescriptions using the Ambursen-type dam with a 306-foot- Support. Commission’s eFiling system at https:// long overflow section having a crest n. A license applicant must file no ferconline.ferc.gov/FERCOnline.aspx. elevation of 259 feet National Geodetic later than 60 days following the date of Commenters can submit brief comments Vertical Datum of 1929 (NGVD29) issuance of this notice: (1) A copy of the up to 6,000 characters, without prior surmounted by 3-foot-high flashboards; water quality certification; (2) a copy of registration, using the eComment system (2) a 380-acre reservoir with a gross the request for certification, including at https://ferconline.ferc.gov/ volume of 3,600 acre-feet at the normal proof of the date on which the certifying QuickComment.aspx. You must include maximum pool elevation of 262 feet agency received the request; or (3) your name and contact information at NGVD29; (3) an intake structure and evidence of waiver of water quality the end of your comments. For sluiceway; (4) a 700-foot-long, 6-foot- certification. Please note that the assistance, please contact FERC Online diameter, concrete-encased steel, buried certification request must comply with Support at FERCOnlineSupport@ penstock; (5) a reinforced concrete 40 CFR 121.5(b), including ferc.gov, (866) 208–3676 (toll free), or underground powerhouse containing a documentation that a pre-filing meeting (202) 502–8659 (TTY). In lieu of single 1,250-kilowatt tube-type request was submitted to the certifying electronic filing, you may submit a generating unit; (6) a 600-foot-long, 2.4- authority at least 30 days prior to paper copy. Submissions sent via the kilovolt (kV) transmission line; (7) a 2.4/ submitting the certification request. U.S. Postal Service must be addressed 13.2-kV transformer bank; and (8) Please also note that the certification to: Kimberly D. Bose, Secretary, Federal appurtenant facilities. request must be sent to the certifying Energy Regulatory Commission, 888 The Normanskill Project is operated authority and to the Commission First Street NE, Washington, DC 20426. in a run-of-river mode with an average concurrently. Submissions sent via any other carrier annual generation of 2,863 megawatt- o. Procedural schedule: The must be addressed to: Kimberly D. Bose, hours between 2010 and 2019. application will be processed according Secretary, Federal Energy Regulatory m. A copy of the application can be to the following schedule. Revisions to Commission, 12225 Wilkins Avenue, viewed on the Commission’s website at the schedule will be made as Rockville, Maryland 20852. The first http://www.ferc.gov using the appropriate.

Milestone Target date

Deadline for Filing Comments, Recommendations, and Agency Terms and Conditions/Prescriptions ...... July 2021. Deadline for Filing Reply Comments ...... August 2021.

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Dated: May 11, 2021. assistance, please contact FERC Online total rated capacity of 927 kilowatts; (6) Kimberly D. Bose, Support at FERCOnlineSupport@ a 4-foot-high submerged stilling basin Secretary. ferc.gov, (866) 208–3676 (toll free), or weir approximately 60 feet downstream [FR Doc. 2021–10329 Filed 5–14–21; 8:45 am] (202) 502–8659 (TTY). In lieu of of the dam spillway; (7) a 20-foot-wide, BILLING CODE 6717–01–P electronic filing, you may submit a 90-foot-long tailrace; (8) a 20-foot-long paper copy. Submissions sent via the underground generator lead connecting U.S. Postal Service must be addressed to a step-up transformer that connects to DEPARTMENT OF ENERGY to: Kimberly D. Bose, Secretary, Federal a 13.2-kilovolt, 40-foot-long Energy Regulatory Commission, 888 underground transmission line that then Federal Energy Regulatory First Street NE, Washington, DC 20426. connects to a 15-foot-long aerial Commission Submissions sent via any other carrier transmission line before connecting to must be addressed to: Kimberly D. Bose, the regional grid; and (9) appurtenant [Project No. 3511–024] Secretary, Federal Energy Regulatory facilities. Lower Saranac Hydro, LLC; Notice of Commission, 12225 Wilkins Avenue, Lower Saranac Hydro proposes to Application Ready for Environmental Rockville, Maryland 20852. The first continue operating the project in a run- Analysis and Soliciting Comments, page of any filing should include docket of-river mode, with no changes to the Recommendations, Terms and number P–3511–024. existing operation or facilities. The Commission’s Rules of Practice m. A copy of the application can be Conditions, and Prescriptions require all intervenors filing documents viewed on the Commission’s website at Take notice that the following with the Commission to serve a copy of http://www.ferc.gov using the hydroelectric application has been filed that document on each person on the ‘‘eLibrary’’ link. Enter the docket with the Commission and is available official service list for the project. number excluding the last three digits in for public inspection. Further, if an intervenor files comments the docket number field to access the a. Type of Application: Subsequent or documents with the Commission document. For assistance, contact FERC Minor License. relating to the merits of an issue that Online Support. b. Project No.: P–3511–024. may affect the responsibilities of a All filings must (1) bear in all capital c. Date filed: May 29, 2020. particular resource agency, they must letters the title ‘‘COMMENTS,’’ ‘‘REPLY d. Applicant: Lower Saranac Hydro, also serve a copy of the document on COMMENTS,’’ LLC. that resource agency. ‘‘RECOMMENDATIONS,’’ ‘‘TERMS e. Name of Project: Groveville k. This application has been accepted AND CONDITIONS,’’ or Hydroelectric Project. and is now ready for environmental ‘‘PRESCRIPTIONS;’’ (2) set forth in the f. Location: On Fishkill Creek, in the analysis. heading the name of the applicant and City of Beacon, Dutchess County, New The Council on Environmental the project number of the application to York. The project does not occupy any Quality (CEQ) issued a final rule on July which the filing responds; (3) furnish federal land. 15, 2020, revising the regulations under the name, address, and telephone g. Filed Pursuant to: Federal Power 40 CFR parts 1500–1518 that federal number of the person submitting the Act 16 U.S.C. 791(a)–825(r). agencies use to implement NEPA (see filing; and (4) otherwise comply with h. Applicant Contact: Tim Carlsen, Update to the Regulations Implementing the requirements of 18 CFR 385.2001 CEO, Hydroland, Inc.,1 403 Madison the Procedural Provisions of the through 385.2005. All comments, National Environmental Policy Act, 85 recommendations, terms and conditions Ave. #240, Bainbridge Island, WA FR 43304). The Final Rule became or prescriptions must set forth their 98110; Phone at (844) 493–7612 or effective on and applies to any NEPA evidentiary basis and otherwise comply email at [email protected]. process begun after September 14, 2020. with the requirements of 18 CFR 4.34(b). i. FERC Contact: Jeremy Feinberg at An agency may also apply the Agencies may obtain copies of the (202) 502–6893 or jeremy.feinberg@ regulations to ongoing activities and application directly from the applicant. ferc.gov. environmental documents begun before Each filing must be accompanied by j. Deadline for filing comments, September 14, 2020, which includes the proof of service on all persons listed on recommendations, terms and proposed Groveville Project. the service list prepared by the conditions, and prescriptions: 60 days Commission staff intends to conduct its Commission in this proceeding, in from the issuance date of this notice; NEPA review in accordance with CEQ’s accordance with 18 CFR 4.34(b) and reply comments are due 105 days from new regulations. 385.2010. the issuance date of this notice. l. The Groveville Hydroelectric You may also register online at http:// The Commission strongly encourages Project consists of: (1) A 167-foot-long, www.ferc.gov/docs-filing/ electronic filing. Please file comments, 37-foot-high concrete gravity dam, with esubscription.asp to be notified via recommendations, terms and a 140-foot-long spillway having a crest email of new filings and issuances conditions, and prescriptions using the elevation of 172.4 feet National Geodetic related to this or other pending projects. Commission’s eFiling system at https:// Vertical Datum of 1929 (NGVD29) and For assistance, contact FERC Online ferconline.ferc.gov/FERCOnline.aspx. topped with 3-foot-high wooden Support. Commenters can submit brief comments flashboards; (2) an impoundment with a n. A license applicant must file no up to 6,000 characters, without prior gross storage capacity of approximately later than 60 days following the date of registration, using the eComment system 43 acre-feet and a surface area of 5 acres issuance of this notice: (1) A copy of the at https://ferconline.ferc.gov/ at a normal pool elevation of 175.4 feet water quality certification; (2) a copy of QuickComment.aspx. You must include NGVD29; (3) an intake structure with the request for certification, including your name and contact information at two gates and a 27-foot-high, 34-foot- proof of the date on which the certifying the end of your comments. For wide trash rack; (4) a 9-foot-diameter, agency received the request; or (3) approximately 140-foot-long riveted evidence of waiver of water quality 1 In a February 9, 2021 filing, the Commission was notified that Enel Green Power North America, steel underground penstock; (5) a certification. Please note that the Inc. transferred all its ownership interests for Lower powerhouse containing three fixed- certification request must comply with Saranac Hydro, LLC to Hydroland, Inc. output turbine-generator units with a 40 CFR 121.5(b), including

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documentation that a pre-filing meeting existing units from both the state date.4 Subsequent to the rulemaking, request was submitted to the certifying emissions budgets and the supplemental EPA has computed the amounts of authority at least 30 days prior to allowances, as well as the data upon supplemental allowances for each state submitting the certification request. which the allocations are based. according to the formula and has also Please also note that the certification FOR FURTHER INFORMATION CONTACT: determined the allocations of each request must be sent to the certifying Questions concerning this notice should state’s supplemental allowances among authority and to the Commission be addressed to Michael Cohen at (202) the state’s existing units. The rule does concurrently. 343–9497 or [email protected]. not provide for allocations of o. Procedural schedule: The supplemental allowances to new units. application will be processed according SUPPLEMENTARY INFORMATION: In the Through this NODA, EPA is providing to the following schedule. Revisions to Revised CSAPR Update, EPA notice of the availability of data on the the schedule will be made as established new emissions budgets for unit-level allocations of CSAPR NOX appropriate. ozone season emissions of nitrogen Ozone Season Group 3 allowances to oxides (NOX) in 2021 and subsequent existing units from both the state Milestone Target date years for 12 eastern states and emissions budgets and each state’s promulgated federal implementation supplemental allowances. The Deadline for Filing Com- July 2021. plan (FIP) provisions requiring affected allocations are shown in an Excel ments, Recommendations, units in those states to participate in the spreadsheet entitled ‘‘Updated Unit- and Agency Terms and CSAPR NOX Ozone Season Group 3 Level Allocations and Underlying Data Conditions/Prescriptions. 1 Deadline for Filing Reply August 2021. Trading Program. Beginning with the for the Revised CSAPR Update for the Comments. 2022 control period, each covered state 2008 Ozone NAAQS’’ that has been generally has the option to determine posted on EPA’s website at https:// how the CSAPR NO Ozone Season www.epa.gov/csapr/revised-cross-state- Dated: May 11, 2021. X Group 3 allowances in its state air-pollution-rule-update. The Kimberly D. Bose, emissions budget should be allocated spreadsheet contains the default unit- Secretary. among the state’s units through a state level allocations of allowances from the [FR Doc. 2021–10327 Filed 5–14–21; 8:45 am] implementation plan (SIP) revision.2 state emissions budgets for each control BILLING CODE 6717–01–P However, for the 2021 control period, period starting with 2021, the unit-level and by default for subsequent control allocations of supplemental allowances periods for which a state has not for the 2021 control period, and the data ENVIRONMENTAL PROTECTION provided EPA with the state’s own used to compute the allocations. The AGENCY allocations pursuant to an approved SIP spreadsheet is an update of an earlier version that was included in the docket [FRL–10023–79–OAR] revision, the unit-level allocations are determined by EPA. For units that for the final Revised CSAPR Update and Availability of Data on Allocations of commenced commercial operations that contained the same default Cross-State Air Pollution Rule before January 1, 2019, termed allocations of allowances from the state Allowances to Existing Electricity ‘‘existing’’ units for purposes of this emissions budgets but did not contain Generating Units trading program, EPA determined the allocations of supplemental default allocations of CSAPR NOX allowances. All allocations have been AGENCY: Environmental Protection Ozone Season Group 3 allowances from determined according to the allocation Agency (EPA). the state emissions budgets for all methodology finalized in the Revised ACTION: Notice of data availability. control periods in the Revised CSAPR CSAPR Update rulemaking.5 EPA is not Update rulemaking. For units requesting comment on the allocations, SUMMARY: Under the Cross-State Air commencing commercial operation on the underlying data, or the allocation Pollution Rule (CSAPR) trading program methodology. regulations, EPA allocates emission or after January 1, 2019, termed ‘‘new’’ units for purposes of this trading In accordance with the deadlines set allowances to existing electricity forth in the regulations, EPA will generating units as provided in a notice program, EPA will determine the default allocations annually after each control generally record allocations of CSAPR of data availability (NODA). In the NOX Ozone Season Group 3 allowances Revised CSAPR Update promulgated period by applying a methodology in the regulations to data for that control to existing units for the 2021 control earlier this year, EPA finalized default 6 period.3 period by July 29, 2021. EPA will also allocations of CSAPR NOX Ozone generally record allocations to existing Season Group 3 allowances to existing To ensure that the enhanced control units for the 2022 control period by that units in Illinois, Indiana, Kentucky, stringency of the Revised CSAPR same date except in instances where a Louisiana, Maryland, Michigan, New Update’s new state emissions budgets state has provided EPA with timely Jersey, New York, Ohio, Pennsylvania, will apply only after the rule’s effective notice of the state’s intent to submit a Virginia, and West Virginia from the date, for the control period in 2021 the SIP revision with state-determined new state emissions budgets for the rule provides for EPA to issue allowance allocations replacing EPA’s control periods in 2021 and subsequent supplemental allowances for the default allocations for the 2022 control years. In the same rule, EPA also covered states in amounts determined period.7 However, in the case of any finalized a formula for determining under a formula that accounts for the source that has not yet fully complied supplemental amounts of allowances to portion of the 2021 ozone season with the Revised CSAPR Update’s be issued for the 12 states for the 2021 occurring before the rule’s effective control period and a methodology for 4 See 40 CFR 97.1010(d). allocating each state’s supplemental 1 See Revised Cross-State Air Pollution Rule 5 See Allowance Allocation Under the Revised allowances among the state’s existing Update for the 2008 Ozone NAAQS, 86 FR 23054 CSAPR Update Final Rule TSD, available at https:// (April 30, 2021). www.epa.gov/csapr/revised-cross-state-air- units. Through this NODA, EPA is 2 See 40 CFR 52.38(b)(10) through (12) as pollution-rule-update; see also 86 FR 23128–34. providing notice of the availability of amended in the Revised CSAPR Update. 6 See 40 CFR 97.1021(a). data on the allowance allocations to 3 See 40 CFR 97.1011(b) and 97.1012. 7 See 40 CFR 97.1021(b).

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requirements concerning the recall of ADDRESSES: For information on the meeting, to give EPA as much time as CSAPR NOX Ozone Season Group 2 public meeting or to register to attend, possible to process your request. allowances allocated for control periods please contact [email protected]. Julia Burch, after 2020, recordation of CSAPR NOX FOR FURTHER INFORMATION CONTACT: Any Designated Federal Officer, Mobile Source Ozone Season Group 3 allowances will member of the public who wishes to Technical Review Subcommittee, Office of be deferred until the source has fully Transportation and Air Quality. complied with the recall requirements.8 attend the meeting or provide comments [FR Doc. 2021–10301 Filed 5–14–21; 8:45 am] EPA notes that an allocation or lack should express this intent by emailing of allocation of emission allowances to [email protected] no later than Tuesday, BILLING CODE 6560–50–P a given unit does not constitute a June 1, 2021. Further information determination that CSAPR does or does concerning this public meeting and general information concerning the ENVIRONMENTAL PROTECTION not apply to the unit.9 EPA also notes AGENCY that allocations are subject to potential MSTRS can be found at: https:// termination or correction under the www.epa.gov/caaac/mobile-sources- [FRL–10023–68–OAR] regulations.10 technical-review-subcommittee-mstrs- caaac. Other MSTRS inquiries can be Administration of Cross-State Air Authority: 40 CFR 97.1011(a)(1). directed to Julia Burch, the Designated Pollution Rule Trading Program Reid Harvey, Federal Officer for MSTRS, Office of Assurance Provisions for 2020 Control Periods Director, Clean Air Markets Division, Office Transportation and Air Quality, at 202– of Atmospheric Programs, Office of Air and 564–0961 or [email protected]. AGENCY: Environmental Protection Radiation. SUPPLEMENTARY INFORMATION: During the Agency (EPA). [FR Doc. 2021–10304 Filed 5–14–21; 8:45 am] meeting, the Subcommittee may also ACTION: Notice of data availability. BILLING CODE 6560–50–P hear progress reports from its SUMMARY: The Environmental Protection workgroups as well as updates and Agency (EPA) is providing notice of the announcements on Office of ENVIRONMENTAL PROTECTION availability of data on the Transportation and Air Quality AGENCY administration of the assurance activities of general interest to provisions of the Cross-State Air attendees. [FRL–10023–28–OAR] Pollution Rule (CSAPR) trading Participation in virtual public programs for the control periods in Announcing Upcoming Meeting of meetings. Please note that EPA is 2020. Total emissions of nitrogen oxides Mobile Sources Technical Review deviating from its typical approach (NOX) reported by Mississippi and Subcommittee because the President has declared a Missouri units participating in the national emergency. Because of current CSAPR NOX Ozone Season Group 2 AGENCY: Environmental Protection CDC recommendations, as well as state Trading Program during the 2020 Agency (EPA). and local orders for social distancing to control period exceeded the respective ACTION: Notice. limit the spread of COVID–19, EPA states’ assurance levels under the cannot hold in-person public meetings program. Data demonstrating the SUMMARY: Pursuant to the Federal at this time. exceedances and EPA’s preliminary Advisory Committee Act, EPA calculations of the amounts of announces an upcoming meeting of the The virtual public meeting will provide interested parties the additional allowances that the owners Mobile Sources Technical Review and operators of certain Mississippi and Subcommittee (MSTRS), which is a opportunity to participate in this Federal Advisory Committee meeting. Missouri units must surrender have subcommittee under the Clean Air Act been posted in a spreadsheet on EPA’s Advisory Committee (CAAAC). This is a EPA is asking all meeting attendees, website. EPA will consider timely virtual meeting and open to the public. even those who do not intend to speak, objections to the data and calculations The meeting will include discussion of to register for the meeting by sending an before making final determinations of current topics and presentations about email to the address listed in the FOR the amounts of additional allowances activities being conducted by EPA’s FURTHER INFORMATION CONTACT section that must be surrendered. Office of Transportation and Air above, by Tuesday, June 1, 2021. This DATES: Objections to the information Quality. MSTRS listserv subscribers will will help EPA ensure that sufficient referenced in this notice must be receive notification when the agenda is participation capacity will be available. received on or before June 16, 2021. available on the Subcommittee website. Please note that any updates made to To subscribe to the MSTRS listserv, ADDRESSES: Submit your objections via any aspect of the meeting logistics, send an email to [email protected]. email to [email protected]. Include including potential additional sessions, ‘‘2020 CSAPR Assurance Provisions’’ in DATES: EPA will hold a virtual public will be posted online at https:// the email subject line and include your meeting on Tuesday, June 15, 2021 from www.epa.gov/caaac/mobile-sources- name, title, affiliation, address, phone 9:00 a.m. to 5:00 p.m. Eastern Daylight technical-review-subcommittee-mstrs- number, and email address in the body Time (EDT). Please monitor the website caaac. While EPA expects the meeting of the email. https://www.epa.gov/caaac/mobile- to go forward as set forth above, please FOR FURTHER INFORMATION CONTACT: sources-technical-review-subcommittee- monitor the website for any updates. mstrs-caaac for any changes to meeting Questions concerning this action should logistics. The final meeting agenda will For individuals with disabilities: For be addressed to Garrett Powers at (202) be posted on the website. information on access or services for 564–2300 or [email protected]. individuals with disabilities, please SUPPLEMENTARY INFORMATION: The email [email protected]. To request 8 See 40 CFR 97.1021(m); see also 40 CFR regulations for each CSAPR trading 97.811(d). accommodate of a disability, please program contain ‘‘assurance provisions’’ 9 See 40 CFR 97.1011(a)(1). email [email protected], preferably at designed to ensure that the emissions 10 See 40 CFR 97.1011(a)(2) and (c). least 10 business days prior to the reductions required from each state

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covered by the program occur within surrender as a result of the exceedances, (3) the reasons why EPA should rely on the state. If the total emissions from a as required under 40 CFR the commenter’s proposed data or given state’s affected units exceed the 97.825(b)(2)(ii).1 By October 1, 2021, calculations and not the data and state’s assurance level under the EPA will provide notice of the final calculations referenced in this notice. program, then two allowances must be calculations of the amounts of surrendered for each ton of emissions additional allowances that must be (Authority: 40 CFR 97.825(b)) exceeding the assurance level (in surrendered, incorporating any Reid Harvey, addition to the ordinary obligation to adjustments made in response to Director, Clean Air Markets Division, Office surrender one allowance for each ton of objections received, as required under of Atmospheric Programs, Office of Air and emissions). In the quarterly emissions 40 CFR 97.825(b)(2)(iii)(B). Each set of Radiation. reports covering the 2020 control owners and operators identified [FR Doc. 2021–10303 Filed 5–14–21; 8:45 am] period, Mississippi and Missouri units pursuant to the notice of the final BILLING CODE 6560–50–P participating in the CSAPR NOX Ozone calculations must hold the required Season Group 2 Trading Program additional allowances in an assurance reported emissions that exceed the account by November 1, 2021. respective states’ assurance levels under The data and preliminary calculations EXPORT-IMPORT BANK the program. Mississippi units exceeded are set forth in an Excel spreadsheet entitled ‘‘2020_CSAPR_assurance_ that state’s assurance level by 260 tons, Information Request on U.S. and provision_calculations_prelim.xlsx’’ resulting in a requirement for the Foreign Content in Transformational surrender of 520 additional allowances, available at http://www.epa.gov/csapr/ Exports; Extension of Comment Period and Missouri units exceeded that state’s csapr-assurance-provision-nodas. The assurance level by 2,448 tons, resulting spreadsheet contains data for the 2020 AGENCY: Export-Import Bank of the in a requirement for the surrender of control period showing, for each United States. 4,896 additional allowances. Mississippi and Missouri unit identified When a state’s assurance level is as affected under the CSAPR NOX ACTION: Notice. exceeded, responsibility for Ozone Season Group 2 Trading surrendering the required additional Program, the amount of NOX emissions SUMMARY: On April 23, 2021, the Export- allowances is apportioned among reported by the unit and the amount of Import Bank of the United States (EXIM) groups of units in the state represented CSAPR NOX Ozone Season Group 2 requested information on the U.S. and by ‘‘common designated allowances allocated to the unit, foreign content in certain representatives’’ based on the extent to including any allowances allocated from transformational export areas and which each such group’s emissions a new unit set-aside. The spreadsheet exceeded the group’s share of the state’s also contains calculations for the 2020 sought public comment within 21 days of the date the notice appeared in the assurance level. For the CSAPR NOX control period showing the total NOX Ozone Season Group 2 Trading emissions reported by all such units in Federal Register. Program, the procedures are set forth at each state and the amounts by which FOR FURTHER INFORMATION CONTACT: 40 CFR 97.802 (definitions of ‘‘common the total reported NOX emissions Interested parties may also submit designated representative,’’ ‘‘common exceeded the respective states’ comments to [email protected] designated representative’s assurance assurance levels under the program. or by mail to 811 Vermont Avenue NW, level,’’ and ‘‘common designated Finally, the spreadsheet also includes Room 1261, Washington, DC 20571. representative’s share’’), 97.806(c)(2), calculations for the 2020 control period and 97.825. Applying the procedures in showing, for each common designated SUPPLEMENTARY INFORMATION: EXIM is the regulations for the 2020 control representative for a group of such units extending the comment period on FR period, EPA has completed preliminary in each state, the common designated Doc. 2021–08418 an additional 14 days calculations indicating that representative’s share of the total to May 28th, 2021. Comments can be responsibility for surrendering 520 reported NOX emissions, the common made at www.regulations.gov by additional allowances in Mississippi designated representative’s share of the searching EIB–2021–0001. should be apportioned between the state’s assurance level, and the amount Authority: To assist the Export-Import groups of units operated by Entergy of additional CSAPR NOX Ozone Season Corporation and Mississippi Power Group 2 allowances that the owners and Bank of the United States (EXIM) in the Company, while responsibility for operators of the units in the group must implementation of its historic seven- surrendering 4,896 additional surrender. year reauthorization and directive to allowances in Missouri should be Any objections should be strictly establish a new ‘‘Program on China and apportioned almost entirely to the group limited to whether EPA has identified Transformational Exports’’ (‘‘directive’’), of units operated by Associated Electric the data and performed the calculations EXIM seeks information on the level of Cooperative, Inc., with much smaller in the spreadsheet correctly in U.S. and foreign content in U.S. exports shares apportioned to the groups of accordance with the regulations. in the identified transformational export units operated by the municipal utilities Objections must include (1) precise areas. of Chillicothe and Higginsville. identification of the specific data or In this document, EPA is providing calculations the commenter believes are Scott Condren, notice of the data relied on to determine inaccurate, (2) new proposed data or Sr. Policy Analyst, Office of Policy Analysis the amounts of the exceedances of the calculations upon which the commenter and International Relations. Mississippi and Missouri assurance believes EPA should rely instead, and [FR Doc. 2021–10323 Filed 5–14–21; 8:45 am] levels discussed above, as required BILLING CODE 6690–01–P under 40 CFR 97.825(b)(1)(ii), and 1 The regulations allow the notice under notice of the preliminary calculations of § 97.825(b)(2)(ii) to be published approximately two months after the notice under § 97.825(b)(1)(ii), but the amounts of additional allowances in this instance EPA already has all the information that the owners and operators of certain needed to prepare both notices and therefore is Mississippi and Missouri units must publishing them together.

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FEDERAL COMMUNICATIONS Type of Review: Revision of a following information collection. COMMISSION currently approved collection. Pursuant to the Small Business Respondents: Business or other for- Paperwork Relief Act of 2002, the FCC [OMB 3060–1186; FRS 26814] profit entities. seeks specific comment on how it can Information Collection Being Reviewed Number of Respondents and further reduce the information by the Federal Communications Responses: 56 respondents; 56 collection burden for small business Commission responses. concerns with fewer than 25 employees. Estimated Time per Response: 1 hour. DATES: Written comments and AGENCY: Federal Communications Frequency of Response: Third-party recommendations for the proposed Commission. disclosure requirement. information collection should be ACTION: Notice and request for Obligation to Respond: Mandatory. submitted on or before June 16, 2021. comments. Statutory authority for this collection is ADDRESSES: Comments should be sent to contained in sections 201, 202, 217, 218, www.reginfo.gov/public/do/PRAMain. SUMMARY: As part of its continuing effort 220(a), 251(a), and 403 of the Find this particular information to reduce paperwork burdens, and as Communications Act of 1934, as collection by selecting ‘‘Currently under required by the Paperwork Reduction amended, 47 U.S.C. 201, 202, 217, 218, 30-day Review—Open for Public Act of 1995 (PRA), the Federal 220(a), 251(a), 403. Comments’’ or by using the search Communications Commission (FCC or Total Annual Burden: 56 hours. function. Your comment must be Commission) invites the general public Total Annual Cost: No Cost. submitted into www.reginfo.gov per the and other Federal agencies to take this Privacy Act Impact Assessment: No above instructions for it to be opportunity to comment on the impact(s). considered. In addition to submitting in following information collections. Nature and Extent of Confidentiality: www.reginfo.gov also send a copy of Comments are requested concerning: The Commission is not requesting that your comment on the proposed Whether the proposed collection of the respondents submit confidential information collection to Cathy information is necessary for the proper information to the FCC. Respondents Williams, FCC, via email to PRA@ performance of the functions of the may, however, request confidential fcc.gov and to [email protected]. Commission, including whether the treatment for information they believe to Include in the comments the OMB information shall have practical utility; be confidential under 47 CFR 0.459 of control number as shown in the the accuracy of the Commission’s the Commission’s rules. SUPPLEMENTARY INFORMATION below. burden estimate; ways to enhance the Needs and Uses: The Commission has FOR FURTHER INFORMATION CONTACT: For quality, utility, and clarity of the found that rural call completion is a additional information or copies of the information collected; ways to minimize continuing problem imposing needless information collection, contact Cathy the burden of the collection of economic and personal costs on local Williams at (202) 418–2918. To view a information on the respondents, communities, and that continued copy of this information collection including the use of automated Commission focus on the issue is request (ICR) submitted to OMB: (1) Go collection techniques or other forms of warranted. The rural call completion to the web page http://www.reginfo.gov/ information technology; and ways to contact information will be used to public/do/PRAMain, (2) look for the further reduce the information facilitate industry collaboration to section of the web page called collection burden on small business address call completion issues. ‘‘Currently Under Review,’’ (3) click on concerns with fewer than 25 employees. Federal Communications Commission. the downward-pointing arrow in the The FCC may not conduct or sponsor a ‘‘Select Agency’’ box below the collection of information unless it Marlene Dortch, Secretary, Office of the Secretary. ‘‘Currently Under Review’’ heading, (4) displays a currently valid Office of select ‘‘Federal Communications [FR Doc. 2021–10307 Filed 5–14–21; 8:45 am] Management and Budget (OMB) control Commission’’ from the list of agencies number. No person shall be subject to BILLING CODE 6712–01–P presented in the ‘‘Select Agency’’ box, any penalty for failing to comply with (5) click the ‘‘Submit’’ button to the a collection of information subject to the right of the ‘‘Select Agency’’ box, (6) PRA that does not display a valid OMB FEDERAL COMMUNICATIONS COMMISSION when the list of FCC ICRs currently control number. under review appears, look for the Title DATES: Written PRA comments should [OMB 3060–0854 and 3060–0422; FRS of this ICR and then click on the ICR be submitted on or before July 16, 2021. 26815] Reference Number. A copy of the FCC If you anticipate that you will be submission to OMB will be displayed. Information Collections Being submitting comments, but find it SUPPLEMENTARY INFORMATION: The difficult to do so within the period of Submitted for Review and Approval to Office of Management and Budget Commission may not conduct or time allowed by this notice, you should sponsor a collection of information advise the contact listed below as soon AGENCY: Federal Communications unless it displays a currently valid as possible. Commission. Office of Management and Budget ADDRESSES: Direct all PRA comments to ACTION: Notice and request for (OMB) control number. No person shall Nicole Ongele, FCC, via email PRA@ comments. be subject to any penalty for failing to fcc.gov and to [email protected]. comply with a collection of information FOR FURTHER INFORMATION CONTACT: For SUMMARY: As part of its continuing effort subject to the PRA that does not display additional information about the to reduce paperwork burdens, as a valid OMB control number. information collection, contact Nicole required by the Paperwork Reduction As part of its continuing effort to Ongele, (202) 418–2991. Act (PRA) of 1995, the Federal reduce paperwork burdens, as required OMB Control Number: 3060–1186. Communications Commission (FCC or by the Paperwork Reduction Act (PRA) Title: Rural Call Completion, WC the Commission) invites the general of 1995 (44 U.S.C. 3501–3520), the FCC Docket No. 13–39. public and other Federal Agencies to invited the general public and other Form Number: N/A. take this opportunity to comment on the Federal Agencies to take this

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opportunity to comment on the principles and guidelines designed to Respondents: Business or other for- following information collection. reduce telecommunications fraud, such profit entities; not-for-profit entities. Comments are requested concerning: (a) as slamming and cramming, by making Number of Respondents and Whether the proposed collection of bills easier for consumers to read and Responses: 331 respondents; 3,030 information is necessary for the proper understand, and thereby, making such responses. performance of the functions of the fraud easier to detect and report. In Estimated Time per Response: 0.25 Commission, including whether the 2000, Truth-in-Billing and Billing hour (15 minutes) to 24 hours. information shall have practical utility; Format, CC Docket No. 98–170, Order Frequency of Response: Annual and (b) the accuracy of the Commission’s on Reconsideration, (2000 on-occasion reporting requirements; burden estimates; (c) ways to enhance Reconsideration Order); published at 65 Third party disclosure requirement. the quality, utility, and clarity of the FR 43251, July 13, 2000, the Obligation to Respond: Required to information collected; and (d) ways to Commission, granted in part petitions obtain or retain benefits. The statutory minimize the burden of the collection of for reconsideration of the requirements authority for this information collection information on the respondents, that bills highlight new service is found at section 710 of the including the use of automated providers and prominently display Communications Act of 1934, as collection techniques or other forms of inquiry contact numbers. On March 18, amended, 47 U.S.C. 610. information technology. Pursuant to the 2005, the Commission released Truth- Total Annual Burden: 7,242 hours. Small Business Paperwork Relief Act of in-Billing and Billing Format; National Total Annual Cost: $487,500. 2002, Public Law 107–198, see 44 U.S.C. Association of State Utility Consumer Nature and Extent of Confidentiality: 3506(c)(4), the FCC seeks specific Advocates’ Petition for Declaratory An assurance of confidentiality is not comment on how it might ‘‘further Ruling Regarding Truth-in-Billing, offered because this information reduce the information collection Second Report and Order, Declaratory collection does not require the burden for small business concerns with Ruling, and Second Further Notice of collection of personally identifiable fewer than 25 employees.’’ Proposed Rulemaking, CC Docket No. information from individuals. OMB Control Number: 3060–0854. 98–170, CG Docket No. 04–208, (2005 Privacy Impact Assessment: No Title: Section 64.2401, Truth-in- Second Report and Order and Second impact(s). Billing Format, CC Docket No. 98–170 Further Notice); published at 70 FR Needs and Uses: This notice and and CG Docket No. 04–208. 29979 and 70 FR 30044, May 25, 2005, request for comments pertains to the Form Number: N/A. which determined, inter alia, that extension of the currently approved Type of Review: Extension of a Commercial Mobile Radio Service information collection requirements currently approved collection. providers no longer should be exempted concerning hearing aid compatibility Respondents: Business or other for- from 47 CFR 64.2401(b), which requires (HAC) for wireline handsets used with profit entities. billing descriptions to be brief, clear, the legacy telephone network and with Number of Respondents and non-misleading and in plain language. advanced communications services Responses: 4,165 respondents; 23,157 The 2005 Second Further Notice (ACS), such as Voice over internet responses. proposed and sought comment on Estimated Time per Response: 2 to Protocol (VoIP). The latter are known as measures to enhance the ability of ACS telephonic customer premises 230 hours. consumers to make informed choices Frequency of Response: On occasion equipment (ACS telephonic CPE). among competitive telecommunications reporting requirement; Third party Beginning in the 1980s, the service providers. disclosure requirement. Commission adopted a series of Obligation to Respond: Required to On April 27, 2012, the Commission regulations to implement statutory obtain or retain benefits. The statutory released the Empowering Consumers to directives requiring wireline telephone authority for this information collection Prevent and Detect Billing for handsets in the United States (for use is found at section 201(b) of the Unauthorized Charges (‘‘Cramming’’), with the legacy telephone network) to Communications Act of 1934, as Report and Order and Further Notice of be hearing aid compatible. In 2010, the amended, 47 U.S.C. 201(b), and section Proposed Rulemaking, CG Docket No. Twenty-First Century Communications 258, 47 U.S.C. 258, Public Law 104–104, 11–116, CG Docket No. 09–158, CC and Video Accessibility Act (CVAA), 110 Stat. 56. The Commission’s Docket No. 98–170, FCC 12–42 Public Law 111–260, sec. 102, 710(b), implementing rules are codified at 47 (Cramming Report and Order and 124 Stat. 2751, 2753 (CVAA) (codified at CFR 64.2400. Further Notice of Proposed 47 U.S.C. 610(b)), amended by Public Total Annual Burden: 1,872,245 Rulemaking); published at 77 FR 30972, Law 111–265, 124 Stat. 2795 (technical hours. May 24, 2012, which determined that corrections to the CVAA), amended Total Annual Cost: $10,000,000. additional rules are needed to help section 710(b) of the Communications Nature and Extent of Confidentiality: consumers prevent and detect the Act of 1934, to apply the HAC An assurance of confidentiality is not placement of unauthorized charges on requirements to ACS telephonic CPE, offered because this information their telephone bills, an unlawful and including VoIP telephones. In collection does not require the fraudulent practice commonly referred accordance with this provision, the collection of personally identifiable to as ‘‘cramming.’’ Commission adopted Access to information from individuals. OMB Control Number: 3060–0422. Telecommunications Equipment and Privacy Impact Assessment: No Title: Hearing Aid Compatibility; Services by Persons with Disabilities et impact(s). Access to Telecommunications al., Report and Order and Order on Needs and Uses: In 1999, the Equipment and Services by Persons Reconsideration, FCC 17–135, released Commission released the Truth-in- with Disabilities; Section 68.5 Waivers, October 26, 2017, which amended the Billing and Billing Format, CC Docket CC Docket No. 87–124 and CG Docket HAC rules to cover ACS telephonic CPE No. 98–170, First Report and Order and No. 13–46. to the extent such devices are designed Further Notice of Proposed Rulemaking, Form Number: N/A. to be held to the ear and provide two- (1999 TIB Order); published at 64 FR Type of Review: Revision of a way voice communication via a built-in 34488, June 25, 1999, which adopted currently approved collection. speaker.

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The information collections contain telephonic CPE with the hearing aid ACTION: Notice and request for third-party disclosure and labeling compatibility rules and other applicable comments. requirements. The information is used technical criteria. A Supplier’s to inform consumers who purchase or Declaration of Conformity is a SUMMARY: As part of its continuing effort use wireline telephone equipment procedure whereby a responsible party to reduce paperwork burdens, as whether the telephone is hearing aid makes measurements or takes steps to required by the Paperwork Reduction compatible; to ensure that ensure that CPE complies with technical Act (PRA) of 1995, the Federal manufacturers comply with applicable standards, which results in a document Communications Commission (FCC or regulations and technical criteria; to by the same name.) Section 68.501 of the Commission) invites the general ensure that information about ACS the Commission’s rules applies to ACS public and other Federal Agencies to telephonic CPE is available in a telephonic CPE the rule sections take this opportunity to comment on the database administered by the defining the roles of TCBs and the uses following information collection. Administrative Council for Terminal of Supplier’s Declarations of Conformity Pursuant to the Small Business Attachments (ACTA) (an organization, for wireline handsets used with the Paperwork Relief Act of 2002, the FCC previously created pursuant to FCC legacy telephone network. seeks specific comment on how it might regulations, whose key function is to • 47 CFR 68.504 of the Commission’s ‘‘further reduce the information maintain a database of telephone rules requires information about ACS collection burden for small business equipment); and to facilitate the filing of telephonic CPE to be included in a concerns with fewer than 25 complaints about the ACS telephonic database administered by ACTA. In employees.’’ The Commission may not CPE. addition, ACS telephonic CPE must be conduct or sponsor a collection of information unless it displays a Wireline Handsets Used With the labeled as required by ACTA. • 47 CFR 68.502(b)–(d) of the currently valid Office of Management Legacy Telephone Network and Budget (OMB) control number. No • Commission’s rules requires responsible 47 CFR 68.224 requires that every parties to: Warrant that ACS telephonic person shall be subject to any penalty non-hearing aid compatible wireline CPE complies with applicable for failing to comply with a collection telephone used with the legacy wireline regulations and technical criteria; give of information subject to the PRA that network that is offered for sale to the the user instructions required by ACTA does not display a valid OMB control public contain in a conspicuous for ACS telephonic CPE that is hearing number. location on the surface of its packaging aid compatible; give the user a notice for DATES: Written comments and a statement that the telephone is not ACS telephonic CPE that is not hearing recommendations for the proposed hearing aid compatible. If the handset is aid compatible; and notify the purchaser information collection should be offered for sale without a surrounding or user of ACS telephonic CPE whose submitted on or before June 16, 2021. package, then the telephone must be approval is revoked, that the purchaser ADDRESSES: Comments should be sent to affixed with a written statement that the or user must discontinue its use. www.reginfo.gov/public/do/PRAMain. telephone is not hearing aid compatible. • 47 CFR 68.503 of the Commission’s Find this particular information In addition, each handset must be rules requires manufacturers of ACS collection by selecting ‘‘Currently under accompanied by instructions in telephonic CPE to designate an agent for 30-day Review—Open for Public accordance with 47 CFR 62.218(b)(2). service of process for complaints that • 47 CFR 68.300 requires that all Comments’’ or by using the search may be filed at the FCC. wireline telephones used with the function. Your comment must be legacy wireline network that are Applications for Waiver of HAC submitted into www.reginfo.gov per the manufactured in the United States Requirements above instructions for it to be considered. In addition to submitting in (other than for export) or imported for • 47 CFR 68.5 requires that telephone use in the United States and that are www.reginfo.gov also send a copy of manufacturers seeking a waiver of 47 your comment on the proposed hearing aid compatible have the letters CFR 68.4(a)(1) (requiring that certain ‘‘HAC’’ permanently affixed. information collection to Nicole Ongele, telephones be hearing aid compatible) FCC, via email to [email protected] and to ACS Telephonic CPE demonstrate that compliance with the [email protected]. Include in the • 47 CFR 68.502(a) of the rule is technologically infeasible or too comments the OMB control number as Commission’s rules contains costly. Information is used by FCC staff shown in the SUPPLEMENTARY information collection requirements for to determine whether to grant or dismiss INFORMATION below. ACS telephonic CPE that are similar to the request. FOR FURTHER INFORMATION CONTACT: For the HAC label and notice requirements Federal Communications Commission. additional information or copies of the in 47 CFR 68.224 and 68.300 (discussed Marlene Dortch, information collection, contact Nicole above), i.e., the ‘‘HAC’’ labeling Secretary, Office of the Secretary. Ongele at (202) 418–2991. To view a requirement for hearing aid compatible [FR Doc. 2021–10308 Filed 5–14–21; 8:45 am] copy of this information collection equipment, and the package information BILLING CODE 6712–01–P request (ICR) submitted to OMB: (1) Go for non-hearing aid compatible to the web page http://www.reginfo.gov/ equipment, apply to ACS telephonic public/do/PRAMain, (2) look for the CPE. FEDERAL COMMUNICATIONS section of the web page called • 47 CFR 68.501 of the Commission’s COMMISSION ‘‘Currently Under Review,’’ (3) click on rules requires responsible parties to the downward-pointing arrow in the obtain certifications of their equipment [OMB 3060–1257; FRS 26891] ‘‘Select Agency’’ box below the by using a third-party Information Collection Being ‘‘Currently Under Review’’ heading, (4) Telecommunications Certification Body Submitted for Review and Approval to select ‘‘Federal Communications (TCB) or a Supplier’s Declaration of Office of Management and Budget Commission’’ from the list of agencies Conformity. (A responsible party is the presented in the ‘‘Select Agency’’ box, party, such as the manufacturer, that is AGENCY: Federal Communications (5) click the ‘‘Submit’’ button to the responsible for the compliance of ACS Commission. right of the ‘‘Select Agency’’ box, (6)

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when the list of FCC ICRs currently the Commission authorizing use of the determine if an applicant’s proposed under review appears, look for the Title channels. Statutory authority for these operation on the Federal of this ICR and then click on the ICR collections are contained in 47 U.S.C. Interoperability Channels conforms to Reference Number. A copy of the FCC 151, 154, 301, 303, and 332 of the the terms of an agreement signed by the submission to OMB will be displayed. Communications Act of 1934. SWIC or state appointed official with a SUPPLEMENTARY INFORMATION: As part of Total Annual Burden: 11,487 hours. federal user with a valid assignment its continuing effort to reduce Total Annual Cost: No cost. from the National Telecommunications Privacy Act Impact Assessment: No paperwork burdens, as required by the and Information Administration (NTIA) impact(s). Paperwork Reduction Act (PRA) of 1995 which has jurisdiction over the Nature and Extent of Confidentiality: channels. (44 U.S.C. 3501–3520), the FCC invited Applicants who include written the general public and other Federal concurrence from their SWIC or state Federal Communications Commission. Agencies to take this opportunity to appointed official with their application Marlene Dortch, comment on the following information to license mobile and portable units on Secretary, Office of the Secretary. collection. Comments are requested the Federal Interoperability Channels [FR Doc. 2021–10309 Filed 5–14–21; 8:45 am] concerning: (a) Whether the proposed need not include any confidential BILLING CODE 6712–01–P collection of information is necessary information with their application. for the proper performance of the Nonetheless, there is a need for functions of the Commission, including confidentiality with respect to all FEDERAL MARITIME COMMISSION whether the information shall have applications filed with the Commission practical utility; (b) the accuracy of the through its Universal Licensing System Sunshine Act Meeting Commission’s burden estimates; (c) (ULS). Although ULS stores all ways to enhance the quality, utility, and information pertaining to the individual TIME AND DATE: May 19, 2021; 10 a.m. clarity of the information collected; and license via an FCC Registration Number (d) ways to minimize the burden of the PLACE: This meeting will be held by (FRN), confidential information is video-conference only. collection of information on the accessible only by persons or entities respondents, including the use of that hold the password for each account, STATUS: This meeting will be open to the automated collection techniques or and the Commission’s licensing staff. public. other forms of information technology. Information on private land mobile MATTERS TO BE CONSIDERED: Pursuant to the Small Business radio licensees is maintained in the 1. National Shipper Advisory Paperwork Relief Act of 2002, Public Commission’s system of records, FCC/ Committee and Federal Advisory Law 107–198, see 44 U.S.C. 3506(c)(4), WTB–1, ‘‘Wireless Services Licensing Committee Act Implementation. the FCC seeks specific comment on how Records.’’ The licensee records will be 2. Staff Briefing on Options to Update it might ‘‘further reduce the information publicly available and routinely used in and Publish Commission Organizational collection burden for small business accordance with subsection (b) of the Information and Delegations of concerns with fewer than 25 Privacy Act. TIN Numbers and material Authority. employees.’’ which is afforded confidential treatment CONTACT PERSON FOR MORE INFORMATION: OMB Control Number: 3060–1257. pursuant to a request made under 47 Rachel Dickon, Secretary, (202) 523– Title: New Procedure for Non-Federal CFR 0.459 will not be available for 5725. Public Safety Entities to License Federal Public inspection. Any personally Government Interoperability Channels. identifiable information (PII) that Rachel Dickon, Form Number: N/A. individual applicants provide is covered Secretary. Type of Review: Extension of a by a system of records, FCC/WTB–1, [FR Doc. 2021–10451 Filed 5–13–21; 4:15 pm] currently approved collection. ‘‘Wireless Services Licensing Records,’’ BILLING CODE 6730–02–P Respondents: Not-for-profit and these and all other records may be institutions; State, local, or tribal disclosed pursuant to the Routine Uses government. as stated in this system of records FEDERAL TRADE COMMISSION Number of Respondents and notice. Responses: 45,947 respondents; 45,947 Needs and Uses: This collection will Agency Information Collection responses. be submitted as an extension of a Activities; Proposed Collection; Estimated Time per Response: 0.25 currently approved collection after this Comment Request; Extension hours. 60-day comment period to the Office of Frequency of Response: One-time Management and Budget (OMB) in order AGENCY: Federal Trade Commission. reporting requirement. to obtain the full three-year clearance. ACTION: Notice. Obligation to Respond: Section 90.25 The purpose of requiring a non-federal adopted in Order DA 18–282, requires public safety entity to obtain written SUMMARY: In accordance with the any non-federal public safety entity consent from its SWIC or state Paperwork Reduction Act of 1995 seeking to license mobile and portable appointed official before (‘‘PRA’’), the Federal Trade Commission units on the Federal Interoperability communicating with federal (‘‘FTC’’ or ‘‘Commission’’) is seeking Channels to obtain written concurrence government agencies on the Federal public comment on its proposal to from its Statewide Interoperability Interoperability Channels is to ensure extend for an additional three years the Coordinator (SWIC) or a state appointed that the non-federal public safety entity Office of Management and Budget official and include such written operates in accordance with the rules clearances for information collection concurrence with its application for and procedures governing use of the requirements in Regulations B, E, M, license. A non-federal public safety federal interoperability channels and and Z, which are enforced by the entity may communicate on designated does not cause inadvertent interference Commission. These clearances expire on Federal Interoperability Channels for during emergencies. Commission staff September 30, 2021. joint federal/non-federal operations, will use the written concurrence from DATES: Comments must be filed by July provided it first obtains a license from the SWIC or state appointed official to 16, 2021.

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ADDRESSES: Interested parties may file a (Regulation M), and 12 CFR part 1026 dealers 6 and state-chartered credit comment online or on paper, by (Regulation Z) for those entities under unions. The division of PRA burden following the instructions in the its rulemaking jurisdiction.1 Although hours not attributable to motor vehicle Request for Comment part of the the Dodd-Frank Act transferred most dealers and state-chartered credit SUPPLEMENTARY INFORMATION section rulemaking authority under ECOA, unions is reflected in the CFPB’s PRA below. Write ‘‘Regs BEMZ, PRA EFTA, CLA, and TILA to the CFPB, the clearance requests to OMB, as well as in Comments, P084812’’ on your comment Board retained rulemaking authority for the FTC’s burden estimates below. and file your comment online at https:// certain motor vehicle dealers 2 under all Pursuant to the Dodd-Frank Act, the www.regulations.gov, by following the of these statutes and also for certain FTC generally has sole authority to instructions on the web-based form. If interchange-related requirements under enforce Regulations B, E, M, and Z you prefer to file your comment on EFTA.3 regarding certain motor vehicle dealers paper, mail your comment to the As a result of the Dodd-Frank Act, the predominantly engaged in the sale and following address: Federal Trade servicing of motor vehicles, the leasing Commission, Office of the Secretary, FTC and the CFPB generally share the authority to enforce Regulations B, E, M, and servicing of motor vehicles, or both, 600 Pennsylvania Avenue NW, Suite that, among other things, assign their CC–5610 (Annex J), Washington, DC and Z for entities for which the FTC had contracts to unaffiliated third parties.7 20580, or deliver your comment to the enforcement authority before the Act, Because the FTC has exclusive following address: Federal Trade except for certain motor vehicle jurisdiction to enforce these rules for Commission, Office of the Secretary, dealers.4 Because of this shared such motor vehicle dealers and retains Constitution Center, 400 7th Street SW, enforcement jurisdiction, the two its concurrent authority with the CFPB 5th Floor, Suite 5610 (Annex J), agencies have divided the FTC’s for other types of motor vehicle dealers, Washington, DC 20024. previously-cleared PRA burden estimates between them,5 except that and in view of the different types of FOR FURTHER INFORMATION CONTACT: motor vehicle dealers, the FTC retains Carole Reynolds or Stephanie the FTC has assumed all of the burden estimates associated with motor vehicle the entire PRA burden for motor vehicle Rosenthal, Attorneys, Division of dealers in the burden estimates below. Financial Practices, Bureau of Consumer Protection, Federal Trade Commission, 1 12 CFR pt. 1002 (Reg. B) (81 FR 25323, Apr. 28, The regulations impose certain 600 Pennsylvania Ave. NW, 2016); 12 CFR pt. 1005 (Reg. E) (81 FR 25323, Apr. recordkeeping and disclosure 28, 2016) 12 CFR pt. 1013 (Reg. M) (81 FR 25323, Washington, DC 20580, (202) 326–3224. requirements associated with providing Apr. 28, 2016); 12 CFR pt. 1026 (Reg. Z) (81 FR credit or with other financial SUPPLEMENTARY INFORMATION: The four 25323, Apr. 28, 2016). 2 Generally, these are dealers ‘‘predominantly transactions. Under the PRA, 44 U.S.C. regulations covered by this notice are: 3501–3521, Federal agencies must get (1) Regulations promulgated under engaged in the sale and servicing of motor vehicles, the leasing and servicing of motor vehicles, or OMB approval for each collection of the Equal Credit Opportunity Act, 15 both.’’ See Dodd-Frank Act, § 1029, 12 U.S.C. information they conduct or sponsor. U.S.C. 1691 et seq. (‘‘ECOA’’) 5519(a), (c). ‘‘Collection of information’’ includes (‘‘Regulation B’’) (OMB Control Number: 3 See Dodd-Frank Act, § 1075, 15 U.S.C. 1693 agency requests or requirements to 3084–0087); (these requirements are implemented through Board Regulation II, 12 CFR pt. 235, rather than EFTA’s submit reports, keep records, or provide (2) Regulations promulgated under implementing Regulation E). information to a third party. See 44 the Electronic Fund Transfer Act, 15 4 The FTC’s enforcement authority includes state- U.S.C. 3502(3); 5 CFR 1320.3(c). U.S.C. 1693 et seq. (‘‘EFTA’’) chartered credit unions; other federal agencies also (‘‘Regulation E’’) (OMB Control Number: have various enforcement authority over credit All four of these regulations require unions. For example, for large credit unions covered entities to keep certain records, 3084–0085); (exceeding $10 billion in assets), the CFPB has (3) Regulations promulgated under certain authority. The National Credit Union but FTC staff believes these records are the Consumer Leasing Act, 15 U.S.C. Administration also has certain authority for state- kept in the normal course of business 1667 et seq. (‘‘CLA’’) (‘‘Regulation M’’) chartered federally insured credit unions, and it even absent the particular (OMB Control Number: 3084–0086); and additionally provides insurance for certain state- recordkeeping requirements.8 Covered chartered credit unions through the National Credit (4) Regulations promulgated under Union Share Insurance Fund and examines credit entities, however, may incur some the Truth-In-Lending Act, 15 U.S.C. unions for various purposes. There are burden associated with ensuring that 1601 et seq. (‘‘TILA’’) (‘‘Regulation Z’’) approximately three state-chartered credit unions they do not prematurely dispose of (OMB Control Number: 3084–0088). exceeding $10 billion in assets, and the CFPB relevant records (i.e., during the time assumes PRA burden for those entities. As of the Type of Review: Extension without fourth quarter of 2020, there were approximately change of currently approved collection. 2,126 state-chartered credit unions—1,914 which 6 See Dodd-Frank Act § 1029, 12 U.S.C. 5519(a), Affected Public: Private Sector: were federally insured, an estimated 112 or more as limited by subsection (b) as to motor vehicle Businesses and other for-profit entities. which were privately insured, and an estimated 100 dealers. Subsection (b) does not preclude CFPB or more in Puerto Rico which were insured by a regulatory oversight regarding, among others, Discussion: Under the Dodd-Frank quasi-governmental entity. Because of the difficulty businesses that extend retail credit or retail leases Wall Street Reform and Consumer in parsing out PRA burden for such entities in view for motor vehicles in which the credit or lease Protection Act (‘‘Dodd-Frank Act’’), of the overlapping authority, the FTC’s figures offered is provided directly from those businesses, Public Law 111–203, 124 Stat. 1376 include PRA burden for all state-chartered credit rather than unaffiliated third parties, to consumers. unions. However, in view of fluctuations due to It is not practicable, however, for PRA purposes, to (2010), almost all rulemaking authority COVID–19 and to avoid undercounting, we have estimate the portion of dealers that engage in one for the ECOA, EFTA, CLA, and TILA retained the prior estimate of 2,300 state-chartered form of financing versus another (and that would transferred from the Board of Governors credit unions. As noted above, the CFPB’s figures or would not be subject to CFPB oversight). Thus, of the Federal Reserve System (Board) to as to state-chartered credit unions include burden FTC staff’s PRA burden analysis reflects a general for those entities exceeding $10 billion in assets. estimated volume of motor vehicle dealers. This the Consumer Financial Protection See generally Dodd-Frank Act, §§ 1061, 1025, 1026. attribution does not change actual enforcement Bureau (CFPB) on July 21, 2011 This attribution does not change actual enforcement authority. (‘‘transfer date’’). To implement this authority. We also have retained the prior burden 7 See Dodd-Frank Act § 1029, 12 U.S.C. 5519(a), transferred authority, the CFPB hours generally in the estimates below, in view of (c). these considerations. 8 PRA ‘‘burden’’ does not include ‘‘time, effort, published new regulations in 12 CFR 5 The CFPB also factors into its burden estimates and financial resources’’ expended in the normal part 1002 (Regulation B), 12 CFR part respondents over which it has jurisdiction but the course of business, regardless of any regulatory 1005 (Regulation E), 12 CFR part 1013 FTC does not. requirement. See 5 CFR 1320.3(b)(2).

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span they must retain records under the represent FTC staff’s best assessment, 1. Regulation B applicable regulation). based on its knowledge and expertise The ECOA prohibits discrimination in The regulations also require covered relating to the financial services the extension of credit. Regulation B entities to make disclosures to third industry, of the average time to implements the ECOA, establishing parties. Related compliance involves complete the aforementioned tasks disclosure requirements to assist set-up/monitoring and transaction- associated with recordkeeping and customers in understanding their rights specific costs. ‘‘Set-up’’ burden, disclosure. Staff considered the wide under the ECOA and recordkeeping incurred only by covered new entrants, variations in covered entities’ (1) size requirements to assist agencies in includes identifying the applicable and location; (2) credit or lease products enforcement. Regulation B applies to required disclosures, determining how offered, extended, or advertised, and retailers, mortgage lenders, mortgage best to comply, and designing and their particular terms; (3) EFT types brokers, finance companies, and others. developing compliance systems and used; (4) types and frequency of adverse FTC staff estimates that Regulation B’s procedures. ‘‘Monitoring’’ burden, actions taken; (5) types of appraisal general recordkeeping requirements incurred by all covered entities, reports utilized; and (6) computer affect 530,762 credit firms subject to the includes their time and costs to review systems and electronic features of Commission’s jurisdiction, at an average changes to regulatory requirements, compliance operations. annual burden of 1.25 hours per firm for make necessary revisions to compliance The cost estimates that follow relate a total of 663,453 hours. Staff also systems and procedures, and to monitor solely to labor costs, and they include estimates that the requirement that the ongoing operation of systems and the time necessary to train employees procedures to ensure continued mortgage creditors monitor information how to comply with the regulations. about race/national origin, sex, age, and compliance. ‘‘Transaction-related’’ Staff calculated labor costs by burden refers to the time and cost marital status imposes a maximum multiplying appropriate hourly wages burden of one minute each (of skilled associated with providing the various by the burden hours described above. required disclosures in individual technical time) for approximately 2.6 The hourly wages used were $60 for million credit applications (based on transactions, thus, generally, of much managerial oversight, $44 for skilled lesser magnitude than ‘‘setup’’ and industry data regarding the approximate technical services, and $18 for clerical ‘‘monitoring’’ burden. The FTC’s number of mortgage purchase and work. These figures are averages drawn estimates of transaction time and refinance originations), for a total of from Bureau of Labor Statistics data.11 13 volume are intended as averages. The 43,333 hours. Staff also estimates that Further, these cost estimates assume the population of affected motor vehicle recordkeeping of self-testing subject to following labor category dealers is one component of a much the regulation would affect 1,500 firms, apportionments, except where larger universe of such entities. with an average annual burden of one The required disclosures do not otherwise indicated below: hour (of skilled technical time) per firm, impose PRA burden on some covered Recordkeeping—10% skilled technical, for a total of 1,500 hours, and that entities because they make those 90% clerical; disclosure—10% recordkeeping of any corrective action disclosures in the normal course of managerial, 90% skilled technical. as a result of self-testing would affect business. For other covered entities that The applicable PRA requirements 10% of them, i.e., 150 firms, with an do not, their compliance burden will impose minimal capital or other non- average annual burden of four hours (of vary depending on the extent to which labor costs. Affected entities generally skilled technical time) per firm, for a they have developed effective computer- already have the necessary equipment total of 600 hours.14 This yields a total based or electronic systems and for other business purposes. Similarly, annual recordkeeping burden of 708,886 procedures to communicate and FTC staff estimates that compliance hours. document required disclosures.9 with these rules entails minimal Regulation B requires that creditors The respondents included in the printing and copying costs beyond that (i.e., entities that regularly participate in following burden calculations consist associated with documenting financial the decision whether to extend credit of, among others, credit and lease transactions in the normal course of under Regulation B) provide notices advertisers, creditors, owners (such as business. whenever they take adverse action, such purchasers and assignees) of credit The following discussion and tables as denial of a credit application. It obligations, financial institutions, present estimates under the PRA of requires entities that extend mortgage service providers, certain government recordkeeping and disclosure average credit with first liens to provide a copy agencies and others involved in time and labor costs, excluding that of the appraisal report or other written delivering electronic fund transfers which FTC staff believes entities incur valuation to applicants.15 Finally, (‘‘EFTs’’) of government benefits, and customarily in the normal course of Regulation B also requires that for lessors.10 The burden estimates business and information compiled and accounts that spouses may use or for produced in response to FTC law 9 For example, large companies may use enforcement investigations or 13 Regulation B contains model forms that computer-based and/or electronic means to provide prosecutions.12 creditors may use to gather and retain the required required disclosures, including issuing some information. disclosures en masse, e.g., notice of changes in 14 In contrast to banks, for example, entities under terms. Smaller companies may have less automated 11 These inputs are based broadly on mean hourly FTC jurisdiction are not subject to audits by the compliance systems but may nonetheless rely on data found within the ‘‘Bureau of Labor Statistics, FTC for compliance with Regulation B; rather they electronic mechanisms for disclosures and Economic News Release,’’ March 31, 2021, Table 1, may be subject to FTC investigations and recordkeeping. Regardless of size, some entities ‘‘National employment and wage data from the enforcement actions. This may impact the level of may utilize compliance systems that are fully Occupational Employment and Wage Statistics self-testing (as specifically defined by Regulation B) integrated into their general business operational survey by occupation, May 2020.’’ http:// in a given year, and staff has sought to address such system; if so, they may have minimal additional www.bls.gov/news.release/ocwage.t01.htm. factors in its burden estimates. burden. Other entities may have incorporated fewer 12 See 5 CFR 1320.4(a) (excluding information 15 While the rule also requires the creditor to of these approaches into their systems and thus may collected in response to, among other things, a provide a short written disclosure regarding the have a higher burden. federal civil action or ‘‘during the conduct of an appraisal process, the disclosure is provided by the 10 The Commission generally does not have administrative action, investigation, or audit CFPB, and is thus not a ‘‘collection of information’’ jurisdiction over banks, thrifts, and federal credit involving an agency against specific individuals or for PRA purposes. Accordingly, it is not included unions under the applicable regulations. entities’’). in burden estimates below.

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which they are contractually liable, will not take the information into cost estimates are provided in the tables creditors who report credit history must account in any aspect of the credit below. do so in a manner reflecting both transactions; and (3) if applicable, the Burden Totals spouses’ participation. Further, it information will be noted by visual requires creditors that collect applicant observation or surname if the applicant Recordkeeping: 708,886 hours; characteristics for purposes of chooses not to provide it.16 Burden $15,666,176, associated labor costs. conducting a self-test to disclose to estimates relating to the disclosures Disclosures: 1,088,912 hours; those applicants that: (1) Providing the required under Regulation B and labor information is optional; (2) the creditor $49,654,400, associated labor costs. REGULATION B—DISCLOSURES—BURDEN HOURS

Setup/monitoring 1 Transaction-related Average Total setup/ Average Total Disclosures burden per monitoring Number of burden per transaction Total Respondents respondent burden transactions transaction burden burden (hours) (hours) (minutes) (hours) (hours)

Credit history reporting ...... 133,553 .25 33,388 60,098,850 .25 250,412 283,800 Adverse action notices ...... 530,762 .75 398,072 92,883,350 .25 387,014 785,086 Appraisal reports/written valuations ...... 4,650 1 4,650 1,725,150 .50 14,376 19,026 Self-test disclosures ...... 1,500 .5 750 60,000 .25 250 1,000

Total ...... 1,088,912 1 The estimates assume that all applicable entities would be affected, with respect to appraisal reports and other written valuations.

REGULATION B—RECORDKEEPING AND DISCLOSURES—COST

Managerial Skilled technical Clerical Total cost Required task Time Cost Time Cost Time Cost ($) (hours) ($60/hr.) (hours) ($44/hr.) (hours) ($18/hr.)

General recordkeeping ...... 0 $0 66,345 $2,919,180 597,108 $10,747,944 $13,667,124 Other recordkeeping ...... 0 0 43,333 1,906,652 0 0 1,906,652 Recordkeeping of self-test ...... 0 0 1,500 66,000 0 0 66,000 Recordkeeping of corrective action ...... 0 0 600 26,400 0 0 26,400

Total Recordkeeping ...... 15,666,176 Disclosures: Credit history reporting ...... 28,380 1,702,800 255,420 11,238,480 0 0 12,941,280 Adverse action notices ...... 78,509 4,710,540 706,577 31,089,388 0 0 35,799,928 Appraisal reports ...... 1,903 114,180 17,123 753,412 0 0 867,592 Self-test disclosure...... 100 6,0000 900 39,600 0 0 45,600

Total Disclosures ...... 49,654,400

Total Recordkeeping and Dis- closures ...... 65,320,576

2. Regulation E retailers, gift card issuers and others that of 251,053 hours. Burden estimates The EFTA requires that covered provide gift cards, service providers, relating to the disclosures required entities provide consumers with various federal and state agencies under Regulation E and labor cost accurate disclosure of the costs, terms, offering EFTs, prepaid account entities, estimates are provided in the tables and rights relating to EFT and certain etc. Staff estimates that Regulation E’s below. other services. Regulation E implements recordkeeping requirements affect Burden Totals the EFTA, establishing disclosure and 251,053 firms offering EFT and certain other requirements to aid consumers other services to consumers and that are Recordkeeping: 251,053 hours; and recordkeeping requirements to subject to the Commission’s $5,171,684, associated labor costs. assist agencies with enforcement. It jurisdiction, at an average annual Disclosures: 7,184,903 hours; applies to financial institutions, burden of one hour per firm, for a total $327,631,676, associated labor costs. REGULATION E—DISCLOSURES—BURDEN HOURS

Setup/monitoring Transaction-related Average Total setup/ Average Total Disclosures burden per monitoring Number of burden per transaction Total Respondents respondent burden transactions transaction burden burden (hours) (hours) (minutes) (hours) (hours)

Initial terms ...... 27,300 .5 13,650 273,000 .02 91 13,741 Change in terms ...... 8,550 .5 4,275 11,286,000 .02 3,762 8,037

16 The disclosure may be provided orally or in writing. The model form provided by Regulation B assists creditors in providing the written disclosure.

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REGULATION E—DISCLOSURES—BURDEN HOURS—Continued

Periodic statements ...... 27,300 .5 13,650 327,600,000 .02 109,200 122,850 Error resolution ...... 27,300 .5 13,650 273,000 5 22,750 36,400 Transaction receipts ...... 27,300 .5 13,650 1,375,000,000 .02 458,333 471,983 Preauthorized transfers ...... 258,553 .5 129,277 6,463,825 .25 26,933 156,210 Service provider notices ...... 20,000 .25 5,000 200,000 .25 833 5,833 ATM notices ...... 125 .25 31 25,000,000 .25 104,167 104,198 Electronic check conversion ...... 48,553 .5 24,277 728,295 .02 243 24,520 Overdraft services ...... 15,000 .5 7,500 1,500,000 .02 500 8,000 Gift cards ...... 15,000 .5 7,500 750,000,000 .02 250,000 257,500 Remittance transfers: Disclosures ...... 4,800 1.25 6,000 96,000,000 .9 1,440,000 1,446,000 Error resolution ...... 4,800 1.25 6,000 120,960,000 .9 1,814,400 1,820,400 Agent compliance ...... 4,800 1.25 6,000 96,000,000 .9 1,440,000 1,446,000 Prepaid accounts and gov’t benefits: Disclosures ...... 550 1 40 × 10 220,000 2,750,000,000 .02 916,667 1,136,667 Disclosures—updates ...... 138 1 × 10 2 1,380 N/A ...... 1,380 Access to account information ...... 550 3 20 ×10 110,000 1,100,000 .01 183 110,183 Error resolution ...... 300 4 × 4 4,800 275,000 2 9,167 13,967 Error resolution—followup 4 ...... N/A ...... 1,380 30 690 690 Submission of agreements ...... 138 2 × 1 276 690 1 11 287 Updates to agreements 5 ...... N/A ...... 690 5 57 57

Total ...... 7,184,903 1 Burden hours are on a per program basis. Individual burden hours are listed first, followed by the number of programs. 2 Individual burden hours are listed first, followed by the number of programs. 3 Burden hours are on a per program basis; individual burden hours are listed first, followed by the number of programs. 4 This pertains to prepaid accounts. 5 This pertains to prepaid accounts’ agreements.

REGULATION E—RECORDKEEPING AND DISCLOSURES—COST

Managerial Skilled technical Clerical Total cost Required task Time Cost Time Cost Time Cost ($) (hours) ($60/hr.) (hours) ($44/hr.) (hours) ($18/hr.)

Recordkeeping ...... 0 $0 25,105 $1,104,620 225,948 $4,067,064 $5,171,684 Disclosures: Initial terms ...... 1,374 82,440 12,367 544,148 0 0 626,588 Change in terms ...... 804 48,240 7,233 318,252 0 0 366,492 Periodic statements ...... 12,285 737,100 110,565 4,864,860 0 0 5,601,960 Error resolution ...... 3,640 218,400 32,760 1,441,440 0 0 1,659,840 Transaction receipts ...... 47,198 2,831,880 424,785 18,690,540 0 0 21.522,420 Preauthorized transfers ...... 15,621 937,260 140,589 6,185,916 0 0 7,123,176 Service provider notices ...... 583 34,980 5,250 231,000 0 0 265,980 ATM notices ...... 10,420 625,200 93,778 4,126,232 0 0 4,751,432 Electronic check conversion ...... 2,452 147,120 22,068 970,992 0 0 1,118,112 Overdraft services ...... 800 48,000 7,200 316,800 0 0 364,800 Gift cards ...... 25,750 1,545,000 231,750 10,197,000 0 0 11,742,000 Remittance transfers: Disclosures ...... 144,600 8,676,000 1,301,400 57,261,600 0 0 65,937,600 Error resolution ...... 182,040 10,922,400 1,638,360 72,087,840 0 0 83,010,240 Agent compliance ...... 144,600 8,676,000 1,301,400 57,261,600 0 0 65,937,600 Prepaid accounts and gov’t. benefits: Disclosures ...... 113,667 6,820,020 1,023,000 45,012,000 0 0 51,832,020 Disclosures—updates ...... 138 8,2808 1,242 54,648 0 0 62,928 Access to account information ...... 11,018 661,080 99,165 4,363,260 0 0 5,024,340 Error resolution ...... 1,397 83,820 12,570 553,080 0 0 636,900 Error resolution—followup ...... 69 4,140 621 27,324 0 0 31,464 Submission of agreements ...... 29 1,740 259 11,396 0 0 13,136 Updates to agreements ...... 6 360 52 2,288 0 0 2,648

Total Disclosures ...... 327,631,676

Total Recordkeeping and Dis- closures ...... 332,803,360

3. Regulation M implements the CLA, establishing independent leasing companies, and disclosure requirements to help manufacturers’ captive finance The CLA requires that covered consumers comparison shop and companies), computer lessors (such as entities provide consumers with understand the terms of leases and computer dealers and other retailers), accurate disclosure of the costs and recordkeeping requirements. It applies furniture lessors, various electronic terms of leases. Regulation M to vehicle lessors (such as auto dealers, commerce lessors, diverse types of lease

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advertisers, and others. Staff estimates of one hour per firm, for a total of Burden Totals 17 that Regulation M’s recordkeeping 30,203 hours. Burden estimates relating requirements affect approximately to the disclosures required under Recordkeeping: 30,203 hours; 30,203 firms within the FTC’s Regulation M and labor cost estimates $1,763,860, associated labor costs. jurisdiction leasing products to are provided in the tables below. Disclosures: 71,750 hours; $4,190,200, consumers at an average annual burden associated labor costs. REGULATION M—DISCLOSURES—BURDEN HOURS

Motor Vehicle Leases 1 ...... 26,690 1 26,690 4,000,000 .50 33,333 60,023 Other Leases 2 ...... 3,513 .50 1,757 60,000 .25 250 2,007 Advertising ...... 14,615 .50 7,308 578,960 .25 2,412 9,720

Total ...... 71,750 1 This category focuses on consumer vehicle leases. Vehicle leases are subject to more lease disclosure requirements (pertaining to computation of payment obligations) than other lease transactions. (Only consumer leases for more than four months are covered.) See 15 U.S.C. 1667(1); 12 CFR 1013.2(e)(1). CLA and Regu- lation M now cover leases up to $58,300 plus an annual adjustment. 2 This category focuses on all types of consumer leases other than vehicle leases. It includes leases for computers, other electronics, small appliances, furniture, and other transactions. (Only consumer leases for more than four months are covered.) See 15 U.S.C. 1667(1); 12 CFR 1013.2(e)(1). CLA and Regulation M now cover leases up to $58,300 plus an annual adjustment.

REGULATION M—RECORDKEEPING AND DISCLOSURES—COST

Managerial Skilled technical Clerical Total cost Required task Time Cost Time Cost Time Cost ($) (hours) ($60/hr.) (hours) ($44/hr.) (hours) ($18/hr.)

Recordkeeping ...... 27,183 $1,630,980 3,020 $132,880 0 $0 $1,763,860 Disclosures: Motor Vehicle Leases ...... 54,021 3,241,260 6,002 264,088 0 0 3,505,348 Other Leases ...... 1,806 108,360 201 8,844 0 0 117,204 Advertising ...... 8,748 524,880 972 42,768 0 0 567,648

Total Disclosures ...... 4,190,200

Total Recordkeeping and Dis- closures ...... 5,954,060

4. Regulation Z finance companies; auto dealerships; entity with .25 additional hours per private education loan companies; entity for 3,650 entities (ability to pay), The TILA was enacted to foster merchants who extend credit for goods and 5 additional hours per entity for comparison credit shopping and or services; credit advertisers; acquirers 4,500 entities (loan originators). This informed credit decisionmaking by of mortgages; and others. Additional yields a total annual recordkeeping requiring creditors and others to provide requirements also exist in the mortgage burden of 561,866 hours. Burden accurate disclosures regarding the costs area, including for high cost mortgages, estimates relating to the disclosures and terms of credit to consumers. higher-priced mortgage loans,18 ability required under Regulation Z and labor Regulation Z implements the TILA, to pay of mortgage consumers, mortgage cost estimates are provided in the tables establishing disclosure requirements to servicing, loan originators, and certain below. assist consumers and recordkeeping integrated mortgage disclosures. FTC Burden Totals requirements to assist agencies with staff estimates that Regulation Z’s enforcement. These requirements recordkeeping requirements affect Recordkeeping: 561,866 hours; pertain to open-end and closed-end approximately 430,762 entities subject $11,574,450, associated labor costs. credit and apply to various types of to the Commission’s jurisdiction, at an Disclosures: 7,854,575 hours; entities, including mortgage companies; average annual burden of 1.25 hours per $358,169,628, associated labor costs.

17 Recordkeeping and disclosure burden estimates following: 90% managerial, and 10% skilled 18 While Regulation Z also requires the creditor to for Regulation M are more substantial for motor technical. As noted above, for purposes of PRA provide a short written disclosure regarding the vehicle leases than for other leases, including burden calculations for Regulations B, E, M, and Z, appraisal process for higher-priced mortgage loans, burden estimates based on market changes and and given the different types of motor vehicle the disclosure is provided by the CFPB. As a result, regulatory definitions of coverage. Based on dealers, the FTC is including in its estimates burden it is not a ‘‘collection of information’’ for PRA industry information, the estimates for purposes (see 5 CFR 1320.3(c)(2)). It is thus for all of them. recordkeeping and disclosure costs assume the excluded from the burden estimates below.

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REGULATION Z—DISCLOSURES—BURDEN HOURS

Setup/monitoring Transaction-related

1 Average Total setup/ Average Total Disclosures burden per monitoring Number of burden per transaction Total Respondents respondent burden transactions transaction burden burden (hours) (hours) (minutes) (hours) (hours)

Open-end credit: Initial terms ...... 23,650 .75 17,738 10,500,600 .375 65,629 83,367 Initial terms—prepaid accounts ...... 3 2 4 × 1 12 3 3 × 78,667 .125 492 504 Rescission notices ...... 750 .5 375 3,750 .25 16 391 Subsequent disclosures ...... 4,650 .75 3,488 23,250,000 .188 72,850 76,338 Subsequent disclosures—prepaid accounts ...... 3 4 4 × 1 12 5 3 × 78,667 .0625 246 258 Periodic statements ...... 23,650 .75 17,738 788,325,450 .0938 1,232,415 1,250,153 Periodic statements—prepaid accounts 3 6 40 × 1 120 7 3 × 944,000 .03125 1,475 1,595 Error resolution ...... 23,650 .75 17,738 2,104,850 6 210,485 228,223 Error resolution—prepaid accounts followup ...... 3 8 4 × 1 12 9 3 × 1,180 15 885 897 Credit and charge card accounts ...... 10,250 .75 7,688 5,125,000 .375 32,031 39,719 Credit and charge card accounts—prepaid accounts ...... 3 10 4 × 1 12 11 3 × 12 240 144 156 Settlement of estate debts ...... 23,650 .75 17,738 496,650 .375 3,104 20,842 Special credit card requirements ...... 10,250 .75 7,688 5,125,000 .375 32,031 39,719 Home equity lines of credit ...... 750 .5 375 5,250 .25 22 397 Home equity lines of credit high-cost mortgages ...... 250 2 500 1,500 2 50 550 College student credit card marketing— ed. institutions ...... 1,350 .5 675 81,000 .25 338 1,013 College student credit card marketing— card issuer reports ...... 150 .75 113 4,500 .75 56 169 Posting and reporting of credit card agreements ...... 10,250 .75 7,688 5,125,000 .375 32,031 39,719 Posting and reporting of prepaid account agreements ...... 3 12 .75 × 1 2 13 3 × 5 2.5 1 3 Advertising ...... 38,650 .75 28,988 115,950 .75 1,449 30,437 Advertising—prepaid accounts ...... 3 14 20 × 1 60 N/A ...... 60 Advertising—prepaid accounts Updates 3 15 0.2 × 5 3 N/A ...... 3 Sale, transfer, or assignment of mortgages ...... 500 .5 250 500,000 .25 2,083 2,333 Appraiser misconduct reporting ...... 301,150 .75 225,863 6,023,000 .375 37,644 263,507 Mortgage servicing ...... 1,500 .75 1,125 150,000 .5 1,250 2,375 Loan originators ...... 2,250 2 4,500 22,500 5 1,875 6,375

Closed-end credit: Credit disclosures ...... 280,762 .75 210,572 112,304,800 2.25 4,211,430 4,422,002 Rescission notices ...... 3,650 .5 1,825 5,475,000 1 91,250 93,075 Redisclosures ...... 101,150 .5 50,575 505,750 2.25 18,966 69,541 Integrated mortgage disclosures ...... 3,650 10 36,500 10,950,000 3.5 638,750 675,250 Variable rate mortgages ...... 3,650 1 3,650 365,000 1.75 10,646 14,296 High cost mortgages ...... 1,750 1 1,750 43,750 2 1,458 3,208 Higher priced mortgages ...... 1,750 1 1,750 14,000 2 467 2,217 Reverse mortgages ...... 3,025 .5 1,513 15,125 1 252 1,765 Advertising ...... 205,762 .5 102,881 2,057,620 1 34,294 137,175 Private education loans ...... 75 .5 38 30,000 1.5 750 788 Sale, transfer, or assignment of mortgages ...... 48,850 .5 24,425 2,442,500 .25 10,177 34,602 Ability to pay/qualified mortgage ...... 3,650 .75 2,738 0 0 0 2,738 Appraiser misconduct reporting ...... 301,150 .75 225,863 6,023,000 .375 37,644 263,507 Mortgage servicing ...... 3,650 1.5 5,475 730,000 2.75 33,458 38,933 Loan originators ...... 2,250 2 4,500 22,500 5 1,875 6,375

Total open-end credit ...... 2,089,103

Total closed-end credit ...... 5,765,472

Total credit ...... 7,854,575 1 Regulation Z requires disclosures for closed-end and open-end credit. TILA and Regulation Z now cover credit up to $58,300 plus an annual adjustment (except that real estate credit and private education loans are covered regardless of amount). 2 Burden hours are on a per program basis. Individual burden hours are listed first, followed by the number of programs. 3 This figure lists the number of entities followed by the number of responses or programs each. 4 Burden hours are on a per program basis. Individual burden hours are listed first, followed by the number of programs. 5 This figure lists the number of entities followed by the number of responses or programs each. 6 Burden hours are on a per program basis. Individual burden hours are listed first, followed by the number of programs. 7 This figure lists the number of entities followed by the number of responses or programs each. 8 Burden hours are on a per program basis. Individual burden hours are listed first, followed by the number of programs. 9 This figure lists the number of entities followed by the number of responses or programs each. 10 Burden hours are on a per program basis. Individual burden hours are listed first, followed by the number of programs. 11 This figure lists the number of entities followed by the number of responses or programs each. 12 Burden hours are on a per program basis. Individual burden hours are listed first, followed by the number of programs. 13 This figure lists the number of entities followed by the number of responses or programs each. 14 Burden hours are on a per program basis. Individual burden hours are listed first, followed by the number of programs. 15 Burden hours are on a per program basis. Individual burden hours are listed first, followed by the number of programs.

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REGULATION Z—RECORDKEEPING AND DISCLOSURES—COST

Managerial Skilled technical Clerical Total cost Required task Time Cost Time Cost Time Cost ($) (hours) ($60/hr.) (hours) ($44/hr.) (hours) ($18/hr.)

Recordkeeping ...... 0 $0 56,187 $2,472,228 505,679 $9,102,222 $11,574,450 Open-end credit Disclosures: Initial terms ...... 8,337 500,220 75,030 3,301,220 0 0 3,301,540 Initial terms—prepaid accounts ...... 50 3,000 454 19,776 0 0 22,976 Rescission notices ...... 39 2,340 352 15,488 0 0 17,828 Subsequent disclosures ...... 7,634 458,040 68,704 3,022,976 0 0 3,481,016 Subsequent disclosures—prepaid accounts ...... 26 1.560 232 10,208 0 0 11,768 Periodic statements ...... 125,015 7,500,900 1,125,138 49,506,072 0 0 57,006,972 Periodic statements—prepaid accounts 159 9,540 1436 63,184 0 0 72,724 Error resolution ...... 22,822 1,369,320 205,401 9,037,644 0 0 10,406,964 Error resolution—prepaid accounts followup ...... 90 5,400 807 35,508 0 0 40,908 Credit and charge card accounts ...... 3,972 238,320 35,747 1,572,868 0 0 1,811,188 Credit and charge card accounts—prepaid accounts ...... 16 960 140 6,160 0 0 7,120 Settlement of estate debts ...... 2,084 125,040 18,758 825,352 0 0 950,392 Special credit card requirements ...... 3,972 238,320 35,747 1,572,868 0 0 1,811,188 Home equity lines of credit ...... 40 2,400 357 15,708 0 0 18,108 Home equity lines of credit—high cost mortgages ...... 55 3,300 495 21,780 0 0 25,080 College student credit card marketing— ed institutions ...... 101 6,060 912 40,128 0 0 46,188 College student credit card marketing— card issuer reports ...... 17 1,020 152 6,688 0 0 7,708 Posting and reporting of credit card agreements ...... 3,972 238,320 35,747 1,572,868 0 0 1,811,188 Posting and reporting of prepaid accounts ...... 1 60 2 88 0 0 148 Advertising ...... 3,044 182,640 27,393 1,205,292 0 0 1,388,932 Advertising—prepaid accounts ...... 6 360 54 2,376 0 0 2,736 Advertising—prepaid accounts Updates 1 60 2 88 0 0 148 Sale, transfer, or assignment of mortgages ...... 233 13,980 2,100 92,400 0 0 106,380 Appraiser misconduct reporting ...... 26,351 1,581,060 237,156 10,434,864 0 0 12,015,924 Mortgage servicing ...... 238 14,280 2,137 94,028 0 0 108,308 Loan originators ...... 638 38,280 5,737 252,428 0 0 290,708

Total open-end credit ...... 95,264,140 Closed-end credit Disclosures: Credit disclosures ...... 442,200 26,532,000 3,979,802 175,111,288 0 0 201,643,208 Rescission notices ...... 9,308 558,480 83,767 3,685,748 0 0 4,244,228 Redisclosures ...... 6,954 417,240 62,587 2,753,828 0 0 3,171,068 Integrated mortgage disclosures ...... 67,525 4,051,500 607,725 26,739,900 0 0 30,791,400 Variable rate mortgages ...... 1,430 85,800 12,866 566,104 0 0 651,904 High cost mortgages ...... 321 19,260 2,887 127,028 0 0 146,288 Higher priced mortgages ...... 222 13,320 1,995 87,780 0 0 101,100 Reverse mortgages ...... 177 10,620 1,588 69,872 0 0 80,492 Advertising ...... 13,718 823,080 123,457 5,432,108 0 0 6,255,188 Private education loans ...... 79 4,740 709 31,196 0 0 35,936 Sale, transfer, or assignment of mortgages ...... 3,460 207,600 31,142 1,370,248 0 0 1,577,848 Ability to pay/qualified mortgage ...... 274 16,440 2,464 108,416 0 0 124,856 Appraiser misconduct reporting ...... 26,351 1,581,060 237,156 10,434,864 0 0 12,015,924 Mortgage servicing ...... 3,893 233,580 35,040 1,541,760 0 0 1,775,340 Loan originators ...... 638 38,280 5,737 252,428 0 0 290,708

Total closed-end credit ...... 262,905,488

Total Disclosures ...... 358,169,628

Total Recordkeeping and Dis- closures ...... 369,744,078

Request for Comment: of the information to be collected; and your name and your state, will be Pursuant to Section 3506(c)(2)(A) of (4) ways to minimize the burden of placed on the public record of this the PRA, the FTC invites comments on: providing the required information to proceeding, including the https:// (1) Whether the disclosure requirements consumers. www.regulations.gov website. are necessary, including whether the You can file a comment online or on Because of the public health information will be practically useful; paper. For the Commission to consider emergency in response to the COVID–19 (2) the accuracy of our burden estimates, your comment, we must receive it on or outbreak and the agency’s heightened including whether the methodology and before July 16, 2021. Write ‘‘Regs BEMZ, security screening, postal mail assumptions used are useful; (3) ways to PRA Comments, P084812’’ on your addressed to the Commission will be enhance the quality, utility, and clarity comment. Your comment, including subject to delay. We strongly encourage

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you to submit your comment online interest. Once your comment has been University to conduct a systematic through the https://www.regulations.gov posted on https://www.regulations.gov, review of the publicly available website. To ensure the Commission we cannot redact or remove your scientific literature and now seeks considers your online comment, please comment from that website, unless you public comment to inform the final follow the instructions on the web- submit a confidentiality request that report. In particular, CDC seeks data and based form. meets the requirements for such information, including reports and If you file your comment on paper, treatment under FTC Rule 4.9(c), and manuscripts that are pending write ‘‘Regs BEMZ, PRA Comments, the General Counsel grants that request. publications or are not available through P084812’’ on your comment and on the The FTC Act and other laws that the indexed bibliographic databases. Access envelope, and mail your comment to the Commission administers permit the to pertinent scientific information from following address: Federal Trade collection of public comments to research and evidence-based clinical Commission, Office of the Secretary, consider and use in this proceeding as practice may be used to inform the final 600 Pennsylvania Avenue NW, Suite appropriate. The Commission will report. The anticipated CDC guideline CC–5610 (Annex J), Washington, DC consider all timely and responsive would assist clinicians by outlining 20580; or deliver your comment to the public comments that it receives on or management practices for patients with following address: Federal Trade before July 16, 2021. For information on ME/CFS. Commission, Office of the Secretary, the Commission’s privacy policy, DATES: Written comments must be Constitution Center, 400 7th Street SW, including routine uses permitted by the received on or before August 16, 5th Floor, Suite 5610 (Annex J), Privacy Act, see https://www.ftc.gov/ 2021.May 17, 2021. Washington, DC 20024. If possible, siteinformation/privacy-policy. ADDRESSES: please submit your paper comment to You may submit comments, the Commission by courier or overnight Josephine Liu, identified by Docket No. CDC–2021– service. Assistant General Counsel for Legal Counsel. 0053 by either of the following methods: • Federal eRulemaking Portal: http:// Because your comment will be placed [FR Doc. 2021–10285 Filed 5–14–21; 8:45 am] on https://www.regulations.gov, you are www.regulations.gov. Follow the BILLING CODE 6750–01–P instructions for submitting comments. solely responsible for making sure that • your comment does not include any Mail: Anindita Issa, MD, Centers for sensitive or confidential information. In Disease Control and Prevention, 1600 DEPARTMENT OF HEALTH AND Clifton Road NE, Mailstop H24–12, particular, your comment should not HUMAN SERVICES include any sensitive personal Atlanta, Georgia 30329. Instructions: All submissions received information, such as your or anyone Centers for Disease Control and must include the agency name and else’s Social Security number, date of Prevention birth, driver’s license number or other Docket Number. All relevant comments [Docket No. CDC–2021–0053] state identification number or foreign received will be posted without change to http://regulations.gov, including any country equivalent, passport number, The Systematic Review Report for financial account number, or credit or personal information provided. For Diagnosis and Treatment of Myalgic access to the docket to read background debit card number. You are also solely Encephalomyelitis/Chronic Fatigue responsible for making sure that your documents or comments received, go to Syndrome (ME/CFS): Request for http://www.regulations.gov. Do not comment does not include sensitive Comment health information, such as medical submit comments by email. CDC does records or other individually AGENCY: Centers for Disease Control and not accept comments by email. identifiable health information. In Prevention (CDC), Department of Health FOR FURTHER INFORMATION CONTACT: For addition, your comment should not and Human Services (HHS). technical information on the systematic include any ‘‘trade secret or any ACTION: Notice with comment period. review report for ME/CFS, contact commercial or financial information Anindita Issa, MD, Centers for Disease which . . . is privileged or SUMMARY: The Centers for Disease Control and Prevention, 1600 Clifton confidential,’’ as provided by section Control and Prevention (CDC) in the Road NE, Mailstop H24–12, Atlanta, 6(f) of the FTC Act, 15 U.S.C. 46(f), and Department of Health and Human Georgia 30329. Telephone: 404–718– FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2), Services (HHS) announces the opening 3959; email: [email protected]. including in particular, competitively of a docket to obtain comment on the SUPPLEMENTARY INFORMATION: sensitive information such as costs, systematic review draft report for sales statistics, inventories, formulas, Diagnosis and Treatment of Myalgic Public Participation patterns, devices, manufacturing Encephalomyelitis/Chronic Fatigue Interested persons or organizations processes, or customer names. Syndrome (ME/CFS). The draft report are invited to participate by submitting Comments containing material for describes inclusion and exclusion written views, recommendations, and which confidential treatment is criteria to identify relevant literature, data related to the draft report, requested must be filed in paper form, outlines the approach for evaluating including perspectives on and must be clearly labeled ‘‘Confidential,’’ study quality, and summarizes the experiences with diagnosis and and must comply with FTC Rule 4.9(c). systematic review results. The report, management of ME/CFS illness. In In particular, the written request for once finalized, is intended to support addition, CDC invites comments confidential treatment that accompanies the anticipated development of future specifically on topics for the comment must include the factual clinical practice guidelines, which pharmacological or non- and legal basis for the request, and must would guide physicians in managing pharmacological treatments. identify the specific portions of the and providing care for patients with Please note that comments received, comment to be withheld from the public ME/CFS. Currently there are no federal including attachments and other record. Your comment will be kept guidelines for management of ME/CFS. supporting materials, are part of the confidential only if the FTC General CDC has commissioned the Pacific public record and are subject to public Counsel grants your request in Northwest Evidence-Based Practice disclosure. Comments will be posted on accordance with the law and the public Center at Oregon Health & Science https://www.regulations.gov. Therefore,

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do not include any information in your ACTION: Notice. document(s) that are accepting comment or supporting materials that comments. you consider confidential or SUMMARY: On May 28, 2010, the Office 2. By regular mail. You may mail inappropriate for public disclosure. If of Management and Budget (OMB) written comments to the following you include your name, contact issued Paperwork Reduction Act (PRA) address: information, or other information that guidance 1 related to the ‘‘generic’’ CMS, Office of Strategic Operations identifies you in the body of your clearance process. Generally, this is an and Regulatory Affairs, Division of comments, that information will be on expedited process by which agencies Regulations Development, Attention: public display. CDC will review all may obtain OMB’s approval of CMS–10398 (#71)/OMB control number: submissions and may choose to redact, collection of information requests that 0938–1148, Room C4–26–05, 7500 or withhold, submissions containing are ‘‘usually voluntary, low-burden, and Security Boulevard, Baltimore, private or proprietary information such uncontroversial collections,’’ do not Maryland 21244–1850. as Social Security numbers, medical raise any substantive or policy issues, To obtain copies of a supporting information, inappropriate language, or and do not require policy or statement and any related forms for the duplicate/near duplicate examples of a methodological review. The process proposed collection(s) summarized in mass-mail campaign. CDC will carefully requires the submission of an this notice, you may access CMS’ consider all comments submitted in overarching plan that defines the scope website at https://www.cms.gov/ preparation of the final systematic of the individual collections that would Regulations-and-Guidance/Legislation/ review report and may revise it as fall under its umbrella. On October 23, PaperworkReductionActof1995/PRA- appropriate. Do not submit comments 2011, OMB approved our initial request Listing.html. by email. CDC does not accept to use the generic clearance process FOR FURTHER INFORMATION CONTACT: comments by email. under control number 0938–1148 William N. Parham at (410) 786–4669. (CMS–10398). It was last approved on Background SUPPLEMENTARY INFORMATION: Following April 26, 2021, via the standard PRA is a summary of the use and burden CDC has commissioned the Pacific process which included the publication associated with the subject information Northwest Evidence-Based Practice of 60- and 30-day Federal Register collection(s). More detailed information Center at Oregon Health and Science notices. The scope of the April 2021 can be found in the collection’s University to conduct a systematic umbrella accounts for Medicaid and supporting statement and associated review of the publicly available CHIP State plan amendments, waivers, materials (see ADDRESSES). scientific literature for ME/CFS demonstrations, and reporting. This (systematic review). Once finalized, the Federal Register notice seeks public Generic Information Collection systematic review report is intended to comment on one or more of our 1. Title of Information Collection: support the anticipated development of collection of information requests that future agency clinical practice Reporting Requirements for State we believe are generic and fall within Planning Grants for Qualifying guidelines. The anticipated CDC the scope of the umbrella. Interested guideline would assist physicians and Community-Based Mobile Crisis persons are invited to submit comments Intervention Services During the other clinicians by outlining regarding our burden estimates or any management practices for caring for COVID–19 Emergency; Type of other aspect of this collection of Information Collection Request: New patients with ME/CFS. information, including: The necessity Public comment may inform the final collection; Use: On March 11, 2021, and utility of the proposed information systematic review report and may be President Biden signed the American collection for the proper performance of used to inform development of a clinical Rescue Plan Act of 2021 (ARP) (Pub. L. the agency’s functions, the accuracy of guideline and related materials, which 117–2). Under ARP section 9813, the estimated burden, ways to enhance would help clinicians diagnose and planning grantees must submit quarterly the quality, utility and clarity of the treat patients with ME/CFS. progress reports and a final progress information to be collected, and the use report. The reports should include Dated: May 11, 2021. of automated collection techniques or narrative updates on planning grant Sandra Cashman, other forms of information technology to activities, as well as information on Executive Secretary, Centers for Disease minimize the information collection each recipient’s approved work plan, as Control and Prevention. burden. specified in each recipient’s approved [FR Doc. 2021–10271 Filed 5–14–21; 8:45 am] DATES: Comments must be received by application in accordance with the BILLING CODE 4163–18–P June 1, 2021. ‘‘Section 9813 State Planning Grants for ADDRESSES: When commenting, please Mobile Crisis Intervention Services DEPARTMENT OF HEALTH AND reference the applicable form number Cooperative Agreement.’’ To ensure HUMAN SERVICES (see below) and the OMB control maximum state flexibility and to reduce number (0938–1148). To be assured the reporting burden on states as much Centers for Medicare & Medicaid consideration, comments and as possible, states will submit quarterly Services recommendations must be submitted in and final progress reports in their own any one of the following ways: preferred format. CMS will not require [Document Identifier: CMS–10398 #71] 1. Electronically. You may send your states to use a standardized template or Medicaid and Children’s Health comments electronically to http:// form. When ready, the Notice of Insurance Program (CHIP) Generic www.regulations.gov. Follow the Funding Opportunity will be posted on Information Collection Activities: instructions for ‘‘Comment or the Grants.gov website; Form Number: Proposed Collection; Comment Submission’’ or ‘‘More Search Options’’ CMS–10398 (#71) (OMB control Request to find the information collection number: 0938–1148); Frequency: Quarterly; Affected Public: State, Local, AGENCY: Centers for Medicare & 1 https://www.whitehouse.gov/sites/ or Tribal Governments; Number of Medicaid Services, Health and Human whitehouse.gov/files/omb/assets/inforeg/PRA_Gen_ Respondents: 20; Total Annual Services (HHS). ICRs_5-28-2010.pdf. Responses: 80; Total Annual Hours:

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320. (For policy questions regarding this about the collection of information ACF to garner customer and stakeholder collection contact Effie George at 410– between 30 and 60 days after feedback in an efficient, timely manner 786–8639.) publication of this document in the in accord with our commitment to Dated: May 12, 2021. Federal Register. Therefore, a comment improving service delivery. The is best assured of having its full effect William N. Parham, III, information collected from our if OMB receives it within 30 days of customers and stakeholders helps Director, Paperwork Reduction Staff, Office publication. of Strategic Operations and Regulatory ensure that users have an effective, Affairs. ADDRESSES: Written comments and efficient, and satisfying experience with [FR Doc. 2021–10294 Filed 5–14–21; 8:45 am] recommendations for the proposed the programs. This feedback provides insights into customer or stakeholder BILLING CODE 4120–01–P information collection should be sent within 30 days of publication of this perceptions, experiences, and notice to www.reginfo.gov/public/do/ expectations; provides an early warning DEPARTMENT OF HEALTH AND PRAMain. Find this particular of issues with service; or focus attention HUMAN SERVICES information collection by selecting on areas where communication, ‘‘Currently under 30-day Review—Open training, or changes in operations might Administration for Children and for Public Comments’’ or by using the improve delivery of products or Families search function. services. These collections allow for ongoing, collaborative, and actionable [OMB No. 0970–0401] SUPPLEMENTARY INFORMATION: Description: Executive Order 12862 communications between ACF and its Submission for OMB Review; Generic directs federal agencies to provide customers and stakeholders. They also Clearance for the Collection of service to the public that matches or allow feedback to contribute directly to Qualitative Feedback on Agency exceeds the best service available in the the improvement of program Service Delivery private sector. As outlined in management. Memorandum M–11–26, the Office of Per Memorandum M–11–26, AGENCY: Administration for Children Management and Budget (OMB) worked information collection requests and Families, HHS. with agencies to create a Fast Track submitted under this Fast Track generic ACTION: Request for public comment. Process to allow agencies to obtain will be considered approved unless timely feedback on service delivery OMB notifies ACF otherwise within 5 SUMMARY: The Administration for while ensuring that the information days. Children and Families (ACF) proposes collected is useful and minimally to extend data collection under the burdensome for the public, as required Respondents: ACF program existing overarching Generic Clearance by the Paperwork Reduction Act of participants, potential program for the Collection of Qualitative 1995. ACF created this generic clearance participants, stakeholders, and other Feedback on Agency Service Delivery in response to this effort by OMB. customers. (OMB #0970–0401). There are no In order to work continuously to Annual Burden Estimates changes to the proposed types of ensure that the ACF programs are information collection or uses of data, effective and meet our customers’ needs, Based on the use of this generic but ACF is requesting an increase to the we use this Fast Track generic clearance clearance over the past 3 years, ACF is estimated number of respondents. process to collect qualitative feedback requesting an increase to the estimated DATES: Comments due within 30 days of on our service delivery. This collection burden based on use over the past three publication. OMB must make a decision of information is necessary to enable years.

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

Example instruments include: Customer Comment Card/Complaint Form Customer Satisfaction Survey Usability Testing (e.g., Website or Soft- ware) Small Discussion Group. Focus Group. 175,000 1 Varies based on instrument. Most requests 25,000 fall between 5 minutes and 1 hour.

Authority: Social Security Act, Sec. 1110. [42 U.S.C. 1310]. Mary B. Jones, ACF/OPRE Certifying Officer. [FR Doc. 2021–10334 Filed 5–14–21; 8:45 am] BILLING CODE 4184–79–P

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DEPARTMENT OF HEALTH AND SUMMARY: HRSA announces the award via email at [email protected] or by HUMAN SERVICES of a supplement in the amount of phone at (301) 945–3985). $175,000 for a HRSA-funded SUPPLEMENTARY INFORMATION: Health Resources and Services cooperative agreement awarded to the Intended Recipient of Award: Administration University of Southern Maine Rural University of Southern Maine. Health Research Center. The Notice of Supplemental Award to the supplement will fund a comprehensive Amount of the Non-Competitive University of Southern Maine Rural region wide assessment of health issues Award: $175,000. Health Research Center to improve health care in rural areas of Period of Supplemental Funding: 9/1/2020–08/31/2021. AGENCY: Health Resources and Services the Northern Border Region (NBR) of the Administration (HRSA), Department of U.S.—Grant Number U1CRH03716. CFDA Number: 93.155. Health and Human Services. FOR FURTHER INFORMATION CONTACT: For Authority: Section 711(b) of the Social further information regarding this Security Act (42 U.S.C. 912(b)(5)), as ACTION: Notice of Supplemental Award. request, please contact Jennifer Burges amended.

TABLE 1—RECIPIENTS AND AWARD AMOUNT

FY 2020 FY 2020 estimated Grantee/organization name Grant No. State authorized supplemental funding level funding

University of Southern Maine ...... U1CRH03716 ME $700,000 $175,000

Justification: The Rural Health proposed activities are within the scope Vaccine Injury Compensation Program, Research Center (RHRC) program’s of their current RHRC grant. 5600 Fishers Lane, Room 08N146B, Rockville, Maryland 20857; (301) 443– purpose is to support high-quality, Diana Espinosa, impartial, policy-relevant research to 6593, or visit our website at: http:// Acting Administrator. assist health care providers and www.hrsa.gov/vaccinecompensation/ [FR Doc. 2021–10338 Filed 5–14–21; 8:45 am] decision/policy-makers at the federal, index.html. state, and local levels in better BILLING CODE 4165–15–P SUPPLEMENTARY INFORMATION: The understanding the health care Program provides a system of no-fault challenges faced by rural communities DEPARTMENT OF HEALTH AND compensation for certain individuals to improve health care in rural areas. HUMAN SERVICES who have been injured by specified RHRC recipients conduct policy- childhood vaccines. Subtitle 2 of Title oriented health services research, Health Resources and Services XXI of the PHS Act, 42 U.S.C. 300aa– update trend analyses and existing Administration 10 et seq., provides that those seeking research, and conduct necessary compensation are to file a petition with National Vaccine Injury Compensation literature reviews on rural health issues the United States Court of Federal Program; List of Petitions Received and synthesize the issues into publically Claims and to serve a copy of the available policy briefs designed to AGENCY: Health Resources and Services petition to the Secretary of HHS, who is improve health care in rural areas. Administration (HRSA), Department of named as the respondent in each In fiscal year 2021 departmental Health and Human Services (HHS). proceeding. The Secretary has delegated appropriations report language, HRSA’s ACTION: Notice. this responsibility under the Program to Federal Office of Rural Health Policy HRSA. The Court is directed by statute SUMMARY: HRSA is publishing this was directed to fund programs to assist to appoint special masters who take notice of petitions received under the evidence, conduct hearings as the NBR, which is comprised of the National Vaccine Injury Compensation appropriate, and make initial decisions States of Vermont, Maine, New York Program, of the Public Health Service as to eligibility for, and amount of, and New Hampshire. As part of that (PHS) Act, as amended. While the compensation. directive, HRSA intends to work in Secretary of HHS is named as the A petition may be filed with respect consultation with the Northern Border respondent in all proceedings brought Region Commission to fund one RHRC to injuries, disabilities, illnesses, by the filing of petitions for conditions, and deaths resulting from to do a comprehensive region wide compensation under the Program, the assessment of health, health outcomes, vaccines described in the Vaccine Injury United States Court of Federal Claims is Table (the Table) set forth at 42 CFR health needs, and health assets for the charged by statute with responsibility 100.3. This Table lists for each covered purpose of improving health care in for considering and acting upon the childhood vaccine the conditions that rural areas within the NBR. The only petitions. may lead to compensation and, for each RHRC positioned to do this work is the FOR FURTHER INFORMATION CONTACT: For condition, the time period for University of Southern Maine. It is the information about requirements for occurrence of the first symptom or only RHRC that is located within the filing petitions, and the Program in manifestation of onset or of significant NBR states that has the capability to general, contact Lisa L. Reyes, Clerk of aggravation after vaccine research regional rural health care needs Court, United States Court of Federal administration. Compensation may also and has experience working with the Claims, 717 Madison Place NW, be awarded for conditions not listed in required data from these states. The Washington, DC 20005, (202) 357–6400. the Table and for conditions that are For information on HRSA’s role in the manifested outside the time periods Program, contact the Director, National specified in the Table, but only if the

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petitioner shows that the condition was to paperwork reduction, does not apply 29. Carolyn Hall, Matthews, North Carolina, caused by one of the listed vaccines. to information required for purposes of Court of Federal Claims No: 21–1195V Section 2112(b)(2) of the PHS Act, 42 carrying out the Program. 30. Jasmin Flores, Boston, Massachusetts, U.S.C. 300aa–12(b)(2), requires that Court of Federal Claims No: 21–1196V ‘‘[w]ithin 30 days after the Secretary Diana Espinosa, 31. Kimberly Benz, Greensburg, Acting Administrator. Pennsylvania, Court of Federal Claims receives service of any petition filed No: 21–1197V under section 2111 the Secretary shall List of Petitions Filed 32. Alexia Pena, Los Angeles, California, publish notice of such petition in the Court of Federal Claims No: 21–1199V 1. Julie Parrish, Lexington, Kentucky, Court Federal Register.’’ Set forth below is a 33. James Quick, Cullman, Alabama, Court of of Federal Claims No: 21–1149V Federal Claims No: 21–1201V list of petitions received by HRSA on 2. Alison Stiegler, Novato, California, Court 34. Jamie Myers on behalf of A.C., Spokane, April 1, 2021, through April 30, 2021. of Federal Claims No: 21–1152V Washington, Court of Federal Claims No: This list provides the name of 3. Madelyn Malloy, Phoenix, Arizona, Court 21–1205V petitioner, city and state of vaccination of Federal Claims No: 21–1153V 35. Carol Jenkins, Washington, District of 4. Hussein Ali Jabbar on behalf of F. A., St. (if unknown then city and state of Columbia, Court of Federal Claims No: Louis, Missouri, Court of Federal Claims person or attorney filing claim), and 21–1206V No: 21–1155V case number. In cases where the Court 36. Elizabeth Gompf, Washington, District of 5. Victoria Thorn, Washington, District of has redacted the name of a petitioner Columbia, Court of Federal Claims No: Columbia, Court of Federal Claims No: and/or the case number, the list reflects 21–1207V 21–1156V 37. Lisa A. Brancheau, Riverview, Michigan, such redaction. 6. Neana Gatica, Orange, California, Court of Court of Federal Claims No: 21–1209V Section 2112(b)(2) also provides that Federal Claims No: 21–1158V 38. Brian Tacher, Cape Coral, Florida, Court the special master ‘‘shall afford all 7. Barry Taerbaum, Glenview, Illinois, Court of Federal Claims No: 21–1213V interested persons an opportunity to of Federal Claims No: 21–1159V 39. Ashley Baldwin, Athens, Texas, Court of submit relevant, written information’’ 8. Dorinda K. Perez, Santa Clarita, California, Federal Claims No: 21–1215V relating to the following: Court of Federal Claims No: 21–1160V 40. Sharon Kantner, Washington, District of 9. Jeffrey Kaufman, Burlington, Vermont, 1. The existence of evidence ‘‘that Columbia, Court of Federal Claims No: there is not a preponderance of the Court of Federal Claims No: 21–1161V 10. Samantha O’Connell, Erie, Pennsylvania, 21–1216V evidence that the illness, disability, 41. Mikhail Roubakha, Chicago, Illinois, injury, condition, or death described in Court of Federal Claims No: 21–1162V 11. Belarmina Flores-Ayala, Chowchilla, Court of Federal Claims No: 21–1217V the petition is due to factors unrelated California, Court of Federal Claims No: 42. Latisha Beach, Morristown, Tennessee, to the administration of the vaccine 21–1163V Court of Federal Claims No: 21–1218V described in the petition,’’ and 12. Alban Cooper, Washington, District of 43. Stephanie Brooks, Charlotte, North 2. Any allegation in a petition that the Columbia, Court of Federal Claims No: Carolina, Court of Federal Claims No: petitioner either: 21–1164V 21–1219V a. ‘‘[S]ustained, or had significantly 13. Teresa Rivera on behalf of Estate of Angel 44. Thomas Kenny, Philadelphia, aggravated, any illness, disability, Manuel Berrios Silva, Deceased, Pennsylvania, Court of Federal Claims No: 21–1221V injury, or condition not set forth in the Englewood, New Jersey, Court of Federal Claims No: 21–1172V 45. Amorette M. Burgess, Beachwood, Ohio, Vaccine Injury Table but which was Court of Federal Claims No: 21–1222V caused by’’ one of the vaccines referred 14. Tamara E. Maynard, Lexington, Kentucky, Court of Federal Claims No: 46. Nikki Hysong-Wiggins, Washington, to in the Table, or 21–1173V District of Columbia, Court of Federal b. ‘‘[S]ustained, or had significantly 15. Tom Thompson, Woodbury, Minnesota, Claims No: 21–1224V aggravated, any illness, disability, Court of Federal Claims No: 21–1175V 47. Howard Beech, Boscobel, Wisconsin, injury, or condition set forth in the 16. Kyle Hirst, South San Francisco, Court of Federal Claims No: 21–1225V Vaccine Injury Table the first symptom California, Court of Federal Claims No: 48. Brooke Offhaus, Merced, California, Court or manifestation of the onset or 21–1176V of Federal Claims No: 21–1226V significant aggravation of which did not 17. Maurice Drayton, Green Bay, Wisconsin, 49. Savannah Sharpe, San Mateo, California, Court of Federal Claims No: 21–1177V Court of Federal Claims No: 21–1228V occur within the time period set forth in 50. Adwoa Ampofo-Addo, Oakwood Village, the Table but which was caused by a 18. Janet Hagos, San Jose, California, Court of Federal Claims No: 21–1181V Illinois, Court of Federal Claims No: 21– vaccine’’ referred to in the Table. 19. Christine Perkins, Iowa City, Iowa, Court 1231V In accordance with Section of Federal Claims No: 21–1182V 51. Karon Matheny, Hartford, Alabama, Court 2112(b)(2), all interested persons may 20. Karen Zeisler, Toledo, Ohio, Court of of Federal Claims No: 21–1232V submit written information relevant to Federal Claims No: 21–1184V 52. Eva Magana, Salinas, California, Court of the issues described above in the case of 21. Miranda Chu, Vancouver, Washington, Federal Claims No: 21–1234V the petitions listed below. Any person Court of Federal Claims No: 21–1185V 53. Helen Brummett, Fuquay-Varina, North choosing to do so should file an original 22. Loren K. Levy, Rancho Palos Verdes, Carolina, Court of Federal Claims No: and three copies of the information with California, Court of Federal Claims No: 21–1235V 21–1187V 54. Jadon Espinosa, Cape Coral, Florida, the Clerk of the United States Court of 23. Paul M. Kestel, Storm Lake, Iowa, Court Court of Federal Claims No: 21–1236V Federal Claims at the address listed of Federal Claims No: 21–1188V 55. Jack Robert Day, Cleveland, Ohio, Court above (under the heading FOR FURTHER 24. Cori Bratley on behalf of J. M., Plano, of Federal Claims No: 21–1237V INFORMATION CONTACT), with a copy to Texas, Court of Federal Claims No: 21– 56. Tina Michelle Grubbs-Roberts, HRSA addressed to Director, Division of 1189V Gainesville, Georgia, Court of Federal Injury Compensation Programs, 25. Melly Grizzell, Las Vegas, Nevada, Court Claims No: 21–1238V Healthcare Systems Bureau, 5600 of Federal Claims No: 21–1191V 57. Abraham Klein and Shifra Kahan on Fishers Lane, 08N146B, Rockville, 26. Nelson Ortiz, Washington, District of behalf of C.K., New York, New York, Maryland 20857. The Court’s caption Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–1239V 21–1192V 58. Jessica Willey, Chittenango, California, (Petitioner’s Name v. Secretary of HHS) 27. Kenneth Onwubiko, North Phoenix, Court of Federal Claims No: 21–1240V and the docket number assigned to the Arizona, Court of Federal Claims No: 21– 59. Matthew Dupleasis, Waupun, Wisconsin, petition should be used as the caption 1193V Court of Federal Claims No: 21–1241V for the written submission. Chapter 35 28. Jamie Handley, Glendale, Arizona, Court 60. Elizabeth D’Alessio, Aurora, Illinois, of title 44, United States Code, related of Federal Claims No: 21–1194V Court of Federal Claims No: 21–1242V

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61. Brittany Moore on behalf of S.J.M., of Federal Claims No: 21–1294V of the information to be collected; and Mobile, Alabama, Court of Federal 94. David Drapiewski, Seattle, Washington, (4) the use of automated collection Claims No: 21–1244V Court of Federal Claims No: 21–1296V techniques or other forms of information 62. Margo Ramarui, Washington, District of 95. William Lewis, New York, New York, technology to minimize the information Columbia, Court of Federal Claims No: Court of Federal Claims No: 21–1298V 21–1245V 96. Peter Presson, Portland, Oregon, Court of collection burden. 63. Amanda Farlin, Akron, Ohio, Court of Federal Claims No: 21–1299V Title of the Collection: Appellant Federal Claims No: 21–1247V 97. Lori Brust, Massapequa, New York, Court Climate Survey. 64. Hilda Leon Alvarado, Villalba, Puerto of Federal Claims No: 21–1300V Type of Collection: Revision. Rico, Court of Federal Claims No: 21– 98. Mark Peters, Marshfield, Wisconsin, 1248V Court of Federal Claims No: 21–1301V OMB No.: 0990–0330. 65. Karen Barrera, Weslaco, Texas, Court of 99. Carol Winston, Chicago, Illinois, Court of Abstract: The annual OMHA Federal Claims No: 21–1249V Federal Claims No: 21–1302V Appellant Climate Survey is a survey of 66. Joseph Savino, Ronkonkoma, New York, 100. Brian Korpacz, Phoenix, Arizona, Court Medicare beneficiaries, providers, Court of Federal Claims No: 21–1250V of Federal Claims No: 21–1303V 67. Anne Zaratsian, Beachwood, Ohio, Court suppliers, or their representatives who [FR Doc. 2021–10337 Filed 5–14–21; 8:45 am] of Federal Claims No: 21–1251V participated in a hearing before an 68. Raviraj Bhatane, Santa Clara, California, BILLING CODE 4165–15–P Administrative Law Judge (ALJ) from Court of Federal Claims No: 21–1252V OMHA. Appellants dissatisfied with the 69. Glendaly Ramos Rodriguez, Vega Alta, outcome of their Level 2 Medicare Puerto Rico, Court of Federal Claims No: DEPARTMENT OF HEALTH AND appeal may request a hearing before an 21–1253V HUMAN SERVICES OMHA ALJ. The Appellant Climate 70. Gary Neary, Brooklyn, New York, Court Survey will be used to measure of Federal Claims No: 21–1254V [Document Identifier: OS–0990–0330] 71. Janet M. Engels, Queensbury, New York, appellant satisfaction with their OMHA Court of Federal Claims No: 21–1255V Agency Information Collection appeals experience, as opposed to their 72. Jodie Johnson, Mechanickville, New Request; 30-Day Public Comment satisfaction with a specific ruling. York, Court of Federal Claims No: 21– Request OMHA was established by the Medicare 1256V Prescription Drug, Improvement, and AGENCY: 73. Christine M. Boyle, Akron, Ohio, Court of Office of the Secretary, HHS. Modernization Act (MMA) of 2003 (Pub. Federal Claims No: 21–1257V ACTION: Notice. L. 108–173) and became operational on 74. Jerry Stewart, Tampa, Florida, Court of July 1, 2005. The MMA legislation and SUMMARY: In compliance with the Federal Claims No: 21–1258V implementing regulations issued on 75. Hugo Reyes, Providence, Rhode Island, requirement of the Paperwork Court of Federal Claims No: 21–1259V Reduction Act of 1995, the Office of the March 8, 2007, instituted a number of 76. Richard Pollack, Winchester, Virginia, Secretary (OS), Department of Health changes in the appeals process. The Court of Federal Claims No: 21–1262V and Human Services, is publishing the MMA legislation also directed HHS to 77. Rene Baldi, Timonium, Maryland, Court following summary of a proposed consider the feasibility of conducting of Federal Claims No: 21–1264V collection for public comment. hearings using telephone or video- 78. Jennifer Silacci, Boulder, Colorado, Court teleconference (VTC) technologies. In DATES: of Federal Claims No: 21–1265V Comments on the ICR must be carrying out this mandate, OMHA 79. Laura McGowen, Bryant, Arkansas, Court received on or before June 16, 2021. makes use of both telephone and VTC of Federal Claims No: 21–1266V ADDRESSES: Written comments and to provide appellants with a vast 80. Allison Bay, Phoenix, Arizona, Court of recommendations for the proposed Federal Claims No: 21–1267V nationwide network Field Offices for 81.Kimberly Hartline,Ellicott City, Maryland, information collection should be sent hearings. The first 3-year administration Court of Federal Claims No: 21–1269V within 30 days of publication of this cycle of the OMHA survey began in 82. Bernice Edmonds, Jacksonville, Florida, notice to www.reginfo.gov/public/do/ fiscal year (FY) 2008, a second 3-year Court of Federal Claims No: 21–1274V PRAMain. Find this particular cycle began in FY 2011, a third 3-year 83. Elaine Lambert, Nashua, New Hampshire, information collection by selecting cycle began in FY 2014, and a fourth 3- Court of Federal Claims No: 21–1275V ‘‘Currently under 30-day Review—Open year cycle began in FY 2018. The survey 84. Isaiah Guy, Boscobel, Wisconsin, Court of for Public Comments’’ or by using the will continue to be conducted annually Federal Claims No: 21–1276V search function. 85. Sandra Yockteng, Boca Raton, Florida, over a 3-year period with the next data Court of Federal Claims No: 21–1277V FOR FURTHER INFORMATION CONTACT: collection cycle beginning in FY 2021. 86. Eve Y. Thao, Milwaukee, Wisconsin, Sherrette Funn, [email protected] Data collection instruments and Court of Federal Claims No: 21–1280V or (202) 795–7714. When submitting recruitment materials will be offered in 87. Clarence Reynolds, Washington, District comments or requesting information, English and Spanish. The estimated of Columbia, Court of Federal Claims No: please include the document identifier total number of respondents per FY 21–1284V 0990–0330–30D and project title for starting 2021 is 800 respondents. The 88. Cheryl Larson, Washington, District of reference. Columbia, Court of Federal Claims No: estimated total annual burden hours 21–1285V SUPPLEMENTARY INFORMATION: Interested starting FY 2021 is 200 hours. 89. Megan Laughlin, Washington, District of persons are invited to send comments Type of Respondent: The survey will Columbia, Court of Federal Claims No: regarding this burden estimate or any be conducted annually, and survey 21–1286V other aspect of this collection of respondents will consist of Medicare 90. Joseph Behlke, Phoenix, Arizona, Court of information, including any of the beneficiaries and non-beneficiaries (i.e., Federal Claims No: 21–1287V following subjects: (1) The necessity and providers, suppliers) who participated 91. Roccalina Maragliano, Everett, Washington, Court of Federal Claims No: utility of the proposed information in a hearing before an OMHA ALJ. 21–1290V collection for the proper performance of OMHA will draw a representative, 92. Sandra Buysse, Jasper, Minnesota, Court the agency’s functions; (2) the accuracy nonredundant sample of appellants of Federal Claims No: 21–1291V of the estimated burden; (3) ways to whose cases have been closed in the last 93. Mikayla Vacher, Phoenix, Arizona, Court enhance the quality, utility, and clarity 6 months.

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ESTIMATED ANNUALIZED BURDEN HOUR TABLE

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

Beneficiaries ...... 400 1 15/60 100 Non-Beneficiaries ...... 400 1 15/60 100

Total ...... 800 1 15/60 200

Sherrette A. Funn, the mysteries of how vision works at a • Public Health and Disparities Paperwork Reduction Act Reports Clearance fundamental level and provides patients Research Officer, Office of the Secretary. with new therapies and standards of Information Requested [FR Doc. 2021–10280 Filed 5–14–21; 8:45 am] care that maintain and improve quality BILLING CODE 4150–46–P of life. This RFI invites comments from In accordance with the 21st Century researchers in academia and industry, Cures Act, NIH institutes are required to health care professionals, patient DEPARTMENT OF HEALTH AND regularly update their strategic plans. advocates and health advocacy HUMAN SERVICES The new NEI Strategic Plan seeks to organizations, scientific or professional distill those reflections into a cohesive organizations, federal agencies, and National Institutes of Health document that will guide efforts to other interested members of the public address those gaps and opportunities on the draft NEI Strategic Plan at Notice To Announce the National Eye over the next five years. NEI has always https://www.nei.nih.gov/about/strategic- Institute (NEI) Draft Strategic Plan; been—and will continue to be— planning. When developing comments, Request for Information committed to high quality investigator- please read the draft strategic plan and AGENCY: National Institutes of Health, initiated research and will fund the best provide any high-level, content related HHS. science across the broad spectrum of feedback by submitting a written response to [email protected]. ACTION: Notice. vision research. Ultimately, NEI stakeholders provide the catalyst for Organizations are strongly encouraged SUMMARY: This Request for Information identifying and implementing the goals. to submit a single response that reflects (RFI) is intended to gather broad public NEI has been incorporating broad the views of their organization and input to assist the National Eye Institute public and expert input in the membership. (NEI), National Institutes of Health development of this plan, starting in the Results of this RFI and updated Strategic Plan will be presented at the (NIH) in reviewing the draft strategic winter of 2019–2020 with an initial June 11, 2021, meeting of the NAEC and plan document accessible from the NEI Request for Information (RFI). This the finalized Strategic Plan will be Strategic Plan website. NEI invites input public comment period engaged posted on the NEI website once it is from vison researchers in academia and perspectives from scientists, clinicians, approved. industry, health care professionals, patients, vision advocates, and the patient advocates and advocacy public. NEI received a robust response Responses organizations, scientific or professional to the RFI, which informed the selection Responses to this RFI are voluntary. organizations, federal agencies, and and agendas of expert panels for seven Please do not include any personally other interested members of the public. cross-cutting areas of emphasis during identifiable information or any Organizations are strongly encouraged the spring and summer of 2020. NEI information that you do not wish to to submit a single response that reflects incorporated the topics covered in the make public. Proprietary, classified, the views of their organization and their RFI and panels into the planning confidential, or sensitive information membership as a whole. document and presented the should not be included in your DATES: This Request for Information is information publicly before the NAEC. response. The Government will use the open for public comment and must be Under each area of emphasis, NEI information submitted in response to received by June 7, 2021 to ensure provides a summary of goals related to this RFI at its discretion. The consideration. research needs, gaps, and opportunities Government reserves the right to use for the institute to address over the next ADDRESSES: Comments must be any submitted information on public five years. submitted electronically at NEIPlan@ websites, in reports, in summaries of the mail.nih.gov. Areas of Emphasis state of the science, in any possible resultant solicitation(s), grant(s), or FOR FURTHER INFORMATION CONTACT: Visual System in Health and Disease cooperative agreement(s), or in the Please direct all inquiries to NEIplan@ • From Genes to Disease Mechanisms development of future funding mail.NIH.gov and to Nora Wong, 301– • opportunity announcements. This RFI is 496–4308, [email protected]. To Biology and Neuroscience of Vision • Immune System and Eye Health for informational and planning purposes learn about strategic planning activities only and is not a solicitation for at NEI, please visit https:// Capitalizing on Emerging Fields applications or an obligation on the part www.nei.nih.gov/about/strategic- • Regenerative Medicine of the Government to provide support planning. • Data Science for any ideas identified in response to SUPPLEMENTARY INFORMATION: Charged to it. Please note that the Government will protect and preserve the eyes and vision Preventing Vision Loss and Enhancing not pay for the preparation of any of the American people, NEI supports Well-Being information submitted or for use of that basic and clinical research that unravels • Individual Quality of Life information.

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NEI encourages the dissemination of Contact Person: Jasenka Borzan, Ph.D., ADDRESSES: Reviewing documents: If this RFI opportunity to broader Scientific Review Officer, Division of you wish to review the draft recovery networks and is looking forward to Extramural Activities, National Institutes of plan, you may obtain copies on our receiving input from the community. Mental Health, 6001 Executive Blvd., website, at https://ecos.fws.gov/docs/ Neuroscience Center, Room 6150, Bethesda, Please provide a written response to recovery_plan/Draft_American_Samoa_ MD 20892, 301–435–1260, jasenka.borzan@ _ [email protected] by June 7, 2021. nih.gov. Recovery Plan.pdf. You may also Dated: April 20, 2021. Name of Committee: National Institute of request copies of the draft recovery plan Nora M. Wong, Mental Health Special Emphasis Panel; by contacting Grant Canterbury at the email address below. Health Science Policy Analyst, National Eye BRAIN Initiative: Data Integration and Institute, National Institutes of Health. Analysis. Submitting comments: If you wish to Date: June 11, 2021. comment, submit your comments by [FR Doc. 2021–10287 Filed 5–14–21; 8:45 am] Time: 3:00 p.m. to 5:00 p.m. one of the following methods: BILLING CODE 4140–01–P Agenda: To review and evaluate grant 1. U.S. Mail: You may submit written applications. comments and materials to Field Place: National Institutes of Health, DEPARTMENT OF HEALTH AND Supervisor, Attention: Draft American Neuroscience Center, 6001 Executive Samoa Recovery Plan, Pacific Islands HUMAN SERVICES Boulevard, Rockville, MD 20852 (Telephone Conference Call). Fish and Wildlife Office, U.S. Fish and National Institutes of Health Contact Person: Jasenka Borzan, Ph.D., Wildlife Service, 300 Ala Moana Scientific Review Officer, Division of Boulevard, Room 3122, Honolulu, HI National Institute of Mental Health; Extramural Activities, National Institutes of 96850; or Notice of Closed Meetings Mental Health, 6001 Executive Blvd., 2. Email: You may send comments by Neuroscience Center, Room 6150, Bethesda, email to [email protected]. Pursuant to section 10(d) of the MD 20892, 301–435–1260, jasenka.borzan@ Please include ‘‘Draft American Samoa Federal Advisory Committee Act, as nih.gov. Recovery Plan Comments’’ in the amended, notice is hereby given of the (Catalogue of Federal Domestic Assistance subject line. following meetings. Program No. 93.242, Mental Health Research Grants, National Institutes of Health, HHS) FOR FURTHER INFORMATION CONTACT: The meetings will be closed to the Megan Laut, Recovery Coordinator, at public in accordance with the Dated: May 12, 2021. the above U.S. mail address, or by provisions set forth in sections Melanie J. Pantoja, telephone at (808) 792–9400. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Program Analyst, Office of Federal Advisory Individuals who are hearing impaired as amended. The grant applications and Committee Policy. may call the Federal Relay Service at the discussions could disclose [FR Doc. 2021–10318 Filed 5–14–21; 8:45 am] (800) 877–8339 for TTY assistance. confidential trade secrets or commercial BILLING CODE 4140–01–P SUPPLEMENTARY INFORMATION: We, the property such as patentable material, U.S. Fish and Wildlife Service (Service), and personal information concerning announce the availability of the Draft individuals associated with the grant DEPARTMENT OF THE INTERIOR Recovery Plan for Five Species from applications, the disclosure of which American Samoa. This recovery plan would constitute a clearly unwarranted Fish and Wildlife Service addresses recovery of one mammal invasion of personal privacy. (South Pacific subspecies of Pacific Name of Committee: National Institute of [FWS–R1–ES–2020–N089; FXES11130100000–201–FF01E00000] sheath-tailed bat or peapea vai Mental Health Special Emphasis Panel; [Emballonura semicaudata BRAIN Initiative Cell Census Network semicaudata], two birds (mao (BICCN): Scalable Tech and Tools for Brain Endangered and Threatened Wildlife Cell Census (R01). and Plants; Draft Recovery Plan for [Gymnomyza samoensis] and the Date: June 10, 2021. Five Species From American Samoa American Samoa distinct population Time: 9:00 a.m. to 5:00 p.m. segment (DPS) of friendly ground-dove Agenda: To review and evaluate grant AGENCY: Fish and Wildlife Service, or tuaimeo [Gallicolumba stairi]), and applications. Interior. two snails (Eua zebrina and Ostodes Place: National Institutes of Health, ACTION: Notice of availability; request strigatus). The snails and the American Neuroscience Center, 6001 Executive for comment. Samoa DPS of tuaimeo are endemic to Boulevard, Rockville, MD 20852 (Telephone American Samoa; the mao and peapea Conference Call). SUMMARY: We, the U.S. Fish and vai appear to be extirpated from Contact Person: David W. Miller, Ph.D., Wildlife Service (Service), announce the Scientific Review Officer, Division of American Samoa, but populations of availability of the Draft Recovery Plan these species remain extant outside of Extramural Activities, National Institute of for Five Species from American Samoa. Mental Health, NIH, Neuroscience Center, U.S. jurisdiction. The draft recovery plan includes 6001 Executive Blvd., Room 6140, MSC 9608, Background Bethesda, MD 20892–9608, 301–443–9734, specific goals, objectives, and criteria [email protected]. necessary to remove these species from Recovery of endangered or threatened Name of Committee: National Institute of the Federal List of Endangered and animals and plants to the point where Mental Health Special Emphasis Panel; Threatened Wildlife. We request review they are again secure, self-sustaining BRAIN Initiative: Secondary Analysis and of this draft recovery plan and invite members of their ecosystems is a Archiving of Data. comments from local, Territorial, and primary goal of our endangered species Date: June 11, 2021. Federal agencies, nongovernmental program and the Endangered Species Time: 9:30 a.m. to 5:00 p.m. organizations, and the public. Act (ESA; 16 U.S.C. 1531 et seq.). Agenda: To review and evaluate grant DATES: applications. To ensure consideration, we Recovery means improvement of the Place: National Institutes of Health, must receive written comments on or status of listed species to the point at Neuroscience Center, 6001 Executive before August 16, 2021. However, we which listing is no longer appropriate Boulevard, Rockville, MD 20852 (Telephone will accept information about the under the criteria set out in section Conference Call). species at any time. 4(a)(1) of the ESA. The ESA requires the

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development of recovery plans for listed changes to the recovery plan. Comments Commission has determined not to species, unless such a plan would not regarding recovery plan implementation review an initial determination (‘‘ID’’) promote the conservation of a particular will be forwarded, as appropriate, to (Order No. 37) granting complainants’ species. Federal or other entities so they can be motion for return of bonds posted by The purpose of a recovery plan is to taken into account during the course of Timeless Designs Import LLC provide a feasible and effective roadmap implementing recovery actions. (‘‘Timeless Designs’’) on behalf of for a species’ recovery, with the goal of Responses to individual commenter will respondent Jiangsu Divine Building improving its status and managing its not be provided. However, we will Technology Development Co. Ltd. threats to the point at which protections provide a summary of how we (‘‘Divine’’) during the period of under the ESA are no longer needed. addressed substantive comments in an Presidential review. The bonds at issue Recovery plans must be designed so that appendix to the approved recovery plan. are hereby returned to Timeless Designs. all stakeholders and the public We invite written comments on the FOR FURTHER INFORMATION CONTACT: understand the rationale behind the draft recovery plan. In particular, we are Lynde Herzbach, Office of the General recovery program, whether they were interested in additional information Counsel, U.S. International Trade involved in writing the plan or not, and regarding the current threats to the Commission, 500 E Street SW, recognize their role in its species, ongoing beneficial management Washington, DC 20436, telephone (202) implementation. We are requesting efforts, and the costs associated with 205–3228. Copies of non-confidential submission of any information that implementing the recommended documents filed in connection with this enhances the necessary understanding recovery actions. investigation may be viewed on the of the species’ biology and threats and Public Availability of Comments Commission’s electronic docket (EDIS) its recovery needs and related at https://edis.usitc.gov. For help implementation issues or concerns, to All comments received, including accessing EDIS, please email ensure that we have assembled, names and addresses, will become part [email protected]. General considered, and incorporated the best of the administrative record and will be information concerning the Commission available scientific and commercial available to the public. Before including may also be obtained by accessing its information into the draft recovery plan. your address, phone number, email internet server at https://www.usitc.gov. Recovery plans provide important address, or other personal identifying Hearing-impaired persons are advised guidance to the Service, States, other information in your comment, you that information on this matter can be partners, and the public on methods of should be aware that your entire obtained by contacting the minimizing threats to listed species and comment—including your personal Commission’s TDD terminal on (202) objectives against which to measure the identifying information—will be 205–1810. progress towards recovery; they are publicly available. If you submit a SUPPLEMENTARY INFORMATION: guidance and not regulatory documents. On May hardcopy comment that includes 16, 2019, the Commission instituted this A recovery plan identifies, organizes, personal identifying information, you and prioritizes recovery actions and is investigation based on a complaint filed may request at the top of your document by Mohawk Industries, Inc. of Calhoun, an important guide that ensures sound that we withhold this information from scientific decision-making throughout Georgia; Flooring Industries Ltd. Sarl of public review. However, we cannot Bertrange, Luxembourg; and IVC US Inc. the recovery process, which can take guarantee we will be able to do so. decades. of Dalton, Georgia (collectively, The recovery criteria established in a Authority ‘‘Complainants’’). 84 FR 22161 (May 16, recovery plan (such as those proposed The authority for this action is section 2019). The complaint, as supplemented, in this draft recovery plan) will serve as 4(f) of the Endangered Species Act (16 alleges a violation of section 337 of the an indicator that a review of the species’ U.S.C. 1533 (f)). Tariff Act of 1930, as amended, 19 status is advisable. We may consider U.S.C. 1337 (‘‘section 337’’) in the downlisting, or if appropriate, removal Rolland White, importation into the United States, the from the Federal List of Endangered and Acting Deputy Regional Director. sale for importation, or the sale within Threatened Wildlife following a five- [FR Doc. 2021–10324 Filed 5–14–21; 8:45 am] the United States after importation of factor threats analysis in accordance BILLING CODE 4333–15–P certain luxury vinyl tiles by reason of with section 4(a)(1) of the ESA. infringement of certain claims of U.S. Patent Nos. 9,200,460; 10,208,490; and Draft Recovery Plan INTERNATIONAL TRADE 10,233,655 (collectively, ‘‘the Asserted The draft recovery plan recommends COMMISSION Patents’’). Id. The complaint further a combination of recovery actions alleges that a domestic industry exists. including biosecurity measures; control [Investigation No. 337–TA–1155 (Bond Id. The Commission’s notice of Return)] of introduced predators including rats, investigation names forty-five cats and invertebrates; forest habitat Certain Luxury Vinyl Tile and respondents, including Divine of protection; species surveys and Components Thereof; Notice of Jiangsu, China. Id. The Office of Unfair research; and translocation to additional Commission Determination Not To Import Investigations (‘‘OUII’’) also islands. Review an Initial Determination participated in the investigation. Id. On May 15, 2020, the presiding ALJ Granting Complainants’ Motion for Request for Public Comments issued an ID granting a motion for Return of Bonds Due to Settlement; Section 4(f) of the ESA requires us to summary determination of a violation of Return of Bond provide public notice and an section 337. On September 16, 2020, the opportunity for public review and AGENCY: U.S. International Trade Commission affirmed the ID’s finding of comment during recovery plan Commission. a violation. Comm’n Op. at 19–20 (Sept. development. It is also our policy to ACTION: Notice. 16, 2020); Order No. 36 (May 15, 2020). request peer review of recovery plans The Commission issued a general (July 1, 1994; 59 FR 34270). Substantive SUMMARY: Notice is hereby given that exclusion order (‘‘GEO’’) with respect to comments may or may not result in the U.S. International Trade the Asserted Patents. Id. The

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Commission also set a bond of $0.08 per DEPARTMENT OF JUSTICE (2) Title of the Form/Collection: Semi- square foot of infringing luxury vinyl Annual Progress Report for Grantees of [OMB Number 1122–0007] tile products and components thereof the Legal Assistance for Victims Grant imported during the period of Agency Information Collection Program. Presidential review. Id. Activities; Proposed eCollection (3) Agency form number, if any, and the applicable component of the On January 27, 2021, Complainants eComments Requested; Extension of a Department of Justice sponsoring the filed a motion for the return of bonds Currently Approved Collection collection: Form Number: 1122–0007. posted by Timeless Designs on behalf of AGENCY: Office on Violence Against U.S. Department of Justice, Office on Divine pursuant to the GEO during the Women, Department of Justice. Violence Against Women. presidential review period based on a ACTION: 60-Day notice. (4) Affected public who will be asked settlement agreement between or required to respond, as well as a brief Complainants and Divine. Timeless SUMMARY: The Department of Justice, abstract: The affected public includes Designs is Divine’s customer. On Office on Violence Against Women the approximately 200 grantees of the February 10, 2021, Complainants filed a (OVW) will be submitting the following Legal Assistance for Victims Grant supplement to the pending motion to information collection request to the Program (LAV Program) whose include a redacted copy of the Office of Management and Budget eligibility is determined by statute. In settlement agreement referenced therein (OMB) for review and approval in 1998, Congress appropriated funding to between Complainants and Divine. On accordance with the Paperwork provide civil legal assistance to February 11, 2021, OUII filed a response Reduction Act of 1995. domestic violence victims through a set- supporting the motion as supplemented. DATES: Comments are encouraged and aside under the Grants to Combat On March 26, 2021, the ALJ issued will be accepted for 60 days until July Violence Against Women, Public Law the subject ID, which grants 16, 2021. 105–277. In the Violence Against Women Act of 2000 and again in 2005, Complainants’ motion for the return of FOR FURTHER INFORMATION CONTACT: Congress statutorily authorized the LAV bonds pursuant to Commission Rule Written comments and/or suggestion Program. 34 U.S.C. 20121. The LAV 210.50(d)(1) (19 CFR 210.50(d)(1)). regarding the items contained in this Program is intended to increase the Order No. 37 (Mar. 26, 2021). The ID notice, especially the estimated public availability of legal assistance necessary notes that the presidential review period burden and associated response time, to provide effective aid to victims of expired on November 16, 2020, and the should be directed to Cathy Poston, domestic violence, stalking, or sexual motion, as supplemented, was filed on Office on Violence Against Women, at assault who are seeking relief in legal February 10, 2021, within 90 days of the 202–514–5430 or Catherine.poston@ matters arising as a consequence of that expiration of the presidential review usdoj.gov. period. Id. The ID also notes that, abuse or violence. The LAV Program pursuant to Commission Rule SUPPLEMENTARY INFORMATION: Written awards grants to law school legal 210.50(d)(1), a respondent—not the comments and suggestions from the clinics, legal aid or legal services complainant—is expected to file a public and affected agencies concerning programs, domestic violence victims’ motion for return of its bond. The ID the proposed collection of information shelters, bar associations, sexual assault finds, however, that as the motion was are encouraged. Your comments should programs, private nonprofit entities, and filed on behalf of, and with approval by, address one or more of the following Indian tribal governments. These grants the respondent, Divine, and the four points: are for providing direct legal services to settlement between the parties is (1) Evaluate whether the proposed victims of domestic violence, sexual comprehensive, there is no substantive collection of information is necessary assault, and stalking in matters arising or procedural reason to deny the request for the proper performance of the from the abuse or violence and for to return the bond. Id. functions of the agency, including providing enhanced training for lawyers whether the information will have representing these victims. The goal of No party petitioned for review of the practical utility; the Program is to develop innovative, subject ID. (2) evaluate the accuracy of the collaborative projects that provide The Commission has determined not agency’s estimate of the burden of the quality representation to victims of to review the subject ID. The bonds at proposed collection of information, domestic violence, sexual assault, and issue are hereby ordered to be returned including the validity of the stalking. to Timeless Designs. methodology and assumptions used; (5) An estimate of the total number of The Commission vote for this (3) Enhance the quality, utility, and respondents and the amount of time determination took place on May 12, clarity of the information to be estimated for an average respondent to 2021. collected; and respond/reply: It is estimated that it will (4) Minimize the burden of the take the approximately 200 respondents The authority for the Commission’s collection of information on those who (LAV Program grantees) approximately determination is contained in section are to respond, including through the one hour to complete a semi-annual 337 of the Tariff Act of 1930, as use of appropriate automated, progress report. The semi-annual amended (19 U.S.C. 1337), and in Part electronic, mechanical, or other progress report is divided into sections 210 of the Commission’s Rules of technological collection techniques or that pertain to the different types of Practice and Procedure (19 CFR part other forms of information technology, activities that grantees may engage in 210). e.g., permitting electronic submission of and the different types of grantees that By order of the Commission. responses. receive funds. An LAV Program grantee Issued: May 12, 2021. will only be required to complete the Overview of This Information sections of the form that pertain to its Lisa Barton, Collection own specific activities. Secretary to the Commission. (1) Type of Information Collection: (6) An estimate of the total public [FR Doc. 2021–10342 Filed 5–14–21; 8:45 am] Extension of a currently approved burden (in hours) associated with the BILLING CODE 7020–02–P collection. collection: The total annual hour burden

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to complete the data collection forms is —Evaluate the accuracy of the agency’s DEPARTMENT OF JUSTICE 400 hours, that is 200 grantees estimate of the burden of the [OMB Number 1122–0016] completing a form twice a year with an proposed collection of information, estimated completion time for the form including the validity of the Agency Information Collection being one hour. methodology and assumptions used; Activities; Proposed eCollection If additional information is required —Evaluate whether and if so how the eComments Requested; Extension of a contact: Melody Braswell, Deputy quality, utility, and clarity of the Currently Approved Collection Clearance Officer, United States information to be collected can be Department of Justice, Justice enhanced; and AGENCY: Office on Violence Against Management Division, Policy and —Minimize the burden of the collection Women, Department of Justice. Planning Staff, Two Constitution of information on those who are to ACTION: 60-Day notice. Square, 145 N Street NE, 3E, 405B, respond, including through the use of Washington, DC 20530. appropriate automated, electronic, SUMMARY: The Department of Justice, Office on Violence Against Women Dated: May 12, 2021. mechanical, or other technological (OVW) will be submitting the following Melody Braswell, collection techniques or other forms of information technology, e.g., information collection request to the Department Clearance Officer, PRA, U.S. Office of Management and Budget Department of Justice. permitting electronic submission of responses. (OMB) for review and approval in [FR Doc. 2021–10289 Filed 5–14–21; 8:45 am] accordance with the Paperwork BILLING CODE 4410–FX–P Overview of This Information Reduction Act of 1995. Collection DATES: Comments are encouraged and DEPARTMENT OF JUSTICE 1. Type of Information Collection: will be accepted for 60 days until July Existing. 16, 2021. [OMB Number 1105–0118] 2. The Title of the Form/Collection: FOR FURTHER INFORMATION CONTACT: Agency Information Collection Tribal Access Program Application. Written comments and/or suggestion Activities; Proposed eCollection 3. The agency form number, if any, regarding the items contained in this eComments Requested; New and the applicable component of the notice, especially the estimated public Collection Department sponsoring the collection: burden and associated response time, There is no agency form number for this should be directed to Cathy Poston, AGENCY: Office of the Chief Information collection. The applicable component Office on Violence Against Women, at Officer, Department of Justice. within the Department of Justice is 202–514–5430 or Catherine.poston@ ACTION: 30-Day notice. Office of the Chief Information Officer. usdoj.gov. SUMMARY: The Office of the Chief 4. Affected public who will be asked SUPPLEMENTARY INFORMATION: Written Information Officer, Department of or required to respond, as well as a brief comments and suggestions from the Justice, is submitting the following abstract: Tribal Governments. The U.S. public and affected agencies concerning information collection request to the Department of Justice (DOJ) launched the proposed collection of information Office of Management and Budget the Tribal Access Program for National are encouraged. Your comments should (OMB) for review and approval in Crime Information (TAP) provide tribes address one or more of the following accordance with the Paperwork access to national crime information four points: Reduction Act of 1995. systems for both civil and criminal (1) Evaluate whether the proposed purposes. DOJ has developed an collection of information is necessary DATES: The Department of Justice application for use by federally encourages public comment and will for the proper performance of the recognized tribes interested in accept input until June 16, 2021. functions of the agency, including participating in TAP. whether the information will have ADDRESSES: Written comments and 5. An estimate of the total number of practical utility; recommendations for the proposed respondents and the amount of time (2) evaluate the accuracy of the information collection should be sent estimated for an average respondent to agency’s estimate of the burden of the within 30 days of publication of this respond: An estimated 50 respondents proposed collection of information, notice to www.reginfo.gov/public/do/ at 60 minutes each. including the validity of the PRAMain. Find this particular 6. An estimate of the total public methodology and assumptions used; information collection by selecting (3) Enhance the quality, utility, and ‘‘Currently under 30-day Review—Open burden (in hours) associated with the collection: An estimated 50 burden clarity of the information to be for Public Comments’’ or by using the collected; and search function. hours. If additional information is required (4) Minimize the burden of the SUPPLEMENTARY INFORMATION: Written contact: Melody Braswell, Department collection of information on those who comments and suggestions from the Clearance Officer, United States are to respond, including through the public and affected agencies concerning Department of Justice, Justice use of appropriate automated, the proposed collection of information Management Division, Policy and electronic, mechanical, or other are encouraged. Your comments should Planning Staff, Two Constitution technological collection techniques or address one or more of the following Square, 145 N Street NE, 3E.405A, other forms of information technology, four points: Washington, DC 20530. e.g., permitting electronic submission of —Evaluate whether the proposed responses. collection of information is necessary Dated: May 12, 2021. for the proper performance of the Melody Braswell, Overview of This Information functions of the Office of the Chief Department Clearance Officer for PRA, U.S. Collection Information Officer, including Department of Justice. (1) Type of Information Collection: whether the information will have [FR Doc. 2021–10288 Filed 5–14–21; 8:45 am] Revision to Currently Approved practical utility; BILLING CODE 4410–02–P Collection.

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(2) Title of the Form/Collection: Semi- Department of Justice, Justice [email protected]. Statements Annual Progress Report for Grantees of Management Division, Policy and transmitted electronically that are the Transitional Housing Assistance Planning Staff, Two Constitution included in the body of the email will Grant Program. Square, 145 N Street NE, 3E, 405B, not be accepted. Relevant statements (3) Agency form number, if any, and Washington, DC 20530. received on or before Thursday, June 17, the applicable component of the Dated: May 12, 2021. 2021, will be included in the record of Department of Justice sponsoring the Melody Braswell, the meeting. No deletions, collection: Form Number: 1122–0016. modifications, or redactions will be U.S. Department of Justice, Office on Department Clearance Officer, PRA, U.S. Department of Justice. made to the statements received as they Violence Against Women. are public records. (4) Affected public who will be asked [FR Doc. 2021–10290 Filed 5–14–21; 8:45 am] Individuals or representatives of or required to respond, as well as a brief BILLING CODE 4410–FX–P organizations wishing to address the abstract: The affected public includes ERISA Advisory Council should the approximately 120 grantees of the forward their requests to the Executive Transitional Housing Assistance Grant DEPARTMENT OF LABOR Secretary on or before Thursday, June Program (Transitional Housing Program) 17, 2021, via email to Employee Benefits Security whose eligibility is determined by [email protected] or by Administration statute. This discretionary grant telephoning (202) 693–8641. Oral program provides transitional housing, 206th Meeting of the Advisory Council presentations will be limited to ten short-term housing assistance, and on Employee Welfare and Pension minutes, time permitting, but an related support services for individuals Benefit Plans; Notice of extended statement may be submitted who are homeless, or in need of Teleconference Meeting for the record. transitional housing or other housing Individuals who need special assistance, as a result of fleeing a Pursuant to the authority contained in accommodations should contact the situation of domestic violence, dating Section 512 of the Employee Retirement Executive Secretary on or before violence, sexual assault, or stalking, and Income Security Act of 1974 (ERISA), 29 Thursday, June 17, 2021, via email to for whom emergency shelter services or U.S.C. 1142, the 206th open meeting of [email protected] or by other crisis intervention services are the Advisory Council on Employee telephoning (202) 693–8641. unavailable or insufficient. Eligible Welfare and Pension Benefit Plans (also For more information about the applicants are States, units of local known as the ERISA Advisory Council) meeting, contact the Executive Secretary government, Indian tribal governments, will be held via a teleconference on at the address or telephone number and other organizations, including Thursday, June 24 and Friday, June 25, above. domestic violence and sexual assault 2021. Signed at Washington, DC, this 11th day of victim services providers, domestic The two-day meeting will begin at May, 2021. 9:00 a.m. and end at approximately 5:30 violence or sexual assault coalitions, Ali Khawar, other nonprofit, nongovernmental p.m. (ET) each day with a one-hour Acting Assistant Secretary, Employee Benefits organizations, or community-based and break for lunch. The purpose of the Security Administration. culturally specific organizations, that open meeting is for Advisory Council [FR Doc. 2021–10296 Filed 5–14–21; 8:45 am] have a documented history of effective members to hear testimony from invited work concerning domestic violence, witnesses and to receive an update from BILLING CODE 4510–29–P dating violence, sexual assault, or the Employee Benefits Security stalking. Administration (EBSA). (5) An estimate of the total number of The Advisory Council will study the SECURITIES AND EXCHANGE respondents and the amount of time following topics: (1) Gaps in Retirement COMMISSION estimated for an average respondent to Savings Based on Race, Ethnicity and [SEC File No. 270–429, OMB Control No. respond/reply: It is estimated that it will Gender, and (2) Understanding 3235–0480] take the 120 respondents (grantees) Brokerage Window Prevalence, Usage, approximately one hour to complete the and Implementation. Descriptions of Submission for OMB Review; Semi-Annual Progress Report. The semi- these topics, once finalized, will be Comment Request annual progress report is divided into available on the ERISA Advisory Upon Written Request, Copies Available sections that pertain to the different Council’s web page at https:// From: Securities and Exchange types of activities that grantees may www.dol.gov/agencies/ebsa/about-ebsa/ Commission, Office of FOIA Services, engage in and the different types of about-us/erisa-advisory-council. 100 F Street NE, Washington, DC grantees that receive funds. A The agenda and instructions for 20549–2736 Transitional Housing Program grantee public access to the teleconference will only be required to complete the meeting will be available on the ERISA Extension: Rule 9b–1 sections of the form that pertain to its Advisory Council’s web page at https:// own specific activities. www.dol.gov/agencies/ebsa/about-ebsa/ Notice is hereby given that pursuant (6) An estimate of the total public about-us/erisa-advisory-council to the Paperwork Reduction Act of 1995 burden (in hours) associated with the approximately one week prior to the (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the collection: The total annual hour burden meeting. Securities and Exchange Commission to complete the data collection forms is Organizations or members of the (‘‘Commission’’) has submitted to the 240 hours, that is 120 grantees public wishing to submit a written Office of Management and Budget completing a form twice a year with an statement may do so on or before (‘‘OMB’’) a request for approval of estimated completion time for the form Thursday, June 17, 2021, to Christine extension of the previously approved being one hour. Donahue, Executive Secretary, ERISA collection of information provided for in If additional information is required Advisory Council. Statements should be Rule 9b–1 (17 CFR 240.9b–1), under the contact: Melody Braswell, Deputy transmitted electronically as an email Securities Exchange Act of 1934 (15 Clearance Officer, United States attachment in text or pdf format to U.S.C. 78a et seq.).

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Rule 9b–1 (17 CFR 240.9b–1) sets ODDs per year. The postal mailing or SECURITIES AND EXCHANGE forth the categories of information electronic delivery of the ODD takes COMMISSION required to be disclosed in an options respondents no more than 30 seconds to [Release No. 34–91834; File No. SR–ICC– disclosure document (‘‘ODD’’) and complete for an annual compliance 2021–006] requires the options markets to file an burden for each of these respondents of ODD with the Commission 60 days prior approximately 78 minutes or 1.3 hours. Self-Regulatory Organizations; ICE to the date it is distributed to investors. Thus, the total time burden per year for Clear Credit LLC; Order Approving In addition, Rule 9b–1 provides that the broker-dealers is approximately 1,326 Proposed Rule Change Relating to the ODD must be amended if the hours (1,020 broker-dealers × 1.3 hours). ICC Clearing Rules and ICC Exercise information in the document becomes The estimated cost for a general clerk of Procedures materially inaccurate or incomplete and a broker-dealer is $63 per hour,4 that amendments must be filed with the May 11, 2021. resulting in a total internal cost of Commission 30 days prior to the I. Introduction distribution to customers. Finally, Rule compliance for these respondents of 9b–1 requires a broker-dealer to furnish approximately $83,538 per year (1,326 On March 25, 2021, ICE Clear Credit to each customer an ODD and any hours at $63 per hour). LLC (‘‘ICC’’) filed with the Securities amendments prior to accepting an order The total time burden for all and Exchange Commission, pursuant to to purchase or sell an option on behalf respondents under this rule (both Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’) 1 and of that customer or when approving a options markets and broker-dealers) is Rule 19b–4 thereunder,2 a proposed rule customer’s account for options trading. approximately 1,710 hours per year (384 1 change to revise the ICC Clearing Rules There are 16 options markets that + 1,326), and the total internal cost of must comply with Rule 9b–1. These (the ‘‘Rules’’) and the ICC Exercise compliance is approximately $244,818 Procedures (‘‘Exercise Procedures’’) in respondents work together to prepare a per year ($161,280 + $83,538). single ODD covering options traded on connection with the clearing of credit each market, as well as amendments to An agency may not conduct or default index Swaptions (‘‘Index the ODD. These respondents file sponsor, and a person is not required to Swaptions’’).3 The proposed rule change approximately 3 amendments per year. respond to, a collection of information was published for comment in the The staff calculates that the preparation under the PRA unless it displays a Federal Register on April 7, 2021.4 The and filing of amendments should take currently valid OMB control number. Commission did not receive comments no more than eight hours per options regarding the proposed rule change. For The public may view background the reasons discussed below, the market. Thus, the total time burden for documentation for this information options markets per year is Commission is approving the proposed collection at the following website: rule change. approximately 384 hours (16 options www.reginfo.gov. Find this particular markets × 8 hours per amendment × 3 information collection by selecting II. Description of the Proposed Rule amendments). The estimated cost for an ‘‘Currently under 30-day Review—Open Change in-house attorney is $420 per hour,2 resulting in a total internal cost of for Public Comments’’ or by using the ICC proposes revising its Rules and search function. Written comments and Exercise Procedures related to the compliance for these respondents of 5 approximately $161,280 per year (384 recommendations for the proposed clearing of Index Swaptions. In the hours at $420 per hour). information collection should be sent case of Index Swaptions cleared by ICC, In addition, approximately 1,020 within 30 days of publication of this the underlying index credit default broker-dealers 3 must comply with Rule notice to (i) www.reginfo.gov/public/do/ swap is limited to certain CDX and 9b–1. Each of these respondents will PRAMain and (ii) David Bottom, iTraxx index credit default swaps that process an average of 3 new customers Director/Chief Information Officer, are accepted for clearing by ICC and for options each week and, therefore, Securities and Exchange Commission, c/ which would be automatically cleared by ICC upon exercise of the Index will have to furnish approximately 156 o Cynthia Roscoe, 100 F Street, NE, Swaption. ICC proposes minor revisions Washington, DC 20549, or by sending an to support the clearing of Index 1 The sixteen options markets are as follows: BOX email to: [email protected]. Exchange LLC, Cboe BZX Exchange, Inc., Cboe C2 Swaptions, including updates related to Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe Dated: May 12, 2021. iTraxx Index Swaptions, an Exchange, Inc., Miami International Securities enhancement to the exercise and Exchange LLC, MIAX Emerald, LLC, MIAX PEARL, J. Matthew DeLesDernier, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq Assistant Secretary. assignment process, and other ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, [FR Doc. 2021–10316 Filed 5–14–21; 8:45 am] clarifications. Nasdaq Options Market (NOM), NYSE Arca, Inc., and NYSE American LLC. BILLING CODE 8011–01–P A. Rule Amendments 2 SIFMA did its last annual survey in 2013 and The proposed amendments consist of will not resume the survey process. Accordingly, 4 the $420 figure is based on the 2013 figure ($380) The $63 figure is based on the 2013 figure ($57) minor revisions to Rule 26R–319, which adjusted by the inflation rate calculated using the adjusted for inflation. See supra note 2. As noted addresses procedures for settlement of Bureau of Labor Statistics’ CPI Inflation Calculator. above, SIFMA did its last annual survey in 2013 an exercised Index Swaption. The $380 per hour figure for an Attorney is from and will not resume the survey process. SIFMA’s Management & Professional Earnings in Accordingly, the $63 figure is based on the 2013 1 15 U.S.C. 78s(b)(1). the Securities Industry 2013, modified by figure ($57) adjusted for inflation. The $57 per hour 2 17 CFR 240.19b–4. Commission staff to account for an 1,800-hour figure for a General Clerk is from SIFMA’s Office 3 Capitalized terms used but not defined herein work-year and multiplied by 5.35 to account for Salaries in the Securities Industry 2013, modified bonuses, firm size, employee benefits and overhead. have the meanings specified in the Rules. by Commission staff to account for an 1,800-hour 3 The estimate of 1,020 broker-dealers required to 4 Self-Regulatory Organizations; ICE Clear Credit work-year and multiplied by 2.93 to account for comply with Rule 9b–1 is derived from Item 12 of LLC; Notice of Proposed Rule Change Relating to the Form BD (OMB Control No. 3235–0012). This bonuses, firm size, employee benefits and overhead. the ICC Clearing Rules and ICC Exercise estimate may be high as it includes broker-dealers The staff believes that the ODD would be mailed or Procedures, Exchange Act Release No. 91450 (April that engage in only a proprietary business, and as electronically delivered to customers by a general 1, 2021), 86 FR 18087 (April 7, 2021) (‘‘Notice’’). a result are not required to deliver an ODD, as well clerk of the broker-dealer or some other equivalent 5 The description of the proposed rule change is as those broker-dealers subject to Rule 9b–1. position. excerpted from the Notice.

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Additional settlements may be required of such period, neither party will be include scheduling a new Pre-Exercise under Rule 26R–319(b) if one or more permitted to deliver an MP Notice, the Notification Period, in which case any Credit Events has occurred with respect Underlying New Trade cannot become a preliminary exercise notices and to the underlying index at or prior to the Triggered Restructuring CDS exercise notices submitted prior will be expiration date of the Index Swaption. Transaction and no Event Determination ineffective. Paragraph 2.8 addresses the Regarding the determination of Index Date or settlement will occur. situation where ICC will automatically Swaption settlement amounts, Rule B. Exercise Procedures exercise on the expiration date each 26R–319(b)(ii) currently contemplates open position (of all exercising parties) the inclusion of an additional accrual- The Exercise Procedures supplement in an Index Swaption that is determined related component (‘‘Additional the provisions of Subchapter 26R of the by ICC to be ‘‘in the money’’ on such Accrual’’). However, ICC Circular 2020/ Rules with respect to Index Swaptions date. The proposal would include 070 describes how ICC determines and provide further detail as to the additional language relating to its settlement amounts for cleared Index manner in which Index Swaptions may determination of whether an Index Swaptions and states that, in light of be exercised by Swaption Buyers, the Swaption is ‘‘in the money’’ in industry discussions, the Additional manner in which ICC will assign such connection with the clearing of iTraxx Accrual for such transactions will be exercises to Swaption Sellers, and Index Swaptions. zero. Amended Rule 26R–319(b)(ii) certain actions that ICC may take in the III. Discussion and Commission would omit the description of the event of technical issues. Findings Additional Accrual, which would be The proposal would enhance the zero for settlement of Index Swaptions. exercise and assignment process in the Section 19(b)(2)(C) of the Act directs The circular and presentation on the Exercise Procedures. Specifically, the the Commission to approve a proposed proposal would revise the definition of determination of Index Swaption rule change of a self-regulatory Pre-Exercise Notification Period in settlement amounts would remain on organization if it finds that the proposed Paragraph 1 to reference Paragraph ICC’s website. rule change is consistent with the 2.2(e) in respect of the Pre-Exercise requirements of the Act and the rules Regarding iTraxx Index Swaptions, Notification Period. Paragraph 2.2(e) ICC proposes to amend Rule 26R– and regulations thereunder applicable to describes the Pre-Exercise Notification 6 319(c), which applies in the case of a the organization. For the reasons given Period during which an exercising party below, the Commission finds that the relevant M(M)R Restructuring Credit can submit, modify, and/or withdraw Event, which is when the restructuring proposed rule change is consistent with preliminary exercise notices. The Section 17A(b)(3)(F) of the Act 7 and of debt constitutes a credit event that Exercise Procedures allow firms to triggers a CDS contract. Minor Rules 17Ad–22(e)(1) and 17Ad– submit preliminary exercise notices 22(e)(17)(i) and (ii) thereunder.8 streamlining revisions to the exercise such that the preliminary instructions process rules include the proposed can be used as the final exercise A. Consistency With Section omission of paragraph (i) related to the instructions in the event of a 17A(b)(3)(F) of the Act delivery of MP Notices by Swaption communications failure during the Section 17A(b)(3)(F) of the Act Buyer and Swaption Sellers. Further, exercise window. The proposed changes requires, among other things, that the ICC does not propose any changes to would allow ICC to identify each rules of ICC be designed to promote the paragraph (ii), which details how an exercising party’s ‘‘in the money’’ Index prompt and accurate clearance and Underlying New Trade comes into Option open positions for the relevant settlement of securities transactions effect. An Underlying New Trade expiration date and submit, on behalf of and, to the extent applicable, derivative remains defined in Rule 26R–102 as a the exercising party, preliminary agreements, contracts, and transactions, new single name CDS trade that would exercise notices for all such in ‘‘the to assure the safeguarding of securities arise upon exercise of an Index money’’ positions. Such preliminary and funds which are in the custody or Swaption where a relevant exercise notices submitted by ICC for an control of ICC or for which it is Restructuring Credit Event, if exercising party may be modified or responsible, and, in general, to protect applicable, has occurred with respect to withdrawn by the exercising party investors and the public interest.9 a reference entity in the relevant index. during the Pre-Exercise Notification As discussed above, the proposed rule ICC also proposes to amend paragraph Period. Additionally, the proposal change would make minor revisions to (iii) and remove paragraph (iv) which would make a related change to the Rules for settlement of an exercised currently discuss the treatment of the Paragraph 2.2(i) to reference ICC’s Index Swaption. Specifically, the Underlying New Trade in respect of the ability to submit, on behalf of an proposal would revise Rule 26R– Event Determination Date. Instead, exercising party, a preliminary exercise 319(b)(ii) to remove the description of amended paragraph (iii) would discuss notice. the Additional Accrual in the the treatment of the Underlying New The proposal would also update determination of Index Swaption Trade depending on whether the Paragraphs 2.6 and 2.8, which include settlement amounts. The Commission expiration date occurred prior to, or on procedures to address a failure of the believes this minor revision helps to or following, the commencement of the electronic system established by ICC for simplify ICC’s settlement rules with Credit Event Notice Triggering Period exercise. In such case, Paragraph 2.6 respect to settlement of Index (as defined in the Restructuring provides ICC with several options Swaptions, for which the Additional Procedures). If the expiration date including, canceling and rescheduling Accrual will be zero, which could make occurs prior to commencement of the the Exercise Period (i.e., the period on it easier to understand the potential period, the Underlying New Trade will the expiration date of an Index Index Swaption settlement amounts be subject to the provisions of the CDS Swaption during which the Swaption easier, thereby promoting the prompt Restructuring Rules in Subchapter 26E Buyer may deliver an exercise notice to (and may become a Triggered ICC to exercise all or part of such Index 6 15 U.S.C. 78s(b)(2)(C). Restructuring CDS Transaction Swaption). The proposed changes 7 15 U.S.C. 78q–1(b)(3)(F). thereunder). If the Expiration Date would clarify that canceling and 8 17 CFR 240.17Ad–22(e)(1), (e)(17)(i) and (ii). occurs on or following commencement rescheduling the Exercise Period may 9 15 U.S.C. 78q–1(b)(3)(F).

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and accurate settlement of securities term by cross-referencing a more determined by ICC to be ‘‘in the money’’ transactions. complete description of this period. on such date. As noted above, the Additionally, the proposal would Additionally, the proposal would revise Exercise Procedures would be amended amend ICC’s Rules to omit and revise Paragraph 2.2(e), which would allow to include additional language in this certain other information. Specifically, ICC to identify each exercising party’s paragraph relating to its determination the proposal would amend Rule 26R– ‘‘in the money’’ Index Option open of whether an Index Swaption is ‘‘in the 319(c), which applies in the case of a positions for the relevant expiration money.’’ The Commission believes that relevant M(M)R Restructuring Credit date and submit, on behalf of the this proposed change ensures that each Event, by omitting a paragraph (i) exercising party, preliminary exercise of ICC’s cleared products are related to the delivery of MP Notices by notices for all such ‘‘in the money’’ appropriately and accurately exercised Swaption Buyers and Sellers, and positions. Further, such preliminary when there has been a systems failure, removing paragraph (iv), which exercise notices submitted by ICC for an which in turn supports ICC’s ability to currently discusses the treatment of the exercising party may be modified or promptly and accurately clear and settle Underlying New Trade in respect of the withdrawn by the exercising party securities transactions and safeguard Event Determination Date. Instead, the during the Pre-Exercise Notification securities and funds in its custody or proposed language in paragraph (iii) Period. Additionally, the proposal control. would discuss the treatment of the would make a related change to For the reasons stated above, the Underlying New Trade depending on Paragraph 2.2(i) to reference ICC’s Commission finds that the proposed whether the expiration date occurred ability to submit, on behalf of an rule change should promote the prompt prior to, or on or following, the exercising party, a preliminary exercise and accurate clearance and settlement of commencement of the CEN Triggering notice. The Commission believes that securities transactions and assure the Period. If the expiration date occurs these proposed changes to the safeguarding of securities and funds in prior to commencement of the period, procedures related to the pre-exercise ICC’s custody and control or for which the Underlying New Trade will be notification period would enhance the it is responsible, consistent with the subject to the provisions of the CDS procedures by clarifying ICC’s role in Section 17A(b)(3)(F) of the Act.10 Restructuring Rules in Subchapter 26E. identifying each Exercising Party’s ‘‘in B. Consistency With Rule 17Ad–22(e)(1) If the Expiration Date occurs on or the money’’ Index Option Open following commencement of such Positions for the relevant Expiration Rule 17Ad–22(e)(1) requires that ICC period, neither party will be permitted Date and submitting preliminary establish, implement, maintain and to deliver an MP Notice, the Underlying notices. The Commission believes that enforce written policies and procedures New Trade cannot become a Triggered this should help the preliminary reasonably designed to provide for a Restructuring CDS Transaction and no notification process operate smoothly well-founded, clear, transparent, and Event Determination Date or settlement and ensure that the preliminary enforceable legal basis for each aspect of will occur. The Commission believes instructions can be used as the final its activities in all relevant that this proposed revision will ensure exercise instructions in the event of a jurisdictions.11 As discussed above, the that only trades meeting the timing of communications failure during the proposed changes to the Rules and the triggering period will be settled. exercise window, thereby increasing Procedures should provide clear This, in turn, promotes accurate reliability of the process and helping to guidance for ICC’s clearance and clearance and settlement during ensure prompt and accurate clearance settlement of Index Swaptions by specified periods as well as assuring the and settlement of securities upon the removing from the rules the reference to safeguarding of securities or funds in exercise of Index Swaptions. the Additional Accrual in the ICC’s custody or control or for which it The proposed rule change would determination of Index Swaption is responsible by ensuring only further revise the Exercise Procedures to settlement amounts. Similarly, appropriate securities and funds are account for the Pre-Exercise Notification amending Rule 26R–319(c) as noted exchanged. Period during a systems failure. above, which applies in the case of a Further, as noted above, the Exercise Specifically, as noted above, paragraph relevant M(M)R Restructuring Credit Procedures supplement the provisions 2.6 provides ICC with several options Event, should provide a clear basis for of Subchapter 26R of the Rules with including canceling and rescheduling the treatment of the Underlying New respect to Index Swaptions and provide the Exercise Period in the event of an Trade depending on whether the further detail as to the manner in which exercise systems failure. The proposed expiration date occurred prior to, or on Index Swaptions may be exercised by changes would clarify that canceling or following, the commencement of the Swaption Buyers, the manner in which and rescheduling the Exercise Period CEN Triggering Period. ICC will assign such exercises to may include scheduling a new Pre- Further, the Commission believes that Swaption Sellers, and certain actions Exercise Notification Period, in which in proposing changes to the procedures that ICC may take in the event of case any preliminary exercise notices related to the pre-exercise notification technical issues. First, the definition of and exercise notices submitted prior period clarifying ICC’s role in Pre-Exercise Notification Period has will be ineffective. The Commission identifying each Exercising Party’s ‘‘in been revised to include a reference to believes that this proposed change the money’’ Index Option Open Paragraph 2.2(e), which itself describes would enhance the procedures by Positions for the relevant Expiration the Pre-Exercise Notification Period ensuring that pre-notifications do not Date and submitting preliminary during which an exercising party can result in erroneous exercises when there notices, the procedures would provide a submit, modify, and/or withdraw is a systems failure, thereby aiming to clear basis for the use of the preliminary preliminary exercise notices such that ensure accurate settlement and the instructions such as the final exercise the preliminary instructions can be used safeguarding of securities and funds. instructions in the event of a as the final exercise instructions in the Paragraph 2.8 of the Exercise communications failure during the event of a communications failure Procedures addresses the situation in exercise window. during the exercise window. The which ICC will automatically exercise Commission believes that this proposed on the expiration date each open 10 15 U.S.C. 78q–1(b)(3)(F). change enhances the definition of this position in an Index Swaption that is 11 17 CFR 240.17Ad–22(e)(1).

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For these reasons, the Commission It is therefore ordered pursuant to https://listingcenter.nasdaq.com/ finds that the proposed rule change is Section 19(b)(2) of the Act 17 that the rulebook/phlx/rules, at the principal consistent with Rule 17Ad–22(e)(1).12 proposed rule change (SR–ICC–2021– office of the Exchange, and at the 006), be, and hereby is, approved.18 Commission’s Public Reference Room. C. Consistency With Rule 17Ad– 22(e)(17) For the Commission, by the Division of II. Self-Regulatory Organization’s Trading and Markets, pursuant to delegated Statement of the Purpose of, and authority.19 Rules 17Ad–22(e)(17)(i) and (ii) Statutory Basis for, the Proposed Rule require that ICC establish, implement, J. Matthew DeLesDernier, Change maintain and enforce written policies Assistant Secretary. and procedures reasonably designed to, [FR Doc. 2021–10277 Filed 5–14–21; 8:45 am] In its filing with the Commission, the Exchange included statements as applicable, manage its operational BILLING CODE 8011–01–P risks by (i) identifying the plausible concerning the purpose of and basis for sources of operational risk, both internal the proposed rule change and discussed and external, and mitigating their SECURITIES AND EXCHANGE any comments it received on the impact through the use of appropriate COMMISSION proposed rule change. The text of these systems, policies, procedures, and statements may be examined at the [Release No. 34–91839; File No. SR–Phlx– places specified in Item IV below. The controls, and (ii) ensuring that systems 2021–28] have a high degree of security, Exchange has prepared summaries, set resiliency, operational reliability, and Self-Regulatory Organizations; Nasdaq forth in sections A, B, and C below, of adequate, scalable capacity.13 The PHLX LLC; Notice of Filing and the most significant aspects of such Commission believes that by allowing Immediate Effectiveness of Proposed statements. ICC to identify each exercising party’s Rule Change To Amend Various Phlx A. Self-Regulatory Organization’s ‘‘in the money’’ Index Option open Listing Rules Related to Bid/Ask Statement of the Purpose of, and positions for the relevant expiration Differentials for Long-Term Options Statutory Basis for, the Proposed Rule date and submit preliminary exercise Series Change notices for all such in ‘‘the money’’ positions, ICC can mitigate the impact of May 11, 2021. 1. Purpose Pursuant to Section 19(b)(1) of the a technology or communication error The Exchange proposes to amend Securities Exchange Act of 1934 because they can be used as the final Options 2, Section 4, Obligations of (‘‘Act’’),1 and Rule 19b–4 thereunder,2 exercise instructions in the event of a Market Makers; Options 4, Section 8, notice is hereby given that on May 4, communications failure during the Long-Term Options Contracts; Options exercise window. The Commission 2021, Nasdaq PHLX LLC (‘‘Phlx’’ or ‘‘Exchange’’) filed with the Securities 4A, Section 6, Position Limits; Options believes that such procedures should 4A, Section 12, Terms of Index Options help mitigate the impact from technical and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule Contracts; and Options 4C, Section 5, issues to ensure that the system has a Series of U.S. Dollar-Settled Foreign high degree of security, resiliency, and change as described in Items I, II, and III, below, which Items have been Currency Options Contracts Open for operational reliability. Similarly, the Trading. Commission believes that the proposed prepared by the Exchange. The Commission is publishing this notice to The Exchange also proposes a changes to the Exercise Procedures that, solicit comments on the proposed rule technical amendment within Equity 11, in the event of an exercise system change from interested persons. Section 4, Payment on Delivery—Collect failure, clarify that canceling and on Delivery. rescheduling the Exercise Period may I. Self-Regulatory Organization’s include scheduling a new Pre-Exercise Statement of the Terms of Substance of Bid/Ask Differentials for Long-Term Notification Period, in which case any the Proposed Rule Change Options Series preliminary exercise notices and The Exchange proposes to amend Phlx Options 4, Section 8(a), Options exercise notices submitted prior will be Phlx Rules at Options 2, Section 4, 4A, Section 12(b)(2) and Options 4C, ineffective, enhances operational Obligations of Market Makers; Options Section 5(a)(1)(C) describes the bid/ask reliability of ICC’s systems. 4, Section 8, Long-Term Options differentials for long-term options series For these reasons, the Commission Contracts; Options 4A, Section 6, for equity options, exchange-traded finds that the proposed rule change is Position Limits; Options 4A, Section 12, products, indexes, and U.S. dollar- consistent with Rule 17Ad–22(e)(17)(i) Terms of Index Options Contracts; and settled foreign currencies, respectively. and (ii).14 Options 4C, Section 5, Series of U.S. Currently, the bid/ask differentials shall Dollar-Settled Foreign Currency Options not apply to such options series until IV. Conclusion Contracts Open for Trading. The the time to expiration is less than nine On the basis of the foregoing, the Exchange also proposes a technical (9) months for equity options and Commission finds that the proposed amendment within Equity 11, Section 4, exchange-traded products as provided rule change is consistent with the Payment on Delivery—Collect on for within Options 4, Section 8(a). requirements of the Act, and in Delivery. Currently, bid/ask differentials shall not particular, with the requirements of The text of the proposed rule change apply to such options series until the Section 17A(b)(3)(F) of the Act 15 and is available on the Exchange’s website at time to expiration is less than twelve Rules 17Ad–22(e)(1) and 17Ad– (12) months for index options as 22(e)(17)(i) and (ii).16 17 15 U.S.C. 78s(b)(2). provided for within Options 4A, Section 18 In approving the proposed rule change, the 12(b)(2). Currently, bid/ask differentials Commission considered the proposal’s impact on shall not apply to such options series 12 17 CFR 240.17Ad–22(e)(1). efficiency, competition, and capital formation. 15 13 17 CFR 240.17Ad–22(e)(17)(i)–(ii). U.S.C. 78c(f). until the time to expiration is less than 14 17 CFR 240.17Ad–22(e)(17)(i)–(ii). 19 17 CFR 200.30–3(a)(12). nine (9) months for U.S. dollar-settled 15 15 U.S.C. 78q–1(b)(3)(F). 1 15 U.S.C. 78s(b)(1). foreign currency options as provided for 16 17 CFR 240.17Ad–22(e)(1), (e)(17)(i) and (ii). 2 17 CFR 240.19b–4. within Options 4C, Section 5(a)(1)(C).

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The Exchange proposes to centralize long-term option series is consistent to remove a reference to the SIG Oil the bid/ask differentials from Options 4, with the Act. The Exchange’s proposal Exploration & Production Index within Section 8(a), Options 4A, Section will centralize the bid/ask differentials Supplementary Material to Options 4A, 12(b)(2) and Options 4C, Section within Options 2, Section 4(c)(1)(A) and Section 12 does not impose an undue 5(a)(1)(C) within Options 2, Section add a sentence to Options 4, Section burden on competition. These listing 4(c)(1)(A) and add a sentence to the 8(a), Options 4A, Section 12(b)(2) and have not appeared on Phlx for several aforementioned rules that cites to Options 4C, Section 5(a)(1)(C) that cites years. Options 2, Section 4(b)(4)(i) for to Options 2, Section 4(c)(1)(A) for Technical Amendment information on bid/ask differentials for information on bid/ask differentials for the various products. The Exchange the various products. The Exchange The Exchange’s proposal to add the believes that this relocation will provide believes that this relocation will provide title, ‘‘Supplementary Material to Equity Primary Market Makers and Competitive Lead Market Makers and Market Makers 11, Section 4’’ within Equity 11, Section Market Makers with centralized with centralized information regarding 4 and renumber and re-letter rule text information regarding their bid/ask their bid/ask differential requirements. are non-substantive and intended solely differential requirements. to make the rule easier to read. Obsolete Listings Obsolete Listings The Exchange’s proposal to remove C. Self-Regulatory Organization’s The Exchange proposes to remove references to SIG Oil Exploration & Statement on Comments on the references to SIG Oil Exploration & Production Index within Options 4A, Proposed Rule Change Received From Production Index within Options 4A, Section 6(b)(i) and Supplementary Members, Participants, or Others Section 6(b)(i) and Supplementary Material to Options 4A, Section 12 and No written comments were either Material to Options 4A, Section 12. The to remove a reference to the SIG Oil solicited or received. SIG Oil Exploration & Production Index Exploration & Production Index within III. Date of Effectiveness of the has not been listed by Phlx since 2016. Supplementary Material to Options 4A, Proposed Rule Change and Timing for The Exchange also proposes to remove Section 12 is consistent with the Act. Commission Action a reference to the SIG Energy MLP These listing have not appeared on Phlx IndexTM within Supplementary Material for several years. Because the foregoing proposed rule to Options 4A, Section 12 as it has not change does not: (i) Significantly affect Technical Amendment been listed on Phlx since 2017. The the protection of investors or the public Exchange will file a rule change with The Exchange’s proposal to add the interest; (ii) impose any significant the Commission in the event that it title, ‘‘Supplementary Material to Equity burden on competition; and (iii) become desires to list these products in the 11, Section 4’’ within Equity 11, Section operative for 30 days from the date on future. 4 and renumber and re-letter rule text which it was filed, or such shorter time are non-substantive and intended solely as the Commission may designate, it has Technical Amendment to make the rule easier to read. become effective pursuant to Section The Exchange proposes to add the 19(b)(3)(A)(iii) of the Act 5 and B. Self-Regulatory Organization’s title, ‘‘Supplementary Material to Equity subparagraph (f)(6) of Rule 19b–4 Statement on Burden on Competition 11, Section 4’’ within Equity 11, Section thereunder.6 4 and renumber the rule text that The Exchange does not believe that At any time within 60 days of the follows which includes defined terms. the proposed rule change will impose filing of the proposed rule change, the The Exchange also proposes to correct a any burden on competition not Commission summarily may lettering issue within the rule. These necessary or appropriate in furtherance temporarily suspend such rule change if amendments are non-substantive and of the purposes of the Act. it appears to the Commission that such intended solely to make the rule easier Bid/Ask Differentials for Long-Term action is necessary or appropriate in the to read. Options Series public interest, for the protection of investors, or otherwise in furtherance of 2. Statutory Basis The Exchange’s proposal to amend the purposes of the Act. If the The Exchange believes that its Options 4, Section 8(a), Options 4A, Commission takes such action, the proposal is consistent with Section 6(b) Section 12(b)(2) and Options 4C, Commission shall institute proceedings of the Act,3 in general, and furthers the Section 5(a)(1)(C) to relocate text to determine whether the proposed rule objectives of Section 6(b)(5) of the Act,4 concerning bid/ask differentials for should be approved or disapproved. in particular, in that it is designed to long-term option series does not impose promote just and equitable principles of an undue burden on competition. The IV. Solicitation of Comments trade, to remove impediments to and Exchange’s proposal will centralize the Interested persons are invited to perfect the mechanism of a free and bid/ask differentials within Options 2, submit written data, views, and open market and a national market Section 4(c)(1)(A) and add a sentence to arguments concerning the foregoing, system, and, in general to protect Options 4, Section 8(a), Options 4A, including whether the proposed rule investors and the public interest. Section 12(b)(2) and Options 4C, change is consistent with the Act. Section 5(a)(1)(C) that cites to Options 2, Bid/Ask Differentials for Long-Term Comments may be submitted by any of Section 4(c)(1)(A) for information on the following methods: Options Series bid/ask differentials for the various The Exchange’s proposal to amend products. 5 15 U.S.C. 78s(b)(3)(A)(iii). Options 4, Section 8(a), Options 4A, 6 Obsolete Listings 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Section 12(b)(2) and Options 4C, 4(f)(6) requires a self-regulatory organization to give Section 5(a)(1)(C) to relocate text The Exchange’s proposal to remove the Commission written notice of its intent to file concerning bid/ask differentials for references to SIG Oil Exploration & the proposed rule change at least five business days prior to the date of filing of the proposed rule Production Index within Options 4A, change, or such shorter time as designated by the 3 15 U.S.C. 78f(b). Section 6(b)(i) and Supplementary Commission. The Exchange has satisfied this 4 15 U.S.C. 78f(b)(5). Material to Options 4A, Section 12 and requirement.

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Electronic Comments SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s Statement of the Purpose of, and the • COMMISSION Use the Commission’s internet Statutory Basis for, the Proposed Rule comment form (http://www.sec.gov/ Change rules/sro.shtml); or [Release No. 34–91838; File No. SR–BX– 2021–020] 1. Purpose • Send an email to rule-comments@ sec.gov. Please include File Number SR– Self-Regulatory Organizations; Nasdaq The Exchange proposes to amend Phlx–2021–28 on the subject line. BX, Inc.; Notice of Filing and BX’s Rules at Options 3, Section 15, Immediate Effectiveness of Proposed Risk Protections, to describe Size Paper Comments Rule Change To Amend BX Rules at Limitation and note its application to • Options 3, Section 7, Types of Orders Opening Only Orders and Immediate-or- Send paper comments in triplicate Cancel Orders within Options 3, Section and Order and Quote Protocols, and to Secretary, Securities and Exchange 7(b)(1) and (2), respectively. Also, Options 3, Section 15, Risk Protections Commission, 100 F Street NE, technical changes are proposed within Washington, DC 20549–1090. May 11, 2021. Options 3, Section 7(e)(1)(B) which describes the Specialized Quote Feed or All submissions should refer to File Pursuant to Section 19(b)(1) of the Number SR–Phlx–2021–28. This file ‘‘SQF’’.3 Each change is described Securities Exchange Act of 1934 below. number should be included on the (‘‘Act’’),1 and Rule 19b–4 thereunder,2 subject line if email is used. To help the notice is hereby given that on April 29, Options 3, Section 15 Commission process and review your 2021, Nasdaq BX, Inc. (‘‘BX’’ or The Exchange proposes to amend comments more efficiently, please use ‘‘Exchange’’) filed with the Securities Options 3, Section 15, Risk Protections, only one method. The Commission will and Exchange Commission to add a new section (b)(2) to describe post all comments on the Commission’s (‘‘Commission’’) the proposed rule within its rules a current limitation that internet website (http://www.sec.gov/ change as described in Items I and II exists today as to number of contracts an rules/sro.shtml). Copies of the below, which Items have been prepared incoming order or quote may specify. submission, all subsequent by the Exchange. The Commission is Specifically, the maximum number of amendments, all written statements publishing this notice to solicit contracts, which shall not be less than with respect to the proposed rule comments on the proposed rule change 10,000, is established by the Exchange change that are filed with the from interested persons. from time-to-time. Orders or quotes that Commission, and all written exceed the maximum number of communications relating to the I. Self-Regulatory Organization’s contracts are rejected. This System proposed rule change between the Statement of the Terms of Substance of limitation is the same on all Nasdaq Commission and any person, other than the Proposed Rule Change affiliated exchanges.4 Today, Nasdaq those that may be withheld from the ISE, LLC (‘‘ISE’’), Nasdaq GEMX, LLC public in accordance with the The Exchange proposes to amend BX (‘‘GEMX’’) and Nasdaq MRX, LLC provisions of 5 U.S.C. 552, will be Rules at Options 3, Section 7, Types of (‘‘MRX’’) describe this limitation within available for website viewing and Orders and Order and Quote Protocols, those rules at Options 3, Section printing in the Commission’s Public and Options 3, Section 15, Risk 15(a)(2)(B). BX proposes to similarly Reference Room, 100 F Street NE, Protections. describe this limitation in its rules. Washington, DC 20549, on official The text of the proposed rule change The Exchange also proposes to amend business days between the hours of is available on the Exchange’s website at Options 3, Section 7(b)(1) which 10:00 a.m. and 3:00 p.m. Copies of the https://listingcenter.nasdaq.com/ describes an Opening Only or ‘‘OPG’’ filing also will be available for rulebook/bx/rules, at the principal office order. Today, an OPG order can only be executed in the Opening Process inspection and copying at the principal of the Exchange, and at the pursuant to Options 3, Section 8. The office of the Exchange. All comments Commission’s Public Reference Room. rule currently states that this order type received will be posted without change. II. Self-Regulatory Organization’s is not subject to any protections listed Persons submitting comments are Statement of the Purpose of, and cautioned that we do not redact or edit Statutory Basis for, the Proposed Rule 3 SQF is an interface that allows Market Makers personal identifying information from Change to connect, send, and receive messages related to comment submissions. You should quotes, Immediate-or-Cancel Orders, and auction responses into and from the Exchange. Features submit only information that you wish In its filing with the Commission, the include the following: (1) Options symbol directory to make available publicly. All Exchange included statements messages (e.g., underlying instruments); (2) system submissions should refer to File concerning the purpose of, and basis for, event messages (e.g., start of trading hours messages Number SR–Phlx–2021–28 and should and start of opening); (3) trading action messages the proposed rule change and discussed (e.g., halts and resumes); (4) execution messages; (5) be submitted on or before June 7, 2021. any comments it received on the quote messages; (6) Immediate-or-Cancel Order For the Commission, by the Division of proposed rule change. The text of these messages; (7) risk protection triggers and purge statements may be examined at the notifications; (8) opening imbalance messages; (9) Trading and Markets, pursuant to delegated auction notifications; and (10) auction responses. authority.7 places specified in Item IV below. The The SQF Purge Interface only receives and notifies J. Matthew DeLesDernier, Exchange has prepared summaries, set of purge requests from the Market Maker. Market forth in sections A, B, and C below, of Makers may only enter interest into SQF in their Assistant Secretary. assigned options series. Immediate-or-Cancel the most significant aspects of such [FR Doc. 2021–10276 Filed 5–14–21; 8:45 am] Orders entered into SQF are not subject to the Order statements. Price Protection or the Market Order Spread BILLING CODE 8011–01–P Protection in Options 3, Section 15(a)(1) and (a)(2), respectively. See Options 3, Section 7(e)(1)(B). 4 The Exchange will propose a similar rule change 1 15 U.S.C. 78s(b)(1). to Nasdaq Phlx LLC and The Nasdaq Stock Market 7 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. LLC.

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in Options 3, Section 15 describing risk vital for BX Options Market Makers, and as the information is contained protections. With the proposed addition allows them to maintain tight markets elsewhere. of Size Limitation to proposed new and meet their quoting and other 2. Statutory Basis Options 3, Section 15(b)(2), the obligations to the market. BX Options Exchange proposes to note within Market Makers handle a large amount of The Exchange believes that its Options 3, Section 7(b)(1) that OPG risk when quoting and in addition to the proposal is consistent with Section 6(b) orders are subject to Size Limitation. risk protections required by the of the Act,9 in general, and furthers the OPG orders are entered during the Exchange, BX Options Market Makers objectives of Section 6(b)(5) of the Act,10 Opening Process utilizing ‘‘Financial utilize their own risk management in particular, in that it is designed to Information eXchange’’ or ‘‘FIX’’.5 parameters when entering orders, promote just and equitable principles of Similarly, the Exchange proposes to minimizing the likelihood of a BX trade and to protect investors and the amend Options 3, Section 7(b)(2) which Options Market Maker’s erroneous order public interest. describes an Immediate-or-Cancel Order from being entered. The Exchange Options 3, Section 15 or ‘‘IOC’’ order. Today, the Exchange believes that BX Options Market describes an IOC order as a Market Makers, unlike other market The Exchange’s proposal to amend Order or Limit Order to be executed in participants, have the ability to manage Options 3, Section 15, Risk Protections, whole or in part upon receipt. Any their risk when submitting IOC orders to add a new section (b)(2) is consistent portion not so executed is cancelled.6 through SQF and should be permitted to with the Act. The proposed amendment Options 3, Section 7(b)(2)(B) provides elect this method of order entry to is intended to describe a current that IOC orders may be entered through obtain efficiency and speed of order limitation that exists today as to the FIX or SQF, provided that an IOC Order entry, particularly in light of the number of contracts an incoming order entered by a Market Maker or a Lead continuous quoting obligations the or quote may specify. Specifically, the Market Maker 7 through SQF is not Exchange imposes on these participants. maximum number of contracts, which subject to the Order Price Protection or The Exchange believes that allowing shall not be less than 10,000, is the Market Order Spread Protection in BX Options Market Makers to submit established by the Exchange from time- Options 3, Section 15(a)(1) and (a)(2) IOC orders through their preferred to-time. Orders or quotes that exceed the respectively. With the proposed protocol increases their efficiency in maximum number of contracts are addition of the Size Limitation to submitting such orders and thereby rejected. This System limitation is the proposed new Options 3, Section allows them to maintain quality markets same on all Nasdaq affiliated 15(b)(2), the Exchange also proposes to to the benefit of all market participants exchanges.11 Today, ISE, GEMX and note that the Size Limitation does not that trade on the Exchange. Further, MRX describe this limitation within apply to IOC orders entered through unlike other market participants, BX those rules at Options 3, Section SQF. Options Market Makers provide 15(a)(2)(B). BX proposes to similarly The Exchange notes that while only liquidity to the market place and have describe this limitation in its rules. orders are entered into FIX, SQF is a obligations.8 Thus, the Exchange opted The Exchange’s proposal to amend quote protocol which also permits BX to not offer Order Price Protection, Options 3, Section 7(b)(1) to make clear Options Market Makers to enter IOC Market Order Spread Protection, and that Size Limitation applies to OPG orders that do not rest on the order Size Limitation for IOC orders entered orders is consistent with the Act as this book. The Exchange has not elected to through SQF because BX Options rule text will clarify the existing utilize Size Limitation on SQF orders as Market Makers have more sophisticated language and make clear that Size it did for FIX because BX Options infrastructures than other market Limitation is applicable to this order Market Makers only utilize SQF to enter participants and are able to manage type. OPG orders are entered during the IOC orders and BX Options Market their risk. Opening Process utilizing FIX. Makers are professional traders with The Exchange’s proposal to amend Other Non-Substantive Amendments their own risk settings. FIX, on the other Options 3, Section 7 with respect to IOC hand, is utilized by all market The Exchange proposes to amend the orders is consistent with the Act. Today, participants who may not have their description of a Specialized Quote Feed the Exchange describes an IOC Order as own risk settings, unlike BX Options within Options 3, Section 7(e)(1)(B) to a Market Order or Limit Order to be Market Makers. make plural the word ‘‘request’’ and executed in whole or in part upon BX Options Market Makers utilize also add an ‘‘.,’’ after an e.g., to conform receipt. Any portion not so executed is 12 IOC orders to trade out of accumulated the punctuation in the paragraph. cancelled. BX Options 3, Section positions and manage their risk when The Exchange also proposes to 7(b)(2)(B) provides that IOC orders may providing liquidity on the Exchange. remove the final sentence of Options 3, be entered through FIX or SQF, Proper risk management, including Section 7(e)(1)(B) that states, provided that an IOC Order entered by using these IOC orders to offload risk, is ‘‘Immediate-or-Cancel Orders entered a BX Options Market Maker through into SQF are not subject to the Order SQF is not subject to the Order Price 5 FIX is an interface that allows Participants and Price Protection or the Market Order Protection or the Market Order Spread their Sponsored Customers to connect, send, and Spread Protection in Options 3, Section Protection in Options 3, Section 15(a)(1) receive messages related to orders and auction 15(a)(1) and (a)(2), respectively.’’ This and (a)(2) respectively. With the orders and responses to and from the Exchange. proposed addition of Size Limitation to Features include the following: (1) Execution sentence is duplicative of information messages; (2) order messages; and (3) risk protection contained within Options 3, Section proposed new Options 3, Section triggers and cancel notifications. See Options 3, 7(b)(2)(B), which the Exchange is 15(b)(2), the Exchange also proposes to Section 7(e)(1)(A). amending in this proposal. The note that the Size Limitation does not 6 See BX Options 3, Section 7(b)(2). The Exchange Exchange proposes to remove the final apply to IOC orders entered through also notes that IOC orders entered with a TIF of IOC are not eligible for routing. sentence of Options 3, Section 7(e)(1)(B) 9 7 The Exchange proposes to utilize the word ‘‘BX 15 U.S.C. 78f(b). Options Market Maker’’ to collectively refer to Lead 8 BX Options Market Makers have intra-day 10 15 U.S.C. 78f(b)(5). Market Makers and Market Makers throughout the quoting obligations as specified in Options 2, 11 See supra note 4. remainder of this rule change. Section 5. 12 See BX Options 3, Section 7(b)(2).

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SQF. The Exchange notes these market participants and are able to proposed addition of Size Limitation to exceptions within this rule to make manage their risk. proposed new Options 3, Section clear that this information is available to 15(b)(2), the Exchange also proposes to Other Non-Substantive Amendments market participants within the note that the Size Limitation does not description of an IOC. The Exchange’s proposal to amend apply to IOC orders entered through The Exchange notes that while only the description of Specialized Quote SQF. Unlike other market participants, orders are entered into FIX, SQF is a Feed within Options 3, Section BX Options Market Makers provide quote protocol which also permits BX 7(e)(1)(B) to make plural the word liquidity to the market place and have Options Market Makers to enter IOC ‘‘request’’ and also add an ‘‘.,’’ after an obligations.15 e.g., to conform the punctuation in the orders that do not rest on the order Other Non-Substantive Amendments book. The Exchange has not elected to paragraph is consistent with the Act. utilize Size Limitation on SQF orders as These amendments are non-substantive. The Exchange’s proposal to amend it did for FIX because BX Options The Exchange’s proposal to remove the description of Specialized Quote Market Makers only utilize SQF to enter the final sentence of Options 3, Section Feed within Options 3, Section IOC orders and BX Options Market 7(e)(1)(B) that states, ‘‘Immediate-or- 7(e)(1)(B) to make plural the word Makers are professional traders with Cancel Orders entered into SQF are not ‘‘request’’ and also add an ‘‘.,’’ after an their own risk settings. FIX, on the other subject to the Order Price Protection or e.g., to conform the punctuation in the hand, is utilized by all market the Market Order Spread Protection in paragraph does not impose an undue participants who unlike BX Options Options 3, Section 15(a)(1) and (a)(2), burden on competition. These Market Makers may not have their own respectively’’ is consistent with the Act. amendments are non-substantive. The Exchange’s proposal to remove risk settings. BX Options Market Makers This sentence is duplicative of the final sentence of Options 3, Section utilize IOC orders to trade out of information contained within Options 3, 7(e)(1)(B) that states, ‘‘Immediate-or- accumulated positions and manage their Section 7(b)(2)(B), which the Exchange Cancel Orders entered into SQF are not risk when providing liquidity on the is amending in this proposal. The subject to the Order Price Protection or Exchange. Proper risk management, Exchange proposes to remove the final the Market Order Spread Protection in including using these IOC orders to sentence of Options 3, Section 7(e)(1)(B) Options 3, Section 15(a)(1) and (a)(2), offload risk, is vital for BX Options as the information is contained elsewhere. respectively’’ does not impose an undue Market Makers, and allows them to burden on competition. This sentence is maintain tight markets and meet their B. Self-Regulatory Organization’s duplicative of information contained quoting and other obligations to the Statement on Burden on Competition within Options 3, Section 7(b)(2)(B), market. BX Options Market Makers The Exchange does not believe that which the Exchange is amending in this handle a large amount of risk when the proposed rule change will impose proposal. The Exchange proposes to quoting and in addition to the risk any burden on competition not remove the final sentence of Options 3, protections required by the Exchange. necessary or appropriate in furtherance Section 7(e)(1)(B) as the information is BX Options Market Makers utilize their of the purposes of the Act. contained elsewhere. own risk management parameters when entering orders, minimizing the Options 3, Section 15 C. Self-Regulatory Organization’s Statement on Comments on the likelihood of a BX Options Market The Exchange’s proposal to amend Proposed Rule Change Received From Maker’s erroneous order from being Options 3, Section 15, Risk Protections, Members, Participants, or Others entered. The Exchange believes that BX to add a new section (b)(2) does not Options Market Makers, unlike other impose an undue burden on No written comments were solicited market participants, have the ability to competition. The proposed amendment or received with respect to the proposed manage their risk when submitting IOC is intended to describe a current rule change. orders through SQF and should be limitation that exists today as to the III. Date of Effectiveness of the permitted to elect this method of order number of contracts an incoming order entry to obtain efficiency and speed of Proposed Rule Change and Timing for or quote may specify. This System Commission Action order entry, particularly in light of the limitation is the same on all Nasdaq Because the foregoing proposed rule continuous quoting obligations the affiliated exchanges.14 Today, ISE, change does not: (i) Significantly affect Exchange imposes on these participants. GEMX and MRX describe this limitation the protection of investors or the public The Exchange believes that allowing within its rules at Options 3, Section interest; (ii) impose any significant BX Options Market Makers to submit 15(a)(2)(B). BX proposes to similarly burden on competition; and (iii) become IOC orders through their preferred describe this limitation in its rules. protocol increases their efficiency in The Exchange’s proposal to amend operative for 30 days from the date on submitting such orders and thereby Options 3, Section 7(b)(1) to make clear which it was filed, or such shorter time allows them to maintain quality markets that Size Limitation applies to OPG as the Commission may designate, it has become effective pursuant to Section to the benefit of all market participants orders does not impose an undue 19(b)(3)(A)(iii) of the Act 16 and that trade on the Exchange. Further, burden on competition as this rule text subparagraph (f)(6) of Rule 19b–4 unlike other market participants, BX will clarify the existing language and thereunder.17 Options Market Makers provide make clear that Size Limitation is liquidity to the market place and have applicable to this order type. OPG obligations.13 The Exchange believes 15 See supra note 8. orders are entered during the Opening 16 not offering Size Limitation for IOC 15 U.S.C. 78s(b)(3)(A)(iii). Process utilizing FIX. 17 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– orders entered through SQF is The Exchange’s proposal to amend 4(f)(6) requires a self-regulatory organization to give consistent with the Act because BX Options 3, Section 7 with respect to IOC the Commission written notice of its intent to file Options Market Makers have more orders does not impose an undue the proposed rule change at least five business days sophisticated infrastructures than other prior to the date of filing of the proposed rule burden on competition. With the change, or such shorter time as designated by the Commission. The Exchange has satisfied this 13 See supra note 8. 14 See supra note 4. requirement.

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The Exchange has requested that the change that are filed with the comments on the proposed rule change Commission waive the 30-day operative Commission, and all written from interested persons. delay. The Commission notes that other communications relating to the I. Self-Regulatory Organization’s exchanges have substantively similar proposed rule change between the Statement of the Terms of Substance of rules regarding size limitation for Commission and any person, other than the Proposed Rule Change certain incoming orders or quotes.18 In those that may be withheld from the addition, the non-substantive public in accordance with the The Exchange proposes to amend The amendments will correct typographical provisions of 5 U.S.C. 552, will be Nasdaq Options Market LLC (‘‘NOM’’) errors and remove duplicative text, available for website viewing and Rules at Options 3, Section 7, Types of which will bring greater clarity to BX’s printing in the Commission’s Public Orders and Order and Quote Protocols, rules. Thus, the Commission believes Reference Room, 100 F Street NE, and Options 3, Section 15, Risk waiver of the 30-day operative delay is Washington, DC 20549 on official Protections. consistent with the protection of business days between the hours of The text of the proposed rule change investors and the public interest. The 10:00 a.m. and 3:00 p.m. Copies of the is available on the Exchange’s website at Commission therefore waives the 30-day filing also will be available for https://listingcenter.nasdaq.com/ operative delay and designates this inspection and copying at the principal rulebook/nasdaq/rules, at the principal proposal operative upon filing.19 office of the Exchange. All comments office of the Exchange, and at the At any time within 60 days of the received will be posted without change. Commission’s Public Reference Room. filing of the proposed rule change, the Persons submitting comments are II. Self-Regulatory Organization’s Commission summarily may cautioned that we do not redact or edit Statement of the Purpose of, and temporarily suspend such rule change if personal identifying information from Statutory Basis for, the Proposed Rule it appears to the Commission that such comment submissions. You should Change action is necessary or appropriate in the submit only information that you wish In its filing with the Commission, the public interest, for the protection of to make available publicly. All Exchange included statements investors, or otherwise in furtherance of submissions should refer to File concerning the purpose of and basis for the purposes of the Act. Number SR–BX–2021–020 and should the proposed rule change and discussed IV. Solicitation of Comments be submitted on or before June 1, 2021. any comments it received on the Interested persons are invited to For the Commission, by the Division of proposed rule change. The text of these Trading and Markets, pursuant to delegated statements may be examined at the submit written data, views, and authority.20 arguments concerning the foregoing, places specified in Item IV below. The J. Matthew DeLesDernier, including whether the proposed rule Exchange has prepared summaries, set change is consistent with the Act. Assistant Secretary. forth in sections A, B, and C below, of Comments may be submitted by any of [FR Doc. 2021–10273 Filed 5–14–21; 8:45 am] the most significant aspects of such statements. the following methods: BILLING CODE 8011–01–P A. Self-Regulatory Organization’s Electronic Comments Statement of the Purpose of, and • Use the Commission’s internet SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule comment form (http://www.sec.gov/ COMMISSION Change rules/sro.shtml); or • Send an email to rule-comments@ [Release No. 34–91841; File No. SR– 1. Purpose sec.gov. Please include File Number SR– NASDAQ–2021–030] The Exchange proposes to amend BX–2021–020 on the subject line. NOM’s Rules at Options 3, Section 15, Self-Regulatory Organizations; The Paper Comments Risk Protections, to describe Size Nasdaq Stock Market LLC; Notice of Limitation. The Exchange also proposes • Send paper comments in triplicate Filing and Immediate Effectiveness of to amend Options 3, Section 7, Types of to: Secretary, Securities and Exchange Proposed Rule Change To Amend the Orders and Order and Quote Protocols, Commission, 100 F Street NE, Nasdaq Options Market LLC Rules at to: (1) Remove the One-Cancels-the- Washington, DC 20549–1090. Options 3, Section 7, Types of Orders Other Order; (2) indicate the risk All submissions should refer to File and Order and Quote Protocols, and protections that are applicable to On the Number SR–BX–2021–020. This file Options 3, Section 15, Risk Protections Open Orders and Immediate or Cancel number should be included on the orders; and (3) remove references to an May 11, 2021. subject line if email is used. To help the outdated OTTO protocol; and (4) make Commission process and review your Pursuant to Section 19(b)(1) of the technical corrections. The Exchange comments more efficiently, please use Securities Exchange Act of 1934 also proposes to update a rule citation only one method. The Commission will (‘‘Act’’),1 and Rule 19b–4 thereunder,2 within General 1, Section 1, Definitions, post all comments on the Commission’s notice is hereby given that on April 28, and add and reserve certain sections internet website (http://www.sec.gov/ 2021, The Nasdaq Stock Market LLC within the Equity Rules. Each change is rules/sro.shtml). Copies of the (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the described below. submission, all subsequent Securities and Exchange Commission Options 3, Section 15 amendments, all written statements (‘‘Commission’’) the proposed rule with respect to the proposed rule change as described in Items I and II The Exchange proposes to amend below, which Items have been prepared Options 3, Section 15, Risk Protections, 18 See ISE, GEMX and MRX rules at Options 3, by the Exchange. The Commission is to add a new section (b)(2) to describe Section 15(a)(2)(B). publishing this notice to solicit within its rules a current limitation that 19 For purposes only of waiving the 30-day exists today as to the number of operative delay, the Commission has also considered the proposed rule’s impact on 20 17 CFR 200.30–3(a)(12). contracts an incoming order or quote efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). may specify. Specifically, the maximum 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4. number of contracts, which shall not be

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less than 10,000, is established by the The Exchange would file a rule change The Exchange proposes to amend Exchange from time-to-time. Orders or with the Commission if it decides to Options 3, Section 7(b)(2) which quotes that exceed the maximum offer this order type in the future. The describes an Immediate-or-Cancel Order number of contracts are rejected. This Exchange proposes to renumber current or ‘‘IOC’’ order. Today, the Exchange System limitation is the same on all Options 3, Section 7(a)(9) and (10) new describes an IOC order as a Market Nasdaq affiliated exchanges.3 Today, Options 3, Section 7(a)(8) and (9). Order or Limit Order to be executed in Nasdaq ISE, LLC (‘‘ISE’’), Nasdaq The Exchange proposes to amend whole or in part upon receipt. Any GEMX, LLC (‘‘GEMX’’) and Nasdaq Options 3, Section 7(b)(1) which portion not so executed is cancelled MRX, LLC (‘‘MRX’’) describe this describes an On the Open Order or and/or routed pursuant to the limitation within those rules at Options ‘‘OPG’’ order. Today, an OPG order can Participant’s instruction.11 The rule text 3, Section 15(a)(2)(B). NOM proposes to only be executed in the Opening Cross currently also provides that ‘‘IOC orders similarly describe this limitation in its pursuant to Options 3, Section 8. may be entered through FIX, OTTO or rules. Further, if after entry into the System, SQF; IOC Orders entered through OTTO the order is not fully executed in its or SQF may not route.’’ The Exchange Options 3, Section 7 entirety during the Opening Cross, the previously filed to remove its ‘‘Ouch to The Exchange proposes to amend order, or any unexecuted portion of Trade Options’’ or ‘‘OTTO’’ protocol Options 3, Section 7, Types of Orders such order, will be cancelled back to the from its rules.12 The citations to OTTO and Order and Quote Protocols, to (1) entering participant. OPG orders may within Options 3, Section 7 were remove the ‘‘One-Cancels-the-Other not route. OPG orders are entered inadvertently not removed. At this time, Order’’ order type; (2) indicate the risk during the Opening Cross utilizing the Exchange proposes to remove those protections that are applicable to On the ‘‘Financial Information eXchange’’ or remaining references to OTTO within Open Orders or ‘‘OPG’’ orders and ‘‘FIX’’.7 OPG orders are currently not Options 3, Section 7 from the Immediate or Cancel orders; (3) remove subject to any protections listed in descriptions of IOC orders and DAY references to an outdated OTTO Options 3, Section 15 describing risk orders.13 protocol; and (4) make technical protections, except Size Limitation.8 The Exchange also proposes to note, corrections. Options 3, Section 7(b)(1) is currently similar to Phlx and BX, that an IOC The Exchange proposes to remove the silent on the application of risk order entered by a Market Maker ‘‘One-Cancels-the-Other Order’’ protections. At this time, the Exchange through Specialized Quote Feed or currently located within Options 3, proposes to state that this order type is ‘‘SQF’’ 14 is not subject to certain risk Section 7(a)(8). A One-Cancels-the- not subject to any protections listed in protections noted within Options 3, Other Order is an order entered by a Options 3, Section 15, except Size Section 15. Today, an IOC order entered Market Maker that consists of a buy Limitation. With the proposed addition through SQF is not subject to the Order order and a sell order treated as a unit; of Size Limitation to proposed new Price Protection or Market Order Spread the full execution of one of the orders Options 3, Section 15(b)(2), the Protections noted within Options 3, causes the other to be canceled. This Exchange proposes to note in the Section 15(a)(1) and (a)(2), respectively. order type was adopted in 2011 4 and proposed new text within Options 3, Further, with the addition of Size was to be implemented on or about Section 7(b)(1) that OPG orders are Limitation to proposed new Options 3, August 1, 2011 by issuance of an Option subject to Size Limitation. The Section 15(b)(2), the Exchange also Trader Alert as part of a larger Exchange notes that the Opening Cross proposes to note that SQF orders are not implementation related to a technology itself has boundaries within which subject to Size Limitation. The addition migration.5 The One-Cancels-the-Other orders will be executed.9 Also, any of this rule text will bring greater clarity Order was never implemented on NOM participant may enter an Opening Only to the order type. as part of that migration. No Participant Order. Typically Market Makers submit The Exchange notes that while only was able to utilize this order type as it Valid Width NBBOs, as provided for orders are entered into FIX, SQF is a was not available on NOM’s System. within Options 3, Section 8, during the quote protocol which also permits The Exchange proposes to remove the Opening Cross. Nasdaq BX’s OPG Market Makers to enter IOC orders that order type at this time. The order type Orders are also not subject to any risk do not rest on the order book. The was intended to permit Market Makers protections aside from Size Exchange has not elected to utilize to submit a two-sided order consisting Limitation.10 Order Price Protection, Market Order of both a bid and an offer. Today, Spread Protection, and Size Limitation Market Makers may submit two-sided resumes); (4) execution messages; (5) quote on SQF orders, as it did for FIX, because quotes utilizing NOM’s Specialized messages; (6) Immediate-or-Cancel Order messages; Market Makers only utilize SQF to enter 6 (7) risk protection triggers and purge notifications; IOC orders and Market Makers are Quote Feed or ‘‘SQF’’ quoting protocol. and (8) opening imbalance messages. The SQF Purge Interface only receives and notifies of purge professional traders with their own risk 3 The Exchange will propose a similar rule change request from the Market Maker. Market Makers may to Nasdaq Phlx LLC (‘‘Phlx’’) and Nasdaq BX, Inc. only enter interest into SQF in their assigned The Exchange is in the process of filing a rule (‘‘BX’’). options series. Immediate-or-Cancel Orders entered change to indicate that BX OPG orders are subject 4 See Securities Exchange Act Release No. 64406 into SQF are not subject to the Order Price to Size Limitation. See also SR–BX–2021–020. (May 4, 2011), 76 FR 27134 (May 10, 2011) (SR– Protection or the Market Order Spread Protection in 11 See NOM Options 3, Section 7(b)(2). NASDAQ–2011–065) (The NASDAQ Stock Market Options 3, Section 15(a)(1) and (a)(2), respectively. 12 See Securities Exchange Act Release No. 84084 LLC; Notice of Filing and Immediate Effectiveness 7 FIX is an interface that allows Participants and (December 17, 2020), 85 FR 84084 (December 23, of Proposed Rule Change To Adopt a Two-Sided their Sponsored Customers to connect, send, and 2020) (SR–NASDAQ–2020–089) (‘‘Notice of Filing Order for NOM Market Makers). receive messages related to orders to and from the and Immediate Effectiveness of Proposed Rule 5 Id. Exchange. Features include the following: (1) Change To No Longer Implement the OTTO 6 SQF is an interface that allows Market Makers Execution messages; (2) order messages; and (3) risk Protocol’’). to connect, send, and receive messages related to protection triggers and cancel notifications. See 13 ‘‘DAY’’ is an order entered with a TIF of ‘‘Day’’ quotes and Immediate-or- Cancel Orders into and Options 3, Section 7(e)(1)(A). that expires at the end of the day on which it was from the Exchange. Features include the following: 8 See Options 3, Section 7(b)(1). entered, if not executed. All orders by their terms (1) Options symbol directory messages (e.g, 9 See Options 3, Section 8(b). are Day Orders unless otherwise specified. Day underlying instruments); (2) system event messages 10 See BX Options 3, Section 7(b)(1) which orders may be entered through FIX. See proposed (e.g., start of trading hours messages and start of currently provides that an OPG order is not subject Options 3, Section 7(b)(3). opening); (3) trading action messages (e.g., halts and to any protections listed in Options 3, Section 15. 14 See supra note 6.

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settings. FIX, on the other hand, is citation was to Chapter V, Section 6, 15(a)(2)(B). NOM proposes to similarly utilized by all market participants who Nullification and Adjustment of Options describe this limitation in its rules. may not have their own risk settings, Transactions including Obvious Errors. unlike Market Makers. This rule was relocated to Options 3, Options 3, Section 7 Market Makers utilize IOC orders to Section 20 within that Relocation Rule The Exchange’s proposal to remove trade out of accumulated positions and Change. the ‘‘One-Cancels-the-Other Order’’ manage their risk when providing Equity Rules currently located within Options 3, liquidity on the Exchange. Proper risk Section 7(a)(8) is consistent with the management, including using these IOC Nasdaq proposes to amend the Act. This order type was adopted in orders to offload risk, is vital for Market Rulebook shell to add a new Equity 3A 2011 22 and was to be implemented on Makers, and allows them to maintain and Equity 8A and reserve those or about August 1, 2011 by issuance of tight markets and meet their quoting sections. Equity 3A will be utilized by an Option Trader Alert as part of a and other obligations to the market. BX Rulebook and the Exchange larger implementation related to a Market Makers handle a large amount of proposes to reserve that section in this technology migration,23 however, the risk when quoting and in addition to the Rulebook to demonstrate the section new order type was never implemented risk protections required by the does not exist for the Nasdaq equity on NOM as part of that migration. No Exchange, Market Makers utilize their market.17 Equity 8A is utilized by Participant was able to utilize this order own risk management parameters when Nasdaq Phlx within its Rulebook and type on NOM’s System to date. The entering orders, minimizing the the Exchange proposes to reserve that Exchange’s proposal to remove the order likelihood of a Market Maker’s section in this Rulebook to demonstrate type protects investors and the public erroneous order from being entered. The the section does not exist for the Nasdaq interest by making clear that the order Exchange believes that Market Makers, equity market.18 Also, Nasdaq proposes type is not available. Further, the order unlike other market participants, have to add Sections 15–23 within Equity 9 type was intended to permit Market the ability to manage their risk when and reserve those sections to harmonize Makers to submit a two-sided order submitting IOC orders through SQF and the numbering of Nasdaq equity rules consisting of both a bid and an offer. should be permitted to elect this method across its affiliated markets. Today, Market Makers may submit two- of order entry to obtain efficiency and sided quotes utilizing NOMs SQF 24 2. Statutory Basis speed of order entry, particularly in quoting protocol. light of the continuous quoting obligations the Exchange imposes on The Exchange believes that its The Exchange’s proposal to amend these participants. proposal is consistent with Section 6(b) OPG orders within Options 3, Section of the Act,19 in general, and furthers the 7(b)(1) to make clear that OPG orders are The Exchange believes that allowing 20 Market Makers to submit IOC orders objectives of Section 6(b)(5) of the Act, currently not subject to any protections through their preferred protocol in particular, in that it is designed to listed in Options 3, Section 15 25 increases their efficiency in submitting promote just and equitable principles of describing risk protections, except such orders and thereby allows them to trade and to protect investors and the Size Limitation is consistent with the maintain quality markets to the benefit public interest. Act and will bring greater clarity to the order type. Options 3, Section 7(b)(1) is of all market participants that trade on Options 3, Section 15 the Exchange. Further, unlike other currently silent on the application of market participants, Market Makers The Exchange’s proposal to amend risk protections. Today, OPG orders are provide liquidity to the market place Options 3, Section 15, Risk Protections, not subject to any protections listed in and have obligations.15 Thus, the to add a new section (b)(2) is consistent Options 3, Section 15, except Size Exchange opted to not offer Order Price with the Act. The proposed amendment Limitation. With the proposed addition Protection, Market Order Spread is intended to describe a current of Size Limitation to proposed new Protection, and Size Limitation for IOC limitation that exists today as to the Options 3, Section 15(b)(2), the orders entered through SQF because number of contracts an incoming order Exchange proposes to note in the Market Makers have more sophisticated or quote may specify. Specifically, the proposed new text within Options 3, infrastructures than other market maximum number of contracts, which Section 7(b)(1) that OPG orders are participants and are able to manage shall not be less than 10,000, is subject to Size Limitation. The their risk. established by the Exchange from time- Exchange believes that it is consistent The Exchange proposes to amend the to-time. Orders or quotes that exceed the with the Act to not apply any risk description of Specialized Quote Feed maximum number of contracts are protections during the Opening Cross as within Options 3, Section 7(e)(1)(B) to rejected. This System limitation is the the Opening Cross itself has boundaries 26 make plural the word ‘‘request’’ and same on all Nasdaq affiliated within which orders will be executed. also add an ‘‘.,’’ after an e.g to conform exchanges.21 Today, ISE, GEMX and Any participant may enter an Opening the punctuation in the paragraph. MRX describe this limitation within Only Order. Typically Market Makers those rules at Options 3, Section submit Valid Width NBBOs, as provided General 1, Section 1 for within Options 3, Section 8, during The Exchange proposes to update a 2019) (SR–NASDAQ–2019–098) (Notice of Filing the Opening Cross. Nasdaq BX’s OPG rule citation within General 1, Section and Immediate Effectiveness of Proposed Rule Orders are also not subject to any risk 1 to Options 3, Section 20. The rule text Change To Relocate Rules From Its Current protections aside from Size Rulebook Into Its New Rulebook Shell) (‘‘Relocation Limitation.27 currently cites Options 3, Section 4, but Rule Change’’). that citation was incorrectly updated in 17 BX will file a proposed rule change to add and a prior rule change.16 The original reserve Equity 3A. 22 See supra note 4. 18 See Phlx Equity 8A Unlisted Trading 23 Id. 15 Market Makers have intra-day quoting Privileges; Proxy and Other Rules. 24 See supra note 6. obligations as specified in Options 2, Section 5. 19 15 U.S.C. 78f(b). 25 See Options 3, Section 7(b)(1). 16 See Securities Exchange Act Release No. 87779 20 15 U.S.C. 78f(b)(5). 26 See Options 3, Section 8(b). (December 17, 2019), 84 FR 70590 (December 23, 21 See supra note 3. 27 See supra note 10.

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The Exchange’s proposal to amend obligations the Exchange imposes on within Equity 9 and reserve those Options 3, Section 7(b)(2) and (b)(3), these participants. sections to harmonize the numbering of which describes IOC orders and DAY The Exchange believes that allowing Nasdaq equity rules across its affiliated orders, to remove outdated citations to Market Makers to submit IOC orders markets. OTTO within Options 3, Section 7 that through their preferred protocol B. Self-Regulatory Organization’s were inadvertently not removed is increases their efficiency in submitting Statement on Burden on Competition consistent with the Act. These such orders and thereby allows them to amendments are non-substantive and maintain quality markets to the benefit The Exchange does not believe that will add clarity to these rules. of all market participants that trade on the proposed rule change will impose The Exchange’s proposal to note, the Exchange. Further, unlike other any burden on competition not similar to Phlx and BX, that an IOC market participants, Market Makers necessary or appropriate in furtherance order entered by a Market Maker provide liquidity to the market place of the purposes of the Act. 28 through SQF is not subject to certain and have obligations. The Exchange Options 3, Section 15 risk protections noted within Options 3, believes not offering Order Price Section 15 is consistent with the Act. Protection, Market Order Spread The Exchange’s proposal to amend Today, an IOC order entered through Protection, and Size Limitation for IOC Options 3, Section 15, Risk Protections, SQF is not subject to the Order Price orders entered through SQF is to add a new section (b)(2) does not Protection or Market Order Spread consistent with the Act because Market impose an undue burden on Protections noted within Options 3, Makers have more sophisticated competition. The proposed amendment Section 15(a)(1) and (a)(2), respectively. infrastructures than other market is intended to describe a current Further, with the addition of Size participants and are able to manage limitation that exists today as to the Limitation to proposed new Options 3, their risk. number of contracts an incoming order Section 15(b)(2), the Exchange also Finally, the Exchange’s proposal to or quote may specify. This System amend the description of Specialized limitation is the same on all Nasdaq proposes to note that SQF orders are not 32 subject to Size Limitation. The addition Quote Feed within Options 3, Section affiliated exchanges. Today, ISE, of this rule text will bring greater clarity 7(e)(1)(B) to make plural the word GEMX and MRX describe this limitation to the order type. ‘‘request’’ and also add an ‘‘.,’’ after an within its rules at Options 3, Section 15(a)(2)(B). NOM proposes to similarly The Exchange notes that while only e.g to conform the punctuation in the describe this limitation in its rules. orders are entered into FIX, SQF is a paragraph is consistent with the Act. quote protocol which also permits These changes are non-substantive. Options 3, Section 7 Market Makers to enter IOC orders that General 1, Section 1 The Exchange’s proposal to remove do not rest on the order book. The the ‘‘One-Cancels-the-Other Order’’ Exchange has not elected to utilize The Exchange’s proposal to update an incorrect rule citation within General 1, currently located within Options 3, Order Price Protection, Market Order Section 7(a)(8) does not impose an Spread Protection, and Size Limitation Section 1 to Options 3, Section 20 is consistent with the Act. The rule text undue burden on competition. No on SQF orders, as it did for FIX, because Participant was able to utilize this order Market Makers only utilize SQF to enter currently cites Options 3, Section 4, but that citation was incorrectly updated in type on NOM’s System to date. The IOC orders and Market Makers are Exchange’s proposal to remove the order professional traders with their own risk a prior rule change.29 The original citation was to Chapter V, Section 6, type will make clear that the order type settings. FIX, on the other hand, is is not available. Further, the order type utilized by all market participants who Nullification and Adjustment of Options Transactions including Obvious Errors. was intended to permit Market Makers may not have their own risk settings, to submit a two-sided order consisting unlike Market Makers. This rule was relocated to Options 3, Section 20 within that Relocation Rule of both a bid and an offer. Today, Market Makers utilize IOC orders to Market Makers may submit two-sided trade out of accumulated positions and Change. This amendment will bring 33 clarity to this rule. quotes utilizing NOM’s SQF quoting manage their risk when providing protocol. liquidity on the Exchange. Proper risk Equity Rules The Exchange’s proposal to amend management, including using these IOC Options 3, Section 7(b)(1) to make clear orders to offload risk, is vital for Market Nasdaq’s proposal to amend the Rulebook shell to add a new Equity 3A that Size Limitation applies to OPG Makers, and allows them to maintain orders and the remainder of the risk tight markets and meet their quoting and Equity 8A and reserve those sections is consistent with the Act. protections noted within Options 3, and other obligations to the market. Section 15 do not apply to OPG orders Market Makers handle a large amount of Equity 3A will be utilized by the BX Rulebook and the Exchange proposes to does not impose an undue burden on risk when quoting and in addition to the competition. The proposed rule text will risk protections required by the reserve that section in this Rulebook to demonstrate the section does not exist clarify the manner in which risk Exchange, Market Makers utilize their 30 protections interact with this order type. own risk management parameters when for the Nasdaq equity market. Equity 8A is utilized by Phlx within its The Opening Cross itself has boundaries entering orders, minimizing the within which orders will be executed. likelihood of a Market Maker’s Rulebook and the Exchange proposes to reserve that section in this Rulebook to Any participant may enter an Opening erroneous order from being entered. The Only Order. Typically Market Makers Exchange believes that Market Makers, demonstrate the section does not exist 31 submit Valid Width NBBOs, as provided unlike other market participants, have for the Nasdaq equity market. Also, Nasdaq proposes to add Sections 15–23 for within Options 3, Section 8, during the ability to manage their risk when the Opening Cross. submitting IOC orders through SQF and 28 See supra note 15. The Exchange’s proposal to amend should be permitted to elect this method 29 See supra note 16. Options 3, Section 7(b)(2) and (b)(3), of order entry to obtain efficiency and 30 See supra note 17. speed of order entry, particularly in 31 See Phlx Equity 8A Unlisted Trading 32 See supra note 3. light of the continuous quoting Privileges; Proxy and Other Rules. 33 See supra note 6.

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which describes IOC orders and DAY General 1, Section 1 The Exchange has requested that the orders, to remove outdated citations to The Exchange’s proposal to update an Commission waive the 30-day operative OTTO within Options 3, Section 7 that incorrect rule citation within General 1, delay. The Commission notes that other were inadvertently not removed does Section 1 to Options 3, Section 20 does exchanges have substantively similar not impose an undue burden on not impose an undue burden on rules regarding size limitation for 40 competition. These amendments are competition. The rule text currently certain incoming orders or quotes. In non-substantive and will add clarity to cites Options 3, Section 4, but that addition, removing references to an these rules. citation was incorrectly updated in a order type and protocol that are not The Exchange’s proposal to note, prior rule change.35 The original citation available on the Exchange will bring similar to Phlx and BX, that an IOC was to Chapter V, Section 6, greater clarity to NOM’s rules, as will order entered by a Market Maker Nullification and Adjustment of Options the non-substantive amendments, which through SQF is not subject to certain Transactions including Obvious Errors. correct typographical errors, remove risk protections noted within Options 3, This rule was relocated to Options 3, duplicative text, and align the Section 15 does not impose an undue Section 20 within that Relocation Rule Exchange’s rulebook numbering with burden on competition. Today, an IOC Change. This amendment will bring that of an affiliated exchange. Thus, the order entered through SQF is not subject clarity to this rule. Commission believes waiver of the 30- day operative delay is consistent with to the Order Price Protection or Market Equity Rules Order Spread Protections noted within the protection of investors and the public interest. The Commission Options 3, Section 15(a)(1) and (a)(2), Nasdaq’s proposal to amend the therefore waives the 30-day operative respectively. Further, with the addition Rulebook shell to add a new Equity 3A delay and designates this proposal of Size Limitation to proposed new and Equity 8A and reserve those operative upon filing.41 Options 3, Section 15(b)(2), the sections does not impose an undue burden on competition. Equity 3A will At any time within 60 days of the Exchange also proposes to note that SQF filing of the proposed rule change, the orders are not subject to Size Limitation. be utilized by the BX Rulebook and the Exchange proposes to reserve that Commission summarily may The addition of this rule text will bring temporarily suspend such rule change if greater clarity to the order type. section in this Rulebook to demonstrate the section does not exist for the Nasdaq it appears to the Commission that such The Exchange notes that while only equity market.36 Equity 8A is utilized by action is necessary or appropriate in the orders are entered into FIX, SQF is a Phlx within its Rulebook and the public interest, for the protection of quote protocol which also permits Exchange proposes to reserve that investors, or otherwise in furtherance of Market Makers to enter IOC orders that section in this Rulebook to demonstrate the purposes of the Act. do not rest on the order book. The the section does not exist for the Nasdaq IV. Solicitation of Comments Exchange has not elected to utilize equity market.37 Also, Nasdaq proposes Interested persons are invited to Order Price Protection, Market Order to add Sections 15–23 within Equity 9 submit written data, views, and Spread Protection, and Size Limitation and reserve those sections to harmonize arguments concerning the foregoing, on SQF orders, as it did for FIX, because the numbering of Nasdaq equity rules including whether the proposed rule Market Makers only utilize SQF to enter across its affiliated markets. IOC orders and Market Makers are change is consistent with the Act. professional traders with their own risk C. Self-Regulatory Organization’s Comments may be submitted by any of settings. FIX, on the other hand, is Statement on Comments on the the following methods: Proposed Rule Change Received From utilized by all market participants who Electronic Comments may not have their own risk settings, Members, Participants, or Others • Use the Commission’s internet unlike Market Makers. No written comments were either comment form (http://www.sec.gov/ solicited or received. The Exchange believes that Market rules/sro.shtml); or Makers, unlike other market III. Date of Effectiveness of the • Send an email to rule-comments@ participants, have the ability to manage Proposed Rule Change and Timing for sec.gov. Please include File Number SR– their risk when submitting IOC orders Commission Action NASDAQ–2021–030 on the subject line. through SQF and should be permitted to elect this method of order entry to Because the foregoing proposed rule Paper Comments obtain efficiency and speed of order change does not: (i) Significantly affect • Send paper comments in triplicate entry, particularly in light of the the protection of investors or the public to: Secretary, Securities and Exchange continuous quoting obligations the interest; (ii) impose any significant Commission, 100 F Street NE, Exchange imposes on these participants. burden on competition; and (iii) become Washington, DC 20549–1090. operative for 30 days from the date on Further, unlike other market All submissions should refer to File which it was filed, or such shorter time participants, Market Makers provide Number SR–NASDAQ–2021–030. This as the Commission may designate, it has liquidity to the market place and have file number should be included on the become effective pursuant to Section obligations.34 subject line if email is used. To help the 19(b)(3)(A) of the Act 38 and Commission process and review your Finally, the Exchange’s proposal to subparagraph (f)(6) of Rule 19b–4 amend the description of Specialized thereunder.39 Quote Feed within Options 3, Section prior to the date of filing of the proposed rule change, or such shorter time as designated by the 7(e)(1)(B) to make plural the word 35 See supra note 16. Commission. The Exchange has satisfied this ‘‘request’’ and also add an ‘‘.,’’ after an 36 See supra note 17. requirement. e.g to conform the punctuation in the 37 See Phlx Equity 8A Unlisted Trading 40 See ISE, GEMX and MRX rules at Options 3, paragraph does not impose an undue Privileges; Proxy and Other Rules. Section 15(a)(2)(B). burden on competition. These changes 38 15 U.S.C. 78s(b)(3)(A). 41 For purposes only of waiving the 30-day are non-substantive. 39 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– operative delay, the Commission has also 4(f)(6) requires a self-regulatory organization to give considered the proposed rule’s impact on the Commission written notice of its intent to file efficiency, competition, and capital formation. See 34 See supra note 15. the proposed rule change at least five business days 15 U.S.C. 78c(f).

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comments more efficiently, please use In the event that the time, date, or Rule 34b–1 under the Investment only one method. The Commission will location of this meeting changes, an Company Act (17 CFR 270.34b–1) post all comments on the Commission’s announcement of the change, along with governs sales material that accompanies internet website (http://www.sec.gov/ the new time, date, and/or place of the or follows the delivery of a statutory rules/sro.shtml). Copies of the meeting will be posted on the prospectus (‘‘sales literature’’). Rule submission, all subsequent Commission’s website at https:// 34b–1 deems to be materially amendments, all written statements www.sec.gov. misleading any investment company with respect to the proposed rule The General Counsel of the (‘‘fund’’) sales literature required to be change that are filed with the Commission, or his designee, has filed with the Securities and Exchange Commission, and all written certified that, in his opinion, one or Commission (‘‘Commission’’) by Section communications relating to the more of the exemptions set forth in 5 24(b) of the Investment Company Act proposed rule change between the U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B) (15 U.S.C. 80a–24(b)) that includes Commission and any person, other than and (10) and 17 CFR 200.402(a)(3), performance data, unless the sales those that may be withheld from the (a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and literature also includes the appropriate public in accordance with the (a)(10), permit consideration of the uniformly computed data and the provisions of 5 U.S.C. 552, will be scheduled matters at the closed meeting. legend disclosure required in available for website viewing and The subject matter of the closed investment company advertisements by printing in the Commission’s Public meeting will consist of the following rule 482 under the Securities Act of Reference Room, 100 F Street NE, topics: 1933 (17 CFR 230.482). Requiring the Washington, DC 20549 on official Institution and settlement of injunctive inclusion of such standardized business days between the hours of actions; performance data in sales literature is 10:00 a.m. and 3:00 p.m. Copies of the Institution and settlement of designed to prevent misleading filing also will be available for administrative proceedings; performance claims by funds and to inspection and copying at the principal Resolution of litigation claims; and enable investors to make meaningful office of the Exchange. All comments Other matters relating to examinations comparisons among funds. received will be posted without change. and enforcement proceedings. Persons submitting comments are The Commission estimates that on At times, changes in Commission average approximately 351 respondents cautioned that we do not redact or edit priorities require alterations in the 1 personal identifying information from file 7,362 responses that include the scheduling of meeting agenda items that information required by rule 34b–1 each comment submissions. You should may consist of adjudicatory, submit only information that you wish year. The burden resulting from the examination, litigation, or regulatory collection of information requirements to make available publicly. All matters. submissions should refer to File of rule 34b–1 is estimated to be 6 hours CONTACT PERSON FOR MORE INFORMATION: per response. The total hourly burden Number SR–NASDAQ–2021–030 and For further information; please contact should be submitted on or before June for rule 34b–1 is approximately 46,278 Vanessa A. Countryman from the Office hours per year in the aggregate.2 7, 2021. of the Secretary at (202) 551–5400. The collection of information under For the Commission, by the Division of Dated: May 13, 2021. Trading and Markets, pursuant to delegated rule 34b–1 is mandatory. The authority.42 Vanessa A. Countryman, information provided under rule 34b–1 J. Matthew DeLesDernier, Secretary. is not kept confidential. An agency may Assistant Secretary. [FR Doc. 2021–10457 Filed 5–13–21; 4:15 pm] not conduct or sponsor, and a person is BILLING CODE 8011–01–P not required to respond to, a collection [FR Doc. 2021–10274 Filed 5–14–21; 8:45 am] of information unless it displays a BILLING CODE 8011–01–P currently valid control number. The SECURITIES AND EXCHANGE public may view background SECURITIES AND EXCHANGE COMMISSION documentation for this information COMMISSION [SEC File No. 270–305, OMB Control No. collection at the following website: 3235–0346] www.reginfo.gov. Find this particular Sunshine Act Meetings information collection by selecting Submission for OMB Review; ‘‘Currently under 30-day Review—Open TIME AND DATE: 2 p.m. on Thursday, May Comment Request for Public Comments’’ or by using the 20, 2021. search function. Written comments and Upon Written Request, Copies Available recommendations for the proposed PLACE: The meeting will be held via From: Securities and Exchange remote means and/or at the information collection should be sent Commission, Office of FOIA Services, within 30 days of publication of this Commission’s headquarters, 100 F 100 F Street NE, Washington, DC Street NE, Washington, DC 20549. notice to (i) www.reginfo.gov/public/do/ 20549–2736 PRAMain and (ii) David Bottom, STATUS: This meeting will be closed to Extension: Director/Chief Information Officer, the public. Rule 34b–1 Securities and Exchange Commission, c/ MATTERS TO BE CONSIDERED: Notice is hereby given that pursuant o Cynthia Roscoe, 100 F Street NE, Commissioners, Counsel to the to the Paperwork Reduction Act of 1995 Washington, DC 20549, or by sending an Commissioners, the Secretary to the (44 U.S.C. 3501 et seq.), the Securities email to: [email protected]. Commission, and recording secretaries and Exchange Commission (the will attend the closed meeting. Certain ‘‘Commission’’) has submitted to the 1 The estimated number of responses to rule 34b– staff members who have an interest in Office of Management and Budget a 1 is composed of 7362 responses filed with FINRA and 351 responses filed with the Commission in the matters also may be present. request for extension of the previously 2019. approved collection of information 2 7713 responses × 6 hours per response = 46,278 42 17 CFR 200.30–3(a)(12). discussed below. hours.

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Dated: May 12, 2021. Waves Fund, L.P.; Wilshire Private Applicants’ Representations J. Matthew DeLesDernier, Credit Annual Fund Series, L.P.; 1. Master Fund is a Delaware statutory Assistant Secretary. Wilshire Private Equity Annual Fund trust and is a non-diversified, closed- [FR Doc. 2021–10319 Filed 5–14–21; 8:45 am] Series, L.P.; Wilshire Private Markets end management investment company BILLING CODE 8011–01–P Family Office Fund I, L.P.; Wilshire registered under the Act. Master Fund’s Private Markets Family Office Fund II, Objectives and Strategies 2 are to L.P.; Wilshire Private Markets Family provide efficient access to the private SECURITIES AND EXCHANGE Office Fund III, L.P.; Wilshire Private markets with the goals of offering long- COMMISSION Markets Family Office Fund IV, L.P.; term capital appreciation and current Wilshire Private Markets Real Estate [Investment Company Act Release No. income. Master Fund has a board of 34270; File No. 812–15119–01] Family Office Fund I, L.P. (together with trustees, a majority of which is each such entity’s direct and indirect comprised of members who are not Delaware Wilshire Private Markets wholly owned subsidiaries, collectively, ‘‘interested persons’’ within the Master Fund, et al.; Notice of ‘‘Existing Affiliated Funds’’). meaning of section 2(a)(19) of the Act Application DATES: The application was filed on (the ‘‘Non-Interested Trustees’’). No Non-Interested Trustee will have any May 12, 2021. April 2, 2020, and amended on direct or indirect financial interest in AGENCY: Securities and Exchange November 13, 2020, March 30, 2021 and any Co-Investment Transaction (as Commission (‘‘Commission’’). May 6, 2021. defined below) or any interest in any ACTION: Notice. HEARING OR NOTIFICATION OF HEARING : portfolio company, other than indirectly An order granting the requested relief through share ownership (if any) in SUMMARY OF APPLICATION : Notice of an will be issued unless the Commission application for an order under section Master Fund, Feeder Fund A, Feeder orders a hearing. Interested persons may Fund T or a Future Regulated Fund (as 17(d) of the Investment Company Act of request a hearing by emailing the 1940 (the ‘‘Act’’) and rule 17d–1 under defined below). Commission’s Secretary at Secretarys- 2. Each of Feeder Fund A and Feeder the Act permitting certain joint [email protected] and serving Applicants Fund T is a Delaware statutory trust and transactions otherwise prohibited by with a copy of the request email. is a non-diversified, closed-end section 17(d) of the Act and rule 17d– Hearing requests should be received by management investment company 1 under the Act. Applicants request an the Commission by 5:30 p.m. on June 7, registered under the Act. Each of Feeder order to permit certain closed-end 2021, and should be accompanied by Fund A’s and Feeder Fund T’s investment companies to co-invest in proof of service on the Applicants, in Objectives and Strategies are to provide portfolio companies with each other and the form of an affidavit, or, for lawyers, efficient access to the private markets with affiliated investment funds and a certificate of service. Pursuant to rule with the goals of offering long-term accounts. 0–5 under the Act, hearing requests capital appreciation and current income APPLICANTS : Delaware Wilshire Private should state the nature of the writer’s by investing substantially all of their Markets Master Fund (‘‘Master Fund’’); interest, any facts bearing upon the assets in the Master Fund. Each of Delaware Wilshire Private Markets Fund desirability of a hearing on the matter, Feeder Fund A and Feeder Fund T has (‘‘Feeder Fund A’’); Delaware Wilshire the reason for the request, and the issues a board of trustees, the majority of Private Markets Tender Fund (‘‘Feeder contested. Persons who wish to be which are Non-Interested Trustees. No Fund T’’); Delaware Management notified of a hearing may request Non-Interested Trustee will have any Company, a series of Macquarie notification by emailing the direct or indirect financial interest in Investment Management Business Trust Commission’s Secretary. any Co-Investment Transaction or any (‘‘Macquarie’’, on behalf of itself and its ADDRESSES: The Commission: interest in any portfolio company, other successors 1); Wilshire Advisors LLC [email protected]. Applicants: than indirectly through share ownership (‘‘Wilshire’’, on behalf of itself and its Michael Beattie, SEI Investments, (if any) in Feeder Fund A, Feeder Fund successors); BVK Europe Opportunities [email protected], Nick Teunon, T, Master Fund or a Future Regulated Fund I, L.P.; BVK Europe Opportunities Wilshire Advisors LLC, NTeunon@ Fund. Fund II, L.P.; BVK Europe Opportunities Wilshire.com; David Connor, Delaware 3. The Existing Affiliated Funds are Fund III, L.P.; Summit Hill Credit Fund, Management Company, David.Connor@ investment funds each of which would L.P.; Summit Hill Real Assets Fund, Macquarie.com; and Sean Graber, Esq., be an investment company but for L.P.; Wilshire BVV Europe Venture Morgan, Lewis & Bockius LLP, section 3(c)(1) or 3(c)(7) of the Act. The Fund, L.P. (Series I); Wilshire BVV [email protected]. investment adviser to the Existing Europe, L.P. (Series I); Wilshire BVV Affiliated Funds is Wilshire. Europe, L.P. (Series II); Wilshire BVV FOR FURTHER INFORMATION CONTACT: 4. Macquarie is a series of a Delaware Europe, L.P. (Series III); Wilshire BVV Barbara T. Heussler, Senior Counsel, at statutory trust and registered with the Europe, L.P. (Series IV); Wilshire BVV (202) 551–6990, or Trace W. Rakestraw, Commission as an investment adviser Europe, L.P. (Series V); Wilshire BVV Branch Chief, at (202) 551–6825 (Chief under the Investment Advisers Act of U.S., L.P. (Series I); Wilshire BVV U.S., Counsel’s Office, Division of Investment 1940 (‘‘Advisers Act’’). Macquarie L.P. (Series II); Wilshire BVV U.S., L.P. Management). serves as the investment adviser to the (Series III); Wilshire BVV U.S., L.P. SUPPLEMENTARY INFORMATION: The (Series IV); Wilshire BVV U.S., L.P. following is a summary of the 2 ‘‘Objectives and Strategies’’ means, with respect (Series V); Wilshire BVV U.S., L.P. application. The complete application to a Regulated Fund (as defined below), the (Series VI); Wilshire Global Private investment objectives and strategies of such may be obtained via the Commission’s Regulated Fund, as described in such Regulated Markets Fund IX, L.P.; Wilshire New website by searching for the file Fund’s registration statement, other filings the number, or for an applicant using the Regulated Fund has made with the Commission 1 The term ‘‘successor’’ as applied to each Adviser under the Act, under the Securities Act of 1933, as (as defined below), means an entity that results Company name box, at http:// amended (‘‘1933 Act’’) or under the Securities from a reorganization into another jurisdiction or www.sec.gov/search/search.htm or by Exchange Act of 1934, as amended, or in the change in the type of business organization. calling (202) 551–8090. Regulated Fund’s reports to shareholders.

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Existing Regulated Funds 3 and has negotiates terms in addition to price; 6 Investment Subsidiary be permitted to engaged Wilshire to serve as sub-adviser and (b) making additional investments participate in Co-Investment to the Existing Regulated Funds. in securities of such issuers, including Transactions in lieu of its parent 5. Wilshire, a California corporation, through the exercise of warrants, Regulated Fund and that the Wholly- is an investment adviser registered with conversion privileges, and other rights Owned Investment Subsidiary’s the Commission under the Advisers Act. to purchase securities of the issuers participation in any such transaction be Wilshire identifies investment (‘‘Follow-On Investments’’). ‘‘Co- treated, for purposes of the requested opportunities and executes on trading Investment Transaction’’ means any Order, as though the parent Regulated strategies for the Existing Regulated transaction in which a Regulated Fund Fund were participating directly. Funds subject to investment guidelines (or a Wholly-Owned Investment Applicants represent that this treatment agreed to by Macquarie and Wilshire. Subsidiary (as defined below)) is justified because a Wholly-Owned Macquarie has established guidelines, participates together with one or more Investment Subsidiary would have no monitoring and reporting procedures to other Regulated Funds and/or one or purpose other than serving as a holding evaluate the performance of Wilshire more Affiliated Funds in reliance on the vehicle for the parent Regulated Fund’s but is not responsible for making or requested Order. ‘‘Potential Co- investments and, therefore, no conflicts ratifying any investment decisions made Investment Transaction’’ means any of interest could arise between a by Wilshire. Macquarie is not an investment opportunity in which a Regulated Fund and its Wholly-Owned affiliated person (as defined in Section Regulated Fund (or a Wholly-Owned Investment Subsidiary. The Regulated 2(a)(3) of the Act) of Wilshire. Investment Subsidiary) could not Fund’s Board would make all relevant 6. Applicants seek an order (‘‘Order’’) participate together with one or more determinations under the conditions to permit one or more Regulated Funds 4 Affiliated Funds and/or one or more with regard to a Wholly-Owned and/or one or more Affiliated Funds 5 to other Regulated Funds without Investment Subsidiary’s participation in participate in the same investment 7 obtaining and relying on the Order. a Co-Investment Transaction, and the opportunities through a proposed co- 7. Applicants state that Macquarie has Regulated Fund’s Board would be investment program (the ‘‘Co- delegated responsibility for the Co- Investment Program’’), where such Investment Program to Wilshire. informed of, and take into participation would otherwise be Applicants further state that Wilshire consideration, any proposed use of a prohibited under rule 17d–1, by (a) co- has sole responsibility for causing the Wholly-Owned Investment Subsidiary investing with each other in securities Regulated Funds and any Affiliated in the Regulated Fund’s place. If a issued by issuers in private placement Fund to enter into a Potential Co- Regulated Fund proposes to participate transactions in which an Adviser Investment Transaction and is in the same Co-Investment Transaction responsible for ensuring that the with any of its Wholly-Owned 3 ‘‘Existing Regulated Funds’’ means Feeder Fund Wilshire Advisers, the Regulated Funds, Investment Subsidiaries, the Board will A, Feeder Fund T and Master Fund. and any Affiliated Funds comply with also be informed of, and take into 4 ‘‘Regulated Fund’’ means the Existing Regulated the conditions of the application. consideration, the relative participation Funds and any Future Regulated Fund. ‘‘Future of the Regulated Fund and the Wholly- Regulated Fund’’ means any closed-end investment 8. Applicants state that a Regulated management company (a) that is registered under Fund may, from time to time, form one Owned Investment Subsidiary. the Act, (b) whose investment adviser (and any sub- or more Wholly-Owned Investment 9. When considering Potential Co- adviser, if any) is a Wilshire Adviser, and (c) that 8 intends to participate in the Co-Investment Subsidiaries. Such a subsidiary would Investment Transactions for any Program. The term ‘‘Macquarie Adviser’’ means (a) be prohibited from investing in a Co- Regulated Fund, the applicable Adviser Macquarie and (b) any future investment adviser Investment Transaction with any will consider only the Objectives and that controls, is controlled by or is under common Affiliated Fund or Regulated Fund Strategies, investment policies, control with Macquarie, is registered as an investment adviser under the Advisers Act and is because it would be a company investment positions, capital available not a Regulated Fund or a subsidiary of a Regulated controlled by its parent Regulated Fund for investment (‘‘Available Capital’’), Fund. The term ‘‘Wilshire Adviser’’ means (a) for purposes of rule 17d–1. Applicants and other pertinent factors applicable to Wilshire, and (b) any future investment adviser that request that each Wholly-Owned controls, is controlled by or is under common that Regulated Fund. Each Adviser, as control with Wilshire, is registered as an investment applicable, undertakes to perform these adviser under the Advisers Act, or is a relying 6 The term ‘‘private placement transactions’’ duties consistently for each Regulated adviser of an investment adviser that is registered means transactions in which the offer and sale of Fund, as applicable, regardless of which under the Advisers Act and that controls, is securities by the issuer are exempt from registration controlled by or is under common control with under the 1933 Act. of them serves as investment adviser for Wilshire, and is not a Regulated Fund or a 7 All existing entities that currently intend to rely these entities. The participation of a subsidiary of a Regulated Fund. The term ‘‘Adviser’’ upon the requested Order have been named as Regulated Fund in a Potential Co- means (a) a Macquarie Adviser or (b) a Wilshire Applicants. Any other existing or future entity that Investment Transaction may only be Adviser; provided that a Wilshire Adviser serving subsequently relies on the Order will comply with as a sub-adviser to an Affiliated Fund (defined the terms and conditions of the application. approved by both a majority of the below) is included in this term only if (i) the 8 The term ‘‘Wholly-Owned Investment trustees of the Board who have no investment adviser is a Wilshire Adviser and (ii) Subsidiary’’ means an entity (i) that is wholly- financial interest in such transaction, such Adviser controls the entity. Applicants state owned by the applicable Regulated Fund (with such plan or arrangement and a majority of that the Macquarie Advisers will only be subject to Regulated Fund at all times holding, beneficially conditions 2(c)(iv), 12, 13 and 14 of the application. and of record, 100% of the voting and economic such trustees who are Non-Interested 5 ‘‘Affiliated Fund’’ means the Existing Affiliated interests); (ii) whose sole business purpose is to Trustees (a ‘‘Required Majority’’),9 Funds, any Future Affiliated Fund and any Wilshire hold one or more investments and incur debt eligible to vote on that Co-Investment Proprietary Accounts. ‘‘Future Affiliated Fund’’ (which is or would be consolidated with other Transaction (the ‘‘Eligible Trustees’’).10 means any entity (a) whose investment adviser (and indebtedness of such Regulated Fund for financial any sub-adviser, if any) is a Wilshire Adviser, (b) reporting or compliance purposes under the Act) on that would be an investment company but for behalf of the Regulated Fund; (iii) with respect to 9 ‘‘Required Majority’’ has the meaning provided Section 3(c)(1) or 3(c)(7) of the Act, and (c) that which the Regulated Fund’s board of trustees in Section 57(o) of the Act. The trustees of a intends to participate in the Co-Investment (‘‘Board’’) has the sole authority to make all Regulated Fund that make up the Required Majority Program. ‘‘Wilshire Proprietary Accounts’’ means determinations with respect to the entity’s will be determined as if the Regulated Fund were any existing or future direct or indirect, wholly or participation under the conditions of the a business development company (‘‘BDC’’) subject majority-owned subsidiary of Wilshire, or a application; and (iv) that would be an investment to Section 57(o). Wilshire Adviser, that, from time to time, may hold company but for sections 3(c)(1) or 3(c)(7) of the 10 The term ‘‘Eligible Trustees’’ means the trustees various financial assets in a principal capacity. Act. who are eligible to vote under Section 57(o) as if

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10. Other than pro rata dispositions transaction is consistent with the investments for compliance with these and Follow-On Investments as provided provisions, policies, and purposes of the allocation procedures. in conditions 7 and 8, and after making Act and the extent to which such (c) After making the determinations the determinations required in participation is on a basis different from required in conditions 1 and 2(a), the conditions 1 and 2(a), the Regulated or less advantageous than that of other applicable Adviser will distribute Fund’s Adviser will present each participants. written information concerning the Potential Co-Investment Transaction 2. Applicants state that in the absence Potential Co-Investment Transaction and the proposed allocation to the of the requested relief, the Regulated (including the amount proposed to be Regulated Fund’s Eligible Trustees, and Funds would be, in some invested by each participating Regulated the Required Majority will approve each circumstances, limited in their ability to Fund and Affiliated Fund) to the Co-Investment Transaction prior to any participate in attractive and appropriate Eligible Trustees of each participating investment by the participating investment opportunities. Applicants Regulated Fund for their consideration. Regulated Fund. believe that the proposed terms and A Regulated Fund will co-invest with 11. With respect to the pro rata conditions will ensure that the Co- one or more other Regulated Funds and/ dispositions and Follow-On Investments Investment Transactions are consistent or one or more Affiliated Funds only if, provided in conditions 7 and 8, a with the protection of each Regulated prior to the Regulated Fund’s Regulated Fund may participate in a pro Fund’s shareholders and with the participation in the Potential Co- rata disposition or Follow-On purposes intended by the policies and Investment Transaction, a Required Investment without obtaining prior provisions of the Act. Applicants state Majority concludes that: approval of the Required Majority if, that the Regulated Funds’ participation (i) The terms of the Potential Co- among other things: (i) The proposed in the Co-Investment Transactions will Investment Transaction, including the participation of each Regulated Fund be consistent with the provisions, consideration to be paid, are reasonable and Affiliated Fund in such disposition policies, and purposes of the Act and on and fair to the Regulated Fund and its is proportionate to its outstanding a basis that is not different from or less shareholders and do not involve investments in the issuer immediately advantageous than that of other overreaching in respect of the Regulated preceding the disposition or Follow-On participants. Fund or its shareholders on the part of Investment, as the case may be; and (ii) any person concerned; the Board of the Regulated Fund has Applicants’ Conditions (ii) the Potential Co-Investment approved that Regulated Fund’s Applicants agree that the Order shall Transaction is consistent with: participation in pro rata dispositions be subject to the following conditions: (A) The interests of the Regulated Fund’s shareholders; and and Follow-On Investments as being in 1. Each time an Adviser considers a the best interests of the Regulated Fund. (B) the Regulated Fund’s then-current Potential Co-Investment Transaction for Objectives and Strategies; If the Board does not so approve, any an Affiliated Fund or another Regulated such disposition or Follow-On (iii) the investment by any other Fund that falls within a Regulated Regulated Funds or Affiliated Funds Investment will be submitted to the Fund’s then-current Objectives and Regulated Fund’s Eligible Trustees. The would not disadvantage the Regulated Strategies, the Regulated Fund’s Adviser Fund, and participation by the Board of any Regulated Fund may at any will make an independent time rescind, suspend or qualify its Regulated Fund would not be on a basis determination of the appropriateness of different from or less advantageous than approval of pro rata dispositions and the investment for the Regulated Fund Follow-On Investments with the result that of any other Regulated Funds or in light of the Regulated Fund’s then- Affiliated Funds; provided that if any that all dispositions and/or Follow-On current circumstances. Investments must be submitted to the other Regulated Funds or Affiliated 2. (a) If the Adviser deems a Regulated Funds, but not the Regulated Fund Eligible Trustees. Fund’s participation in any Potential 12. Applicants state that if an Adviser itself, gains the right to nominate a Co-Investment Transaction to be or its principals, or any person director for election to a portfolio appropriate for the Regulated Fund, it controlling, controlled by, or under company’s board of directors or the will then determine an appropriate level common control with an Adviser or its right to have a board observer or any of investment for the Regulated Fund. principals, and any Affiliated Fund similar right to participate in the (b) If the aggregate amount (collectively, the ‘‘Holders’’) own in the governance or management of the recommended by the applicable Adviser aggregate more than 25% of the portfolio company, such event shall not to be invested by the applicable outstanding voting shares of a Regulated be interpreted to prohibit the Required Regulated Fund in the Potential Co- Fund (the ‘‘Shares’’), then the Holders Majority from reaching the conclusions Investment Transaction, together with will vote such Shares as required under required by this condition (2)(c)(iii), if: the amount proposed to be invested by condition 14. (A) The Eligible Trustees will have the other participating Regulated Funds the right to ratify the selection of such Applicants’ Legal Analysis and Affiliated Funds, collectively, in the director or board observer, if any; 1. Section 17(d) of the Act and rule same transaction, exceeds the amount of (B) the applicable Adviser agrees to, 17d–1 under the Act prohibit affiliated the investment opportunity, the and does, provide periodic reports to persons of a registered investment investment opportunity will be the Regulated Fund’s Board with respect company from participating in joint allocated among them pro rata based on to the actions of such director or the transactions with the company unless each participant’s Available Capital, up information received by such board the Commission has granted an order to the amount proposed to be invested observer or obtained through the permitting such transactions. In passing by each. The applicable Adviser will exercise of any similar right to upon applications under rule 17d–1, the provide the Eligible Trustees of each participate in the governance or Commission considers whether the participating Regulated Fund with management of the portfolio company; company’s participation in the joint information concerning each and participating party’s Available Capital to (C) any fees or other compensation the Regulated Fund were a BDC subject to Section assist the Eligible Trustees with their that any Affiliated Fund or any 57(o). review of the Regulated Fund’s Regulated Fund or any affiliated person

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of any Affiliated Fund or any Regulated securities to be purchased, settlement (d) Each Affiliated Fund and each Fund receives in connection with the date, and registration rights will be the Regulated Fund will bear its own right of the Affiliated Fund or Regulated same for each participating Regulated expenses in connection with any such Fund to nominate a director or appoint Fund and Affiliated Fund. The grant to disposition. a board observer or otherwise to an Affiliated Fund or another Regulated 8. participate in the governance or Fund, but not the Regulated Fund, of (a) If any Affiliated Fund or Regulated management of the portfolio company the right to nominate a director for Fund desires to make a Follow-On will be shared proportionately among election to a portfolio company’s board Investment in a portfolio company the participating Affiliated Funds (who of directors, the right to have an whose securities were acquired in a Co- each may, in turn, share its portion with observer on the board of directors or Investment Transaction, the applicable its affiliated persons) and the similar rights to participate in the Adviser will: participating Regulated Fund in governance or management of the (i) Notify each Regulated Fund that accordance with the amount of each portfolio company will not be participated in the co-investment party’s investment; and interpreted so as to violate this transaction of the proposed Follow-On (iv) the proposed investment by the condition 6, if conditions 2(c)(iii)(A), (B) Investment at the earliest practical time; Regulated Fund will not benefit the and (C) are met. and Advisers, any Affiliated Funds or other 7. (ii) formulate a recommendation as to Regulated Funds or any affiliated person (a) If any Affiliated Fund or any the proposed participation, including of any of them (other than the parties to Regulated Fund elects to sell, exchange the amount of the proposed Follow-On the Co-Investment Transaction), except or otherwise dispose of an interest in a Investment, by each Regulated Fund. (b) A Regulated Fund may participate (A) to the extent permitted by condition security that was acquired in a Co- in such Follow-On Investment without 13, (B) to the extent permitted by Investment Transaction, the applicable obtaining prior approval of the Required section 17(e) of the Act, as applicable, Adviser will: 12 Majority if: (i) The proposed (C) indirectly, as a result of an interest (i) Notify each Regulated Fund that participation of each Regulated Fund in the securities issued by one of the participated in the Co-Investment and each Affiliated Fund in such parties to the Co-Investment Transaction of the proposed disposition investment is proportionate to its Transaction, or (D) in the case of fees or at the earliest practical time; and outstanding investments in the issuer other compensation described in (ii) formulate a recommendation as to immediately preceding the Follow-On condition 2(c)(iii)(C). participation by each Regulated Fund in 3. Each Regulated Fund has the right the disposition. Investment; and (ii) the Board of the to decline to participate in any Potential (b) Each Regulated Fund will have the Regulated Fund has approved as being Co-Investment Transaction or to invest right to participate in such disposition in the best interests of the Regulated less than the amount proposed. on a proportionate basis, at the same Fund the ability to participate in 4. The applicable Adviser will present price and on the same terms and Follow-On Investments on a pro rata to the Board of each Regulated Fund, on conditions as those applicable to the basis (as described in greater detail in a quarterly basis, a record of all participating Affiliated Funds and the application). In all other cases, the investments in Potential Co-Investment Regulated Funds. Adviser will provide its written Transactions made by any of the other (c) A Regulated Fund may participate recommendation as to the Regulated Regulated Funds or Affiliated Funds in such disposition without obtaining Fund’s participation to the Eligible during the preceding quarter that fell prior approval of the Required Majority Trustees, and the Regulated Fund will within the Regulated Fund’s then- if: (i) The proposed participation of each participate in such Follow-On current Objectives and Strategies that Regulated Fund and each Affiliated Investment solely to the extent that a were not made available to the Fund in such disposition is Required Majority determines that it is Regulated Fund, and an explanation of proportionate to its outstanding in the Regulated Fund’s best interests. (c) If, with respect to any Follow-On why the investment opportunities were investments in the issuer immediately preceding the disposition; (ii) the Board Investment: not offered to the Regulated Fund. All (i) The amount of the opportunity is of the Regulated Fund has approved as information presented to the Board not based on the Regulated Funds’ and being in the best interests of the pursuant to this condition will be kept the Affiliated Funds’ outstanding Regulated Fund the ability to participate for the life of the Regulated Fund and investments immediately preceding the in such dispositions on a pro rata basis at least two years thereafter, and will be Follow-On Investment; and subject to examination by the (as described in greater detail in the (ii) the aggregate amount Commission and its staff. application); and (iii) the Board of the recommended by the applicable 5. Except for Follow-On Investments Regulated Fund is provided on a Wilshire Adviser to be invested by the 11 made in accordance with condition 8, quarterly basis with a list of all applicable Regulated Fund in the a Regulated Fund will not invest in dispositions made in accordance with Follow-On Investment, together with reliance on the Order in any issuer in this condition. In all other cases, the the amount proposed to be invested by which another Regulated Fund, an Adviser will provide its written other participating Regulated Funds and Affiliated Fund or any affiliated person recommendation as to the Regulated Affiliated Funds, collectively, in the of another Regulated Fund or Affiliated Fund’s participation to the Eligible same transaction, exceeds the amount of Fund is an existing investor. Trustees, and the Regulated Fund will the investment opportunity, then the 6. A Regulated Fund will not participate in such disposition solely to investment opportunity will be participate in any Potential Co- the extent that a Required Majority allocated among them pro rata based on Investment Transaction unless the determines that it is in the Regulated each participant’s Available Capital, up terms, conditions, price, class of Fund’s best interests. to the amount proposed to be invested by each. 11 This exception applies only to Follow-On 12 Any Wilshire Proprietary Account that is not Investments by a Regulated Fund in issuers in advised by an Adviser is itself deemed to be an (d) The acquisition of Follow-On which the Regulated Fund already holds Adviser for purposes of Conditions 7(a)(i) and Investments as permitted by this investments. 8(a)(i). condition will be considered a Co-

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Investment Transaction for all purposes Co-Investment Transaction. If any SECURITIES AND EXCHANGE and subject to the other conditions set transaction fee is to be held by an COMMISSION forth in the application. Adviser pending consummation of the [Release No. 34–91843; File No. SR– 9. The Non-Interested Trustees of Co-Investment Transaction, the fee will NASDAQ–2021–039] each Regulated Fund will be provided be deposited into an account quarterly for review all information maintained by such Adviser at a bank or Self-Regulatory Organizations; The concerning Potential Co-Investment banks having the qualifications Nasdaq Stock Market LLC; Notice of Transactions and Co-Investment prescribed in section 26(a)(1) of the Act, Filing and Immediate Effectiveness of Transactions, including investments and the account will earn a competitive Proposed Rule Change to Temporarily made by any other Regulated Funds or rate of interest that will also be divided Suspend Publication on Certain Affiliated Funds that the Regulated pro rata among the participating Proprietary Data Feeds Fund considered but declined to Regulated Funds and Affiliated Funds participate in, so that the Non-Interested May 11, 2021. based on the amounts they invest in Trustees may determine whether all Pursuant to Section 19(b)(1) of the investments made during the preceding such Co-Investment Transaction. None Securities Exchange Act of 1934 quarter, including those investments of the Affiliated Funds, the Advisers, (‘‘Act’’),1 and Rule 19b–4 thereunder,2 that the Regulated Fund considered but the other Regulated Funds, or any notice is hereby given that on May 4, declined to participate in, comply with affiliated person of the Regulated Funds 2021, The Nasdaq Stock Market LLC the conditions of the Order. In addition, or Affiliated Funds will receive (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the the Non-Interested Trustees will additional compensation or Securities and Exchange Commission consider at least annually the continued remuneration of any kind as a result of (‘‘Commission’’) the proposed rule appropriateness for the Regulated Fund or in connection with a Co-Investment change as described in Items I and II of participating in new and existing Co- Transaction (other than (a) in the case below, which Items have been prepared Investment Transactions. of the Regulated Funds and the by the Exchange. The Commission is 10. Each Regulated Fund will Affiliated Funds, the pro rata publishing this notice to solicit maintain the records required by section transaction fees described above and comments on the proposed rule change 57(f)(3) of the Act as if each of the fees or other compensation described in from interested persons. Regulated Funds were a BDC and each condition 2(c)(iii)(C); and (b) in the case I. Self-Regulatory Organization’s of the investments permitted under of an Adviser, investment advisory fees Statement of the Terms of Substance of these conditions were approved by the paid in accordance with the investment the Proposed Rule Change Required Majority under section 57(f) of advisory agreements between such the Act. The Exchange proposes to temporarily Adviser and the Regulated Fund or suspend publication on certain 11. No Non-Interested Trustee of a Affiliated Fund). Regulated Fund will also be a director, proprietary data feeds of last sale general partner, managing member or 14. If the Holders own in the aggregate information on securities that are principal, or otherwise an ‘‘affiliated more than 25% of the Shares of a projected to exceed 98 percent of the person’’ (as defined in the Act) of an Regulated Fund, then the Holders will maximum allowable value of the feed. Affiliated Fund. vote such Shares in the same The suspension will be effective on May 12. The expenses, if any, associated percentages as the Regulated Fund’s 4, 2021, and will conclude on May 17, with acquiring, holding or disposing of other shareholders (not including the 2021, when the maximum allowable any securities acquired in a Co- Holders) when voting on (1) the election value of the feed will be substantially Investment Transaction (including, of directors; (2) the removal of one or enhanced. The proposed suspension without limitation, the expenses of the more directors; or (3) any other matter will impact the following data feeds: distribution of any such securities under either the Act or applicable state Nasdaq Last Sale and Nasdaq Last Sale registered for sale under the 1933 Act) law affecting the Board’s composition, Plus (Equity 7, Section 139), Nasdaq will, to the extent not payable by the size or manner of election. Basic (Equity 7, Section 147), and Advisers under their respective Nasdaq FilterView (Equity 7, Section 15. Each Regulated Fund’s chief investment advisory agreements with 137). compliance officer, as defined in rule Affiliated Funds and the Regulated The text of the proposed rule change 38a–1(a)(4) under the Act, will prepare Funds, be shared by the Regulated is available on the Exchange’s website at Funds and the Affiliated Funds in an annual report for the Board of such https://listingcenter.nasdaq.com/ proportion to the relative amounts of the Regulated Fund that evaluates (and rulebook/nasdaq/rules, at the principal securities held or to be acquired or documents the basis of that evaluation) office of the Exchange, and at the disposed of, as the case may be. the Regulated Fund’s compliance with Commission’s Public Reference Room. 13. Any transaction fee 13 (including the terms and conditions of the II. Self-Regulatory Organization’s break-up or commitment fees but application and procedures established Statement of the Purpose of, and excluding broker’s fees contemplated to achieve such compliance. Statutory Basis for, the Proposed Rule section 17(e) of the Act) received in For the Commission, by the Division of Change connection with a Co-Investment Investment Management, under delegated In its filing with the Commission, the Transaction will be distributed to the authority. Exchange included statements participating Regulated Funds and J. Matthew DeLesDernier, concerning the purpose of and basis for Affiliated Funds on a pro rata basis the proposed rule change and discussed based on the amounts they invested or Assistant Secretary. any comments it received on the committed, as the case may be, in such [FR Doc. 2021–10340 Filed 5–14–21; 8:45 am] BILLING CODE 8011–01–P proposed rule change. The text of these statements may be examined at the 13 The Applicants are not requesting, and the staff is not providing, any relief for transaction fees received in connection with any Co-Investment 1 15 U.S.C. 78s(b)(1). Transaction. 2 17 CFR 240.19b–4.

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places specified in Item IV below. The objectives of Section 6(b)(5) of the Act,4 19(b)(3)(A) of the Act 5 and Rule 19b– Exchange has prepared summaries, set in particular, in that it is designed to 4(f)(6) thereunder.6 forth in sections A, B, and C below, of promote just and equitable principles of A proposed rule change filed the most significant aspects of such trade, to remove impediments to and pursuant to Rule 19b–4(f)(6) under the statements. perfect the mechanism of a free and Act 7 normally does not become open market and a national market operative for 30 days after the date of its A. Self-Regulatory Organization’s 8 Statement of the Purpose of, and system, and, in general to protect filing. However, Rule 19b–4(f)(6)(iii) Statutory Basis for, the Proposed Rule investors and the public interest. permits the Commission to designate a Change The purpose of this proposal is to shorter time if such action is consistent prevent the last sale price for any of the with the protection of investors and the 1. Purpose proprietary data feeds listed above from public interest. The Exchange has Nasdaq proposes to temporarily resetting to zero because a security has requested that the Commission waive suspend, on an emergency basis, the reached the maximum allowable value the 30-day operative delay. Waiver of publication on certain proprietary data of $429,496.7926. Nasdaq believes that the operative delay would allow the feeds of last sale information on this protective safeguard will prevent Exchange to avoid disseminating securities that are projected to exceed 98 the dissemination of incorrect data, and inaccurate last sale information in its percent of the maximum allowable will thereby promote just and equitable proprietary market data feeds without value of the feed. The suspension will principles of trade, remove delay, in the event the last sale price for be effective on May 4, 2021, and will impediments to and perfect the any security reaches the maximum conclude on May 17, 2021, when the mechanism of a free and open market allowable value of $429,496.7926. maximum allowable value of the feed and a national market system, and, in According to the Exchange, only one will be substantially enhanced. The general, protect investors and the public NMS security is projected to be affected proposed suspension will impact the interest. by the temporary suspension, which following data feeds: Nasdaq Last Sale will conclude on May 17, 2021 when B. Self-Regulatory Organization’s and Nasdaq Last Sale Plus (Equity 7, the maximum allowable value of the Statement on Burden on Competition Section 139), Nasdaq Basic (Equity 7, feeds will be substantially enhanced. Section 147), and Nasdaq FilterView The Exchange does not believe that Moreover, last sale information for any (Equity 7, Section 137). the proposed rule change will impose security not published on the The last sale data on the four data any burden on competition not Exchange’s proprietary market data feeds listed above is currently written in necessary or appropriate in furtherance feeds will be available through the a 4-byte hexadecimal computer code of the purposes of the Act. As explained securities information processors. For format, which establishes a maximum above, the Proposal is a protective these reasons, the Commission believes allowable value of $429,496.7926. If the safeguard to prevent the dissemination that waiver of the 30-day operative price of a security meets the maximum of incorrect data. It will have no impact delay is consistent with the protection allowable price, it resets to zero. Nasdaq on intermarket competition (the of investors and the public interest. plans to remove that maximum competition among SROs) because this Accordingly, the Commission hereby allowable price on May 17, 2021, by temporary measure will have no long- waives the 30-day operative delay and substituting the 4-byte hexadecimal term impact on the competition among designates the proposed rule change format with an 8-byte hexadecimal exchanges in the sale of top-of-book operative upon filing.9 format using a long-form trade message, data. It will have no impact on At any time within 60 days of the eliminating the possibility that the price intramarket competition (the filing of the proposed rule change, the of any existing security will reset to competition among exchange Commission summarily may zero. Until May 17, however, as a customers) because no purchaser of the temporarily suspend such rule change if protective safeguard to prevent the affected data feeds will be treated any it appears to the Commission that such dissemination of incorrect data, Nasdaq differently than any other purchaser of action is necessary or appropriate in the proposes to suspend reporting of any the affected data feeds. public interest, for the protection of security that is projected to exceed 98 investors, or otherwise in furtherance of percent of the maximum allowable C. Self-Regulatory Organization’s the purposes of the Act. If the value of the feed ($420,906.856). This is Statement on Comments on the Commission takes such action, the a temporary measure that will have no Proposed Rule Change Received From Commission shall institute proceedings permanent impact on any of the four Members, Participants, or Others to determine whether the proposed rule data feeds listed above after the upgrade No written comments were either change should be approved or goes into effect on May 17, 2021. solicited or received. disapproved. Only one NMS security is projected to exceed 98 percent of the maximum III. Date of Effectiveness of the 5 15 U.S.C. 78s(b)(3)(A). allowable value between May 4 and Proposed Rule Change and Timing for 6 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– May 17, 2021, based on intraday price Commission Action 4(f)(6)(iii) requires a self-regulatory organization to movements observed on May 3, 2021. give the Commission written notice of its intent to The last sale data for any security not Because the foregoing proposed rule file the proposed rule change, along with a brief change does not: (i) Significantly affect description and text of the proposed rule change, published on the Nasdaq proprietary at least five business days prior to the date of filing data feeds will be available through the the protection of investors or the public interest; (ii) impose any significant of the proposed rule change, or such shorter time securities information processors. as designated by the Commission. The Commission burden on competition; and (iii) become has waived this requirement in this case. 2. Statutory Basis operative for 30 days from the date on 7 17 CFR 240.19b–4(f)(6). The Exchange believes that its which it was filed, or such shorter time 8 17 CFR 240.19b–4(f)(6)(iii). proposal is consistent with Section 6(b) as the Commission may designate, it has 9 For purposes only of waiving the 30-day 3 become effective pursuant to Section operative delay, the Commission has also of the Act, in general, and furthers the considered the proposed rule’s impact on efficiency, competition, and capital formation. See 3 15 U.S.C. 78f(b). 4 15 U.S.C. 78f(b)(5). 15 U.S.C. 78c(f).

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IV. Solicitation of Comments For the Commission, by the Division of and basis for the proposed rule change Trading and Markets, pursuant to delegated and discussed any comments it received Interested persons are invited to authority.10 on the proposed rule change. The text submit written data, views, and J. Matthew DeLesDernier, of these statements may be examined at arguments concerning the foregoing, Assistant Secretary. the places specified in Item IV below. including whether the proposed rule [FR Doc. 2021–10278 Filed 5–14–21; 8:45 am] The self-regulatory organization has change is consistent with the Act. BILLING CODE 8011–01–P prepared summaries, set forth in Comments may be submitted by any of Sections A, B, and C below, of the most the following methods: significant aspects of such statements. SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s Electronic Comments COMMISSION Statement of the Purpose of, and • Use the Commission’s internet [Release No. 34–91836; File No. SR–BOX– Statutory Basis for, the Proposed Rule comment form (http://www.sec.gov/ 2021–08] Change rules/sro.shtml); or Self-Regulatory Organizations; BOX 1. Purpose • Send an email to rule-comments@ Exchange LLC; Notice of Filing and The purpose of the proposed rule sec.gov. Please include File Number SR– Immediate Effectiveness of a Proposed change is to amend its Fee Schedule to NASDAQ–2021–039 on the subject line. Rule Change To Amend the Fee establish a provision related to billing Paper Comments Schedule on the BOX Options Market errors and fee disputes. More LLC Facility To Establish a Policy specifically, the Exchange would adopt • Send paper comments in triplicate Relating to Billing Errors language in Section VII.B of the BOX to: Secretary, Securities and Exchange Fee Schedule (Fee Disputes) that would May 11, 2021. Commission, 100 F Street NE, provide that all fees and rebates Washington, DC 20549–1090. Pursuant to Section 19(b)(1) of the assessed prior to the three full calendar Securities Exchange Act of 1934 months before the month in which the All submissions should refer to File 1 2 (‘‘Act’’), and Rule 19b–4 thereunder, Exchange becomes aware of a billing Number SR–NASDAQ–2021–039. This notice is hereby given that on May 6, error shall be considered final. file number should be included on the 2021, BOX Exchange LLC (‘‘Exchange’’) Particularly, the Exchange will resolve subject line if email is used. To help the filed with the Securities and Exchange an error by crediting or debiting Commission process and review your Commission (‘‘Commission’’) the Participants and Non-Participants based comments more efficiently, please use proposed rule change as described in on the fees or rebates that should have only one method. The Commission will Items I and II below, which Items have been applied in the three full calendar post all comments on the Commission’s been prepared by the Exchange. The months preceding the month in which internet website (http://www.sec.gov/ Exchange filed the proposal as a ‘‘non- the Exchange became aware of the error, rules/sro.shtml). Copies of the controversial’’ proposed rule change which includes all impacted submission, all subsequent pursuant to Section 19(b)(3)(A)(iii) of transactions that occurred during those 3 amendments, all written statements the Act, and Rule 19b–4(f)(6) months.5 The Exchange will apply the 4 with respect to the proposed rule thereunder. The Commission is three month look back regardless of change that are filed with the publishing this notice to solicit whether the error was discovered by the Commission, and all written comments on the proposed rule change Exchange or by a Participant or Non- communications relating to the from interested persons. Participant that submitted a fee dispute proposed rule change between the I. Self-Regulatory Organization’s to the Exchange.6 Commission and any person, other than Statement of the Terms of Substance of The purpose of the proposed change those that may be withheld from the the Proposed Rule Change is to encourage Participants and Non- Participants to promptly review their public in accordance with the The Exchange proposes to amend the provisions of 5 U.S.C. 552, will be Exchange invoices so that any disputed Fee Schedule on the BOX Options charges can be addressed in a timely available for website viewing and Market LLC (‘‘BOX’’) facility to establish printing in the Commission’s Public manner. The Exchange notes that it a policy relating to billing errors. The provides Participants with both daily Reference Room, 100 F Street NE, text of the proposed rule change is and monthly fee reports and thus Washington, DC 20549 on official available from the principal office of the believes they should be aware of any business days between the hours of Exchange, at the Commission’s Public potential billing errors within three 10:00 a.m. and 3:00 p.m. Copies of the Reference Room and also on the months. Further, any fees assessed on filing also will be available for Exchange’s internet website at http:// Non-Participants are sent as monthly inspection and copying at the principal boxoptions.com. office of the Exchange. All comments II. Self-Regulatory Organization’s 5 For example, if the Exchange becomes aware of received will be posted without change. Statement of the Purpose of, and a transaction fee billing error on April 1, 2021, the Persons submitting comments are Exchange will resolve the error by crediting or Statutory Basis for, the Proposed Rule debiting Participants based on the fees or rebates cautioned that we do not redact or edit Change that should have been applied to any impacted personal identifying information from transactions during January, February and March comment submissions. You should In its filing with the Commission, the 2021. The Exchange notes that because it bills in submit only information that you wish self-regulatory organization included arrears, the Exchange would be able to correct the statements concerning the purpose of error in advance of issuing the April 2021 invoice to make available publicly. All and therefore, transactions impacted through the date of discovery (in this example, April 1, 2021) submissions should refer to File 10 17 CFR 200.30–3(a)(12). and thereafter, would be billed correctly. Number SR–NASDAQ–2021–039 and 1 15 U.S.C. 78s(b)(1). 6 The Exchange notes that the current policy should be submitted on or before June 2 17 CFR 240.19b–4. which states that all fee disputes must be submitted 7, 2021. 3 15 U.S.C. 78s(b)(3)(A)(iii). no later than sixty (60) calendar days after receipt 4 17 CFR 240.19b–4(f)(6). of a billing invoice will remain in place.

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invoices, and thus these firms will to permit unfair discrimination between become effective pursuant to 19(b)(3)(A) likewise receive sufficient notice of any customers, issuers, brokers, or dealers. of the Act 11 and Rule 19b–4(f)(6) 12 potential billing errors. Requiring that The Exchange believes that providing thereunder. The Exchange believes that Participants and Non-Participants that all fees and rebates are final after the proposal is non-controversial, does submit disputes in writing and provide three months (i.e., resolving billing not pose an undue burden on supporting documentation encourages errors only for the three full calendar competition, and does not raise any them to promptly review their invoices months preceding the month in which novel issues because the proposed so that any disputed charges can be the Exchange became aware of the change is designed to establish a addressed in a timely manner while the error), is reasonable as both the practice related to billing errors and fee information and data underlying those Exchange and Participants and Non- disputes that will apply uniformly to all charges (e.g., applicable fees and order Participants have an interest in knowing Participants and Non-Participants and is information) is still easily and readily when its fee assessments are final and similar to the billing policy in effect on available. This practice will avoid issues when reliance can be placed on those another national securities exchange.13 that may arise when Participants or assessments. Indeed, without some According to the Exchange, the proposal Non-Participants do not dispute an deadline on billing errors, the Exchange would allow the Exchange and market invoice in a timely manner and will and Participants and Non-Participants participants to consider all fees and conserve Exchange resources that would would never be able to close their books rebates final after three calendar have to be expended to resolve untimely with any confidence. Furthermore, as months, which in turn would provide billing disputes. As such, the proposed noted above, another Exchange similarly both the Exchange and Participants and rule change would alleviate considers their fees final after a similar Non-Participants finality and the ability administrative burdens related to billing period of time. The proposed change is to close their books after a known disputes, which could divert staff also equitable, and not unfairly period of time. resources away from the Exchange’s discriminatory because it will apply The Exchange has asked the regulatory and business purposes. The equally to all Participants (and Non- Commission to waive the 30-day proposed rule change to provide all fees Participants that pay Exchange fees) and operative delay for this filing, so that the and rebates are final after three calendar apply in cases where either the proposed rule change will become months also provides both the Exchange Participant (or Non-Participant) operative immediately. The Commission and Participants and Non-Participants discovers the error or the Exchange believes that waiving the 30-day finality and the ability to close their discovers the error. operative delay is consistent with the books after a known period of time. B. Self-Regulatory Organization’s protection of investors and the public The Exchange notes that the proposed Statement on Burden on Competition interest because it will allow the change is similar to a policy currently Exchange to modify the BOX Fee in place at another exchange.7 The Exchange does not believe that Schedule to adopt a provision related to the proposed rule change has any billing errors and fee disputes that is 2. Statutory Basis impact on competition. The proposed designed to provide clarity and certainty The Exchange believes the proposed rule change would establish a clear with respect to when Exchange fees and rule change is consistent with the process that would apply equally to all rebates may be considered final. Securities Exchange Act of 1934 (the Participants. Additionally, the proposed Further, the proposed rule change ‘‘Act’’) and the rules and regulations rule change is similar to rules of another would allow BOX to adopt a billing thereunder applicable to the Exchange exchange. The Exchange does not policy that is similar in all material and, in particular, the requirements of believe such proposed changes would respects to provisions currently in effect Section 6(b) of the Act.8 Specifically, impair the ability of Participants or on other national securities exchanges 14 the Exchange believes the proposed rule competing order execution venues to and therefore does not raise any new or change is consistent with the Section maintain their competitive standing in novel regulatory issues. Accordingly, 6(b)(5) 9 requirements that the rules of the financial markets. Moreover, the Commission designates the an exchange be designed to prevent because the proposed changes would proposed rule change as operative upon fraudulent and manipulative acts and apply equally to all Participants, the filing.15 practices, to promote just and equitable proposal does not impose any burden At any time within 60 days of the principles of trade, to foster cooperation on competition. filing of the proposed rule change, the and coordination with persons engaged C. Self-Regulatory Organization’s Commission summarily may in regulating, clearing, settling, Statement on Comments on the temporarily suspend such rule change if processing information with respect to, Proposed Rule Change Received From it appears to the Commission that such and facilitating transactions in Members, Participants, or Others action is necessary or appropriate in the securities, to remove impediments to public interest, for the protection of The Exchange has neither solicited and perfect the mechanism of a free and nor received comments on the proposed open market and a national market 11 15 U.S.C. 78s(b)(3)(A). rule change. system, and, in general, to protect 12 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– III. Date of Effectiveness of the 4(f)(6) requires a self-regulatory organization to give investors and the public interest. the Commission written notice of its intent to file Additionally, the Exchange believes the Proposed Rule Change and Timing for the proposed rule change at least five business days proposed rule change is consistent with Commission Action prior to the date of filing of the proposed rule the Section 6(b)(5) 10 requirement that change, or such shorter time as designated by the Because the foregoing proposed rule Commission. The Exchange has satisfied this the rules of an exchange not be designed change does not: (i) Significantly affect requirement. the protection of investors or the public 13 See supra note 7. 7 See Securities Exchange Act Release No. 90897 interest; (ii) impose any significant 14 See, e.g., supra note 7. (January 11, 2021), 86 FR 4161 (January 15, 2021) burden on competition; and (iii) become 15 For purposes only of waiving the operative (SR–CboeBZX–2020–094). delay for this proposal, the Commission has 8 15 U.S.C. 78f(b). operative for 30 days after the date of considered the proposed rule’s impact on 9 15 U.S.C. 78f(b)(5). the filing, or such shorter time as the efficiency, competition, and capital formation. See 10 Id. Commission may designate, it has 15 U.S.C. 78c(f).

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investors, or otherwise in furtherance of For the Commission, by the Division of I. Description of the Proposal the purposes of the Act. If the Trading and Markets, pursuant to delegated authority.16 The Commission approved a rule Commission takes such action, the governing the listing and trading of J. Matthew DeLesDernier, Commission shall institute proceedings shares (‘‘Shares’’) of the Funds,7 which to determine whether the proposed rule Assistant Secretary. are Tracking Fund Shares.8 The Shares should be approved or disapproved. [FR Doc. 2021–10272 Filed 5–14–21; 8:45 am] are listed and are trading on the IV. Solicitation of Comments BILLING CODE 8011–01–P Exchange. The current rule governing the listing and trading of the Shares Interested persons are invited to contemplates that each Fund would submit written data, views, and SECURITIES AND EXCHANGE calculate and disseminate one net asset arguments concerning the foregoing, COMMISSION value (‘‘NAV’’) per day.9 Each Fund’s including whether the proposed rule NAV represents the value of the Fund’s change is consistent with the Act. [Release No. 34–91845; File No. SR– assets minus its liabilities divided by Comments may be submitted by any of CboeBZX–2021–014] the number of shares outstanding. the following methods: The Exchange proposes to amend the Electronic Comments Self-Regulatory Organizations; Cboe rule applicable to the listing and trading BZX Exchange, Inc.; Order Instituting • Use the Commission’s internet of the Shares to allow each Fund to Proceedings To Determine Whether To calculate and disseminate multiple comment form (http://www.sec.gov/ Approve or Disapprove a Proposed rules/sro.shtml); or intraday NAVs. The Exchange states • Rule Change To Allow Invesco that NAVs, which are used to value Send an email to rule-comments@ Focused Discovery Growth ETF and sec.gov. Please include File Number SR– exchange-traded products (‘‘ETPs’’) Invesco Select Growth ETF To Strike 10 BOX–2021–08 on the subject line. such as Tracking Fund Shares, are and Publish Multiple Intraday Net central to the arbitrage process for many Paper Comments Asset Values ETPs,11 and that arbitrage is important • Send paper comments in triplicate May 11, 2021. because it provides a means to maintain to Secretary, Securities and Exchange a close tie between market price and Commission, 100 F Street NE, On January 22, 2021, Cboe BZX NAV per share of the ETP.12 Washington, DC 20549–1090. Exchange, Inc. (‘‘Exchange’’ or ‘‘BZX’’) In support of its proposal, the filed with the Securities and Exchange All submissions should refer to File Exchange states that allowing the Funds Commission (‘‘Commission’’), pursuant Number SR–BOX–2021–08. This file to strike and publish multiple intraday to Section 19(b)(1) of the Securities number should be included on the NAVs would provide the marketplace Exchange Act of 1934 (‘‘Act’’ or subject line if email is used. To help the with additional information related to ‘‘Exchange Act’’) 1 and Rule 19b–4 Commission process and review your each Fund’s underlying holdings on an thereunder,2 a proposed rule change to comments more efficiently, please use intraday basis, which the Exchange allow Invesco Focused Discovery only one method. The Commission will believes will allow market participants Growth ETF and Invesco Select Growth post all comments on the Commission’s to better assess their risk and provide ETF (each a ‘‘Fund’’ and together ‘‘the internet website (http://www.sec.gov/ additional certainty around intraday Funds’’) to strike and publish multiple 13 rules/sro.shtml). Copies of the price and hedging. The Exchange also intraday net asset values. The proposed submission, all subsequent provides that its proposal would reduce rule change was published for comment amendments, all written statements the risk that market participants face in the Federal Register on February 10, with respect to the proposed rule 3 2021. 7 change that are filed with the See Securities Exchange Act Release No. 90684 Commission, and all written On March 24, 2021, pursuant to (December 16, 2020) 85 FR 83637 (December 22, Section 19(b)(2) of the Act,4 the 2020) (SR–CboeBZX–2020–091) (‘‘Prior Order’’). communications relating to the See also BZX Rule 14.11(m)(2)(A) (requiring the proposed rule change between the Commission designated a longer period Exchange to file proposals under Section 19(b) of Commission and any person, other than within which to approve the proposed the Act before listing and trading a series of those that may be withheld from the rule change, disapprove the proposed Tracking Fund Shares). rule change, or institute proceedings to 8 A ‘‘Tracking Fund Share’’ is a security that: (1) public in accordance with the Represents an interest in an investment company provisions of 5 U.S.C. 552, will be determine whether to disapprove the registered under the Investment Company Act of 5 available for website viewing and proposed rule change. No comments on 1940 (‘‘Investment Company’’) organized as an printing in the Commission’s Public the proposed rule change have been open-end management investment company, that received. The Commission is issuing invests in a portfolio of securities selected by the Reference Room, 100 F Street NE, Investment Company’s investment adviser Washington, DC 20549, on official this order to institute proceedings consistent with the Investment Company’s business days between the hours of pursuant to Section 19(b)(2)(B) of the investment objectives and policies; (2) is issued in 6 10:00 a.m. and 3:00 p.m. Copies of the Act to determine whether to approve a specified aggregate minimum number in return for or disapprove the proposed rule change. a deposit of a specified Tracking Basket and/or a filing also will be available for cash amount with a value equal to the next inspection and copying at the principal determined net asset value; (3) when aggregated in office of the Exchange. All comments 16 17 CFR 200.30–3(a)(12). the same specified minimum number, may be received will be posted without change. 1 15 U.S.C. 78s(b)(1). redeemed at a holder’s request, which holder will 2 be paid a specified Tracking Basket and/or a cash Persons submitting comments are 17 CFR 240.19b–4. 3 See Securities Exchange Act Release No. 91064 amount with a value equal to the next determined cautioned that we do not redact or edit (February 4, 2021), 86 FR 8935 (‘‘Notice’’). net asset value; and (4) the portfolio holdings for personal identifying information from 4 15 U.S.C. 78s(b)(2). which are disclosed within at least 60 days following the end of every fiscal quarter. See BZX comment submissions. You should 5 See Securities Exchange Act Release No. 91398, Rule 14.11(m)(3)(A). 86 FR 16650 (March 30, 2021). The Commission submit only information that you wish 9 designated May 11, 2021, as the date by which the See Prior Order, supra note 7, 85 FR at 83638. to make available publicly. All 10 Commission shall approve or disapprove, or See Notice, supra note 3, 86 FR at 8935. submissions should refer to File institute proceedings to determine whether to 11 See id. at 8935–8936. Number SR–BOX–2021–08 and should disapprove, the proposed rule change. 12 See id. at 8936. be submitted on or before June 7, 2021. 6 15 U.S.C. 78s(b)(2)(B). 13 See id. at 8936–8937.

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intraday related to the possible proposal, therefore, raises novel affirmative Commission finding, and divergence between the Tracking Basket questions and concerns regarding the any failure of an SRO to provide this and the value of each Fund’s underlying proposal’s impact on how the Shares information may result in the holdings by permitting market would trade and whether the proposal Commission not having a sufficient participants to ‘‘lock in’’ their creation is consistent with the requirements of basis to make an affirmative finding that and redemption at both intraday NAV Section 6(b)(5) of the Act, including the a proposed rule change is consistent and at the end-of day-NAV. The requirement that the rules of a national with the Exchange Act and the Exchange states that its proposal, by securities exchange be ‘‘designed to . . . applicable rules and regulations.20 reducing the risk that market remove impediments to and perfect the participants face intraday, would mechanism of a free and open market For these reasons, the Commission encourage tighter spreads and deeper and a national market system,’’ and believes it is appropriate to institute liquidity in the Shares, to the benefit of promote ‘‘the maintenance of fair and proceedings pursuant to Section investors.14 orderly markets’’ consistent with 19(b)(2)(B) of the Act to determine Section 11(A) of the Act. Accordingly, whether the proposal should be II. Proceedings To Determine Whether approved or disapproved. To Approve or Disapprove SR– the Commission seeks comments on the CboeBZX–2021–014 and Grounds for novel aspects of the proposal, including IV. Commission’s Solicitation of Disapproval Under Consideration the following: Comments 1. As proposed, each Fund would be The Commission is instituting able to strike and disseminate multiple The Commission requests that proceedings pursuant to Section intraday NAVs. Do commenters have interested persons provide written 19(b)(2)(B) of the Act 15 to determine views regarding whether the calculation submissions of their views, data, and whether the proposed rule change and dissemination of multiple intraday should be approved or disapproved. arguments with respect to the issues NAVs would be helpful or confusing to identified above, as well as any other Institution of such proceedings is market participants, particularly in light appropriate at this time in view of the concerns they may have with the of the other information, including proposal. In particular, the Commission legal and policy issues raised by the intraday indicative value, which is invites the written views of interested proposed rule change. Institution of disseminated regarding the Shares? proceedings does not indicate that the 2. What effects, if any, would intraday persons concerning whether the Commission has reached any creations and redemptions have on proposal is consistent with Section conclusions with respect to any of the secondary trading and price discovery? 6(b)(5) or any other provision of the Act, issues involved. 3. The Shares are listed and traded on or the rules and regulations thereunder. Pursuant to Section 19(b)(2)(B) of the the Exchange as Tracking Fund Shares. Although there do not appear to be any Act,16 the Commission is providing Accordingly, the Funds do not disclose issues relevant to approval or notice of the grounds for disapproval on a daily basis the Funds’ full portfolio disapproval that would be facilitated by under consideration. The Commission is holdings. Given the lack of full portfolio an oral presentation of views, data, and instituting proceedings to allow for transparency on a daily basis, what arguments, the Commission will additional analysis of and input issues, if any, do multiple, intraday consider, pursuant to Rule 19b–4, any concerning the proposed rule change’s NAVs pose? What, if any, benefits do request for an opportunity to make an consistency with the Act and, in they confer? oral presentation.21 particular, Section 6(b)(5) of the Act, 4. The proposal does not stipulate the Interested persons are invited to which requires, among other things, that number of intraday NAVs each Fund submit written data, views, and the rules of a national securities will strike and does not stipulate when arguments regarding whether the exchange be ‘‘designed to prevent such intraday NAVs would be struck. proposal should be approved or fraudulent and manipulative acts and Do commenters have concerns regarding practices, to promote just and equitable the lack of fixed number and times of disapproved by June 7, 2021. Any principles of trade, to remove proposed intraday NAVs? If so, what are person who wishes to file a rebuttal to impediments to and perfect the those concerns? any other person’s submission must file mechanism of a free and open market Under the Commission’s Rules of that rebuttal by June 21, 2021. The and a national market system, and, in Practice, the ‘‘burden to demonstrate Commission asks that commenters general, to protect investors and the that a proposed rule change is address the sufficiency of the public interest; and are not designed to consistent with the Exchange Act and Exchange’s statements in support of the permit unfair discrimination between the rules and regulations issued proposal, which are set forth in the customers, issuers, brokers, or thereunder . . . is on the self-regulatory Notice, in addition to any other dealers.’’ 17 organization [‘SRO’] that proposed the comments they may wish to submit The Commission has not previously rule change.’’ 19 The description of a about the proposed rule change. approved a proposed rule change under proposed rule change, its purpose and Rule 19b–4 of the Act to permit the Comments may be submitted by any operation, its effect, and a legal analysis of the following methods: listing and trading of any ETP that of its consistency with applicable calculates and disseminates multiple requirements must all be sufficiently intraday NAVs.18 The Exchange’s 20 See id. detailed and specific to support an 21 Section 19(b)(2) of the Act, as amended by the Securities Act Amendments of 1975, Public Law 14 See id. at 8937. open. See Notice, supra note 3, 86 FR at 8936, n.8. 94–29 (June 4, 1975), grants the Commission 15 15 U.S.C. 78s(b)(2)(B). The Commission notes, however, that Invesco flexibility to determine what type of proceeding— 16 Id. Treasury Collateral ETF was not filed with the either oral or notice and opportunity for written 17 15 U.S.C. 78f(b)(5). Commission pursuant to Section 19 of the Act. comments—is appropriate for consideration of a 18 The Exchange notes that its proposal is similar Accordingly, as it relates the Commission’s review particular proposal by a self-regulatory to a functionality offered by Invesco Treasury under the Rule 19b–4 process, the Exchange’s organization. See Securities Act Amendments of Collateral ETF. According to the Exchange, that ETF proposal herein is a case of first impression. 1975, Senate Comm. on Banking, Housing & Urban calculates its NAV at 12 p.m. and 4 p.m. ET every 19 Rule 700(b)(3), Commission Rules of Practice, Affairs, S. Rep. No. 75, 94th Cong., 1st Sess. 30 day the New York Stock Exchange (‘‘NYSE’’) is 17 CFR 201.700(b)(3). (1975).

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Electronic Comments SMALL BUSINESS ADMINISTRATION the Act and 13 CFR Section 107.1900 of the Small Business Administration • Use the Commission’s internet [Disaster Declaration #16882 and #16883; Oklahoma Disaster Number OK–00145] Rules and Regulations to function as a comment form (http://www.sec.gov/ small business investment company rules/sro.shtml); or Presidential Declaration Amendment of under the Small Business Investment • Send an email to rule-comments@ a Major Disaster for the State of Company License No. 02/02–0660 sec.gov. Please include File Number SR– Oklahoma issued to GC SBIC V, L.P., said license CboeBZX–2021–014 on the subject line. is hereby declared null and void. AGENCY: U.S. Small Business Paper Comments United States Small Business Administration. Administration. ACTION: Amendment 2. • Send paper comments in triplicate Thomas G. Morris, to Secretary, Securities and Exchange SUMMARY: This is an amendment of the Acting Associate Administrator, Director, Commission, 100 F Street NE, Presidential declaration of a major Office of Liquidation, Office of Investment and Innovation. Washington, DC 20549–1090. disaster for the State of Oklahoma (FEMA–4587–DR), dated 02/24/2021. [FR Doc. 2021–10263 Filed 5–14–21; 8:45 am] All submissions should refer to File BILLING CODE P Number SR–CboeBZX–2021–014. This Incident: Severe Winter Storms. Incident Period: 02/08/2021 through file number should be included on the 02/20/2021. subject line if email is used. To help the DEPARTMENT OF TRANSPORTATION Commission process and review your DATES: Issued on 05/11/2021. comments more efficiently, please use Physical Loan Application Deadline Date: 05/25/2021. Federal Aviation Administration only one method. The Commission will Economic Injury (EIDL) Loan post all comments on the Commission’s Notice of Intent To Rule on Request To Application Deadline Date: 11/24/2021. internet website (http://www.sec.gov/ Dispose 5.3 and .8 Acres of Land at rules/sro.shtml). Copies of the ADDRESSES: Submit completed loan Sanford Seacoast Regional Airport, submission, all subsequent applications to: U.S. Small Business Sanford, ME amendments, all written statements Administration, Processing and Disbursement Center, 14925 Kingsport AGENCY: Federal Aviation with respect to the proposed rule Road, Fort Worth, TX 76155. Administration (FAA), DOT. change that are filed with the ACTION: Commission, and all written FOR FURTHER INFORMATION CONTACT: A. Request for public comments. communications relating to the Escobar, Office of Disaster Assistance, U.S. Small Business Administration, SUMMARY: Notice is being given that the proposed rule change between the FAA is considering a request from the Commission and any person, other than 409 3rd Street SW, Suite 6050, Washington, DC 20416, (202) 205–6734. Town of Sanford ME, to dispose of 5.3 those that may be withheld from the and .8 acres of land at Sanford Seacoast SUPPLEMENTARY INFORMATION: The notice public in accordance with the Regional Airport, Sanford, ME. The land of the President’s major disaster provisions of 5 U.S.C. 552, will be is no longer needed for aviation declaration for the State of Oklahoma, available for website viewing and purposes and may be disposed of by the dated 02/24/2021, is hereby amended to printing in the Commission’s Public airport. These parcels are located in include the following areas as adversely Reference Room, 100 F Street NE, non-aeronautical use area and will have affected by the disaster: Washington, DC 20549 on official no effect on any existing or future business days between the hours of Primary Counties (Physical Damage and aviation development needs. The 10:00 a.m. and 3:00 p.m. Copies of the Economic Injury Loans): Muskogee proceeds from the sale of the two filing also will be available for All Contiguous Counties have been properties will be placed in the airports inspection and copying at the principal previously declared. operating and maintenance account. office of the Exchange. All comments All other information in the original DATES: Comments must be received on received will be posted without change. declaration remains unchanged. or before June 16, 2021. Persons submitting comments are (Catalog of Federal Domestic Assistance ADDRESSES: You may send comments cautioned that we do not redact or edit Number 59008) using any of the following methods: personal identifying information from James Rivera, • Federal eRulemaking Portal: Go to comment submissions. You should Associate Administrator for Disaster http://www.regulations.gov, and follow submit only information that you wish Assistance. the instructions on providing to make available publicly. All [FR Doc. 2021–10331 Filed 5–14–21; 8:45 am] comments. submissions should refer to File • BILLING CODE 8026–03–P Fax: 202–493–2251. Number SR–CboeBZX–2021–014 and • Mail: U.S. Department of should be submitted by June 7, 2021. Transportation, Docket Operations, Rebuttal comments should be submitted SMALL BUSINESS ADMINISTRATION M–30, West Building Ground Floor, by June 21, 2021. Room W 12–140, 1200 New Jersey [License No. 02/02–0660] Avenue SE, Washington, DC 20590. For the Commission, by the Division of • Trading and Markets, pursuant to delegated GC SBIC V, L.P.; Surrender of License Hand Delivery: Deliver to mail authority.22 of Small Business Investment address above between 9 a.m. and 5 p.m., Monday through Friday, except J. Matthew DeLesDernier, Company Federal holidays. Assistant Secretary. Pursuant to the authority granted to Interested persons may inspect the [FR Doc. 2021–10275 Filed 5–14–21; 8:45 am] the United States Small Business request and supporting documents by BILLING CODE 8011–01–P Administration under the Small contacting the FAA at the address listed Business Investment Act of 1958, as under FOR FURTHER INFORMATION 22 17 CFR 200.30–3(a)(57). amended (‘‘Act’’), under Section 309 of CONTACT.

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FOR FURTHER INFORMATION CONTACT: Mr. posted without change to the docket, (1) Reduce reporting burdens; (2) Jorge E. Panteli, Compliance and Land including any personal information organize information collection Use Specialist, Federal Aviation provided. Please refer to the assigned requirements in a ‘‘user-friendly’’ format Administration New England Region OMB control number in any to improve the use of such information; Airports Division, 1200 District Avenue, correspondence submitted. FRA will and (3) accurately assess the resources Burlington, Massachusetts 01803. summarize comments received in expended to retrieve and produce Telephone: 781–238–7618. response to this notice in a subsequent information requested. See 44 U.S.C. SUPPLEMENTARY INFORMATION: The FAA notice and include them in its 3501. issues this notice under the provisions information collection submission to The summary below describes the ICR of 49 U.S.C. 47107(h)(2). OMB for approval. that FRA will submit for OMB clearance FOR FURTHER INFORMATION CONTACT: Ms. Issued in Burlington, Massachusetts, on as the PRA requires: May 12, 2021. Hodan Wells, Information Collection Title: Inspection and Maintenance of Clearance Officer, at email: 1 Julie Seltsam-Wilps, Steam Locomotives. [email protected] or telephone: (202) OMB Control Number: 2130–0505. Deputy Director, Airports Division. 493–0440. [FR Doc. 2021–10322 Filed 5–14–21; 8:45 am] Abstract: The Boiler Inspection Act of SUPPLEMENTARY INFORMATION: The PRA, 1911 required each railroad subject to BILLING CODE P 44 U.S.C. 3501–3520, and its the Act to file copies of its rules and implementing regulations, 5 CFR part instructions for the inspection of 1320, require Federal agencies to DEPARTMENT OF TRANSPORTATION locomotives. The original Act was provide 60-days’ notice to the public to expanded to cover all steam locomotives Federal Railroad Administration allow comment on information and tenders, and all their parts and collection activities before seeking OMB appurtenances. As amended, this Act [Docket No. FRA–2021–0006–N–4] approval of the activities. See 44 U.S.C. requires carriers to make inspections 3506, 3507; 5 CFR 1320.8 through and to repair defects to ensure the safe Proposed Agency Information 1320.12. Specifically, FRA invites operation of steam locomotives. Collection Activities; Comment interested parties to comment on the Currently, the collection of information Request following ICR regarding: (1) Whether the is used primarily by tourist or historic information collection activities are AGENCY: Federal Railroad railroads and by locomotive owners/ Administration (FRA), U.S. Department necessary for FRA to properly execute operators to provide a record for each of Transportation (DOT). its functions, including whether the day a steam locomotive is placed in activities will have practical utility; (2) service, as well as a record that the ACTION: Notice of information collection; the accuracy of FRA’s estimates of the request for comment. required steam locomotive inspections burden of the information collection are completed. The collection of activities, including the validity of the SUMMARY: Under the Paperwork information is also used by FRA and Reduction Act of 1995 (PRA) and its methodology and assumptions used to State rail safety inspectors to verify that implementing regulations, FRA seeks determine the estimates; (3) ways for necessary safety inspections and tests approval of the Information Collection FRA to enhance the quality, utility, and have been completed and to ensure that clarity of the information being Request (ICR) abstracted below. Before steam locomotives are indeed ‘‘safe and collected; and (4) ways for FRA to submitting this ICR to the Office of suitable’’ for service and are properly minimize the burden of information Management and Budget (OMB) for operated and maintained. collection activities on the public, approval, FRA is soliciting public Type of Request: Extension without including the use of automated comment on specific aspects of the collection techniques or other forms of change (with changes in estimates) of a activities identified in the ICR. information technology. See 44 U.S.C. currently approved collection. DATES: Interested persons are invited to 3506(c)(2)(A); 5 CFR 1320.8(d)(1). Affected Public: Businesses. submit comments on or before July 16, FRA believes that soliciting public Form(s): FRA–1, FRA–2, FRA–3, 2021. comment may reduce the administrative FRA–4, FRA–5, and FRA–19. ADDRESSES: Written comments and and paperwork burdens associated with Respondent Universe: 82 steam recommendations for the proposed ICR the collection of information that locomotive owners/operators. should be submitted on regulations.gov Federal regulations mandate. In Frequency of Submission: On to the docket, Docket No. FRA 2021– summary, FRA reasons that comments occasion; annually. 0006. All comments received will be received will advance three objectives: Reporting Burden:

Average time Total annual Total cost CFR section 2 Respondent universe Total annual responses per response burden hours equivalent 3

230.6—Waivers ...... 82 steam owners and 1 waiver letter ...... 1 hour ...... 1.00 $77.47 operators. 230.12—Conditions for movement— 82 steam owners and 10 tags ...... 6 minutes ...... 1.00 58.40 Non-complying locomotives. operators. 230.14(b)—31 Service Day Inspec- 82 steam owners and 360 notifications ...... 5 minutes ...... 30.00 2,324.10 tion—FRA notification. operators.

1 Previously titled ‘‘Inspection and Maintenance is 1,357 hours. FRA determined some of the 3 The dollar equivalent cost is derived from the of Steam Locomotives (Formerly Steam Locomotive estimates were not derived from PRA requirements, Surface Transportation Board’s 2019 Full Year Inspection).’’ thus leading to the increased figures in the current Wage A&B data series using the appropriate inventory, which were decreased accordingly in 2 The current inventory exhibits a total burden of employee group hourly wage rate that includes a this notice. Also, FRA made a few textual edits and 75-percent overhead charge. 18,865 hours while the total burden of this notice corrections on Forms 2 and 5.

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Average time Total annual Total cost CFR section 2 Respondent universe Total annual responses per response burden hours equivalent 3

—(c) 31 Service Day Inspection—Fil- 82 steam owners and 360 reports ...... 20 minutes ..... 120.00 9,296.40 ing inspection reports—Form 1. operators. 230.15—92 Service Day Inspection— 82 steam owners and 120 reports ...... 20 minutes ..... 40.00 3,098.80 Filing inspection report—Form 1. operators. 230.16(b)—Annual inspection—FRA 82 steam owners and 120 notifications ...... 5 minutes ...... 10.00 774.70 notification. operators. —(c) Filing inspection report—Form 3 82 steam owners and 120 reports ...... 30 minutes ..... 60.00 4,648.20 operators. 230.17—1,472 Service Day Inspec- 82 steam owners and 12 forms ...... 30 minutes ..... 6.00 464.82 tion—Form 4. operators. 230.20—Alteration Reports—Boil- 82 steam owners and 5 reports ...... 1 hour ...... 5.00 387.35 ers—Form 19. operators. 230.21—Steam Locomotive Number 82 steam owners and 1 document ...... 2 minutes ...... 0.03 2.32 Change. operators. 230.33—Welded Repairs/Alterations .. 82 steam owners and 5 letters ...... 2 hours ...... 10.00 774.70 operators. —Written Request to FRA for Ap- 82 steam owners and 3 letters ...... 2 hours ...... 6.00 464.82 proval—Unstayed surfaces. operators. 230.34—Riveted Repairs/Alterations .. 82 steam owners and 2 requests ...... 2 hours ...... 4.00 309.88 operators. 230.49—Setting of Safety Relief 82 steam owners and 5 metal tags ...... 1 hour ...... 5.00 292.00 Valves. operators. 230.96—Main, Side, and Valve Mo- 82 steam owners and 1 letter ...... 2 hours ...... 2.00 154.94 tion Rods. operators. 230.13—Daily Inspection Reports— 82 steam owners and 3,650 reports ...... 10 minutes ..... 608.33 47,127.33 Form 2. operators. 230.17—1,472 Service Day Inspec- 82 steam owners and 12 reports ...... 15 minutes ..... 3.00 232.41 tion—Form 3. operators. 230.18—Service Day Report: Form 82 steam owners and 150 reports ...... 15 minutes ..... 37.50 2,905.13 5 4. operators. 230.19—Posting of Copy—Form 1 & 82 steam owners and 4,320 copies of forms .... 5 minutes ...... 360.00 27,889.20 3. operators. 230.41—Flexible Stay Bolts with 82 steam owners and 20 entries ...... 2 minutes ...... 0.67 39.13 Caps. operators. 230.46—Badge Plates ...... 82 steam owners and 3 metal stampings ...... 2 hours ...... 6.00 350.40 operators. 230.47—Boiler Number ...... 82 steam owners and 1 metal stamping ...... 1 hour ...... 1.00 58.40 operators. 230.75—Stenciling Dates of Tests 82 steam owners and 50 stencils ...... 30 minutes ..... 25.00 1,460.00 and Cleaning. operators. 230.98—Driving, Trailing, and Engine 82 steam owners and 1 metal stamping ...... 15 minutes ..... 0.25 14.60 Truck Axles—Journal Diameter operators. Stamped. 230.116—Oil Tanks ...... 82 steam owners and 30 stencils ...... 30 minutes ..... 15.00 876.00 operators.

Total 5 ...... 82 steam owners and 9,362 responses ...... N/A ...... 1,357 104,082 operators.

Total Estimated Annual Responses: Authority: 44 U.S.C. 3501–3520. ACTION: Notice of information collection; 9,362. Brett A. Jortland, request for comment. Total Estimated Annual Burden: Acting Chief Counsel. SUMMARY: Under the Paperwork 1,357 hours. [FR Doc. 2021–10328 Filed 5–14–21; 8:45 am] Reduction Act of 1995 (PRA) and its Total Estimated Annual Burden Hour BILLING CODE 4910–06–P implementing regulations, FRA seeks Dollar Cost Equivalent: $104,082. approval of the Information Collection Under 44 U.S.C. 3507(a) and 5 CFR Request (ICR) abstracted below. Before DEPARTMENT OF TRANSPORTATION submitting this ICR to the Office of 1320.5(b) and 1320.8(b)(3)(vi), FRA Management and Budget (OMB) for informs all interested parties that a Federal Railroad Administration approval, FRA is soliciting public respondent is not required to respond comment on specific aspects of the to, conduct, or sponsor a collection of [Docket No. FRA–2021–0006–N–3] activities identified below. information that does not display a DATES: Interested persons are invited to currently valid OMB control number. Proposed Agency Information submit comments on or before July 16, Collection Activities; Comment 2021. Request ADDRESSES: Written comments and AGENCY: Federal Railroad recommendations for the proposed ICR 4 FRA made a minor text edit. Administration (FRA), U.S. Department should be submitted on regulations.gov 5 Totals may not add due to rounding. of Transportation (DOT). to the docket, Docket No. FRA 2021–

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0006. All comments received will be collection activities on the public, Form(s): All FRA forms (Fs) are posted without change to the docket, including the use of automated located at FRA’s public website; all including any personal information collection techniques or other forms of Standard Forms (SFs) are located at provided. Please refer to the assigned information technology. See 44 U.S.C. Grants.gov. The FRA forms are: 30 (FRA OMB control number in any 3506(c)(2)(A); 5 CFR 1320.8(d)(1). Assurance and Certifications Regarding correspondence submitted. FRA will FRA believes that soliciting public Lobbying; Debarment, Suspension and summarize comments received in comment may reduce the administrative Other Responsibility Matters and Drug- response to this notice in a subsequent and paperwork burdens associated with Free Workplace Requirements), 31 notice and include them in its the collection of information that (Grant Adjustment Require Form), 32 information collection submission to Federal regulations mandate. In (Service Outcome Agreement Annual OMB for approval. summary, FRA reasons that comments Reporting), 33 (Final Performance FOR FURTHER INFORMATION CONTACT: Ms. received will advance three objectives: Report), 34 (Quarterly Progress Report), Kim Toone, Information Collection (1) Reduce reporting burdens; (2) 35 (Application Form), 217 (Categorical Clearance Officer, at email: Kim.Toone@ organize information collection Exclusion Worksheet), 229 (NIST dot.gov or telephone: (202) 493–6132. requirements in a ‘‘user-friendly’’ format Manufacturing Extension Partnership SUPPLEMENTARY INFORMATION: The PRA, to improve the use of such information; Supplier Scouting—FRA Item 44 U.S.C. 3501–3520, and its and (3) accurately assess the resources Opportunity Synopsis), 251 (Applicant implementing regulations, 5 CFR part expended to retrieve and produce Financial Capability Questionnaire), 1320, require Federal agencies to information requested. See 44 U.S.C. and 252 (Payment Summary provide 60-days’ notice to the public to 3501. Spreadsheet). The SFs are: 270 (Request allow comment on information The summary below describes the ICR for Advance or Reimbursement), 424 that FRA will submit for OMB clearance collection activities before seeking OMB (Application for Federal Assistance), as the PRA requires: approval of the activities. See 44 U.S.C. 424A (Budget Information for Non- Title: Grants Management 3506, 3507; 5 CFR 1320.8 through Construction Programs), 424B Requirements for Federal Railroad 1320.12. Specifically, FRA invites (Assurance for Non-Construction interested parties to comment on the Administration. Grant Awards and Programs), 424C (Budget Information for following ICR regarding: (1) Whether the Cooperative Agreements. Construction Programs), 424D information collection activities are OMB Control Number: 2130–0615. (Assurances for Construction Programs), necessary for FRA to properly execute Abstract: This ICR is a revision of a its functions, including whether the currently approved collection, Grant 425 (Federal Financial Report), and LLL activities will have practical utility; (2) Management Requirements for Federal (Disclosure of Lobbying Activities). the accuracy of FRA’s estimates of the Railroad Administration. Specifically, Type of Request: Revision of a burden of the information collection FRA is revising FRA Form 217 currently approved collection. activities, including the validity of the Categorical Exclusion Worksheet with Affected Public: Generally includes methodology and assumptions used to this submission. All other forms States and local governments and determine the estimates; (3) ways for associated with this collection, which railroads. FRA to enhance the quality, utility, and OMB re-approved on January 7, 2021, clarity of the information being remain unchanged. The forms for which Frequency of Submission: Varied; on collected; and (4) ways for FRA to FRA seeks renewal of its currently occasion/monthly. minimize the burden of information approved collection are listed below. Reporting Burden:

Average time Total annual Form name Form Grant Total annual (hours) Total annual dollar cost activity/process responses per response burden hours equivalent

Grant Application (FRA F 35) ...... FRA F 35 ...... Application ...... 250 34 8,500.00 $348,415.00 Application for Federal Assistance (SF 424) ... SF 424 ...... Application ...... 250 1.1 275.00 11,272.25 Budget Information for Non-Construction Pro- SF 424A ...... Application ...... 75 3 225.00 9,222.75 grams (SF 424A). Assurances for Non-Construction Programs SF 424B ...... Application ...... 75 0.25 18.75 768.56 (SF 424B). Budget Information for Construction Programs SF 424C ...... Application ...... 175 3 525.00 21,519.75 (SF 424C). Assurances for Construction Programs (SF SF 424D ...... Application ...... 175 0.25 43.75 1,793.31 424D). Disclosure of Lobbying Activities (SF LLL) ...... SF LLL ...... Application ...... 250 0.17 42.50 1,742.08 Applicant Financial Capability Questionnaire FRA F 251 ..... Application ...... 168 2 336.00 13,772.64 (FRA F 251). FRA Assurances and Certifications Regarding FRA F 30 ...... Application ...... 250 0.25 62.50 2,561.88 Lobbying; Debarment, Suspension and Other Responsibility Matters and Drug-Free Workplace Requirements (FRA F 30). Federal Financial Report (125 new awardees SF 425 ...... Awards & Maintenance ...... 500 1.5 750.00 30,742.50 submit each quarter; 125 × 4 = 500) (SF 425; new awards). Federal Financial Report (216 existing award- SF 425 ...... Awards & Maintenance ...... 864 1.5 1,296.00 53,123.04 ees submit each quarter; 216 × 4 = 864) (SF 425; existing grantees). Request for Advance or Reimbursement (SF SF 270 ...... Awards & Maintenance ...... 860 1 860.00 35,251.40 270). Payment Summary Spreadsheet (FRA F 252) SF 252 ...... Awards & Maintenance ...... 860 0.5 430.00 17,625.70 Quarterly Progress Report (125 new award- FRA F 34 ...... Awards & Maintenance ...... 500 2 1,000.00 40,990.00 ees submit each quarter; 125 × 4 = 500) (FRA F 34; new awards).

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Average time Total annual Form name Form Grant Total annual (hours) Total annual dollar cost activity/process responses per response burden hours equivalent

Quarterly Progress Report (216 existing FRA F 34 ...... Awards & Maintenance ...... 864 2 1,728.00 70,830.72 awardees submit each quarter; 216 × 4 = 864) (FRA F 34; existing grantees). Grant Adjustment Request Form (FRA F 31) FRA F 31 ...... Awards & Maintenance ...... 212 1 212.00 8,689.88 Service Outcome Agreement (SOA) Annual FRA F 32 ...... Awards & Maintenance ...... 24 1 24.00 983.76 Reporting (FRA F 32). Certification of Compliance or Non-Compli- n/a ...... Buy America Component ...... 15 3 45.00 1,844.55 ance with Buy America Requirements for Steel, Iron, or Manufactured Products being produced by Awardee (narrative request). Certification of Compliance with Buy America n/a ...... Buy America Component ...... 1 62 62.00 2,541.38 for Rolling Stock (narrative request). Waivers—Requests/Applications for Waivers, n/a ...... Buy America Component ...... 15 80 1,200 49,188.00 excluding FRA F 229 (narrative request). NIST Manufacturing Extension Partnership FRA F 229 ..... Buy America Component ...... 15 18 270.00 11,067.30 Supplier Scouting—FRA—Item Opportunity Synopsis (FRA F 229). Awardee Investigations (including FRA initi- n/a ...... Buy America Component ...... 3 333 999.00 40,949.01 ated investigations). Awardee direct reply to FRA after request to n/a ...... Buy America Component ...... 2 1 2.00 81.98 conduct investigation of bidder/offeror (narrative request). Additional Documents to FRA from Awardee/ n/a ...... Buy America Component ...... 1 4 4.00 163.96 Investigated Party (narrative request). Transmission of Awardee/Bidder/Offeror n/a ...... Buy America Component ...... 2 0.5 1.00 40.99 Reply to Petitioner (narrative request). Awardee/Investigated Bidder/Offeror response n/a ...... Buy America Component ...... 1 8 8.00 327.92 to Petitioner Comment (narrative request). Written request to FRA for information bearing n/a ...... Buy America Component ...... 1 4 4.00 163.96 on substance of investigation which has been submitted by petitioner, interested parties, or awardees (narrative request). Detailed Statement to FRA Regarding Con- n/a ...... Buy America Component ...... 1 8 8.00 327.92 fidentiality of Previously Submitted Informa- tion to Agency (narrative request). Awardee Determination to make award before n/a ...... Buy America Component ...... 1 40 40.00 1,639.60 resolution of investigation one of this sections specified reasons (narrative request). Notification to FRA by Awardee to make n/a ...... Buy America Component ...... 1 1 1.00 40.99 award during pendency of investigation (narrative request). Request to FRA for Reconsideration of Initial n/a ...... Buy America Component ...... 1 80 80.00 3,279.20 Decision by Party Involved in Investigations (narrative request). Pre-Award Audit (narrative request) ...... n/a ...... Buy America Component ...... 1 33 33.00 1,352.67 Final Contract between Awardee and Bidder/ n/a ...... Buy America Component ...... 1 16 16.00 655.84 Offeror (narrative request). Post Award Audit (narrative request) ...... n/a ...... Buy America Component ...... 1 256 256.00 10,493.44 Rolling Stock Domestic Content Improvement n/a ...... Buy America Component ...... 1 120 120.00 4,918.80 Plans (narrative request). Categorical Exclusion Worksheet (FRA F 217) FRA 217 ...... Awards & Maintenance ...... 75 1 75 3,074.25 Final Performance Report (FRA F 33) ...... FRA 33 ...... Closeout ...... 79 8 632.00 25,905.68

Total ...... 6,570 1,131.02 20,184.50 827,362.66

Total Estimated Annual Responses: DEPARTMENT OF TRANSPORTATION abstracted below to the Office of 6,570. Management and Budget (OMB) for Total Estimated Annual Burden: Federal Railroad Administration review and comment. The ICR describes 20,184.50 hours. [Docket No. FRA–2021–0006–N–5] the information collection and its Total Estimated Annual Burden Hour expected burden. On February 18, 2021, Dollar Cost Equivalent: $827,362.66. Proposed Agency Information FRA published a notice providing a 60- Under 44 U.S.C. 3507(a) and 5 CFR Collection Activities; Comment day period for public comment on the 1320.5(b) and 1320.8(b)(3)(vi), FRA Request ICR. informs all interested parties that a AGENCY: Federal Railroad DATES: Interested persons are invited to respondent is not required to respond Administration (FRA), Department of submit comments on or before June 16, to, conduct, or sponsor a collection of Transportation (DOT). 2021. information unless it displays a ACTION: Notice of information collection; ADDRESSES: Written comments and currently valid OMB control number. request for comment. Authority: 44 U.S.C. 3501–3520. recommendations for the proposed ICR SUMMARY: Under the Paperwork should be sent within 30 days of Brett A. Jortland, Reduction Act of 1995 (PRA) and its publication of this notice to Acting Chief Counsel. implementing regulations, this notice www.reginfo.gov/public/do/PRAMain. [FR Doc. 2021–10326 Filed 5–14–21; 8:45 am] announces that FRA is forwarding the Find the particular ICR by selecting BILLING CODE 4910–06–P Information Collection Request (ICR) ‘‘Currently under 30-day Review—Open

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for Public Comments’’ or by using the its functions, including whether the DEPARTMENT OF THE TREASURY search function. information will have practical utility; FOR FURTHER INFORMATION CONTACT: Ms. (2) the accuracy of FRA’s estimates of Bureau of the Fiscal Service Hodan Wells, Information Collection the burden of the information collection Proposed Collection of Information: Clearance Officer at email: activities, including the validity of the Schedule of Excess Risks [email protected] or telephone: methodology and assumptions used to determine the estimates; (3) ways for (202) 493–0440, and Mr. John Purnell, ACTION: Notice and request for Information Collection Clearance Officer FRA to enhance the quality, utility, and comments. at email: [email protected] or clarity of the information being telephone: (202) 493–0500. collected; and (4) ways to minimize the SUMMARY: The Department of the SUPPLEMENTARY INFORMATION: The PRA, burden of information collection Treasury, as part of its continuing effort 44 U.S.C. 3501–3520, and its activities on the public, including the to reduce paperwork and respondent implementing regulations, 5 CFR part use of automated collection techniques burden, invites the general public and 1320, require Federal agencies to issue or other forms of information other Federal agencies to take this two notices seeking public comment on technology. opportunity to comment on proposed information collection activities before The summary below describes the ICR and/or continuing information OMB may approve paperwork packages. that FRA will submit for OMB clearance collections, as required by the See 44 U.S.C. 3506, 3507; 5 CFR 1320.8 as the PRA requires: Paperwork Reduction Act of 1995. through 1320.12. On February 18, 2021, Title: Accident/Incident Reporting Currently the Bureau of the Fiscal FRA published a 60-day notice in the and Recordkeeping. Service within the Department of the Federal Register soliciting comment on OMB Control Number: 2130–0500. Treasury is soliciting comments the ICR for which it is now seeking Abstract: The railroad accident/ concerning the Schedule of Excess OMB approval. See 86 FR 10068. incident reporting regulations in 49 CFR Risks. part 225 require railroads to submit FRA received one comment in DATES: Written comments should be reports summarizing collisions, response to this 60-day notice from Dr. received on or before July 16, 2021 to be derailments, and certain other Dennis J. Fixler, the Chief Economist of assured of consideration. the U.S. Department of Commerce’s accidents/incidents involving damages above a periodically revised dollar ADDRESSES: Direct all written comments Bureau of Economic Analysis (BEA). In and requests for additional information its March 11, 2021 letter to FRA, the threshold, as well as certain injuries to passengers, employees, and other to Bureau of the Fiscal Service, Bruce A. BEA expresses its strong support for this Sharp, Room #4006–A, P.O. Box 1328, ICR because BEA considers the data persons on railroad property. As the reporting requirements and the Parkersburg, WV 26106–1328, or collected on FRA’s forms to be crucial [email protected]. to key components of its economic information needed regarding each category of accident/incident are SUPPLEMENTARY INFORMATION: statistics. The BEA uses the data Title: Schedule of Excess Risks. collected to prepare estimates of the unique, a different form is used for each category. OMB Number: 1530–0062. employee compensation component of Form Number: FS Form 285–A. national income and state personal Type of Request: Extension without change (with changes in estimates) of a Abstract: This information is income. The BEA specifically uses collected from insurance companies to employee injury and death data currently approved collection. Affected Public: Businesses. assist the Treasury Department in collected on forms FRA F 6180.55 and determining whether a certified or FRA F 6180.55a, Railroad Injury and Form(s): FRA F 6180.54; .55; .55a; .56; .57; .78; .81; .97; .98; .107; .150. applicant company is solvent and able Illness Summary, to prepare estimates of to carry out its contracts, and whether workers’ compensation for the railroad Respondent Universe: 765 railroads. Frequency of Submission: On the company is in compliance with industry. Treasury excess risk regulations for Before OMB decides whether to occasion. Total Estimated Annual Responses: writing Federal surety bonds. approve the proposed collection of Current Actions: Extension of a information, it must provide 30 days for 89,057. Total Estimated Annual Burden: currently approved collection. public comment. Federal law requires 35,846 hours.1 Type of Review: Regular. OMB to approve or disapprove Total Estimated Annual Burden Hour Affected Public: Business or other for- paperwork packages between 30 and 60 Dollar Cost Equivalent: $2,775,067. profit. days after the 30-day notice is Under 44 U.S.C. 3507(a) and 5 CFR Estimated Number of Respondents: published. 44 U.S.C. 3507(b)–(c); 5 CFR 1320.5(b) and 1320.8(b)(3)(vi), FRA 1,168 total. 1320.12(d); see also 60 FR 44978, 44983 informs all interested parties that a Estimated Time per Respondent: New (Aug. 29, 1995). OMB believes the 30- respondent is not required to respond Applicants—20 hours; Renewals—5 day notice informs the regulated to, conduct, or sponsor a collection of hours. community to file relevant comments Estimated Total Annual Burden information that does not display a and affords the agency adequate time to Hours: 5,800. currently valid OMB control number. digest public comments before it Request for Comments: Comments renders a decision. 60 FR 44983 (Aug. Authority: 44 U.S.C. 3501–3520. submitted in response to this notice will 29, 1995). Therefore, respondents Brett A. Jortland, be summarized and/or included in the request for OMB approval. All should submit their respective Acting Chief Counsel. comments to OMB within 30 days of comments will become a matter of publication to best ensure having their [FR Doc. 2021–10325 Filed 5–14–21; 8:45 am] public record. Comments are invited on: full effect. BILLING CODE 4910–06–P 1. Whether the collection of information Comments are invited on the is necessary for the proper performance 1 When submitting this ICR package in OMB’s following ICR regarding: (1) Whether the database, ROCIS, the total estimated annual burden of the functions of the agency, including information collection activities are increases one hour, from 35,845 to 35,846, due to whether the information shall have necessary for FRA to properly execute required rounding. practical utility; 2. the accuracy of the

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agency’s estimate of the burden of the DEPARTMENT OF THE TREASURY 202–622–2490; Associate Director for collection of information; 3. ways to Global Targeting, tel.: 202–622–2420; enhance the quality, utility, and clarity Office of Foreign Assets Control Assistant Director for Licensing, tel.: of the information to be collected; 4. 202–622–2480; Assistant Director for Notice of OFAC Sanctions Action ways to minimize the burden of the Regulatory Affairs, tel.: 202–622–4855; collection of information on AGENCY: Office of Foreign Assets or the Assistant Director for Sanctions respondents, including through the use Control, Treasury. Compliance & Evaluation, tel.: 202–622– of automated collection techniques or ACTION: Notice. 2490. other forms of information technology; SUMMARY: SUPPLEMENTARY INFORMATION: and 5. estimates of capital or start-up The U.S. Department of the Treasury’s Office of Foreign Assets costs and costs of operation, Electronic Availability Control (OFAC) is publishing the names maintenance, and purchase of services of one or more persons that have been to provide information. The Specially Designated Nationals placed on OFAC’s Specially Designated and Blocked Persons List and additional Dated: May 12, 2021. Nationals and Blocked Persons List information concerning OFAC sanctions Bruce A. Sharp, (SDN List) based on OFAC’s programs are available on OFAC’s Bureau PRA Clearance Officer. determination that one or more website (www.treasury.gov/ofac). applicable legal criteria were satisfied. [FR Doc. 2021–10302 Filed 5–14–21; 8:45 am] All property and interests in property Notice of OFAC Action BILLING CODE 4810–AS–P subject to U.S. jurisdiction of these persons are blocked, and U.S. persons On May 11, 2021, OFAC determined are generally prohibited from engaging that the property and interests in in transactions with them. property subject to U.S. jurisdiction of DATES: See Supplementary Information the following persons are blocked under section for effective date(s). the relevant sanctions authority listed FOR FURTHER INFORMATION CONTACT: below. OFAC: Andrea Gacki, Director, tel.: BILLING CODE 4810–AL–P

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Individuals

1. AK.AR, Ezzat Youssef (Arabic: J.Sl '--A....ll.J:l wjc) (a.k.a. AK.AR, Izzat; a.k.a. AK.AR, Izzat Youssef; a.k.a. AK.KAR, Izzat Yusif), Al-Kyam Hayy al-Sharqi, Marjayun, Al-Nabtiyah, Lebanon; DOB 01 Nov 1967; POB Al-Kiyam, Lebanon; nationality Lebanon; Additional Sanctions Information - Subject to Secondary Sanctions Pursuant to the Hizballah Financial Sanctions Regulations; Gender Male (individual) [SDGT] (Linked To: AL QARD AL-HASSAN ASSOCIATION).

Designated pursuant to section l(a)(iii)(A) of Executive Order 13224 of September 23, 2001, "Blocking Property and Prohibiting Transactions With Persons Who Commit, Threaten to Commit, or Support Terrorism" (E.O. 13224), 3 CFR, 2001 Comp., p. 786, as amended by Executive Order 13886 of September 9, 2019, "Modernizing Sanctions To Combat Terrorism", 84 FR 48041 (E.O. 13224, as amended), for having acted or purported to act for or on behalf of, directly or indirectly, AL-QARD AL-HASSAN ASSOCIATION, a person whose property and interests in property are blocked pursuant to E.O. 13224, as amended.

2. DAHER, Ibrahim Ali (Arabic: yto~ Jc, ~ly,I) (a.k.a. DAHIR, Ibrahim), Serhal Building, 1st Floor, Daccache Street, Haret Hreik, Baabda, Lebanon; Blida, Marj ayoun, Nabatiyeh, Lebanon; DOB 04 Jul 1964; nationality Lebanon; Additional Sanctions Information - Subject to Secondary Sanctions Pursuant to the Hizballah Financial Sanctions Regulations; Gender Male; National ID No. 2562031 (Lebanon) (individual) [SDGT] (Linked To: HIZBALLAH).

Designated pursuant to section l(a)(iii)(A) ofE.O. 13224, as amended, for having acted or purported to act for or on behalf of, directly or indirectly, HIZBALLAH, a person whose property and interests in property are blocked pursuant to E.O. 13224, as amended.

3. GHARIB, Abbas Hassan (Arabic: '-:-1:..i- ~ U"'-:c) (a.k.a. "GHARIB, Abbass"), Tayir Harfa, Tyre, South Lebanon, Lebanon; DOB 25 Sep 1969; POB Tayir Harfa, Lebanon; nationality Lebanon; Additional Sanctions Information - Subject to Secondary Sanctions Pursuant to the Hizballah Financial Sanctions Regulations; Gender Male (individual) [SDGT] (Linked To: AL-QARD AL-HASSAN ASSOCIATION).

Designated pursuant to section l(a)(iii)(A) of E.O. 13224, as amended, for having acted or purported to act for or on behalf of, directly or indirectly, AL-QARD AL-HASSAN ASSOCIATION, a person whose property and interests in property are blocked pursuant to E.O. 13224, as amended.

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4. HARB, Mustafa Habib (Arabic: yy,,.~~) (a.k.a. HARB, MostafaHabib; a.k.a. HARB, Mustapha), Haruf, al-Nabatiyah, Lebanon; DOB 06 Aug 1973; POB Haruf, Lebanon; nationality Lebanon; Additional Sanctions Information - Subject to Secondary Sanctions Pursuant to the Hizballah Financial Sanctions Regulations; Gender Male (individual) [SDGT] (Linked To: AL-QARD AL-HASSAN ASSOCIATION).

5. OTHMAN, Hasan Chehadeh (Arabic: uLlc. 0 ..1h..& ~) (a.k.a. OTHMAN, Hassan Shehadeh; a.k.a. "UTHMAN, Hassan"), Baalbak, Lebanon; DOB 29 Jun 1979; nationality Lebanon; Additional Sanctions Information - Subject to Secondary Sanctions Pursuant to the Hizballah Financial Sanctions Regulations; Gender Male; National ID No. 3571577 (Lebanon) (individual) [SDGT] (Linked To: AL-QARD AL-HASSAN ASSOCIATION).

6. SUBAYTI, Wahid Mahmud (Arabic:~ ..1~ *.J) (a.k.a. SBAYTI, Wahid; a.k.a. SBEITY, Waheed Mahmoud), Kfar Sir, Nabatieh, Lebanon; DOB 23 Feb 1961; nationality Lebanon; Additional Sanctions Information - Subject to Secondary Sanctions Pursuant to the Hizballah Financial Sanctions Regulations; Gender Male; National ID No. 473548 (Lebanon) (individual) [SDGT] (Linked To: AL-QARD AL-HASSAN ASSOCIATION).

7. Y AZBECK, Ahmad Mohamad (Arabic:~..>.!~ .lA:>..I), Kared Al Hassan Building, 1st Floor, Haret Hreik, Baabda, Lebanon; Nahala Baalbek, Baalbek and Hermel, Lebanon; DOB 01 Dec 1971; nationality Lebanon; Additional Sanctions Information - Subject to Secondary Sanctions Pursuant to the Hizballah Financial Sanctions Regulations; Gender Male (individual) [SDGT] (Linked To: AL-QARD AL-HASSAN ASSOCIATION).

Designated pursuant to section l(a)(iii)(A) of E.O. 13224, as amended, for having acted or purported to act for or on behalf of, directly or indirectly, AL-QA RD AL-HASSAN ASSOCIATION, a person whose property and interests in property are blocked pursuant to E.O. 13224, as amended.

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Dated: May 11, 2021. GONZALEZ PENUELAS DRUG services in support of, the international Bradley T. Smith, TRAFFICKING ORGANIZATION). narcotics trafficking activities of Jesus Designated pursuant to section 805(b)(2) of GONZALEZ PENUELAS, a foreign person Acting Director, Office of Foreign Assets the Kingpin Act, 21 U.S.C. 1904(b)(2), for identified as a significant foreign narcotics Control, U.S. Department of the Treasury. materially assisting in, or providing financial trafficker pursuant to the Kingpin Act. [FR Doc. 2021–10336 Filed 5–14–21; 8:45 am] or technological support for or to, or 6. PAYAN MERAZ, Juana, Mexico; DOB 08 BILLING CODE 4810–AL–C providing goods or services in support of, the Mar 1974; POB Badiraguato, Sinaloa, Mexico; international narcotics trafficking activities of nationality Mexico; Gender Female; C.U.R.P. the GONZALEZ PENUELAS DRUG PAMJ740308MSLYRN17 (Mexico) DEPARTMENT OF THE TREASURY TRAFFICKING ORGANIZATION, a foreign (individual) [SDNTK]. Designated pursuant person identified as a significant foreign to section 805(b)(2) of the Kingpin Act, 21 Office of Foreign Assets Control narcotics trafficker pursuant to the Kingpin U.S.C. 1904(b)(2), for materially assisting in, Act. or providing financial or technological Notice of OFAC Sanctions Actions 2. GONZALEZ PENUELAS, Jesus (Latin: support for or to, or providing goods or GONZA´ LEZ PEN˜ UELAS, Jesu´ s) (a.k.a. ‘‘EL services in support of, the international AGENCY: Office of Foreign Assets CHUY GONZALEZ’’), Sinaloa, Mexico; DOB narcotics trafficking activities of Raul Control, Treasury. 10 Nov 1969; POB Sinaloa, Mexico; PAYAN MERAZ. 7. PAYAN MERAZ, Raul, Mexico; DOB 30 ACTION: Notice. nationality Mexico; Gender Male; C.U.R.P. GOPJ691110HSLNXS09 (Mexico) Jun 1975; POB Guasave, Sinaloa, Mexico; SUMMARY: The U.S. Department of the (individual) [SDNTK]. Identified as a nationality Mexico; Gender Male; C.U.R.P. Treasury’s Office of Foreign Assets significant foreign narcotics trafficker PAMR750630HSLYRL06 (Mexico) pursuant to section 805(b)(1) of the Foreign (individual) [SDNTK]. Designated pursuant Control (OFAC) is publishing the names to section 805(b)(2) of the Kingpin Act, 21 of one or more persons that have been Narcotics Kingpin Designation Act (‘‘Kingpin Act’’), 21 U.S.C. 1904(b)(1). U.S.C. 1904(b)(2), for materially assisting in, placed on OFAC’s Specially Designated 3. GONZALEZ PENUELAS, Wilfrido or providing financial or technological Nationals and Blocked Persons List (Latin: GONZA´ LEZ PEN˜ UELAS, Wilfrido) support for or to, or providing goods or (SDN List) based on OFAC’s (a.k.a. GONZALEZ PENUELAS, Wilfredo services in support of, the international determination that one or more (Latin: GONZA´ LEZ PEN˜ UELAS, Wilfredo)), narcotics trafficking activities of the applicable legal criteria were satisfied. Avenida Segunda numero 148, del Poblado GONZALEZ PENUELAS DRUG All property and interests in property Gallo de Limones, Guasave, Sinaloa, Mexico; TRAFFICKING ORGANIZATION, a foreign person identified as a significant foreign subject to U.S. jurisdiction of these DOB 14 Sep 1977; POB Guasave, Sinaloa, Mexico; nationality Mexico; Gender Male; narcotics trafficker pursuant to the Kingpin persons are blocked, and U.S. persons Act. are generally prohibited from engaging C.U.R.P. GOPW770914HSLNXL03 (Mexico) (individual) [SDNTK] (Linked To: Entities in transactions with them. GONZALEZ PENUELAS DRUG DATES: See SUPPLEMENTARY INFORMATION TRAFFICKING ORGANIZATION). 1. CITY PLAZA, SOCIEDAD ANOMINA section for effective date. Designated pursuant to section 805(b)(2) of DE CAPITAL VARIABLE (a.k.a. CITY FOR FURTHER INFORMATION CONTACT: the Kingpin Act, 21 U.S.C. 1904(b)(2), for PLAZA, S.A. DE C.V.), Guasave, Sinaloa, materially assisting in, or providing financial Mexico; Business Registration Document # OFAC: Andrea Gacki, Director, tel.: CUD: A201903242035215924 (Mexico); Folio 202–622–2490; Associate Director for or technological support for or to, or providing goods or services in support of, the Mercantil No. N–2019028273 (Mexico) Global Targeting, tel.: 202–622–2420; international narcotics trafficking activities of [SDNTK]. Designated pursuant to section Assistant Director for Licensing, tel.: the GONZALEZ PENUELAS DRUG 805(b)(3) of the Kingpin Act, 21 U.S.C. 202–622–2480; Assistant Director for TRAFFICKING ORGANIZATION, a foreign 1904(b)(3), for being owned, controlled, or Regulatory Affairs, tel.: 202–622–4855; person identified as a significant foreign directed by, or acting for or on behalf of, a or the Assistant Director for Sanctions narcotics trafficker pursuant to the Kingpin foreign person designated pursuant to the Compliance & Evaluation, tel.: 202–622– Act. Kingpin Act, Efrain Mendivil Figueroa. 2. GONZALEZ PENUELAS DRUG 2490. 4. MENDIVIL FIGUEROA, Efrain, Sinaloa, Mexico; DOB 01 Feb 1980; POB Guasave, TRAFFICKING ORGANIZATION (Latin: SUPPLEMENTARY INFORMATION: ´ ˜ Sinaloa, Mexico; nationality Mexico; Gender GONZALEZ PENUELAS DRUG Electronic Availability Male; R.F.C. MEFE800201L2A (Mexico); TRAFFICKING ORGANIZATION), Sinaloa, C.U.R.P. MEFE800201HSLNGF04 (Mexico) Mexico [SDNTK]. Identified as a significant The Specially Designated Nationals (individual) [SDNTK]. Designated pursuant foreign narcotics trafficker pursuant to and Blocked Persons List and additional to section 805(b)(2) of the Kingpin Act, 21 section 805(b)(1) of the Kingpin Act, 21 information concerning OFAC sanctions U.S.C. 1904(b)(2), for materially assisting in, U.S.C. 1904(b)(1). programs are available on OFAC’s or providing financial or technological Dated: May 12, 2021. website (www.treasury.gov/ofac). support for or to, or providing goods or Bradley T. Smith, services in support of, the international Acting Director, Office of Foreign Assets Notice of OFAC Actions narcotics trafficking activities of the Control, U.S. Department of the Treasury. On May 12, 2021, OFAC determined GONZALEZ PENUELAS DRUG [FR Doc. 2021–10300 Filed 5–14–21; 8:45 am] that the property and interests in TRAFFICKING ORGANIZATION, a foreign property subject to U.S. jurisdiction of person identified as a significant foreign BILLING CODE 4810–AL–P narcotics trafficker pursuant to the Kingpin the following persons are blocked under Act. the relevant sanctions authority listed 5. NUNEZ MOLINA, Adelmo (Latin: DEPARTMENT OF THE TREASURY below. NU´ N˜ EZ MOLINA, Adelmo) (a.k.a. FLORES ´ ˜ Individuals NUNEZ, Adelmo (Latin: FLORES NUNEZ, Office of Foreign Assets Control Adelmo)), Sinaloa, Mexico; DOB 15 Dec 1. GONZALEZ PENUELAS, Ignacio (Latin: 1970; POB Choix, Sinaloa, Mexico; Notice of OFAC Sanctions Action GONZA´ LEZ PEN˜ UELAS, Ignacio) (a.k.a. nationality Mexico; Gender Male; C.U.R.P. ‘‘GONZALEZ PENUELAS, Jose Ignacio’’; NUMA701215HSLXLD02 (Mexico) AGENCY: Office of Foreign Assets a.k.a. ‘‘NACHO GONZALEZ’’), Sinaloa, (individual) [SDNTK]. Designated pursuant Control, Treasury. Mexico; DOB 31 Jul 1972; POB Sinaloa, to section 805(b)(2) of the Kingpin Act, 21 ACTION: Notice. Mexico; nationality Mexico; Gender Male; U.S.C. 1904(b)(2), for materially assisting in, C.U.R.P. GOPI720731HSLNXG07 (Mexico) or providing financial or technological SUMMARY: The U.S. Department of the (individual) [SDNTK] (Linked To: support for or to, or providing goods or Treasury’s Office of Foreign Assets

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Control (OFAC) is publishing the name accordance with the Paperwork Most changes were made to provide of one person whose property and Reduction Act of 1995, on or after the more clarity to intended users. The interests in property has been date of publication of this notice. The information collected will be used to unblocked and has been removed from public is invited to submit comments on select awardees, based on a merit-based OFAC’s Specially Designated Nationals this request. selection process. The requested and Blocked Persons List (SDN List). DATES: Comments should be received on information is required by the NMTC DATES: See SUPPLEMENTARY INFORMATION or before June 16, 2021 to be assured of Program Authorization (26 CFR 1.45D– section for effective date. consideration. 1) and respective Notice of Allocation FOR FURTHER INFORMATION CONTACT: ADDRESSES: Written comments and Availability. OFAC: Andrea Gacki, Director, tel.: recommendations for the proposed Form: NMTC Allocation Application. 202–622–2490; Associate Director for information collection should be sent Affected Public: Businesses or other Global Targeting, tel.: 202–622–2420; within 30 days of publication of this for-profits, Not-for-profit Institutions; Assistant Director for Licensing, tel.: notice to www.reginfo.gov/public/do/ State, Local or Tribal Governments. 202–622–2480; Assistant Director for PRAMain. Find this particular Estimated Number of Respondents: Regulatory Affairs, tel.: 202–622–4855; information collection by selecting 209. or the Assistant Director for Sanctions ‘‘Currently under 30-day Review—Open Frequency of Response: Annual, On Compliance & Evaluation, tel.: 202–622– for Public Comments’’ or by using the occasion. 2490. search function. Estimated Total Number of Annual Responses: 209. SUPPLEMENTARY INFORMATION: FOR FURTHER INFORMATION CONTACT: Copies of the submissions may be Estimated Time per Response: Varies Electronic Availability obtained from Spencer W. Clark by from 294 to 312 hours on average. The Specially Designated Nationals emailing [email protected], calling Estimated Total Annual Burden and Blocked Persons List and additional (202) 927–5331, or viewing the entire Hours: 64,614. information concerning OFAC sanctions information collection request at Authority: 44 U.S.C. 3501 et seq. programs are available on OFAC’s www.reginfo.gov. Dated: May 12, 2021. website (https://www.treasury.gov/ofac). SUPPLEMENTARY INFORMATION: Spencer W. Clark, Notice of OFAC Action Community Development Financial Treasury PRA Clearance Officer. On May 12, 2021, OFAC determined Institutions Fund (CDFI Fund) [FR Doc. 2021–10317 Filed 5–14–21; 8:45 am] BILLING CODE 4810–70–P that the property and interests in Title: New Markets Tax Credit property subject to U.S. jurisdiction of (NMTC) Program Application. the following person is unblocked and OMB Control Number: 1559–0016. has been removed from the SDN List Type of Review: Reinstatement of a UNIFIED CARRIER REGISTRATION under the relevant sanctions authorities previously approved collection. PLAN listed below. Description: The Department of the Treasury, through the Community Sunshine Act Meeting Notice; Unified Individual Development Financial Institutions Carrier Registration Plan Board 1. ZAMBADA GARCIA, Jesus Reynaldo (CDFI) Fund, Internal Revenue Service, Subcommittee Meeting (a.k.a. ‘‘EL REY ZAMBADA’’); DOB 13 Aug and Office of Tax Policy, administers 1961; POB Culiacan, Sinaloa, Mexico; TIME AND DATE: May 20, 2021, 12 p.m. to the NMTC Program. In order to claim 2 p.m., Eastern time. nationality Mexico; citizen Mexico; C.U.R.P. the NMTC, taxpayers make Qualified ZAGJ610813HSLMRS05 (Mexico) PLACE: This meeting will be accessible (individual) [SDNTK]. Equity Investments (QEIs) in Community Development Entities via conference call and via Zoom Dated: May 12, 2021. (CDEs) and substantially all of the QEI Meeting and Screenshare. Any Gregory T. Gatjanis, proceeds must, in turn, be used by the interested person may call (i) 1–929– Associate Director, Office of Global Targeting, CDE to provide investments in 205–6099 (US Toll) or 1–669–900–6833 Office of Foreign Assets Control, U.S. businesses in low-income communities (US Toll) or (ii) 1–877–853–5247 (US Department of the Treasury. and other purposes authorized under Toll Free) or 1–888–788–0099 (US Toll [FR Doc. 2021–10305 Filed 5–14–21; 8:45 am] the statute. Free), Meeting ID: 974 4919 4997, to BILLING CODE 4810–AL–P The CDFI Fund collects data from listen and participate in this meeting. prospective NMTC Program applicants The website to participate via Zoom once per allocation round by means of Meeting and Screenshare is https:// DEPARTMENT OF THE TREASURY an online NMTC Program Allocation kellen.zoom.us/j/97449194997. Application (hereby, the Application or STATUS: This meeting will be open to the Agency Information Collection Applications). As required by the public. Activities; Submission for OMB Paperwork Reduction Act (PRA), the MATTERS TO BE CONSIDERED: Review; Comment Request; New The Unified CDFI Fund invited the general public Markets Tax Credit (NMTC) Program Carrier Registration Plan Finance and other federal agencies to comment Application Subcommittee (the ‘‘Subcommittee’’) on the proposed and/or continuing will continue its work in developing AGENCY: Departmental Offices, U.S. information collection for the calendar and implementing the Unified Carrier Department of the Treasury. year (CY) 2021–2023 allocation rounds. Registration Plan and Agreement. The ACTION: Notice. In response to the request for comment, subject matter of this meeting will the CDFI Fund received 214 unique include: SUMMARY: The Department of the comments from 43 organizations. The Treasury will submit the following NMTC Program Application was Proposed Agenda information collection request to the updated based upon the CDFI Fund’s I. Call to Order—Subcommittee Chair Office of Management and Budget review and adjudication of the public The Subcommittee Chair will (OMB) for review and clearance in comments. welcome attendees, call the meeting

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to order, call roll for the reminder that the 2020 UCR state and will remind states that have Subcommittee, confirm whether a annual audit reports have been been selected for reviews in 2021. quorum is present, and facilitate subject to UCR review starting on XIII. UCR Depository Audit for 2019— self-introductions. April 1, 2021. UCR Depository Manager II. Verification of Publication of Meeting VIII. 2020 and 2021 State UCR The UCR Depository Manager will Notice—UCR Executive Director Registration Percentages— provide an update on the financial The UCR Executive Director will Subcommittee Chair and Vice Chair statement audit of the Depository verify the publication of the The Subcommittee Chair and Vice for each of the years ended meeting notice on the UCR website Chair will lead a discussion December 31, 2019 and December and distribution to the UCR contact regarding the national and states 31, 2018. list via email followed by the registration percentages and ways to XIV. Other Business—Subcommittee subsequent publication of the increase the percentages. Chair notice in the Federal Register. IX. 2021 Inspection Audits— The Subcommittee Chair will call for III. Review and Approval of Subcommittee Chair and Vice Chair any other items Subcommittee Subcommittee Agenda and Setting For Discussion and Possible members would like to discuss. of Ground Rules—Subcommittee Subcommittee Action XV. Adjournment—Subcommittee Chair Chair The Subcommittee Chair and Vice The Subcommittee Chair will adjourn For Discussion and Possible Chair will lead a discussion the meeting. Subcommittee Action regarding possibly requiring The agenda will be available no later The Agenda will be reviewed, and the participating states to audit 100% of than 5:00 p.m. Eastern time, May 12, Subcommittee will consider the motor carriers identified 2021 at: https://plan.ucr.gov. adoption. through roadside inspection. The CONTACT PERSON FOR MORE INFORMATION: Ground Rules Subcommittee may take action to Elizabeth Leaman, Chair, Unified ➢ Subcommittee action only to be recommend to the Board that Carrier Registration Plan Board of taken in designated areas on participating states audit all Directors, (617) 305–3783, eleaman@ agenda. unregistered motor carriers board.ucr.gov. IV. Review and Approval of identified through roadside Subcommittee Minutes from the enforcement. Alex B. Leath, March 25, 2021 Meeting— X. Review the Current Focused Chief Legal Officer, Unified Carrier Subcommittee Chair Anomaly Reviews (FARs) Audits Registration Plan. For Discussion and Possible Assigned to the States— [FR Doc. 2021–10479 Filed 5–13–21; 4:15 pm] Subcommittee Action Subcommittee Chair and Vice Chair BILLING CODE 4910–YL–P Draft minutes from the March 25, For Discussion and Possible 2021 Subcommittee meeting via Subcommittee Action teleconference will be reviewed. The Subcommittee Chair and Vice DEPARTMENT OF VETERANS The Subcommittee will consider Chair will lead a discussion AFFAIRS action to approve. regarding the current number of V. MCS–150 Retreat Audit Program— FARs assigned to the states and [OMB Control No. 2900–0068] Subcommittee Chair and DSL consider options to increase the Transportation number of FARs assigned to the Agency Information Collection The Subcommittee Chair and DSL states. The Subcommittee may take Activity: Application for Service- Transportation will lead a action to recommend to the Board Disabled Veterans Insurance discussion regarding the MCS–150 an increase in the number of FARs AGENCY: Veterans Benefits retreat audit program provided by required to be processed annually Administration, Department of Veterans the UCR Plan and the progress by each participating state. Affairs. made with participating states. XI. Definition of Commercial Motor States may opt into the program. Vehicle for UCR Purposes— ACTION: Notice. States that opt in will remain Subcommittee Chair and UCR SUMMARY: Veterans Benefits engaged in the audit process but Executive Director Administration, Department of Veterans may have a lesser burden of having For Discussion and Possible Affairs (VA), is announcing an to attend to unresponsive/ Subcommittee Action opportunity for public comment on the The Subcommittee Chair and the UCR unproductive retreat audits. proposed collection of certain Executive Director will provide VI. Non-Participating States information by the agency. Under the potential adjustments to the Unregistered Solicitation Paperwork Reduction Act (PRA) of definition of a ‘‘Commercial Motor Campaign—Subcommittee Chair 1995, Federal agencies are required to Vehicle’’ for UCR purposes. The and DSL Transportation publish notice in the Federal Register The Subcommittee Chair and DSL adjustments are clarifying language concerning each proposed collection of Transportation will lead a that retains the definition as set information, including each proposed discussion regarding the non- forth by reference in the UCR Act extension of a currently approved participating states unregistered (49 U.S. Code 31101.) The collection, and allow 60 days for public solicitation campaign and the Subcommittee may take action to comment in response to the notice. option to hire a contractor to adopt the clarifying language and perform this service. recommend to the Board that it be DATES: Written comments and VII. 2020 State UCR Audit Reports— used in the Handbook. recommendations on the proposed Subcommittee Chair XII. State Compliance Reviews—UCR collection of information should be The Subcommittee Chair will lead a Depository Manager received on or before July 16, 2021. discussion regarding the states The UCR Depository Manager will ADDRESSES: Submit written comments upcoming obligations regarding provide an update on plans to on the collection of information through 2020 audit reports and issue a conduct state compliance reviews Federal Docket Management System

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(FDMS) at www.Regulations.gov or to By direction of the Secretary. law widows/widowers of deceased Nancy J. Kessinger, Veterans Benefits Maribel Aponte, veterans and by veterans and their Administration (20M33), Department of VA PRA Clearance Officer, Office of claimed common law spouses. Benefits Veterans Affairs, 810 Vermont Avenue Enterprise and Integration/Data Governance cannot be authorized unless a valid NW, Washington, DC 20420 or email to Analytics, Department of Veterans Affairs. marriage is established. [email protected]. Please refer to [FR Doc. 2021–10339 Filed 5–14–21; 8:45 am] This is a reinstatement only with no ‘‘OMB Control No. 2900–0068’’ in any BILLING CODE 8320–01–P changes. The respondent burden has correspondence. During the comment decreased due to the estimated number period, comments may be viewed online of receivables averaged over the past through FDMS. DEPARTMENT OF VETERANS year. FOR FURTHER INFORMATION CONTACT: AFFAIRS An agency may not conduct or Maribel Aponte, Office of Enterprise [OMB Control No. 2900–0114] sponsor, and a person is not required to and Integration, Data Governance respond to a collection of information Analytics (008), 1717 H Street NW, Agency Information Collection Activity unless it displays a currently valid OMB Washington, DC 20006, (202) 266–4688 Under OMB Review: Statement of control number. The Federal Register or email [email protected]. Please Marital Relationship Notice with a 60-day comment period refer to ‘‘OMB Control No. 2900–0068’’ soliciting comments on this collection AGENCY: Veterans Benefits in any correspondence. of information was published at 86 FR Administration, Department of Veterans 46 on March 11, 2021, page 13968. SUPPLEMENTARY INFORMATION: Under the Affairs. Affected Public: Individuals or PRA of 1995, Federal agencies must ACTION: Notice. Households. obtain approval from the Office of Estimated Annual Burden: 919. Management and Budget (OMB) for each SUMMARY: In compliance with the Estimated Average Burden per collection of information they conduct Paperwork Reduction Act (PRA) of Respondent: 25 minutes. or sponsor. This request for comment is 1995, this notice announces that the Frequency of Response: One time. being made pursuant to Section Veterans Benefits Administration Estimated Number of Respondents: 3506(c)(2)(A) of the PRA. (VBA), Department of Veterans Affairs, 2,205. With respect to the following will submit the collection of collection of information, VBA invites information abstracted below to the By direction of the Secretary: comments on: (1) Whether the proposed Office of Management and Budget Maribel Aponte, collection of information is necessary (OMB) for review and comment. The VA PRA Clearance Officer, Office of for the proper performance of VBA’s PRA submission describes the nature of Enterprise and Integration, Data Governance functions, including whether the the information collection and its Analytics, Department of Veterans Affairs. information will have practical utility; expected cost and burden and it [FR Doc. 2021–10315 Filed 5–14–21; 8:45 am] (2) the accuracy of VBA’s estimate of the includes the actual data collection BILLING CODE 8320–01–P burden of the proposed collection of instrument. information; (3) ways to enhance the DATES: Written comments and quality, utility, and clarity of the DEPARTMENT OF VETERANS recommendations for the proposed AFFAIRS information to be collected; and (4) information collection should be sent ways to minimize the burden of the within 30 days of publication of this [OMB Control No. 2900–0386] collection of information on notice to www.reginfo.gov/public/do/ Agency Information Collection respondents, including through the use PRAMain. Find this particular Activity: Interest Rate Reduction of automated collection techniques or information collection by selecting Refinancing Loan Worksheet the use of other forms of information ‘‘Currently under 30-day Review—Open technology. for Public Comments’’ or by using the AGENCY: Veterans Benefits Authority: Public Law 104–13; 44 search function. Refer to ‘‘OMB Control Administration, Department of Veterans U.S.C. 3501–3521. No. 2900–0114.’’ Affairs. Title: Application for Service- FOR FURTHER INFORMATION CONTACT: ACTION: Notice. Disabled Veterans Insurance VA Form Maribel Aponte, Office of Enterprise 29–4364 and VA Form 29–0151. and Integration, Data Governance SUMMARY: In compliance with the OMB Control Number: 2900–0068. Analytics (008), 1717 H Street NW, Paperwork Reduction Act (PRA) of Type of Review: Revision of a Washington, DC 20006, (202) 266–4688 1995, this notice announces that the currently approved collection. or email [email protected]. Please Veterans Benefits Administration, Abstract: These forms are used by refer to ‘‘OMB Control No. 2900–0114’’ Department of Veterans Affairs, will veterans to apply for Service Disabled in any correspondence. submit the collection of information Veterans Insurance, to designate a SUPPLEMENTARY INFORMATION: abstracted below to the Office of beneficiary and to select an optional Authority: 38 U.S.C. 101(3), 38 U.S.C. Management and Budget (OMB) for settlement. The information is required 101(31), and 38 U.S.C. 103(c). review and comment. The PRA by law, 38 U.S.C., Section 1922. Title: Statement of Marital submission describes the nature of the Affected Public: Individuals and Relationship (VA Form 21–4170). information collection and its expected households. OMB Control Number: 2900–0114. cost and burden and it includes the Estimated Annual Burden: 8,333 Type of Review: Reinstatement of a actual data collection instrument. hours. previously approved collection. DATES: Written comments and Estimated Average Burden per Abstract: VA Form 21–4170 is used to recommendations for the proposed Respondent: 20 minutes. gather information that is necessary to information collection should be sent Frequency of Response: On occasion. determine whether a valid common law within 30 days of publication of this Estimated Number of Respondents: marriage was established. The form is notice to www.reginfo.gov/public/do/ 25,000. used by persons claiming to be common PRAMain. Find this particular

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information collection by selecting DEPARTMENT OF VETERANS An agency may not conduct or ‘‘Currently under 30-day Review—Open AFFAIRS sponsor, and a person is not required to respond to a collection of information for Public Comments’’ or by using the [OMB Control No. 2900–0065] search function. Refer to ‘‘OMB Control unless it displays a currently valid OMB No. 2900–0386. Agency Information Collection Activity control number. The Federal Register Under OMB Review: Request for Notice with a 60-day comment period FOR FURTHER INFORMATION CONTACT: soliciting comments on this collection Maribel Aponte, Office of Enterprise Employment Information in Connection With Claim for Disability of information was published at 86 FR and Integration, Data Governance Benefits 45 on March 10, 2021, pages 13791 and Analytics (008), 1717 H Street NW, 13792. Washington, DC 20006, (202) 266–4688 AGENCY: Veterans Benefits Affected Public: Private Sector. or email [email protected]. Please Administration, Department of Veterans Estimated Annual Burden: 6,313 refer to ‘‘OMB Control No. 2900–0386’’ Affairs. hours. in any correspondence. ACTION: Notice. Estimated Average Burden per Respondent: 15 minutes. SUPPLEMENTARY INFORMATION: SUMMARY: In compliance with the Frequency of Response: On occasion. Authority: 44 U.S.C. 3501–21. Paperwork Reduction Act (PRA) of Estimated Number of Respondents: Title: Interest Rate Reduction 1995, this notice announces that the 25,250. Refinancing Loan Worksheet (VA Form Veterans Benefits Administration By direction of the Secretary. (VBA), Department of Veterans Affairs, 26–8923). Maribel Aponte, will submit the collection of OMB Control Number: 2900–0386. VA PRA Clearance Officer, Office of information abstracted below to the Enterprise and Integration, Data Governance Type of Review: Revision of a Office of Management and Budget Analytics, Department of Veterans Affairs. (OMB) for review and comment. The currently approved collection. [FR Doc. 2021–10295 Filed 5–14–21; 8:45 am] PRA submission describes the nature of Abstract: The major use of this form BILLING CODE 8320–01–P the information collection and its is to determine Veterans eligible for an expected cost and burden and it exception to pay a funding fee in includes the actual data collection DEPARTMENT OF VETERANS connection with a VA-guaranteed loan. instrument. Lenders are required to complete VA AFFAIRS Form 26–8923 on all interest rate DATES: Written comments and [OMB Control No. 2900–0094] reduction refinancing loans and submit recommendations for the proposed the form to the Veteran no later than the information collection should be sent Agency Information Collection Activity third business day after receiving the within 30 days of publication of this Under OMB Review: Supplement to VA notice to www.reginfo.gov/public/do/ Veteran’s application. Forms 21–526EZ, 21P–534EZ, and PRAMain. Find this particular 21P–535 (For Philippine Claims) An agency may not conduct or information collection by selecting sponsor, and a person is not required to ‘‘Currently under 30-day Review—Open AGENCY: Veterans Benefits respond to a collection of information for Public Comments’’ or by using the Administration, Department of Veterans unless it displays a currently valid OMB search function. Refer to ‘‘OMB Control Affairs. control number. No. 2900–0065.’’ ACTION: Notice. FOR FURTHER INFORMATION CONTACT: The Federal Register Notice with a SUMMARY: In compliance with the 60-day comment period soliciting Maribel Aponte, Office of Enterprise Paperwork Reduction Act (PRA) of comments on this collection of and Integration, Data Governance 1995, this notice announces that the information was published at 86 FR Analytics (008), 1717 H Street NW, Veterans Benefits Administration 13789 on March 10, 2021, pages 13789). Washington, DC 20006, (202) 266–4688 (VBA), Department of Veterans Affairs, or email [email protected]. Please will submit the collection of Affected Public: Individuals or refer to ‘‘OMB Control No. 2900–0065’’ Households. information abstracted below to the in any correspondence. Office of Management and Budget Estimated Annual Burden: 156,685 SUPPLEMENTARY INFORMATION: (OMB) for review and comment. The hours. Authority: 38 U.S.C. 1502. PRA submission describes the nature of Estimated Average Burden per Title: Request for Employment the information collection and its Respondent: 30 minutes. Information in Connection with Claim expected cost and burden and it for Disability Benefits (VA Form 21– Frequency of Response: Frequency of includes the actual data collection 4192). instrument. response is generally one time per OMB Control Number: 2900–0065. IRRRL. Type of Review: Reinstatement of a DATES: Written comments and Estimated Number of Respondents: previously approved collection. recommendations for the proposed 662,065. Abstract: VA Form 21–4192 is used to information collection should be sent gather necessary employment within 30 days of publication of this By direction of the Secretary. information from veterans’ employers so notice to www.reginfo.gov/public/do/ Maribel Aponte, VA can determine eligibility to PRAMain. Find this particular VA PRA Clearance Officer, Office of increased disability benefits based on information collection by selecting Enterprise and Integration, Data Governance unemployability. Without this ‘‘Currently under 30-day Review—Open Analytics, Department of Veterans Affairs. information, determination of for Public Comments’’ or by using the [FR Doc. 2021–10299 Filed 5–14–21; 8:45 am] entitlement would not be possible. search function. Refer to OMB Control BILLING CODE 8320–01–P This is a reinstatement only, with no No. 2900–0094. substantive changes, and the respondent FOR FURTHER INFORMATION CONTACT: burden has decreased. Maribel Aponte, Office of Enterprise

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and Integration, Data Governance DEPARTMENT OF VETERANS determine continued entitlement to Analytics (008), 1717 H Street NW, AFFAIRS individual unemployability. 38 CFR Washington, DC 20006, (202) 266–4688 [OMB Control No. 2900–0079] 3.652 provides that recipients are or email [email protected]. Please required to certify, when requested, that refer to ‘‘OMB Control No. 2900–0094’’ Agency Information Collection Activity the eligibility factors which established in any correspondence. Under OMB Review: Employment entitlement to the benefit being paid SUPPLEMENTARY INFORMATION: Questionnaire continue to exist. Individual Authority: 38 U.S.C. 101 and 6104. unemployability is awarded based on a AGENCY: Title: Supplement to VA Forms 21– Veterans Benefits veteran’s inability to be gainfully 526EZ, 21P–534EZ, and 21P–535 (For Administration, Department of Veterans employed due to service-connected Philippine Claims) (VA Form 21–4169). Affairs. disabilities, and entitlement may be OMB Control Number: 2900–0094. ACTION: Notice. Type of Review: Reinstatement of a terminated if a veteran begins working. previously approved collection. SUMMARY: In compliance with the Without information about recipients’ Abstract: VA Form 21–4169 is used to Paperwork Reduction Act (PRA) of employment, VA would not be able to gather the necessary information to 1995, this notice announces that the determine continued entitlement to determine whether a claimant’s service Veterans Benefits Administration individual unemployability, and qualifies as service in the (VBA), Department of Veterans Affairs, overpayments would result. Commonwealth Army of the Philippines will submit the collection of The respondent burden has decreased or recognized guerrilla organizations. information abstracted below to the due to the removal of one of the forms The form is used for the sole purpose of Office of Management and Budget listed within this collection. VA Form collecting the information needed to (OMB) for review and comment. The 21–4140 has not been changed; this is determine eligibility for benefits based PRA submission describes the nature of a reinstatement only. on such service, including service the information collection and its information, proof of service, place of expected cost and burden and it An agency may not conduct or residence, and membership in pro- includes the actual data collection sponsor, and a person is not required to Japanese, pro-German, or anti-American instrument. respond to a collection of information Filipino organizations. unless it displays a currently valid OMB DATES: Written comments and This is a reinstatement only with no control number. The Federal Register recommendations for the proposed substantive changes. The respondent Notice with a 60-day comment period burden has not changed. information collection should be sent within 30 days of publication of this soliciting comments on this collection An agency may not conduct or of information was published at 86 FR sponsor, and a person is not required to notice to www.reginfo.gov/public/do/ 46 on March 11, 2021, page 13969. respond to a collection of information PRAMain. Find this particular unless it displays a currently valid OMB information collection by selecting Affected Public: Individuals or control number. The Federal Register ‘‘Currently under 30-day Review—Open Households. Notice with a 60-day comment period for Public Comments’’ or by using the Estimated Annual Burden: 247. soliciting comments on this collection search function. Refer to ‘‘OMB Control Estimated Average Burden per of information was published at 86 FR No. 2900–0079.’’ Respondent: 5 minutes. 45 on March 10, 2021, pages 13789 and FOR FURTHER INFORMATION CONTACT: 13790. Maribel Aponte, Office of Enterprise Frequency of Response: One time. Affected Public: Individuals or and Integration, Data Governance Estimated Number of Respondents: Households. Analytics (008), 1717 H Street NW, 2,960. Estimated Annual Burden: 250. Washington, DC 20006, (202) 266–4688 Estimated Average Burden per or email [email protected]. Please By direction of the Secretary. Respondent: 15 minutes. refer to ‘‘OMB Control No. 2900–0079’’ Maribel Aponte, Frequency of Response: One time. in any correspondence. VA PRA Clearance Officer, Office of Estimated Number of Respondents: Enterprise and Integration, Data Governance 1,000. SUPPLEMENTARY INFORMATION: Authority: 38 U.S.C. 501 and 5317. Analytics, Department of Veterans Affairs. By direction of the Secretary. Title: Employment Questionnaire (VA [FR Doc. 2021–10298 Filed 5–14–21; 8:45 am] Maribel Aponte, Form 21–4140). BILLING CODE 8320–01–P VA PRA Clearance Officer, Office of OMB Control Number: 2900–0079. Enterprise and Integration, Data Governance Type of Review: Reinstatement of a Analytics, Department of Veterans Affairs. previously approved collection. [FR Doc. 2021–10297 Filed 5–14–21; 8:45 am] Abstract: VA Forms 21–4140 is used BILLING CODE 8320–01–P to gather the necessary information to

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Vol. 86 Monday, No. 93 May 17, 2021

Part II

Department of the Treasury

31 CFR Part 35 Coronavirus State and Local Fiscal Recovery Funds; Interim Final Rule

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DEPARTMENT OF THE TREASURY over 32 million and killed over 575,000 COVID–19, including testing, contact Americans.1 The disease has impacted tracing, isolation and quarantine, public 31 CFR Part 35 every part of life: As social distancing communications, issuance and RIN 1505–AC77 became a necessity, businesses closed, enforcement of health orders, schools transitioned to remote expansions to health system capacity Coronavirus State and Local Fiscal education, travel was sharply reduced, like alternative care facilities, and in Recovery Funds and millions of Americans lost their recent months, a massive nationwide jobs. In April 2020, the national mobilization around vaccinations. AGENCY: Department of the Treasury. unemployment rate reached its highest Governments also have supported major ACTION: Interim final rule. level in over seventy years following the efforts to prevent COVID–19 spread most severe month-over-month decline through safety measures in settings like SUMMARY: The Secretary of the Treasury in employment on record.2 As of April nursing homes, schools, congregate (Treasury) is issuing this interim final 2021, there were still 8.2 million fewer living settings, dense worksites, rule to implement the Coronavirus State jobs than before the pandemic.3 During incarceration settings, and public Fiscal Recovery Fund and the this time, a significant share of facilities. The pandemic’s impacts on Coronavirus Local Fiscal Recovery Fund households have faced food and behavioral health, including the toll of established under the American Rescue housing insecurity.4 Economic pandemic-related stress, have increased Plan Act. disruptions impaired the flow of credit the need for behavioral health resources. DATES: Effective date: The provisions in to households, State and local At the same time, State, local and this interim final rule are effective May governments, and businesses of all Tribal governments launched major 17, 2021. sizes.5 As businesses weathered efforts to address the economic impacts Comment date: Comments must be closures and sharp declines in revenue, of the pandemic. These efforts have received on or before July 16, 2021. many were forced to shut down, been tailored to the needs of their ADDRESSES: Please submit comments especially small businesses.6 communities and have included electronically through the Federal Amid this once-in-a-century crisis, expanded assistance to unemployed eRulemaking Portal: http:// State, territorial, Tribal, and local workers; food assistance; rent, mortgage, www.regulations.gov. Comments can be governments (State, local, and Tribal and utility support; cash assistance; mailed to the Office of the governments) have been called on to internet access programs; expanded Undersecretary for Domestic Finance, respond at an immense scale. services to support individuals Department of the Treasury, 1500 Governments have faced myriad needs experiencing homelessness; support for Pennsylvania Avenue NW, Washington, to prevent and address the spread of individuals with disabilities and older DC 20220. Because postal mail may be adults; and assistance to small subject to processing delay, it is 1 Centers for Disease Control and Prevention, businesses facing closures or revenue recommended that comments be COVID Data Tracker, http://www.covid.cdc.gov/ loss or implementing new safety covid-data-tracker/#datatracker-home (last visited submitted electronically. All comments May 8, 2021). measures. should be captions with ‘‘Coronavirus 2 U.S. Bureau of Labor Statistics, Unemployment In responding to the public health State and Local Fiscal Recovery Funds Rate [UNRATE], retrieved from FRED, Federal emergency and its negative economic Interim Final Rule Comments.’’ Please Reserve Bank of St. Louis; https:// impacts, State, local, and Tribal fred.stlouisfed.org/series/UNRATE, May 3, 2021. governments have seen substantial include your name, organization U.S. Bureau of Labor Statistics, Employment Level affiliation, address, email address and [LNU02000000], retrieved from FRED, Federal increases in costs to provide these telephone number in your comment. Reserve Bank of St. Louis; https:// services, often amid substantial declines Where appropriate, a comment should fred.stlouisfed.org/series/LNU02000000, May 3, in revenue due to the economic 2021. downturn and changing economic include a short executive summary. 3 U.S. Bureau of Labor Statistics, All Employees, 7 In general, comments received will be Total Nonfarm [PAYEMS], retrieved from FRED, patterns during the pandemic. Facing posted on http://www.regulations.gov Federal Reserve Bank of St. Louis; https:// these budget challenges, many State, without change, including any business fred.stlouisfed.org/series/PAYEMS, May 7, 2021. local, and Tribal governments have been or personal information provided. 4 Nirmita Panchal et al., The Implications of forced to make cuts to services or their Comments received, including COVID–19 for Mental Health and Substance Abuse workforces, or delay critical (Feb. 10, 2021), https://www.kff.org/coronavirus- attachments and other supporting covid-19/issue-brief/the-implications-of-covid-19- investments. From February to May of materials, will be part of the public for-mental-health-and-substance-use/#:∼:text= 2020, State, local, and Tribal record and subject to public disclosure. Older%20adults%20are%20also%20 governments reduced their workforces Do not enclose any information in your more,prior%20to%20the%20current%20crisis; U.S. by more than 1.5 million jobs and, in Census Bureau, Household Pulse Survey: comment or supporting materials that Measuring Social and Economic Impacts during the April of 2021, State, local, and Tribal you consider confidential or Coronavirus Pandemic, https://www.census.gov/ government employment remained inappropriate for public disclosure. programs-surveys/household-pulse-survey.html nearly 1.3 million jobs below pre- (last visited Apr. 26, 2021); Rebecca T. Leeb et al., pandemic levels.8 These cuts to State, FOR FURTHER INFORMATION CONTACT: Mental Health-Related Emergency Department Katharine Richards, Senior Advisor, Visits Among Children Aged <18 Years During the local, and Tribal government workforces Office of Recovery Programs, COVID Pandemic—United States, January 1— Department of the Treasury, (844) 529– October 17, 2020, Morb. Mortal. Wkly. Rep. 7 Michael Leachman, House Budget Bill Provides 69(45):1675–80 (Nov. 13, 2020), https:// Needed Fiscal Aid for States, Localities, Tribal 9527. www.cdc.gov/mmwr/volumes/69/wr/ Nations, and Territories (Feb. 10, 2021), https:// SUPPLEMENTARY INFORMATION: mm6945a3.htm. www.cbpp.org/research/state-budget-and-tax/ 5 Board of Governors of the Federal Reserve house-budget-bill-provides-needed-fiscal-aid-for- I. Background Information System, Monetary Policy Report (June 12, 2020), states-localities. https://www.federalreserve.gov/monetarypolicy/ 8 U.S. Bureau of Labor Statistics, All Employees, A. Overview 2020-06-mpr-summary.htm. State Government [CES9092000001] and All Since the first case of coronavirus 6 Joseph R. Biden, Remarks by President Biden on Employees, Local Government [CES9093000001], Helping Small Businesses (Feb. 22, 2021), https:// retrieved from FRED, Federal Reserve Bank of St. disease 2019 (COVID–19) was www.whitehouse.gov/briefing-room/speeches- Louis, https://fred.stlouisfed.org/series/ discovered in the United States in remarks/2021/02/22/remarks-by-president-biden- CES9092000001 and https://fred.stlouisfed.org/ January 2020, the disease has infected on-helping-small-businesses/. series/CES9093000001 (last visited May 8, 2021).

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come at a time when demand for also has reversed many gains made by Through the Fiscal Recovery Funds, government services is high, with State, communities of color in the prior Congress provided State, local, and local, and Tribal governments on the economic expansion.15 Tribal governments with significant frontlines of fighting the pandemic. resources to respond to the COVID–19 B. The Statute and Interim Final Rule Furthermore, State, local, and Tribal public health emergency and its government austerity measures can On March 11, 2021, the American economic impacts through four hamper overall economic growth, as Rescue Plan Act (ARPA) was signed into categories of eligible uses. Section 602 occurred in the recovery from the Great law by the President.16 Section 9901 of and section 603 contain the same Recession.9 ARPA amended Title VI of the Social eligible uses; the primary difference Finally, although the pandemic’s Security Act 17 (the Act) to add section between the two sections is that section impacts have been widespread, both the 602, which establishes the Coronavirus 602 establishes a fund for States, public health and economic impacts of State Fiscal Recovery Fund, and section territories, and Tribal governments and the pandemic have fallen most severely 603, which establishes the Coronavirus section 603 establishes a fund for on communities and populations Local Fiscal Recovery Fund (together, metropolitan cities, nonentitlement disadvantaged before it began. Low- the Fiscal Recovery Funds).18 The Fiscal units of local government, and counties. income communities, people of color, Recovery Funds are intended to provide Sections 602(c)(1) and 603(c)(1) provide and Tribal communities have faced support to State, local, and Tribal that funds may be used: higher rates of infection, hospitalization, governments (together, recipients) in (a) To respond to the public health and death,10 as well as higher rates of responding to the impact of COVID–19 emergency or its negative economic unemployment and lack of basic and in their efforts to contain COVID– impacts, including assistance to necessities like food and housing.11 Pre- 19 on their communities, residents, and households, small businesses, and existing social vulnerabilities magnified businesses. The Fiscal Recovery Funds nonprofits, or aid to impacted industries the pandemic in these communities, build on and expand the support such as tourism, travel, and hospitality; where a reduced ability to work from provided to these governments over the (b) To respond to workers performing home and, frequently, denser housing last year, including through the essential work during the COVID–19 amplified the risk of infection. Higher Coronavirus Relief Fund (CRF).19 public health emergency by providing rates of pre-existing health conditions premium pay to eligible workers; also may have contributed to more a lifetime (June 2020), https:// (c) For the provision of government severe COVID–19 health outcomes.12 webtest.childrensinstitute.net/sites/default/files/ services to the extent of the reduction in documents/COVID-19-and-student-learning-in-the- Similarly, communities or households United-States_FINAL.pdf; Andrew Bacher-Hicks et revenue due to the COVID–19 public facing economic insecurity before the al., Inequality in Household Adaptation to health emergency relative to revenues pandemic were less able to weather Schooling Shocks: Covid-Induced Online collected in the most recent full fiscal Engagement in Real Time, J. of Public Econ. Vol. year prior to the emergency; and business closures, job losses, or declines 193(C) (July 2020), available at https:// in earnings and were less able to www.nber.org/papers/w27555. (d) To make necessary investments in participate in remote work or education 15 See, e.g., Tyler Atkinson & Alex Richter, water, sewer, or broadband due to the inequities in access to Pandemic Disproportionately Affects Women, infrastructure. reliable and affordable broadband Minority Labor Force Participation, https:// In addition, Congress clarified two www.dallasfed.org/research/economics/2020/1110 13 types of uses which do not fall within infrastructure. Finally, though schools (last visited May 9, 2021); Jared Bernstein & Janelle in all areas faced challenges, those in Jones, The Impact of the COVID19 Recession on the these four categories. Sections high poverty areas had fewer resources Jobs and Incomes of Persons of Color, https:// 602(c)(2)(B) and 603(c)(2) provide that to adapt to remote and hybrid learning www.cbpp.org/sites/default/files/atoms/files/6-2- these eligible uses do not include, and 20bud_0.pdf (last visited May 9, 2021). 14 thus funds may not be used for, models. Unfortunately, the pandemic 16 American Rescue Plan Act of 2021 (ARPA), sec. 9901, Public Law 117–2, codified at 42 U.S.C. 802 depositing funds into any pension fund. 9 Tracy Gordon, State and Local Budgets and the et seq. The term ‘‘state’’ as used in this Section 602(c)(2)(A) also provides, for Great Recession, Brookings Institution (Dec. 31, SUPPLEMENTARY INFORMATION and defined in section States and territories, that the eligible 2012), http://www.brookings.edu/articles/state-and- 602 of the Act means each of the 50 States and the uses do not include ‘‘directly or District of Columbia. The term ‘‘territory’’ as used local-budgets-and-the-great-recession. indirectly offset[ting] a reduction in the 10 Sebastian D. Romano et al., Trends in Racial in this SUPPLEMENTARY INFORMATION and defined in and Ethnic Disparities in COVID–19 section 602 of the Act means the Commonwealth net tax revenue of [the] State or territory Hospitalizations, by Region—United States, March– of Puerto Rico, the United States Virgin Islands, resulting from a change in law, December 2020, MMWR Morb Mortal Wkly Rep Guam, the Commonwealth of Northern Mariana regulation, or administrative 2021, 70:560–565 (Apr. 16, 2021), https:// Islands, and American Samoa. Tribal government is www.cdc.gov/mmwr/volumes/70/wr/ defined in the Act and the interim final rule to interpretation.’’ mm7015e2.htm?s_cid=mm7015e2_w. mean ‘‘the recognized governing body of any Indian The ARPA provides a substantial 11 Center on Budget and Policy Priorities, or Alaska Native tribe, band, nation, pueblo, village, infusion of resources to meet pandemic Tracking the COVID–19 Recession’s Effects on community, component band, or component response needs and rebuild a stronger, Food, Housing, and Employment Hardships, reservation, individually identified (including https://www.cbpp.org/research/poverty-and- parenthetically) in the list published most recently more equitable economy as the country inequality/tracking-the-covid-19-recessions-effects- as of the date of enactment of the [American Rescue recovers. First, payments from the Fiscal on-housing-and (last visited May 4, 2021). Plan Act] pursuant to section 104 of the Federally Recovery Funds help to ensure that 12 Lisa R. Fortuna et al., Inequity and the Recognized Indian Tribe List Act of 1994 (25 U.S.C. State, local, and Tribal governments Disproportionate Impact of COVID–19 on 5131).’’ See section 602(g)(7) of the Social Security Communities of Color in the United States: The Act, as added by the American Rescue Plan Act. On have the resources needed to continue Need for Trauma-Informed Social Justice Response, January 29, 2021, the Bureau of Indian Affairs to take actions to decrease the spread of Psychological Trauma Vol. 12(5):443–45 (2020), published a current list of 574 Tribal entities. See COVID–19 and bring the pandemic available at https://psycnet.apa.org/fulltext/2020- 86 FR 7554, January 29, 2021. The term ‘‘local under control. Payments from the Fiscal 37320-001.pdf. governments’’ as used in this SUPPLEMENTARY 13 Emily Vogles et al., 53% of Americans Say the INFORMATION includes metropolitan cities, counties, Recovery Funds may also be used by internet Has Been Essential During the COVID–19 and nonentitlement units of local government. recipients to provide support for costs Outbreak (Apr. 30, 2020), https:// 17 42 U.S.C. 801 et seq. incurred in addressing public health www.pewresearch.org/internet/2020/04/30/53-of- 18 Sections 602, 603 of the Act. and economic challenges resulting from americans-say-the-internet-has-been-essential- 19 The CRF was established by the section 601 of the pandemic, including resources to during-the-covid-19-outbreak/. the Act as added by the Coronavirus Aid, Relief, 14 Emma Dorn et al., COVID–19 and student and Economic Security Act (CARES Act), Public offer premium pay to essential workers, learning in the United States: The hurt could last Law 116–136, 134 Stat. 281 (2020). in recognition of their sacrifices over the

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last year. Recipients may also use requirements, including by requiring The interim final rule implements payments from the Fiscal Recovery State, local, and Tribal governments to these provisions by identifying a non- Funds to replace State, local, and Tribal publish information regarding uses of exclusive list of programs or services government revenue lost due to COVID– Fiscal Recovery Funds payments in that may be funded as responding to 19, helping to ensure that governments their local jurisdiction. These reporting COVID–19 or the negative economic can continue to provide needed services requirements reflect the need for impacts of the COVID–19 public health and avoid cuts or layoffs. Finally, these transparency and accountability, while emergency, along with considerations resources lay the foundation for a recognizing and minimizing the burden, for evaluating other potential uses of the strong, equitable economic recovery, not particularly for smaller local Fiscal Recovery Funds not explicitly only by providing immediate economic governments. Treasury urges State, listed. The interim final rule also stabilization for households and territorial, Tribal, and local governments provides flexibility for recipients to use businesses, but also by addressing the to engage their constituents and payments from the Fiscal Recovery systemic public health and economic communities in developing plans to use Funds for programs or services that are challenges that may have contributed to these payments, given the scale of not identified on these non-exclusive more severe impacts of the pandemic funding and its potential to catalyze lists but that fall under the terms of among low-income communities and broader economic recovery and section 602(c)(1)(A) or 603(c)(1)(A) by people of color. rebuilding. responding to the COVID–19 public Within the eligible use categories health emergency or its negative outlined in the Fiscal Recovery Funds II. Eligible Uses economic impacts. As an example, in provisions of ARPA, State, local, and A. Public Health and Economic Impacts determining whether a program or Tribal governments have flexibility to service responds to the negative determine how best to use payments Sections 602(c)(1)(A) and 603(c)(1)(A) economic impacts of the COVID–19 from the Fiscal Recovery Funds to meet provide significant resources for State, public health emergency, the interim the needs of their communities and territorial, Tribal governments, and final rule provides that payments from populations. The interim final rule counties, metropolitan cities, and the Fiscal Recovery Funds should be facilitates swift and effective nonentitlement units of local designed to address an economic harm implementation by establishing a governments (each referred to as a resulting from or exacerbated by the framework for determining the types of recipient) to meet the wide range of public health emergency. Recipients programs and services that are eligible public health and economic impacts of should assess the connection between under the ARPA along with examples of the COVID–19 public health emergency. the negative economic harm and the uses that State, local, and Tribal These provisions authorize the use of COVID–19 public health emergency, the governments may consider. These uses payments from the Fiscal Recovery nature and extent of that harm, and how build on eligible expenditures under the Funds to respond to the public health the use of this funding would address CRF, including some expansions in emergency with respect to COVID–19 or such harm. eligible uses to respond to the public its negative economic impacts. Section As discussed, the pandemic and the health emergency, such as vaccination 602 and section 603 also describe necessary actions taken to control the campaigns. They also reflect changes in several types of uses that would be spread had a severe impact on the needs of communities, as evidenced responsive to the impacts of the COVID– households and small businesses, by, for example, nationwide data 19 public health emergency, including including in particular low-income demonstrating disproportionate impacts assistance to households, small workers and communities and people of of the COVID–19 public health businesses, and nonprofits and aid to color. While eligible uses under sections emergency on certain populations, impacted industries, such as tourism, 602(c)(1)(A) and 603(c)(1)(A) provide geographies, and economic sectors. The travel, and hospitality.20 flexibility to recipients to identify the interim final rule takes into most pressing local needs, Treasury consideration these disproportionate Accordingly, to assess whether a encourages recipients to provide impacts by recognizing a broad range of program or service is included in this assistance to those households, eligible uses to help States, local, and category of eligible uses, a recipient businesses, and non-profits in Tribal governments support the should consider whether and how the communities most disproportionately families, businesses, and communities use would respond to the COVID–19 impacted by the pandemic. hardest hit by the COVID–19 public public health emergency. Assessing 1. Responding to COVID–19 health emergency. whether a program or service ‘‘responds Implementation of the Fiscal to’’ the COVID–19 public health On January 21, 2020, the Centers for Recovery Funds also reflect the emergency requires the recipient to, Disease Control and Prevention (CDC) importance of public input, first, identify a need or negative impact identified the first case of novel transparency, and accountability. of the COVID–19 public health coronavirus in the United States.21 By Treasury seeks comment on all aspects emergency and, second, identify how late March, the virus had spread to of the interim final rule and, to better the program, service, or other many States and the first wave was facilitate public comment, has included intervention addresses the identified growing rapidly, centered in the specific questions throughout this need or impact. While the COVID–19 northeast.22 This wave brought acute SUPPLEMENTARY INFORMATION. Treasury public health emergency affected many encourages State, local, and Tribal aspects of American life, eligible uses 21 Press Release, Centers for Disease Control and governments in particular to provide under this category must be in response Prevention, First Travel-related Case of 2019 Novel Coronavirus Detected in United States (Jan. 21, feedback and to engage with Treasury to the disease itself or the harmful 2020), https://www.cdc.gov/media/releases/2020/ regarding issues that may arise consequences of the economic p0121-novel-coronavirus-travel-case.html. regarding all aspects of this interim final disruptions resulting from or 22 Anne Schuchat et al., Public Health Response rule and Treasury’s work in exacerbated by the COVID–19 public to the Initiation and Spread of Pandemic COVID– health emergency. 19 in the United States, February 24–April 21, 2021, administering the Fiscal Recovery MMWR Morb Mortal Wkly Rep 2021, 69(18):551– Funds. In addition, the interim final 56 (May 8, 2021), https://www.cdc.gov/mmwr/ rule establishes certain regular reporting 20 Sections 602(c)(1)(A), 603(c)(1)(A) of the Act. volumes/69/wr/mm6918e2.htm.

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strain on health care and public health needs, such as physical plant services.29 Finally, some preventative systems: Hospitals and emergency improvements to public hospitals and public health measures like childhood medical services struggled to manage a health clinics or adaptations to public vaccinations have been deferred and major influx of patients; response buildings to implement COVID–19 potentially forgone.30 personnel faced shortages of personal mitigation tactics. In recent months, While the pandemic affected protective equipment; testing for the State, local, and Tribal governments communities across the country, it virus was scarce; and congregate living across the country have mobilized to disproportionately impacted some facilities like nursing homes and prisons support the national vaccination demographic groups and exacerbated saw rapid spread. State, local, and campaign, resulting in over 250 million health inequities along racial, ethnic, Tribal governments mobilized to doses administered to date.25 and socioeconomic lines.31 The CDC support the health care system, issue The need for public health measures has found that racial and ethnic public health orders to mitigate virus to respond to COVID–19 will continue minorities are at increased risk for spread, and communicate safety in the months and potentially years to infection, hospitalization, and death measures to the public. The United come. This includes the continuation of from COVID–19, with Hispanic or States has since faced at least two the vaccination campaign for the general Latino and Native American or Alaska additional COVID–19 waves that public and, if vaccinations are approved Native patients at highest risk.32 brought many similar challenges: The for children in the future, eventually for Similarly, low-income and socially second in the summer, centered in the youths. This also includes monitoring vulnerable communities have seen the south and southwest, and a wave the spread of COVID–19 variants, most severe health impacts. For throughout the fall and winter, in which understanding the impact of these example, counties with high poverty the virus reached a point of variants (especially on vaccination rates also have the highest rates of uncontrolled spread across the country efforts), developing approaches to infections and deaths, with 223 deaths and over 3,000 people died per day.23 respond to those variants, and per 100,000 compared to the U.S. By early May 2021, the United States monitoring global COVID–19 trends to average of 175 deaths per 100,000, as of has experienced over 32 million understand continued risks to the May 2021.33 Counties with high social confirmed COVID–19 cases and over United States. Finally, the long-term vulnerability, as measured by factors 575,000 deaths.24 health impacts of COVID–19 will such as poverty and educational Mitigating the impact of COVID–19, continue to require a public health attainment, have also fared more poorly including taking actions to control its response, including medical services for than the national average, with 211 spread and support hospitals and health individuals with ‘‘long COVID,’’ and deaths per 100,000 as of May 2021.34 care workers caring for the sick, research to understand how COVID–19 continues to require a major public impacts future health needs and raises 29 Megan L. Evans, et al., A Pandemic within a health response from State, local and risks for the millions of Americans who Pandemic—Intimate Partner Violence during Covid–19, N. Engl. J. Med. 383:2302–04 (Dec. 10, Tribal governments. New or heightened have been infected. 2020), available at https://www.nejm.org/doi/full/ public health needs include COVID–19 Other areas of public health have also 10.1056/NEJMp2024046. testing, major expansions in contact been negatively impacted by the 30 Jeanne M. Santoli et al., Effects of the tracing, support for individuals in COVID–19 pandemic. For example, in COVID–19 Pandemic on Routine Pediatric Vaccine Ordering and Administration—United States, Morb. isolation or quarantine, enforcement of one survey in January 2021, over 40 Mortal. Wkly. Rep. 69(19):591–93 (May 8, 2020), public health orders, new public percent of American adults reported https://www.cdc.gov/mmwr/volumes/69/wr/ communication efforts, public health symptoms of depression or anxiety, up mm6919e2.htm; Marisa Langdon-Embry et al., surveillance (e.g., monitoring case from 11 percent in the first half of Notes from the Field: Rebound in Routine 26, Childhood Vaccine Administration Following trends and genomic sequencing for 2019. The proportion of children’s Decline During the COVID–19 Pandemic—New variants), enhancement to health care emergency department visits related to York City, March 1–June 27, 2020, Morb. Mortal. capacity through alternative care mental health has also risen Wkly. Rep. 69(30):999–1001 (Jul. 31 2020), https:// noticeably.27 Similarly, rates of www.cdc.gov/mmwr/volumes/69/wr/ facilities, and enhancement of public mm6930a3.htm. health data systems to meet new substance misuse and overdose deaths 31 Office of the White House, National Strategy for demands or scaling needs. State, local, have spiked: Preliminary data from the the COVID–19 Response and Pandemic and Tribal governments have also CDC show a nearly 30 percent increase Preparedness (Jan. 21, 2021), https:// supported major efforts to prevent in drug overdose mortality from www.whitehouse.gov/wp-content/uploads/2021/01/ 28 National-Strategy-for-the-COVID-19-Response-and- COVID–19 spread through safety September 2019 to September 2020. Pandemic-Preparedness.pdf. measures at key settings like nursing Stay-at-home orders and other 32 In a study of 13 states from October to homes, schools, congregate living pandemic responses may have also December 2020, the CDC found that Hispanic or settings, dense worksites, incarceration reduced the ability of individuals Latino and Native American or Alaska Native individuals were 1.7 times more likely to visit an settings, and in other public facilities. affected by domestic violence to access emergency room for COVID–19 than White This has included implementing individuals, and Black individuals were 1.4 times infection prevention measures or 25 Centers for Disease Control and Prevention, more likely to do so than White individuals. See making ventilation improvements in COVID Data Tracker: COVID–19 Vaccinations in the Romano, supra note 10. United States, https://covid.cdc.gov/covid-data- 33 Centers for Disease Control and Prevention, congregate settings, health care settings, tracker/#vaccinations (last visited May 8, 2021). COVID Data Tracker: Trends in COVID–19 Cases or other key locations. 26 Panchal, supra note 4; Mark E´ . Czeisler et al., and Deaths in the United States, by County-level Other response and adaptation costs Mental Health, Substance Abuse, and Suicidal Population Factors, https://covid.cdc.gov/covid- include capital investments in public Ideation During COVID–19 Pandemic– United data-tracker/#pop-factors_totaldeaths (last visited facilities to meet pandemic operational States, June 24–30 2020, Morb. Mortal. Wkly. Rep. May 8, 2021). 69(32):1049–57 (Aug. 14, 2020), https:// 34 The CDC’s Social Vulnerability Index includes www.cdc.gov/mmwr/volumes/69/wr/ fifteen variables measuring social vulnerability, 23 Centers for Disease Control and Prevention, mm6932a1.htm. including unemployment, poverty, education COVID Data Tracker: Trends in Number of 27 Leeb, supra note 4. levels, single-parent households, disability status, COVID–19 Cases and Deaths in the US Reported to 28 Centers for Disease Prevention and Control, non-English speaking households, crowded CDC, by State/Territory, https://covid.cdc.gov/ National Center for Health Statistics, Provisional housing, and transportation access. covid-data-tracker/#trends_dailytrendscases (last Drug Overdose Death Counts, https://www.cdc.gov/ Centers for Disease Control and Prevention, visited May 8, 2021). nchs/nvss/vsrr/drug-overdose-data.htm (last visited COVID Data Tracker: Trends in COVID–19 Cases 24 Id. May 8, 2021). Continued

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Over the last year, Native Americans Eligible Public Health Uses. The congregate settings, health care settings, have experienced more than one and a Fiscal Recovery Funds provide or other key locations; enhancement of half times the rate of COVID–19 resources to meet and address these public health data systems; and other infections, more than triple the rate of emergent public health needs, including public health responses.41 They also hospitalizations, and more than double through measures to counter the spread include capital investments in public the death rate compared to White of COVID–19, through the provision of facilities to meet pandemic operational Americans.35 Low-income and minority care for those impacted by the virus, needs, such as physical plant communities also exhibit higher rates of and through programs or services that improvements to public hospitals and pre-existing conditions that may address disparities in public health that health clinics or adaptations to public contribute to an increased risk of have been exacerbated by the pandemic. buildings to implement COVID–19 COVID–19 mortality.36 To facilitate implementation and use of mitigation tactics. These COVID–19 In addition, individuals living in low- payments from the Fiscal Recovery prevention and mitigation programs and income communities may have had Funds, the interim final rule identifies services, among others, were eligible more limited ability to socially distance a non-exclusive list of eligible uses of expenditures under the CRF and are or to self-isolate when ill, resulting in funding to respond to the COVID–19 eligible uses under this category of faster spread of the virus, and were public health emergency. Eligible uses eligible uses for the Fiscal Recovery over-represented among essential listed under this section build and Funds.42 workers, who faced greater risk of expand upon permissible expenditures • Medical Expenses. The COVID–19 exposure.37 Social distancing measures under the CRF, while recognizing the public health emergency continues to in response to the pandemic may have differences between the ARPA and have devastating effects on public also exacerbated pre-existing public CARES Act, and recognizing that the health; the United States continues to health challenges. For example, for response to the COVID–19 public health average hundreds of deaths per day and children living in homes with lead emergency has changed and will the spread of new COVID–19 variants paint, spending substantially more time continue to change over time. To assess has raised new risks and genomic at home raises the risk of developing whether additional uses would be surveillance needs.43 Moreover, our elevated blood lead levels, while eligible under this category, recipients understanding of the potentially serious screenings for elevated blood lead levels should identify an effect of COVID–19 and long-term effects of the virus is 38 declined during the pandemic. The on public health, including either or growing, including the potential for combination of these underlying social both of immediate effects or effects that symptoms like shortness of breath to and health vulnerabilities may have may manifest over months or years, and continue for weeks or months, for multi- contributed to more severe public health assess how the use would respond to or organ impacts from COVID–19, or for outcomes of the pandemic within these address the identified need. post-intensive care syndrome.44 State communities, resulting in an The interim final rule identifies a and local governments may need to exacerbation of pre-existing disparities non-exclusive list of uses that address 39 continue to provide care and services to in health outcomes. the effects of the COVID–19 public address these near- and longer-term health emergency, including: needs.45 and Deaths in the United States, by Social • COVID–19 Mitigation and Vulnerability Index, https://covid.cdc.gov/covid- data-tracker/#pop-factors_totaldeaths (last visited Prevention. A broad range of services Strategy for K–12 Schools through Phased May 8, 2021). and programming are needed to contain Prevention, available at https://www.cdc.gov/ 35 Centers for Disease Control and Prevention, COVID–19. Mitigation and prevention coronavirus/2019-ncov/community/schools- Risk for COVID–19 Infection, Hospitalization, and efforts for COVID–19 include childcare/operation-strategy.html. Death By Race/Ethnicity, https://www.cdc.gov/ 41 Many of these expenses were also eligible in coronavirus/2019-ncov/covid-data/investigations- vaccination programs; medical care; the CRF. Generally, funding uses eligible under CRF discovery/hospitalization-death-by-race- testing; contact tracing; support for as a response to the direct public health impacts of ethnicity.html (last visited Apr. 26, 2021). isolation or quarantine; supports for COVID–19 will continue to be eligible under the 36 See, e.g., Centers for Disease Control and vulnerable populations to access ARPA, including those not explicitly listed here Prevention, Risk of Severe Illness or Death from medical or public health services; (e.g., telemedicine costs, costs to facilitate COVID–19 (Dec. 10, 2020), https://www.cdc.gov/ compliance with public health orders, disinfection coronavirus/2019-ncov/community/health-equity/ public health surveillance (e.g., of public areas, facilitating distance learning, racial-ethnic-disparities/disparities-illness.html monitoring case trends, genomic increased solid waste disposal needs related to PPE, (last visited Apr. 26, 2021). sequencing for variants); enforcement of paid sick and paid family and medical leave to 37 Milena Almagro et al., Racial Disparities in public health orders; public public employees to enable compliance with Frontline Workers and Housing Crowding During COVID–19 public health precautions), with the COVID–19: Evidence from Geolocation Data (Sept. communication efforts; enhancement to following two exceptions: (1) The standard for 22, 2020), NYU Stern School of Business health care capacity, including through eligibility of public health and safety payrolls has (forthcoming), available at https://papers.ssrn.com/ alternative care facilities; purchases of been updated (see section II.A of this sol3/papers.cfm?abstract_id=3695249; Grace personal protective equipment; support SUPPLEMENTARY INFORMATION) and (2) expenses McCormack et al., Economic Vulnerability of related to the issuance of tax-anticipation notes are Households with Essential Workers, JAMA for prevention, mitigation, or other no longer an eligible funding use (see discussion of 324(4):388–90 (2020), available at https:// services in congregate living facilities debt service in section II.B of this SUPPLEMENTARY jamanetwork.com/journals/jama/fullarticle/ (e.g., nursing homes, incarceration INFORMATION). 2767630. settings, homeless shelters, group living 42 Coronavirus Relief Fund for States, Tribal 38 See, e.g., Joseph G. Courtney et al., Decreases Governments, and Certain Eligible Local facilities) and other key settings like Governments, 86 FR 4182 (Jan. 15, 2021), available in Young Children Who Received Blood Lead Level 40 Testing During COVID–19—34 Jurisdictions, schools; ventilation improvements in at https://home.treasury.gov/system/files/136/CRF- _ January–May 2020, Morb. Mort. Wkly. Rep. Guidance-Federal-Register 2021-00827.pdf. 70(5):155–61 (Feb. 5, 2021), https://www.cdc.gov/ note 38; Nathaniel M. Lewis et al., Disparities in 43 Centers for Disease Control and Prevention, mmwr/volumes/70/wr/mm7005a2.htm; Emily A. COVID–19 Incidence, Hospitalizations, and Testing, supra note 24. Benfer & Lindsay F. Wiley, Health Justice Strategies by Area-Level Deprivation—Utah, March 3–July 9, 44 Centers for Disease Control and Prevention, to Combat COVID–19: Protecting Vulnerable 2020, Morb. Mortal. Wkly. Rep. 69(38):1369–73 Long-Term Effects (Apr. 8, 2021), https:// Communities During a Pandemic, Health Affairs (Sept. 25, 2020), https://www.cdc.gov/mmwr/ www.cdc.gov/coronavirus/2019-ncov/long-term- Blog (Mar. 19, 2020), https://www.healthaffairs.org/ volumes/69/wr/mm6938a4.htm. effects.html (last visited Apr. 26, 2021). do/10.1377/hblog20200319.757883/full/. 40 This includes implementing mitigation 45 Pursuant to 42 CFR 433.51 and 45 CFR 75.306, 39 See, e.g., Centers for Disease Control and strategies consistent with the Centers for Disease Fiscal Recovery Funds may not serve as a State or Prevention, supra note 34; Benfer & Wiley, supra Control and Prevention’s (CDC) Operational locality’s contribution of certain Federal funds.

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• Behavioral Health Care. In addition, the COVID–19 response. Recipients specific populations, households, or new or enhanced State, local, and Tribal need not routinely track staff hours. geographic areas to be served. government services may be needed to • Expenses to Improve the Design and Given the exacerbation of health meet behavioral health needs Execution of Health and Public Health disparities during the pandemic and the exacerbated by the pandemic and Programs. State, local, and Tribal role of pre-existing social vulnerabilities respond to other public health impacts. governments may use payments from in driving these disparate outcomes, These services include mental health the Fiscal Recovery Funds to engage in services to address health disparities are treatment, substance misuse treatment, planning and analysis in order to presumed to be responsive to the public other behavioral health services, improve programs addressing the health impacts of the pandemic. hotlines or warmlines, crisis COVID–19 pandemic, including through Specifically, recipients may use intervention, overdose prevention, use of targeted consumer outreach, payments from the Fiscal Recovery infectious disease prevention, and improvements to data or technology Funds to facilitate access to resources services or outreach to promote access infrastructure, impact evaluations, and that improve health outcomes, to physical or behavioral health primary data analysis. including services that connect care and preventative medicine. Eligible Uses to Address Disparities in residents with health care resources and • Public Health and Safety Staff. Public Health Outcomes. In addition, in public assistance programs and build Treasury recognizes that responding to recognition of the disproportionate healthier environments, such as: the public health and negative economic impacts of the COVID–19 pandemic on • Funding community health workers impacts of the pandemic, including health outcomes in low-income and to help community members access administering the services described Native American communities and the health services and services to address above, requires a substantial importance of mitigating these effects, the social determinants of health; 49 commitment of State, local, and Tribal the interim final rule identifies a • Funding public benefits navigators government human resources. As a broader range of services and programs to assist community members with result, the Fiscal Recovery Funds may that will be presumed to be responding navigating and applying for available be used for payroll and covered benefits to the public health emergency when Federal, State, and local public benefits expenses for public safety, public provided in these communities. or services; health, health care, human services, and Specifically, Treasury will presume that • Housing services to support healthy similar employees, to the extent that certain types of services, outlined living environments and neighborhoods their services are devoted to mitigating below, are eligible uses when provided conducive to mental and physical or responding to the COVID–19 public in a Qualified Census Tract (QCT),47 to wellness; health emergency.46 Accordingly, the families living in QCTs, or when these • Remediation of lead paint or other Fiscal Recovery Funds may be used to services are provided by Tribal lead hazards to reduce risk of elevated support the payroll and covered benefits governments.48 Recipients may also blood lead levels among children; and for the portion of the employee’s time provide these services to other • Evidence-based community that is dedicated to responding to the populations, households, or geographic violence intervention programs to COVID–19 public health emergency. For areas that are disproportionately prevent violence and mitigate the administrative convenience, the impacted by the pandemic. In increase in violence during the recipient may consider public health identifying these disproportionately- pandemic.50 and safety employees to be entirely impacted communities, recipients devoted to mitigating or responding to 2. Responding to Negative Economic should be able to support their Impacts the COVID–19 public health emergency, determination that the pandemic and therefore fully covered, if the resulted in disproportionate public Impacts on Households and employee, or his or her operating unit health or economic outcomes to the Individuals. The public health or division, is primarily dedicated to emergency, including the necessary responding to the COVID–19 public 47 Qualified Census Tracts are a common, readily- measures taken to protect public health, health emergency. Recipients may accessible, and geographically granular method of resulted in significant economic and consider other presumptions for identifying communities with a large proportion of financial hardship for many Americans. low-income residents. Using an existing measure As businesses closed, consumers stayed assessing the extent to which an may speed implementation and decrease employee, division, or operating unit is administrative burden, while identifying areas of home, schools shifted to remote engaged in activities that respond to the need at a highly-localized level. COVID–19 public health emergency, While QCTs are an effective tool generally, many 49 The social determinants of health are the social provided that the recipient reassesses tribal communities have households with a wide and environmental conditions that affect health range of income levels due in part to non-tribal outcomes, specifically economic stability, health periodically and maintains records to member, high income residents living in the care access, social context, neighborhoods and built support its assessment, such as payroll community. Mixed income communities, with a environment, and education access. See, e.g., U.S. records, attestations from supervisors or significant share of tribal members at the lowest Department of Health and Human Services, Office staff, or regular work product or levels of income, are often not included as eligible of Disease Prevention and Health Promotion, QCTs yet tribal residents are experiencing Healthy People 2030: Social Determinants of correspondence demonstrating work on disproportionate impacts due to the pandemic. Health, https://health.gov/healthypeople/objectives- Therefore, including all services provided by Tribal and-data/social-determinants-health (last visited 46 In general, if an employee’s wages and salaries governments is a more effective means of ensuring Apr. 26, 2021). are an eligible use of Fiscal Recovery Funds, that disproportionately impacted Tribal members 50 National Commission on COVID–19 and recipients may treat the employee’s covered can receive services. Criminal Justice, Impact Report: COVID–19 and benefits as an eligible use of Fiscal Recovery Funds. 48 U.S. Department of Housing and Urban Crime (Jan. 31, 2021), https:// For purposes of the Fiscal Recovery Funds, covered Development (HUD), Qualified Census Tracts and covid19.counciloncj.org/2021/01/31/impact-report- benefits include costs of all types of leave (vacation, Difficult Development Areas, https:// covid-19-and-crime-3/ (showing a spike in family-related, sick, military, bereavement, www.huduser.gov/portal/datasets/qct.html (last homicide and assaults); Brad Boesrup et al., sabbatical, jury duty), employee insurance (health, visited Apr. 26, 2021); U.S. Department of the Alarming Trends in US domestic violence during life, dental, vision), retirement (pensions, 401(k)), Interior, Bureau of Indian Affairs, Indian Lands of the COVID–19 pandemic, Am. J. of Emerg. Med. unemployment benefit plans (Federal and state), Federally Recognized Tribes of the United States 38(12): 2753–55 (Dec. 1, 2020), available at https:// workers compensation insurance, and Federal (June 2016), https://www.bia.gov/sites/bia.gov/files/ www.ajemjournal.com/article/S0735- Insurance Contributions Act (FICA) taxes (which assets/bia/ots/webteam/pdf/idc1-028635.pdf (last 6757(20)30307-7/fulltext (showing a spike in includes Social Security and Medicare taxes). visited Apr. 26, 2021). domestic violence).

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education, and travel declined inequities also manifested along gender These potential long-term economic precipitously, over 20 million jobs were lines, as schools closed to in-person consequences underscore the continued lost in March and April 2020.51 activities, leaving many working need for robust policy support. Although many have returned to work, families without child care during the Impacts on Businesses. The pandemic as of April 2021, the economy remains day.57 Women of color have been hit has also severely impacted many 8.2 million jobs below its pre-pandemic especially hard: The labor force businesses, with small businesses hit peak,52 and more than 3 million workers participation rate for Black women has especially hard. Small businesses make have dropped out of the labor market fallen by 3.2 percentage points 58 during up nearly half of U.S. private-sector altogether relative to February 2020.53 the pandemic as compared to 1.0 employment 64 and play a key role in Rates of unemployment are percentage points for Black men 59 and supporting the overall economic particularly severe among workers of 2.0 percentage points for White recovery as they are responsible for two- color and workers with lower levels of women.60 thirds of net new jobs.65 Since the educational attainment; for example, the As the economy recovers, the effects beginning of the pandemic, however, overall unemployment rate in the of the pandemic-related recession may 400,000 small businesses have closed, United States was 6.1 percent in April continue to impact households, with many more at risk.66 Sectors with 2021, but certain groups saw much including a risk of longer-term effects on a large share of small business higher rates: 9.7 percent for Black earnings and economic potential. For employment have been among those workers, 7.9 percent for Hispanic or example, unemployed workers, with the most drastic drops in Latino workers, and 9.3 percent for especially those who have experienced employment.67 The negative outlook for workers without a high school longer periods of unemployment, earn small businesses has continued: As of diploma.54 Job losses have also been lower wages over the long term once April 2021, approximately 70 percent of particularly steep among low wage rehired.61 In addition to the labor small businesses reported that the workers, with these workers remaining market consequences for unemployed pandemic has had a moderate or large furthest from recovery as of the end of workers, recessions can also cause negative effect on their business, and 2020.55 A severe recession—and its longer-term economic challenges over a third expect that it will take over concentrated impact among low-income through, among other factors, damaged 6 months for their business to return to workers—has amplified food and consumer credit scores 62 and reduced their normal level of operations.68 housing insecurity, with an estimated familial and childhood wellbeing.63 This negative outlook is likely the nearly 17 million adults living in result of many small businesses having households where there is sometimes or Food, Housing, and Employment Hardships, faced periods of closure and having seen often not enough food to eat and an https://www.cbpp.org/research/poverty-and- declining revenues as customers stayed inequality/tracking-the-covid-19-recessions-effects- 69 estimated 10.7 million adults living in on-food-housing-and (last visited May 8, 2021). home. In general, small businesses can households that were not current on 57 Women have carried a larger share of childcare face greater hurdles in accessing rent.56 Over the course of the pandemic, responsibilities than men during the COVID–19 credit,70 and many small businesses crisis. See, e.g., Gema Zamarro & Marı´a J. Prados, were already financially fragile at the Gender differences in couples’ division of 71 51 outset of the pandemic. Non-profits, U.S. Bureau of Labor Statistics, All Employees, childcare, work and mental health during COVID– Total Nonfarm (PAYEMS), retrieved from FRED, 19, Rev. Econ. Household 19:11–40 (2021), which provide vital services to Federal Reserve Bank of St. Louis; https:// available at https://link.springer.com/article/ communities, have similarly faced fred.stlouisfed.org/series/PAYEMS (last visited May 10.1007/s11150-020-09534-7; Titan Alon et al., The 8, 2021). Impact of COVID–19 on Gender Equality, National Russell Sage Foundation (Aug. 2016), available at 52 Id. Bureau of Economic Research Working Paper 26947 53 https://www.russellsage.org/publications/children- U.S. Bureau of Labor Statistics, Civilian Labor (April 2020), available at https://www.nber.org/ great-recession. Force Level [CLF16OV], retrieved from FRED, papers/w26947. 64 Board of Governors of the Federal Reserve Federal Reserve Bank of St. Louis, https:// 58 U.S. Bureau of Labor Statistics, Labor Force System, supra note 5. fred.stlouisfed.org/series/CLF16OV (last visited May Participation Rate—20 Yrs. & Over, Black or African 65 U.S. Small Business Administration, Office of 8, 2021). American Women [LNS11300032], retrieved from Advocacy, Small Businesses Generate 44 Percent of 54 U.S. Bureau of Labor Statistics, Labor Force FRED, Federal Reserve Bank of St. Louis; https:// U.S. Economic Activity (Jan. 30, 2019), https:// Statistics from the Current Population Survey: fred.stlouisfed.org/series/LNS11300032 (last visited advocacy.sba.gov/2019/01/30/small-businesses- Employment status of the civilian population by sex May 8, 2021). generate-44-percent-of-u-s-economic-activity/. and age (May 8 2021), https://www.bls.gov/ 59 U.S. Bureau of Labor Statistics, Labor Force 66 Biden, supra note 6. news.release/empsit.t01.htm (last visited May 8, Participation Rate—20 Yrs. & Over, Black or African 67 2021); U.S. Bureau of Labor Statistics, Labor Force American Men [LNS11300031], retrieved from Daniel Wilmoth, U.S. Small Business Statistics from the Current Population Survey: FRED, Federal Reserve Bank of St. Louis; https:// Administration Office of Advocacy, The Effects of Employment status of the civilian noninstitutional fred.stlouisfed.org/series/LNS11300031 (last visited the COVID–19 Pandemic on Small Businesses, Issue population by race, Hispanic or Latino ethnicity, May 8, 2021). Brief No. 16 (Mar. 2021), available at https:// sex, and age (May 8, 2021), https://www.bls.gov/ 60 U.S. Bureau of Labor Statistics, Labor Force cdn.advocacy.sba.gov/wp-content/uploads/2021/ web/empsit/cpseea04.htm (last visited May 8, Participation Rate—20 Yrs. & Over, White Women 03/02112318/COVID-19-Impact-On-Small- 2021); U.S. Bureau of Labor Statistics, Labor Force [LNS11300029], retrieved from FRED, Federal Business.pdf. Statistics from the Current Population Survey: Reserve Bank of St. Louis; https:// 68 U.S. Census Bureau, Small Business Pulse Employment status of the civilian noninstitutional fred.stlouisfed.org/series/LNS11300029 (last visited Survey, https://portal.census.gov/pulse/data/ (last population 25 years and over by educational May 8, 2021). visited May 8, 2021). attainment (May 8, 2021), https://www.bls.gov/web/ 61 See, e.g., Michael Greenstone & Adam Looney, 69 Olivia S. Kim et al., Revenue Collapses and the empsit/cpseea05.htm (last visited May 8, 2021). Unemployment and Earnings Losses: A Look at Consumption of Small Business Owners in the 55 Elise Gould & Jori Kandra, Wages grew in 2020 Long-Term Impacts of the Great Recession on Early Stages of the COVID–19 Pandemic (Nov. because the bottom fell out of the low-wage labor American Workers, Brookings Institution (Nov. 4, 2020), https://www.nber.org/papers/w28151. market, Economic Policy Institute (Feb. 24, 2021), 2021), https://www.brookings.edu/blog/jobs/2011/ 70 See e.g., Board of Governors of the Federal https://files.epi.org/pdf/219418.pdf. See also, 11/04/unemployment-and-earnings-losses-a-look- Reserve System, Report to Congress on the Michael Dalton et al., The K-Shaped Recovery: at-long-term-impacts-of-the-great-recession-on- Availability of Credit to Small Businesses (Sept. Examining the Diverging Fortunes of Workers in the american-workers/. 2017), available at https://www.federalreserve.gov/ Recovery from the COVID–19 Pandemic using 62 Chi Chi Wu, Solving the Credit Conundrum: publications/2017-september-availability-of-credit- Business and Household Survey Microdata, U.S. Helping Consumers’ Credit Records Impaired by the to-small-businesses.htm. Bureau of Labor Statistics Working Paper Series Foreclosure Crisis and Great Recession (Dec. 2013), 71 Alexander W. Bartik et al., The Impact of (Feb. 2021), https://www.bls.gov/osmr/research- https://www.nclc.org/images/pdf/credit_reports/ COVID–19 on small business outcomes and papers/2021/pdf/ec210020.pdf. report-credit-conundrum-2013.pdf. expectations, PNAS 117(30): 17656–66 (July 28, 56 Center on Budget and Policy Priorities, 63 Irwin Garfinkel, Sara McLanahan, Christopher 2020), available at https://www.pnas.org/content/ Tracking the COVID–19 Recession’s Effects on Wimer, eds., Children of the Great Recession, 117/30/17656.

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economic and financial challenges due neighborhoods more than doubling by effect that would substantially impact to the pandemic.72 2010–2014 relative to 2000.77 their long-term economic outcomes. Impacts to State, Local, and Tribal Concentrated poverty has a range of Increased economic strain or material Governments. State, local, and Tribal deleterious impacts, including hardship due to the pandemic could governments have felt substantial fiscal additional burdens on families and also have a long-term impact on health, pressures. As noted above, State, local, reduced economic potential and social educational, and economic outcomes of and Tribal governments have faced cohesion.78 Given the disproportionate young children.82 Evidence suggests significant revenue shortfalls and impact of COVID–19 on low-income that adverse conditions in early remain over 1 million jobs below their households discussed above, there is a childhood, including exposure to pre-pandemic staffing levels.73 These risk that the current pandemic-induced poverty, food insecurity, housing reductions in staffing may undermine recession could further increase insecurity, or other economic hardships, the ability to deliver services effectively, concentrated poverty and cause long- are particularly impactful.83 as well as add to the number of term damage to economic prospects in The pandemic’s disproportionate unemployed individuals in their neighborhoods of concentrated poverty. economic impacts are also seen in jurisdictions. The negative economic impacts of Tribal communities across the Exacerbation of Pre-existing COVID–19 also include significant country—for Tribal governments as well Disparities. The COVID–19 public impacts to children in as families and businesses on and off health emergency may have lasting disproportionately affected families and Tribal lands. In the early months of the negative effects on economic outcomes, include impacts to education, health, pandemic, Native American particularly in exacerbating disparities and welfare, all of which contribute to unemployment spiked to 26 percent that existed prior to the pandemic. long-term economic outcomes.79 Many and, while partially recovered, remains The negative economic impacts of the low-income and minority students, who at nearly 11 percent.84 Tribal enterprises COVID–19 pandemic are particularly were disproportionately served by are a significant source of revenue for pronounced in certain communities and remote or hybrid education during the Tribal governments to support the families. Low- and moderate-income pandemic, lacked the resources to provision of government services. These jobs make up a substantial portion of participate fully in remote schooling or enterprises, notably concentrated in both total pandemic job losses,74 and live in households without adults gaming, tourism, and hospitality, jobs that require in-person frontline available throughout the day to assist frequently closed, significantly reducing work, which are exposed to greater risk with online coursework.80 Given these both revenues to Tribal governments of contracting COVID–19.75 Both factors trends, the pandemic may widen and employment. As a result, Tribal compound pre-existing vulnerabilities educational disparities and worsen governments have reduced essential and the likelihood of food, housing, or outcomes for low-income students,81 an services to their citizens and other financial insecurity in low- and communities.85 moderate-income families and, given 77 Elizabeth Kneebone & Natalie Holmes, U.S. Eligible Uses. Sections 602(c)(1)(A) the concentration of low- and moderate- concentrated poverty in the wake of the Great and 603(c)(1)(A) permit use of payments Recession, Brookings Institution (Mar. 31, 2016), from the Fiscal Recovery Funds to income families within certain https://www.brookings.edu/research/u-s- communities,76 raise a substantial risk concentrated-poverty-in-the-wake-of-the-great- respond to the negative economic that the effects of the COVID–19 public recession/. impacts of the COVID–19 public health health emergency will be amplified 78 David Erickson et al., The Enduring Challenge emergency. Eligible uses that respond to of Concentrated Poverty in America: Case Studies the negative economic impacts of the within these communities. from Communities Across the U.S. (2008), available These compounding effect of at https://www.frbsf.org/community-development/ public health emergency must be recessions on concentrated poverty and files/cp_fullreport.pdf. designed to address an economic harm the long-lasting nature of this effect 79 Educational quality, as early as Kindergarten, resulting from or exacerbated by the were observed after the 2007–2009 has a long-term impact on children’s public health public health emergency. In considering and economic outcomes. See, e.g., Tyler W. Watts whether a program or service would be recession, including a large increase in et al., The Chicago School Readiness Project: concentrated poverty with the number Examining the long-term impacts of an early of people living in extremely poor childhood intervention, PLoS ONE 13(7) (2018), See Education Week, School Districts’ Reopening available at https://journals.plos.org/plosone/ Plans: A Snapshot (Jul. 15, 2020), https:// article?id=10.1371/journal.pone.0200144; www.edweek.org/leadership/school-districts- 72 Federal Reserve Bank of San Francisco, Impacts Opportunity Insights, How Can We Amplify reopening-plans-a-snapshot/2020/07 (last visited of COVID–19 on Nonprofits in the Western United Education as an Engine of Mobility? Using big data May 4, 2021). States (May 2020), https://www.frbsf.org/ to help children get the most from school, https:// 82 HHS, supra note 79. community-development/files/impact-of-covid- opportunityinsights.org/education/ (last visited 83 Hirokazu Yoshikawa, Effects of the Global nonprofits-serving-western-united-states.pdf. Apr. 26, 2021); U.S. Department of Health and Coronavirus Disease—2019 Pandemic on Early 73 Bureau of Labor Statistics, supra note 8; Elijah Human Services (HHS), Office of Disease Childhood Development: Short- and Long-Term Moreno & Heather Sobrepena, Tribal entities remain Prevention and Health Promotion, Early Childhood Risks and Mitigating Program and Policy Actions, resilient as COVID–19 batters their finances, Development and Education, https:// J. of Pediatrics Vol. 223:188–93 (Aug. 1, 2020), Federal Reserve Bank of Minneapolis (Nov. 10, www.healthypeople.gov/2020/topics-objectives/ available at https://www.jpeds.com/article/S0022- 2021), https://www.minneapolisfed.org/article/ topic/social-determinants-health/interventions- 3476(20)30606-5/abstract. 2020/tribal-entities-remain-resilient-as-covid-19- resources/early-childhood-development-and- 84 Based on calculations conducted by the batters-their-finances. education (last visited Apr. 26, 2021). Minneapolis Fed’s Center for Indian Country 74 Kim Parker et al., Economic Fallout from 80 See, e.g., Bacher-Hicks, supra note 14. Development using Flood et al. (2020)’s Current COVID–19 Continues to Hit Lower-Income 81 A Department of Education survey found that, Population Survey.’’ Sarah Flood, Miriam King, Americans the Hardest, Pew Research Center (Sept. as of February 2021, 42 percent of fourth grade Renae Rodgers, Steven Ruggles and J. Robert 24, 2020), https://www.pewresearch.org/social- students nationwide were offered only remote Warren. Integrated Public Use Microdata Series, trends/2020/09/24/economic-fallout-from-covid-19- education, compared to 48 percent of economically Current Population Survey: Version 8.0 [dataset]. continues-to-hit-lower-income-americans-the- disadvantaged students, 54 percent of Black Minneapolis, MN: IPUMS, 2020. https://doi.org/ hardest/; Gould, supra note 55. students and 57 percent of Hispanic students. Large 10.18128/D030.V8.0; see also Donna Feir & Charles 75 See infra Section II.B of this Supplementary districts often disproportionately serve low-income Golding, Native Employment During COVID–19: Information. students. See Institute of Education Sciences, Hard hit in April but Starting to Rebount? (Aug. 5, 76 Elizabeth Kneebone, The Changing geography Monthly School Survey Dashboard, https:// 2020), https://www.minneapolisfed.org/article/ of US poverty, Brookings Institution (Feb. 15, 2017), ies.ed.gov/schoolsurvey/ (last visited Apr. 26, 2021). 2020/native-employment-during-covid-19-hit-hard- https://www.brookings.edu/testimonies/the- In summer 2020, a review found that 74 percent of in-april-but-starting-to-rebound. changing-geography-of-us-poverty/. the largest 100 districts chose remote learning only. 85 Moreno & Sobrepena, supra note 73.

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eligible under this category, the and remain so due to the negative economic impacts resulting from the recipient should assess whether, and the economic impacts of the pandemic. pandemic. For example, a cash transfer extent to which, there has been an • State Unemployment Insurance program may focus on unemployed economic harm, such as loss of earnings Trust Funds. Consistent with the workers or low- and moderate-income or revenue, that resulted from the approach taken in the CRF, recipients families, which have faced COVID–19 public health emergency and may make deposits into the state disproportionate economic harms due to whether, and the extent to which, the account of the Unemployment Trust the pandemic. Cash transfers must be use would respond or address this Fund established under section 904 of reasonably proportional to the negative harm.86 A recipient should first the Social Security Act (42 U.S.C. 1104) economic impact they are intended to consider whether an economic harm up to the level needed to restore the pre- address. Cash transfers grossly in excess exists and whether this harm was pandemic balances of such account as of of the amount needed to address the caused or made worse by the COVID–19 January 27, 2020 or to pay back negative economic impact identified by public health emergency. While advances received under Title XII of the the recipient would not be considered to economic impacts may either be Social Security Act (42 U.S.C. 1321) for be a response to the COVID–19 public immediate or delayed, assistance or aid the payment of benefits between January health emergency or its negative to individuals or businesses that did not 27, 2020 and May 17, 2021, given the impacts. In particular, when considering experience a negative economic impact close nexus between Unemployment the appropriate size of permissible cash from the public health emergency Trust Fund costs, solvency of transfers made in response to the would not be an eligible use under this Unemployment Trust Fund systems, COVID–19 public health emergency, category. and pandemic economic impacts. State, local and Tribal governments may In addition, the eligible use must Further, Unemployment Trust Fund consider and take guidance from the per ‘‘respond to’’ the identified negative deposits can decrease fiscal strain on person amounts previously provided by economic impact. Responses must be Unemployment Insurance systems the Federal Government in response to related and reasonably proportional to impacted by the pandemic. States facing the COVID–19 crisis. Cash transfers that the extent and type of harm a sharp increase in Unemployment are grossly in excess of such amounts experienced; uses that bear no relation Insurance claims during the pandemic would be outside the scope of eligible or are grossly disproportionate to the may have drawn down positive uses under sections 602(c)(1)(A) and type or extent of harm experienced Unemployment Trust Fund balances 603(c)(1)(A) and could be subject to would not be eligible uses. Where there and, after exhausting the balance, recoupment. In addition, a recipient has been a negative economic impact required advances to fund continuing could provide survivor’s benefits to resulting from the public health obligations to claimants. Because both surviving family members of COVID–19 emergency, States, local, and Tribal of these impacts were driven directly by victims, or cash assistance to widows, governments have broad latitude to the need for assistance to unemployed widowers, and dependents of eligible choose whether and how to use the workers during the pandemic, COVID–19 victims. • Fiscal Recovery Funds to respond to replenishing Unemployment Trust Expenses to Improve Efficacy of and address the negative economic Funds up to the pre-pandemic level Economic Relief Programs. State, local, impact. Sections 602(c)(1)(A) and responds to the pandemic’s negative and Tribal governments may use 603(c)(1)(A) describe several types of economic impacts on unemployed payments from the Fiscal Recovery workers. Funds to improve efficacy of programs uses that would be eligible under this • category, including assistance to Assistance to Households. addressing negative economic impacts, households, small businesses, and Assistance to households or populations including through use of data analysis, nonprofits and aid to impacted facing negative economic impacts due to targeted consumer outreach, industries such as tourism, travel, and COVID–19 is also an eligible use. This improvements to data or technology includes: Food assistance; rent, infrastructure, and impact evaluations. hospitality. • To facilitate implementation and use mortgage, or utility assistance; Small Businesses and Non-profits. of payments from the Fiscal Recovery counseling and legal aid to prevent As discussed above, small businesses Funds, the interim final rule identifies eviction or homelessness; cash and non-profits faced significant a non-exclusive list of eligible uses of assistance (discussed below); emergency challenges in covering payroll, funding that respond to the negative assistance for burials, home repairs, mortgages or rent, and other operating economic impacts of the public health weatherization, or other needs; internet costs as a result of the public health emergency. Consistent with the access or digital literacy assistance; or emergency and measures taken to discussion above, the eligible uses listed job training to address negative contain the spread of the virus. State, below would respond directly to the economic or public health impacts local, and Tribal governments may economic or financial harms resulting experienced due to a worker’s provide assistance to small businesses from and or exacerbated by the public occupation or level of training. As to adopt safer operating procedures, health emergency. discussed above, in considering whether weather periods of closure, or mitigate • Assistance to Unemployed Workers. a potential use is eligible under this financial hardship resulting from the This includes assistance to unemployed category, a recipient must consider COVID–19 public health emergency, whether, and the extent to which, the including: workers, including services like job Æ training to accelerate rehiring of household has experienced a negative Loans or grants to mitigate financial unemployed workers; these services economic impact from the pandemic. In hardship such as declines in revenues may extend to workers unemployed due assessing whether a household or or impacts of periods of business to the pandemic or the resulting population experienced economic harm closure, for example by supporting recession, or who were already as a result of the pandemic, a recipient payroll and benefits costs, costs to retain unemployed when the pandemic began may presume that a household or employees, mortgage, rent, or utilities population that experienced costs, and other operating costs; Æ 86 In some cases, a use may be permissible under unemployment or increased food or Loans, grants, or in-kind assistance another eligible use category even if it falls outside housing insecurity or is low- or to implement COVID–19 prevention or the scope of section (c)(1)(A) of the Act. moderate-income experienced negative mitigation tactics, such as physical

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plant changes to enable social pandemic on those and similarly tourism, travel, hospitality, and other distancing, enhanced cleaning efforts, impacted industries. For example, aid impacted industries, and its connection barriers or partitions, or COVID–19 may include assistance to implement to negative economic impacts of the vaccination, testing, or contact tracing COVID–19 mitigation and infection pandemic. Recipients also should programs; and prevention measures to enable safe maintain records to support their Æ Technical assistance, counseling, or resumption of tourism, travel, and assessment of how businesses or other services to assist with business hospitality services, for example, business districts receiving assistance planning needs. improvements to ventilation, physical were affected by the negative economic As discussed above, these services barriers or partitions, signage to impacts of the pandemic and how the should respond to the negative facilitate social distancing, provision of aid provided responds to these impacts. economic impacts of COVID–19. masks or personal protective equipment, As discussed above, economic Recipients may consider additional or consultation with infection disparities that existed prior to the criteria to target assistance to businesses prevention professionals to develop safe COVID–19 public health emergency in need, including small businesses. reopening plans. amplified the impact of the pandemic Such criteria may include businesses Aid may be considered responsive to among low-income and minority facing financial insecurity, substantial the negative economic impacts of the groups. These families were more likely declines in gross receipts (e.g., pandemic if it supports businesses, to face housing, food, and financial comparable to measures used to assess attractions, business districts, and Tribal insecurity; are over-represented among eligibility for the Paycheck Protection development districts operating prior to low-wage workers; and many have seen Program), or other economic harm due the pandemic and affected by required their livelihoods deteriorate further to the pandemic, as well as businesses closures and other efforts to contain the during the pandemic and economic with less capacity to weather financial pandemic. For example, a recipient may contraction. In recognition of the hardship, such as the smallest provide aid to support safe reopening of disproportionate negative economic businesses, those with less access to businesses in the tourism, travel, and impacts on certain communities and credit, or those serving disadvantaged hospitality industries and to business populations, the interim final rule districts that were closed during the communities. Recipients should identifies services and programs that COVID–19 public health emergency, as consider local economic conditions and will be presumed to be responding to well as aid for a planned expansion or business data when establishing such the negative economic impacts of the upgrade of tourism, travel, and criteria.87 COVID–19 public health emergency hospitality facilities delayed due to the • Rehiring State, Local, and Tribal when provided in these communities. Government Staff. State, local, and pandemic. When considering providing aid to Specifically, Treasury will presume Tribal governments continue to see industries other than tourism, travel, that certain types of services, outlined pandemic impacts in overall staffing and hospitality, recipients should below, are eligible uses when provided levels: State, local, and Tribal consider the extent of the economic in a QCT, to families and individuals government employment remains more impact as compared to tourism, travel, living in QCTs, or when these services than 1 million jobs lower in April 2021 90 and hospitality, the industries are provided by Tribal governments. than prior to the pandemic.88 enumerated in the statute. For example, Recipients may also provide these Employment losses decrease a state or on net, the leisure and hospitality services to other populations, local government’s ability to effectively industry has experienced an households, or geographic areas administer services. Thus, the interim approximately 24 percent decline in disproportionately impacted by the final rule includes as an eligible use revenue and approximately 17 percent pandemic. In identifying these payroll, covered benefits, and other decline in employment nationwide due disproportionately impacted costs associated with rehiring public to the COVID–19 public health communities, recipients should be able sector staff, up to the pre-pandemic emergency.89 Recipients should also to support their determination that the staffing level of the government. pandemic resulted in disproportionate • consider whether impacts were due to Aid to Impacted Industries. the COVID–19 pandemic, as opposed to public health or economic outcomes to Sections 602(c)(1)(A) and 603(c)(1)(A) longer-term economic or industrial the specific populations, households, or recognize that certain industries, such trends unrelated to the pandemic. geographic areas to be served. The as tourism, travel, and hospitality, were To facilitate transparency and interim final rule identifies a non- disproportionately and negatively accountability, the interim final rule exclusive list of uses that address the impacted by the COVID–19 public requires that State, local, and Tribal disproportionate negative economic health emergency. Aid provided to governments publicly report assistance effects of the COVID–19 public health tourism, travel, and hospitality provided to private-sector businesses emergency, including: industries should respond to the under this eligible use, including Æ Building Stronger Communities negative economic impacts of the through Investments in Housing and 89 From February 2020 to April 2021, Neighborhoods. The economic impacts 87 See Federal Reserve Bank of Cleveland, An employment in ‘‘Leisure and hospitality’’ has fallen Uphill Battle: COVID–19’s Outsized Toll on by approximately 17 percent. See U.S. Bureau of of COVID–19 have likely been most Minority-Owned Firms (Oct. 8, 2020), https:// Labor Statistics, All Employees, Leisure and acute in lower-income neighborhoods, www.clevelandfed.org/newsroom-and-events/ Hospitality, retrieved from FRED, Federal Reserve including concentrated areas of high publications/community-development-briefs/db- Bank of St. Louis, https://fred.stlouisfed.org/series/ unemployment, limited economic 20201008-misera-report.aspx (discussing the USLAH (last visited May 8, 2021). From 2019Q4 to 91 impact of COVID–19 on minority owned 2020Q4, gross output (e.g. revenue) in arts, opportunity, and housing insecurity. businesses). entertainment, recreation, accommodation, and 88 U.S. Bureau of Labor Statistics, All Employees, food services has fallen by approximately 24 90 HUD, supra note 48. State Government [CES9092000001] and All percent. See Bureau of Economic Analysis, News 91 Stuart M. Butler & Jonathan Grabinsky, Employees, Local Government [CES9093000001], Release: Gross Domestic Product (Third Estimate), Tackling the legacy of persistent urban inequality retrieved from FRED, Federal Reserve Bank of St. Corporate Profits, and GDP by Industry, Fourth and concentrated poverty, Brookings Institution Louis, https://fred.stlouisfed.org/series/ Quarter and Year 2020 (Mar. 25, 2021), Table 17, (Nov. 16, 2020), https://www.brookings.edu/blog/ CES9092000001 and https://fred.stlouisfed.org/ https://www.bea.gov/sites/default/files/2021-03/ up-front/2020/11/16/tackling-the-legacy-of- series/CES9093000001 (last visited May 8, 2021). gdp4q20_3rd.pdf. Continued

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Services in this category alleviate the extended learning and enrichment Uses Outside the Scope of this immediate economic impacts of the programs; and Category. Certain uses would not be COVID–19 pandemic on housing D Evidence-based practices to address within the scope of this eligible use insecurity, while addressing conditions the social, emotional, and mental health category, although may be eligible under that contributed to poor public health needs of students; other eligible use categories. A general and economic outcomes during the Æ Promoting Healthy Childhood infrastructure project, for example, pandemic, namely concentrated areas Environments. Children’s economic and typically would not be included unless with limited economic opportunity and family circumstances have a long-term the project responded to a specific inadequate or poor-quality housing.92 impact on their future economic pandemic public health need (e.g., Eligible services include: outcomes.94 Increases in economic investments in facilities for the delivery D Services to address homelessness hardship, material insecurity, and of vaccines) or a specific negative such as supportive housing, and to parental stress and behavioral health economic impact like those described improve access to stable, affordable challenges all raise the risk of long-term above (e.g., affordable housing in a housing among unhoused individuals; harms to today’s children due to the QCT). The ARPA explicitly includes D Affordable housing development to pandemic. Eligible services to address infrastructure if it is ‘‘necessary’’ and in increase supply of affordable and high- this challenge include: water, sewer, or broadband. See Section quality living units; and D New or expanded high-quality II.D of this SUPPLEMENTARY INFORMATION. D Housing vouchers, residential childcare to provide safe and supportive State, local, and Tribal governments also counseling, or housing navigation care for children; may use the Fiscal Recovery Funds assistance to facilitate household moves D Home visiting programs to provide under sections 602(c)(1)(C) or to neighborhoods with high levels of structured visits from health, parent 603(c)(1)(C) to provide ‘‘government economic opportunity and mobility for educators, and social service services’’ broadly to the extent of their low-income residents, to help residents professionals to pregnant women or reduction in revenue. See Section II.C of increase their economic opportunity families with young children to offer this SUPPLEMENTARY INFORMATION. and reduce concentrated areas of low education and assistance navigating This category of eligible uses also economic opportunity.93 resources for economic support, health would not include contributions to Æ Addressing Educational Disparities. rainy day funds, financial reserves, or As outlined above, school closures and needs, or child development; and D Enhanced services for child welfare- similar funds. Resources made available the transition to remote education raised under this eligible use category are particular challenges for lower-income involved families and foster youth to provide support and training on child intended to help meet pandemic students, potentially exacerbating response needs and provide relief for development, positive parenting, coping educational disparities, while increases households and businesses facing near- skills, or recovery for mental health and in economic hardship among families and long-term negative economic substance use challenges. could have long-lasting impacts on impacts. Contributions to rainy day State, local, and Tribal governments children’s educational and economic funds and similar financial reserves are encouraged to use payments from prospects. Services under this prong would not address these needs or the Fiscal Recovery Funds to respond to would enhance educational supports to respond to the COVID–19 public health the direct and immediate needs of the help mitigate impacts of the pandemic. emergency but would rather constitute pandemic and its negative economic Eligible services include: savings for future spending needs. D New, expanded, or enhanced early impacts and, in particular, the needs of Similarly, this eligible use category learning services, including pre- households and businesses that were would not include payment of interest kindergarten, Head Start, or disproportionately and negatively or principal on outstanding debt partnerships between pre-kindergarten impacted by the public health instruments, including, for example, programs and local education emergency. As highlighted above, low- short-term revenue or tax anticipation authorities, or administration of those income communities and workers and notes, or other debt service costs. As services; people of color have faced more severe discussed below, payments from the D Providing assistance to high-poverty health and economic outcomes during Fiscal Recovery Funds are intended to school districts to advance equitable the pandemic, with pre-existing social be used prospectively and the interim funding across districts and vulnerabilities like low-wage or final rule precludes use of these funds geographies; insecure employment, concentrated to cover the costs of debt incurred prior D Evidence-based educational neighborhoods with less economic to March 3, 2021. Fees or issuance costs services and practices to address the opportunity, and pre-existing health associated with the issuance of new academic needs of students, including disparities likely contributing to the debt would also not be covered using tutoring, summer, afterschool, and other magnified impact of the pandemic. The payments from the Fiscal Recovery Fiscal Recovery Funds provide Funds because such costs would not persistent-urban-inequality-and-concentrated- resources to not only respond to the themselves have been incurred to poverty/. immediate harms of the pandemic but address the needs of pandemic response 92 U.S. Department of Health and Human Services also to mitigate its longer-term impact in (HHS), Office of Disease Prevention and Health or its negative economic impacts. The Promotion, Quality of Housing, https:// compounding the systemic public purpose of the Fiscal Recovery Funds is www.healthypeople.gov/2020/topics-objectives/ health and economic challenges of to provide fiscal relief that will permit topic/social-determinants-health/interventions- disproportionately impacted State, local, and Tribal governments to resources/quality-of-housing#11 (last visited Apr. populations. Treasury encourages continue to respond to the COVID–19 26, 2021). recipients to consider funding uses that 93 The Opportunity Atlas, https:// public health emergency. www.opportunityatlas.org/ (last visited Apr. 26, foster a strong, inclusive, and equitable For the same reasons, this category of 2021); Raj Chetty & Nathaniel Hendren, The recovery, especially uses with long-term eligible uses would not include Impacts of Neighborhoods on Intergenerational benefits for health and economic satisfaction of any obligation arising Mobility I: Childhood Exposure Effects, Quarterly J. outcomes. of Econ. 133(3):1107–162 (2018), available at under or pursuant to a settlement https://opportunityinsights.org/paper/ agreement, judgment, consent decree, or neighborhoodsi/. 94 See supra notes 52 and 84. judicially confirmed debt restructuring

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plan in a judicial, administrative, or affected by the COVID–19 public health contracted or died of COVID–19.96 regulatory proceeding, except to the emergency? Several examples reflect the severity of extent the judgment or settlement Question 7: What are the advantages the health impacts for essential workers. requires the provision of services that and disadvantages of using Qualified Meat processing plants became would respond to the COVID–19 public Census Tracts and services provided by ‘‘hotspots’’ for transmission, with 700 health emergency. That is, satisfaction Tribal governments to delineate where a new cases reported at a single plant on of a settlement or judgment would not broader range of eligible uses are a single day in May 2020.97 In New York itself respond to COVID–19 with respect presumed to be responsive to the public City, 120 employees of the Metropolitan to the public health emergency or its health and economic impacts of Transit Authority were estimated to negative economic impacts, unless the COVID–19? What other measures might have died due to COVID–19 by mid-May settlement requires the provision of Treasury consider? Are there other 2020, with nearly 4,000 testing positive services or aid that did directly respond populations or geographic areas that for the virus.98 Furthermore, many to these needs, as described above. were disproportionately impacted by the essential workers are people of color or In addition, as described in Section pandemic that should be explicitly low-wage workers.99 These workers, in V.III of this SUPPLEMENTARY included? particular, have borne a INFORMATION, Treasury will establish Question 8: Are there other services or disproportionate share of the health and reporting and record keeping costs that Treasury should consider as economic impacts of the pandemic. requirements for uses within this eligible uses to respond to the Such workers include: category, including enhanced reporting disproportionate impacts of COVID–19 • Staff at nursing homes, hospitals, requirements for certain types of uses. on low-income populations and and home care settings; • Question 1: Are there other types of communities? Describe how these Workers at farms, food production services or costs that Treasury should respond to the COVID–19 public health facilities, grocery stores, and emergency or its negative economic restaurants; consider as eligible uses to respond to • the public health impacts of COVID–19? impacts, including its exacerbation of Janitors and sanitation workers; • Truck drivers, transit staff, and Describe how these respond to the pre-existing challenges in these areas. Question 9: The interim final rule warehouse workers; COVID–19 public health emergency. includes eligible uses to support • Public health and safety staff; Question 2: The interim final rule affordable housing and stronger • Childcare workers, educators, and permits coverage of payroll and benefits neighborhoods in disproportionately- other school staff; and costs of public health and safety staff impacted communities. Discuss the • Social service and human services primarily dedicated to COVID–19 advantages and disadvantages of staff. response, as well as rehiring of public explicitly including other uses to During the public health emergency, sector staff up to pre-pandemic levels. support affordable housing and stronger employers’ policies on COVID–19- For how long should these measures neighborhoods, including rehabilitation related hazard pay have varied widely, remain in place? What other measures of blighted properties or demolition of with many essential workers not yet or presumptions might Treasury abandoned or vacant properties. In compensated for the heightened risks consider to assess the extent to which what ways does, or does not, this they have faced and continue to face.100 public sector staff are engaged in potential use address public health or COVID–19 response, and therefore economic impacts of the pandemic? 96 See, e.g., Centers for Disease Control and Prevention, COVID Data Tracker: Cases & Death reimbursable, in an easily-administrable What considerations, if any, could manner? among Healthcare Personnel, https://covid.cdc.gov/ support use of Fiscal Recovery Funds in covid-data-tracker/#health-care-personnel (last Question 3: The interim final rule ways that do not result in resident visited May 4, 2021); Centers for Disease Control permits rehiring of public sector staff up displacement or loss of affordable and Prevention, COVID Data Tracker: Confirmed COVID–19 Cases and Deaths among Staff and Rate to the government’s pre-pandemic housing units? staffing level, which is measured based per 1,000 Resident-Weeks in Nursing Homes, by Week—United States, https://covid.cdc.gov/covid- on employment as of January 27, 2020. B. Premium Pay data-tracker/#nursing-home-staff (last visited May Does this approach adequately measure Fiscal Recovery Funds payments may 4, 2021). the pre-pandemic staffing level in a be used by recipients to provide 97 See, e.g., The Lancet, The plight of essential manner that is both accurate and easily workers during the COVID–19 pandemic, Vol. 395, premium pay to eligible workers Issue 10237:1587 (May 23, 2020), available at administrable? Why or why not? performing essential work during the https://www.thelancet.com/journals/lancet/article/ Question 4: The interim final rule COVID–19 public health emergency or PIIS0140-6736%2820%2931200-9/fulltext. permits deposits to Unemployment to provide grants to third-party 98 Id. Insurance Trust Funds, or using funds employers with eligible workers 99 Joanna Gaitens et al., Covid–19 and essential to pay back advances, up to the pre- 95 workers: A narrative review of health outcomes and performing essential work. These are moral injury, Int’l J. of Envtl. Research and Pub. pandemic balance. What, if any, workers who have been and continue to Health 18(4):1446 (Feb. 4, 2021), available at conditions should be considered to be relied on to maintain continuity of https://pubmed.ncbi.nlm.nih.gov/33557075/; Tiana ensure that funds repair economic operations of essential critical N. Rogers et al., Racial Disparities in COVID–19 impacts of the pandemic and strengthen Mortality Among Essential Workers in the United infrastructure sectors, including those States, World Med. & Health policy 12(3):311–27 unemployment insurance systems? who are critical to protecting the health (Aug. 5, 2020), available at https:// Question 5: Are there other types of and wellbeing of their communities. onlinelibrary.wiley.com/doi/full/10.1002/wmh3.358 services or costs that Treasury should Since the start of the COVID–19 (finding that vulnerability to coronavirus exposure consider as eligible uses to respond to public health emergency in January was increased among non-Hispanic blacks, who disproportionately occupied the top nine essential the negative economic impacts of 2020, essential workers have put their occupations). COVID–19? Describe how these respond physical wellbeing at risk to meet the 100 Economic Policy Institute, Only 30% of those to the COVID–19 public health daily needs of their communities and to working outside their home are receiving hazard emergency. provide care for others. In the course of pay (June 16, 2020), https://www.epi.org/press/only- 30-of-those-working-outside-their-home-are- Question 6: What other measures, this work, many essential workers have receiving-hazard-pay-black-and-hispanic-workers- presumptions, or considerations could are-most-concerned-about-bringing-the- be used to assess ‘‘impacted industries’’ 95 Sections 602(c)(1)(B), 603(c)(1)(B) of the Act. coronavirus-home/.

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Many of these workers earn lower wages as noted above. As provided under The threshold of 150 percent for on average and live in sections 602(g)(2) and 603(g)(2), the requiring additional written justification socioeconomically vulnerable chief executive of each recipient has is based on an analysis of the communities as compared to the general discretion to add additional sectors to distribution of labor income for a population.101 A recent study found that this list, so long as additional sectors are sample of 20 occupations that generally 25 percent of essential workers were deemed critical to protect the health and correspond to the essential workers as estimated to have low household well-being of residents. defined in the interim final rule.106 For income, with 13 percent in high-risk In providing premium pay to essential these occupations, labor income for the households.102 The low pay of many workers or grants to eligible employers, vast majority of workers was under 150 essential workers makes them less able a recipient must consider whether the percent of average annual labor income to cope with the financial consequences pay or grant would ‘‘respond to’’ to the across all occupations. Treasury of the pandemic or their work-related worker or workers performing essential anticipates that the threshold of 150 health risks, including working hours work. Premium pay or grants provided percent of the annual average wage will lost due to sickness or disruptions to under this section respond to workers be greater than the annual average wage childcare and other daily routines, or performing essential work if it addresses of the vast majority of eligible workers the likelihood of COVID–19 spread in the heightened risk to workers who performing essential work. These their households or communities. Thus, must be physically present at a jobsite enhanced reporting requirements help the threats and costs involved with and, for many of whom, the costs to ensure grants are directed to essential maintaining the ongoing operation of associated with illness were hardest to workers in critical infrastructure sectors vital facilities and services have been, bear financially. Many of the workers and responsive to the impacts of the and continue to be, borne by those that performing critical essential services are pandemic observed among essential are often the most vulnerable to the low- or moderate-income workers, such workers, namely the mis-alignment pandemic. The added health risk to as those described above. The ARPA between health risks and compensation. essential workers is one prominent way recognizes this by defining premium Enhanced reporting also provides in which the pandemic has amplified pay to mean an amount up to $13 per transparency to the public. Finally, pre-existing socioeconomic inequities. hour in addition to wages or using a localized measure reflects The Fiscal Recovery Funds will help remuneration the worker otherwise differences in wages and cost of living respond to the needs of essential receives and in an aggregate amount not across the country, making this standard workers by allowing recipients to to exceed $25,000 per eligible worker. administrable and reflective of essential remunerate essential workers for the To ensure the provision is implemented worker incomes across a diverse range elevated health risks they have faced in a manner that compensates these of geographic areas. and continue to face during the public workers, the interim final rule provides Furthermore, because premium pay is health emergency. To ensure that that any premium pay or grants intended to compensate essential premium pay is targeted to workers that provided using the Fiscal Recovery workers for heightened risk due to faced or face heightened risks due to the Funds should prioritize compensation COVID–19, it must be entirely additive character of their work, the interim final of those lower income eligible workers to a worker’s regular rate of wages and rule defines essential work as work that perform essential work. other remuneration and may not be used involving regular in-person interactions As such, providing premium pay to to reduce or substitute for a worker’s or regular physical handling of items eligible workers responds to such normal earnings. The definition of that were also handled by others. A workers by helping address the premium pay also clarifies that worker would not be engaged in disparity between the critical services premium pay may be provided essential work and, accordingly may not and risks taken by essential workers and retrospectively for work performed at receive premium pay, for telework the relatively low compensation they any time since the start of the COVID– performed from a residence. tend to receive in exchange. If premium 19 public health emergency, where Sections 602(g)(2) and 603(g)(2) pay would increase a worker’s total pay those workers have yet to be define eligible worker to mean ‘‘those above 150 percent of their residing compensated adequately for work workers needed to maintain continuity state’s average annual wage for all previously performed.107 Treasury of operations of essential critical occupations, as defined by the Bureau of encourages recipients to prioritize infrastructure sectors and additional Labor Statistics’ Occupational providing retrospective premium pay sectors as each Governor of a State or Employment and Wage Statistics, or where possible, recognizing that many territory, or each Tribal government, their residing county’s average annual essential workers have not yet received may designate as critical to protect the wage, as defined by the Bureau of Labor additional compensation for work health and well-being of the residents of Statistics’ Occupational Employment conducted over the course of many their State, territory, or Tribal and Wage Statistics, whichever is government.’’ 103 The rule incorporates higher, on an annual basis, the State, of Labor Statistics, May 2020 Metropolitan and this definition and provides a list of local, or Tribal government must Nonmetropolitan Area Estimates listed by county or industries recognized as essential provide Treasury and make publicly town, https://www.bls.gov/oes/current/county_ links.htm (last visited May 1, 2021). critical infrastructure sectors.104 These available, whether for themselves or on 106 Treasury performed this analysis with data sectors include healthcare, public health behalf of a grantee, a written from the U.S. Census Bureau’s 2019 Annual Social and safety, childcare, education, justification of how the premium pay or and Economic Supplement. In determining which sanitation, transportation, and food grant is responsive to workers occupations to include in this analysis, Treasury production and services, among others excluded management and supervisory positions, as performing essential worker during the such positions may not necessarily involve regular 105 public health emergency. in-person interactions or physical handling of items 101 McCormack, supra note 37. to the same extent as non-managerial positions. 102 Id. 105 County median annual wage is taken to be that 107 However, such compensation must be ‘‘in 103 Sections 602(g)(2), 603(g)(2) of the Act. of the metropolitan or nonmetropolitan area that addition to’’ remuneration or wages already 104 The list of critical infrastructure sectors includes the county. See U.S. Bureau of Labor received. That is, employers may not reduce such provided in the interim final rule is based on the Statistics, State Occupational Employment and workers’ current pay and use Fiscal Recovery Funds list of essential workers under The Heroes Act, H.R. Wage Estimates, https://www.bls.gov/oes/current/ to compensate themselves for premium pay 6800, 116th Cong. (2020). oessrcst.htm (last visited May 1, 2021); U.S. Bureau previously provided to the worker.

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months. Essential workers who have period 2019.109 At the local level, nearly Sections 602(c)(1)(C) and 603(c)(1)(C) already earned premium pay for 90 percent of cities have reported being of the Act allow recipients facing budget essential work performed during the less able to meet the fiscal needs of their shortfalls to use payments from the COVID–19 public health emergency communities and, on average, cities Fiscal Recovery Funds to avoid cuts to remain eligible for additional payments, expect a double-digit decline in general government services and, thus, enable and an essential worker may receive fund revenues in their fiscal year State, local, and Tribal governments to both retrospective premium pay for 2021.110 Similarly, surveys of Tribal continue to provide valuable services prior work as well as prospective governments and Tribal enterprises and ensure that fiscal austerity measures premium pay for current or ongoing found majorities of respondents do not hamper the broader economic work. reporting substantial cost increases and recovery. The interim final rule To ensure any grants respond to the revenue decreases, with Tribal implements these provisions by needs of essential workers and are made governments reporting reductions in establishing a definition of ‘‘general in a fair and transparent manner, the healthcare, housing, social services, and revenue’’ for purposes of calculating a rule imposes some additional reporting economic development activities as a loss in revenue and by providing a requirements for grants to third-party result of reduced revenues.111 These methodology for calculating revenue employers, including the public budget shortfalls are particularly lost due to the COVID–19 public health disclosure of grants provided. See problematic in the current environment, emergency. Section VIII of this SUPPLEMENTARY as State, local, and Tribal governments General Revenue. The interim final INFORMATION, discussing reporting work to mitigate and contain the rule adopts a definition of ‘‘general requirements. In responding to the COVID–19 pandemic and help citizens revenue’’ based largely on the needs of essential workers, a grant to an weather the economic downturn. components reported under ‘‘General employer may provide premium pay to Further, State, local, and Tribal Revenue from Own Sources’’ in the eligible workers performing essential government budgets affect the broader Census Bureau’s Annual Survey of State work, as these terms are defined in the economic recovery. During the period and Local Government Finances, and for interim final rule and discussed above. following the 2007–2009 recession, purposes of this interim final rule, helps A grant provided to an employer may State and local government budget to ensure that the components of general also be for essential work performed by pressures led to fiscal austerity that was revenue would be calculated in a 115 eligible workers pursuant to a contract. a significant drag on the overall consistent manner. By relying on a For example, if a municipality contracts economic recovery.112 Inflation- methodology that is both familiar and with a third party to perform sanitation adjusted State and local government comprehensive, this approach work, the third-party contractor could revenue did not return to the previous minimizes burden to recipients and be eligible to receive a grant to provide peak until 2013,113 while State, local, provides consistency in the premium pay for these eligible workers. and Tribal government employment did measurement of general revenue across Question 10: Are there additional not recover to its prior peak for over a a diverse set of recipients. The interim final rule defines the term sectors beyond those listed in the decade, until August 2019—just a few ‘‘general revenue’’ to include revenues interim final rule that should be months before the COVID–19 public collected by a recipient and generated considered essential critical health emergency began.114 infrastructure sectors? from its underlying economy and would capture a range of different types of tax Question 11: What, if any, additional 109 Major sources include personal income tax, criteria should Treasury consider to corporate income tax, sales tax, and property tax. revenues, as well as other types of ensure that premium pay responds to See Lucy Dadayan., States Reported Revenue revenue that are available to support essential workers? Growth in July–September Quarter, Reflecting government services.116 In calculating Revenue Shifts from the Prior Quarter, State Tax revenue, recipients should sum across Question 12: What consideration, if and Econ. Rev. (Q. 3, 2020), available at https:// any, should be given to the criteria on www.urban.org/sites/default/files/publication/ all revenue streams covered as general salary threshold, including measure and 103938/state-tax-and-economic-review-2020-q3_ revenue. This approach minimizes the level, for requiring written justification? 0.pdf. administrative burden for recipients, 110 National League of Cities, City Fiscal provides for greater consistency across C. Revenue Loss Conditions (2020), available at https://www.nlc.org/ wp-content/uploads/2020/08/City_Fiscal_ recipients, and presents a more accurate Recipients may use payments from Conditions_2020_FINAL.pdf. representation of the overall impact of the Fiscal Recovery Funds for the 111 Surveys conducted by the Center for Indian provision of government services to the Country Development at the Federal Reserve Bank retrieved from FRED, Federal Reserve Bank of St. extent of the reduction in revenue of Minneapolis in March, April, and September Louis, https://fred.stlouisfed.org/series/ 2020. See Moreno & Sobrepena, supra note 73. CES9092000001 and https://fred.stlouisfed.org/ experienced due to the COVID–19 112 108 See, e.g., Fitzpatrick, Haughwout & Setren, series/CES9093000001 (last visited Apr. 27, 2021). public health emergency. Pursuant to Fiscal Drag from the State and Local Sector?, 115 U.S. Census Bureau, Annual Survey of State sections 602(c)(1)(C) and 603(c)(1)(C) of Liberty Street Economics Blog, Federal Reserve and Local Government Finances, https:// the Act, a recipient’s reduction in Bank of New York (June 27, 2012), https:// www.census.gov/programs-surveys/gov- revenue is measured relative to the www.libertystreeteconomics.newyorkfed.org/2012/ finances.html (last visited Apr. 30, 2021). 06/fiscal-drag-from-the-state-and-local-sector.html; 116 revenue collected in the most recent full The interim final rule would define tax Jiri Jonas, Great Recession and Fiscal Squeeze at revenue in a manner consistent with the Census fiscal year prior to the emergency. U.S. Subnational Government Level, IMF Working Bureau’s definition of tax revenue, with certain Many State, local, and Tribal Paper 12/184, (July 2012), available at https:// changes (i.e., inclusion of revenue from liquor governments are experiencing www.imf.org/external/pubs/ft/wp/2012/ stores and certain intergovernmental transfers). significant budget shortfalls, which can wp12184.pdf; Gordon, supra note 9. Current charges are defined as ‘‘charges imposed for 113 State and local government general revenue providing current services or for the sale of have a devastating impact on from own sources, adjusted for inflation using the products in connection with general government communities. State government tax GDP price index. U.S. Census Bureau, Annual activities.’’ It includes revenues such as public revenue from major sources were down Survey of State Government Finances and U.S. education institution, public hospital, and toll 4.3 percent in the six months ended Bureau of Economic Analysis, National Income and revenues. Miscellaneous general revenue comprises Product Accounts. of all other general revenue of governments from September 2020, relative to the same 114 U.S. Bureau of Labor Statistics, All Employees, their own sources (i.e., other than liquor store, State Government [CES9092000001] and All utility, and insurance trust revenue), including 108 ARPA, supra note 16. Employees, Local Government [CES9093000001], rents, royalties, lottery proceeds, and fines.

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the COVID–19 public health emergency intergovernmental transfers. When reasons unrelated to the COVID–19 on a recipient’s revenue, rather than attributing revenue to a unit of public health emergency, to minimize relying on financial reporting prepared government, the Census Bureau’s the administrative burden on recipients by each recipient, which vary in methodology considers which unit of and taking into consideration the methodology used and which generally government imposes, collects, and devastating effects of the COVID–19 aggregates revenue by purpose rather retains the revenue and assigns the public health emergency, any than by source.117 revenue to the unit of government that diminution in actual revenues relative Consistent with the Census Bureau’s meets at least two of those three to the counterfactual pre-pandemic definition of ‘‘general revenue from own factors.119 For purposes of measuring trend would be presumed to have been sources,’’ the definition of general loss in general revenue due to the due to the COVID–19 public health revenue in the interim final rule would COVID–19 public health emergency and emergency. exclude refunds and other correcting to better allow continued provision of For purposes of measuring revenue transactions, proceeds from issuance of government services, the retention and growth in the counterfactual trend, debt or the sale of investments, and ability to use the revenue is a more recipients may use a growth adjustment agency or private trust transactions. The critical factor. Accordingly, and to better of either 4.1 percent per year or the definition of general revenue also would measure the funds available for the recipient’s average annual revenue exclude revenue generated by utilities provision of government services, the growth over the three full fiscal years and insurance trusts. In this way, the definition of general revenue would prior to the COVID–19 public health definition of general revenue focuses on include intergovernmental transfers emergency, whichever is higher. The sources that are generated from from States or local governments other option of 4.1 percent represents the economic activity and are available to than funds transferred pursuant to average annual growth across all State fund government services, rather than a ARPA, CRF, or another Federal and local government ‘‘General Revenue fund or administrative unit established program. This formulation recognizes from Own Sources’’ in the most recent to account for and control a particular the importance of State transfers for three years of available data.122 This activity.118 For example, public utilities local government revenue.120 approach provides recipients with a typically require financial support from Calculation of Loss. In general, standardized growth adjustment when the State, local, or Tribal government, recipients will compute the extent of the calculating the counterfactual revenue rather than providing revenue to such reduction in revenue by comparing trend and thus minimizes government, and any revenue that is actual revenue to a counterfactual trend administrative burden, while not generated by public utilities typically is representing what could have been disadvantaging recipients with revenue used to support the public utility’s expected to occur in the absence of the growth that exceeded the national continued operation, rather than being pandemic. This approach measures average prior to the COVID–19 public used as a source of revenue to support losses in revenue relative to the most health emergency by permitting these government services generally. recent fiscal year prior to the COVID–19 recipients to use their own revenue The definition of general revenue public health emergency by using the growth rate over the preceding three would include all revenue from Tribal most recent pre-pandemic fiscal year as years. enterprises, as this revenue is generated the starting point for estimates of Recipients should calculate the extent from economic activity and is available revenue growth absent the pandemic. In of the reduction in revenue as of four to fund government services. Tribes are other words, the counterfactual trend points in time: December 31, 2020; not able to generate revenue through starts with the last full fiscal year prior December 31, 2021; December 31, 2022; taxes in the same manner as State and to the COVID–19 public health and December 31, 2023. To calculate the local governments and, as a result, emergency and then assumes growth at extent of the reduction in revenue at Tribal enterprises are critical sources of a constant rate in the subsequent years. each of these dates, recipients should revenue for Tribal governments that Because recipients can estimate the follow a four-step process: enable Tribal governments to provide a revenue shortfall at multiple points in • Step 1: Identify revenues collected range of services, including elder care, time throughout the covered period as in the most recent full fiscal year prior health clinics, wastewater management, revenue is collected, this approach to the public health emergency (i.e., last and forestry. accounts for variation across recipients full fiscal year before January 27, 2020), Finally, the term ‘‘general revenue’’ in the timing of pandemic impacts.121 called the base year revenue. includes intergovernmental transfers Although revenue may decline for • Step 2: Estimate counterfactual between State and local governments, revenue, which is equal to base year but excludes intergovernmental 119 U.S. Census Bureau, Government Finance and revenue * [(1 + growth adjustment) ∧ (n/ transfers from the Federal Government, Employment Classification Manual (Dec. 2000), 12)], where n is the number of months including Federal transfers made via a https://www2.census.gov/govs/class/classfull.pdf. elapsed since the end of the base year 120 For example, in 2018, state transfers to State to a local government pursuant to localities accounted for approximately 27 percent of to the calculation date, and growth the CRF or as part of the Fiscal Recovery local revenues. U.S. Census Bureau, Annual Survey adjustment is the greater of 4.1 percent Funds. States and local governments of State and Local Government Finances, Table 1 and the recipient’s average annual often share or collect revenue on behalf (2018), https://www.census.gov/data/datasets/2018/ revenue growth in the three full fiscal of one another, which results in econ/local/public-use-datasets.html. 121 For example, following the 2007–09 recession, local government property tax collections did not 122 Together with revenue from liquor stores from 117 Fund-oriented reporting, such as what is used begin to decline until 2011, suggesting that property 2015 to 2018. This estimate does not include any under the Governmental Accounting Standards tax collection declines can lag downturns. See U.S. intergovernmental transfers. A recipient using the Board (GASB), focuses on the types of uses and Bureau of Economic Analysis, Personal current three-year average to calculate their growth activities funded by the revenue, as opposed to the taxes: State and local: Property taxes adjustment must be based on the definition of economic activity from which the revenue is [S210401A027NBEA], retrieved from Federal general revenue, including treatment of sourced. See Governmental Accounting Standards Reserve Economic Data, Federal Reserve Bank of St. intergovernmental transfers. 2015–2018 represents Series, Statement No. 54 of the Governmental Louis, https://fred.stlouisfed.org/graph/?g=r3YI (last the most recent available data. See U.S. Census Accounting Standards Board: Fund Balance visited Apr. 22, 2021). Estimating the reduction in Bureau, State & Local Government Finance Reporting and Governmental Fund Type revenue at points throughout the covered period Historical Datasets and Tables (2018), https:// Definitions, No. 287–B (Feb. 2009). will allow for this type of lagged effect to be taken www.census.gov/programs-surveys/gov-finances/ 118 Supra note 116. into account during the covered period. data/datasets.html.

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years prior to the COVID–19 public revenue less actual revenue. If actual percent is greater than the recipient’s health emergency. revenue exceeds counterfactual revenue, average annual revenue growth in the • Step 3: Identify actual revenue, the extent of the reduction in revenue is three full fiscal years prior to the public which equals revenues collected over set to zero for that calculation date. health emergency. Furthermore, this the past twelve months as of the For illustration, consider a recipient’s base year ends June 30. In calculation date. hypothetical recipient with base year this illustration, n (months elapsed) and • Step 4: The extent of the reduction revenue equal to 100. In Step 2, the counterfactual revenue would be equal in revenue is equal to counterfactual hypothetical recipient finds that 4.1 to:

As of: 12/31/2020 12/31/2021 12/31/2022 12/31/2023

n (months elapsed)...... 18 30 42 54 Counterfactual revenue: ...... 106.2 110.6 115.1 119.8

The overall methodology for calculating the reduction in revenue is illustrated in the figure below:

140 c::::::::J Base year revenue - Extent of reduction in revenue 130 -Actual revenue (last twelve months) - +- - Counterfactual revenue 120 ------110 ------100 ------

80 "Q) ~ ~'1, ~ l1 rlf1~" ,l1 0cJ ,:,-::f Q Q Q Q

Upon receiving Fiscal Recovery Fund borrowed money would not be not be considered provision of a payments, recipients may immediately considered the provision of government government service, since such calculate revenue loss for the period services, as these financing expenses do expenses do not directly relate to the ending December 31, 2020. not directly provide services or aid to provision of government services. Sections 602(c)(1)(C) and 603(c)(1)(C) citizens. Specifically, government Question 13: Are there sources of of the Act provide recipients with broad services would not include interest or revenue that either should or should not latitude to use the Fiscal Recovery principal on any outstanding debt be included in the interim final rule’s Funds for the provision of government instrument, including, for example, measure of ‘‘general revenue’’ for services. Government services can short-term revenue or tax anticipation recipients? If so, discuss why these include, but are not limited to, notes, or fees or issuance costs sources either should or should not be maintenance or pay-go funded associated with the issuance of new included. building 123 of infrastructure, including debt. For the same reasons, government Question 14: In the interim final rule, roads; modernization of cybersecurity, services would not include satisfaction recipients are expected to calculate the including hardware, software, and of any obligation arising under or reduction in revenue on an aggregate protection of critical infrastructure; pursuant to a settlement agreement, basis. Discuss the advantages and health services; environmental judgment, consent decree, or judicially disadvantages of, and any potential remediation; school or educational confirmed debt restructuring in a concerns with, this approach, including services; and the provision of police, judicial, administrative, or regulatory circumstances in which it could be proceeding, except if the judgment or fire, and other public safety services. necessary or appropriate to calculate settlement required the provision of However, expenses associated with the reduction in revenue by source. government services. That is, Question 15: Treasury is considering obligations under instruments satisfaction of a settlement or judgment whether to take into account other evidencing financial indebtedness for itself is not a government service, unless factors, including actions taken by the the settlement required the provision of recipient as well as the expiration of the 123 Pay-go infrastructure funding refers to the practice of funding capital projects with cash-on- government services. In addition, COVID–19 public health emergency, in hand from taxes, fees, grants, and other sources, replenishing financial reserves (e.g., determining whether to presume that rather than with borrowed sums. rainy day or other reserve funds) would revenue losses are ‘‘due to’’ the COVID–

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19 public health emergency. Discuss the ensure that water, sewer, and broadband Established by the 1987 advantages and disadvantages of this projects use strong labor standards, amendments 127 to the Clean Water Act presumption, including when, if ever, including project labor agreements and (CWA),128 the CWSRF provides during the covered period it would be community benefits agreements that financial assistance for a wide range of appropriate to reevaluate the offer wages at or above the prevailing water infrastructure projects to improve presumption that all losses are rate and include local hire provisions, water quality and address water attributable to the COVID–19 public not only to promote effective and pollution in a way that enables each health emergency. efficient delivery of high-quality State to address and prioritize the needs Question 16: Do recipients anticipate infrastructure projects but also to of their populations. The types of lagged revenue effects of the public support the economic recovery through projects eligible for CWSRF assistance health emergency? If so, when would strong employment opportunities for include projects to construct, improve, these lagged effects be expected to workers. Using these practices in and repair wastewater treatment plants, occur, and what can Treasury to do construction projects may help to control non-point sources of pollution, support these recipients through its ensure a reliable supply of skilled labor improve resilience of infrastructure to implementation of the program? that would minimize disruptions, such severe weather events, create green Question 17: In the interim final rule, as those associated with labor disputes infrastructure, and protect waterbodies 129 paying interest or principal on or workplace injuries. from pollution. Each of the 51 State government debt is not considered programs established under the CWSRF To provide public transparency on provision of a government service. have the flexibility to direct funding to whether projects are using practices that Discuss the advantages and their particular environmental needs, promote on-time and on-budget disadvantages of this approach, and each State may also have its own delivery, Treasury will seek information including circumstances in which statutes, rules, and regulations that from recipients on their workforce plans 130 paying interest or principal on guide project eligibility. government debt could be considered and practices related to water, sewer, The DWSRF was modeled on the provision of a government service. and broadband projects undertaken with CWSRF and created as part of the 1996 Fiscal Recovery Funds. Treasury will amendments to the Safe Drinking Water D. Investments in Infrastructure provide additional guidance and Act (SDWA),131 with the principal To assist in meeting the critical need instructions on the reporting objective of helping public water for investments and improvements to requirements at a later date. systems obtain financing for improvements necessary to protect existing infrastructure in water, sewer, 1. Water and Sewer Infrastructure and broadband, the Fiscal Recovery public health and comply with drinking Funds provide funds to State, local, and The ARPA provides funds to State, water regulations.132 Like the CWSRF, Tribal governments to make necessary local, and Tribal governments to make investments in these sectors. The necessary investments in water and 127 Water Quality Act of 1987, Public Law 100– 4. 125 interim final rule outlines eligible uses sewer infrastructure. By permitting 128 Federal Water Pollution Control Act as within each category, allowing for a funds to be used for water and sewer amended, codified at 33 U.S.C. 1251 et seq., broad range of necessary investments in infrastructure needs, Congress common name (Clean Water Act). In 2009, the projects that improve access to clean recognized the critical role that clean American Recovery and Reinvestment Act created the Green Project Reserve, which increased the drinking water, improve wastewater and drinking water and services for the focus on green infrastructure, water and energy stormwater infrastructure systems, and collection and treatment of wastewater efficient, and environmentally innovative projects. provide access to high-quality and stormwater play in protecting Public Law 111–5. The CWA was amended by the broadband service. Necessary Water Resources Reform and Development Act of public health. Understanding that State, 2014 to further expand the CWSRF’s eligibilities. investments are designed to provide an local, and Tribal governments have a Public Law 113–121. The CWSRF’s eligibilities were adequate minimum level of service and broad range of water and sewer further expanded in 2018 by the America’s Water are unlikely to be made using private infrastructure needs, the interim final Infrastructure Act of 2018, Public Law 115–270. sources of funds. Necessary investments 129 See Environmental Protection Agency, The rule provides these governments with Drinking Water State Revolving Funds: Financing include projects that are required to wide latitude to identify investments in America’s Drinking Water, EPA–816–R–00–023 maintain a level of service that, at least, water and sewer infrastructure that are (Nov. 2000), https://nepis.epa.gov/Exe/ZyPDF.cgi/ meets applicable health-based of the highest priority for their own 200024WB.PDF?Dockey=200024WB.PDF; See also standards, taking into account resilience Environmental Protection Agency, Learn About the communities, which may include Clean Water State Revolving Fund, https:// to climate change, or establishes or projects on privately-owned www.epa.gov/cwsrf/learn-about-clean-water-state- improves broadband service to unserved infrastructure. The interim final rule revolving-fund-cwsrf (last visited Apr. 30, 2021). or underserved populations to reach an does this by aligning eligible uses of the 130 33 U.S.C. 1383(c). See also Environmental adequate level to permit a household to Protection Agency, Overview of Clean Water State Fiscal Recovery Funds with the wide Revolving Fund Eligibilities (May 2016), https:// work or attend school, and that are range of types or categories of projects www.epa.gov/sites/production/files/2016-07/ unlikely to be met with private sources that would be eligible to receive documents/overview_of_cwsrf_eligibilities_may_ of funds.124 financial assistance through the 2016.pdf; Claudia Copeland, Clean Water Act: A It is important that necessary Summary of the Law, Congressional Research Environmental Protection Agency’s Service (Oct. 18, 2016), https://fas.org/sgp/crs/misc/ investments in water, sewer, or (EPA) Clean Water State Revolving RL30030.pdf; Jonathan L Ramseur, Wastewater broadband infrastructure be carried out Fund (CWSRF) or Drinking Water State Infrastructure: Overview, Funding, and Legislative in ways that produce high-quality Revolving Fund (DWSRF).126 Developments, Congressional Research Service infrastructure, avert disruptive and (May 22, 2018), https://fas.org/sgp/crs/misc/ R44963.pdf. costly delays, and promote efficiency. 125 Sections 602(c)(1)(D), 603(c)(1)(D) of the Act. 131 42 U.S.C. 300j–12. Treasury encourages recipients to 126 Environmental Protection Agency, Drinking 132 Environmental Protection Agency, Drinking Water State Revolving fund, https://www.epa.gov/ Water State Revolving Fund Eligibility Handbook, 124 Treasury notes that using funds to support or dwsrf (last visited Apr. 30, 2021); Environmental (June 2017), https://www.epa.gov/sites/production/ oppose collective bargaining would not be included Protection Agency, Clean Water State Revolving files/2017-06/documents/dwsrf_eligibility_ as part of ‘‘necessary investments in water, sewer, Fund, https://www.epa.gov/cwsrf (last visited Apr. handbook_june_13_2017_updated_508_version.pdf; or broadband infrastructure.’’ 30, 2021). Environmental Protection Agency, Drinking Water

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the DWSRF provides States with the In addition, responding to the support efforts to address climate flexibility to meet the needs of their immediate needs of the COVID–19 change. For example, by taking steps to populations.133 The primary use of public health emergency may have manage potential sources of pollution DWSRF funds is to assist communities diverted both personnel and financial and preventing these sources from in making water infrastructure capital resources from other State, local, and reaching sources of drinking water, improvements, including the Tribal priorities, including projects to projects eligible under the DWSRF and installation and replacement of failing ensure compliance with applicable the ARPA may reduce energy required treatment and distribution systems.134 water health and quality standards and to treat drinking water. Similarly, In administering these programs, States provide safe drinking and usable projects eligible under the CWSRF must give priority to projects that ensure water.137 Through sections 602(c)(1)(D) include measures to conserve and reuse compliance with applicable health and and 603(c)(1)(D), the ARPA provides water or reduce the energy consumption environmental safety requirements; resources to address these needs. of public water treatment facilities. address the most serious risks to human Moreover, using Fiscal Recovery Funds Treasury encourages recipients to health; and assist systems most in need in accordance with the priorities of the consider green infrastructure on a per household basis according to CWA and SWDA to ‘‘assist systems investments and projects to improve State affordability criteria.135 most in need on a per household basis resilience to the effects of climate By aligning use of Fiscal Recovery according to state affordability criteria’’ change. For example, more frequent and Funds with the categories or types of would also have the benefit of providing extreme precipitation events combined eligible projects under the existing EPA vulnerable populations with safe with construction and development state revolving fund programs, the drinking water that is critical to their trends have led to increased instances of interim final rule provides recipients health and, thus, their ability to work stormwater runoff, water pollution, and with the flexibility to respond to the and learn.138 flooding. Green infrastructure projects needs of their communities while Recipients may use Fiscal Recovery that support stormwater system ensuring that investments in water and Funds to invest in a broad range of resiliency could include rain gardens sewer infrastructure made using Fiscal projects that improve drinking water that provide water storage and filtration Recovery Funds are necessary. As infrastructure, such as building or benefits, and green streets, where discussed above, the CWSRF and upgrading facilities and transmission, vegetation, soil, and engineered systems DWSRF were designed to provide distribution, and storage systems, are combined to direct and filter funding for projects that protect public including replacement of lead service rainwater from impervious surfaces. In health and safety by ensuring lines. Given the lifelong impacts of lead cases of a natural disaster, recipients compliance with wastewater and exposure for children, and the may also use Fiscal Recovery Funds to drinking water health standards.136 The widespread nature of lead service lines, provide relief, such as interconnecting need to provide funding through the Treasury encourages recipients to water systems or rehabilitating existing state revolving funds suggests that these consider projects to replace lead service wells during an extended drought. Question 18: What are the advantages projects are less likely to be addressed lines. and disadvantages of aligning eligible with private sources of funding; for Fiscal Recovery Funds may also be uses with the eligible project type example, by remediating failing or used to support the consolidation or establishment of drinking water requirements of the DWSRF and inadequate infrastructure, much of CWSRF? What other water or sewer which is publicly owned, and by systems. With respect to wastewater infrastructure, recipients may use Fiscal project categories, if any, should addressing non-point sources of Treasury consider in addition to DWSRF pollution. This approach of aligning Recovery Funds to construct publicly owned treatment infrastructure, manage and CWSRF eligible projects? Should with the EPA state revolving fund Treasury consider a broader general programs also supports expedited and treat stormwater or subsurface drainage water, facilitate water reuse, category of water and sewer projects? project identification and investment so Question 19: What additional water that needed relief for the people and and secure publicly owned treatment works, among other uses. Finally, and sewer infrastructure categories, if communities most affected by the any, should Treasury consider to pandemic can deployed expeditiously consistent with the CWSRF and DWSRF, Fiscal Recovery Funds may be address and respond to the needs of and have a positive impact on their unserved, undeserved, or rural used for cybersecurity needs to protect health and wellbeing as soon as communities? How do these projects water or sewer infrastructure, such as possible. Further, the interim final rule differ from DWSFR and CWSRF eligible developing effective cybersecurity is intended to preserve flexibility for projects? award recipients to direct funding to practices and measures at drinking Question 20: What new categories of their own particular needs and priorities water systems and publicly owned water and sewer infrastructure, if any, and would not preclude recipients from treatment works. should Treasury consider to support Many of the types of projects eligible applying their own additional project State, local, and Tribal governments in under either the CWSRF or DWSRF also eligibility criteria. mitigating the negative impacts of climate change? Discuss emerging 137 House Committee on the Budget, State and Infrastructure Needs Survey and Assessment: Sixth Local Governments are in Dire Need of Federal technologies and processes that support Report to Congress (March 2018), https:// Relief (Aug. 19, 2020), https://budget.house.gov/ resiliency of water and sewer www.epa.gov/sites/production/files/2018-10/ _ _ _ _ publications/report/state-and-local-governments- infrastructure. Discuss any challenges documents/corrected sixth drinking water are-dire-need-federal-relief. infrastructure_needs_survey_and_assessment.pdf. faced by States and local governments 138 Environmental Protection Agency, Drinking 133 Id. Water State Revolving Fund (Nov. 2019), https:// when pursuing or implementing climate 134 Id. www.epa.gov/sites/production/files/2019-11/ resilient infrastructure projects. 135 42 U.S.C. 300j–12(b)(3)(A). documents/fact_sheet_-_dwsrf_overview_final_ Question 21: Infrastructure projects 136 Environmental Protection Agency, Learn 0.pdf; Environmental Protection Agency, National related to dams and reservoirs are About the Clean Water State Revolving Fund, Benefits Analysis for Drinking Water Regulations, https://www.epa.gov/cwsrf/learn-about-clean-water- https://www.epa.gov/sdwa/national-benefits- generally not eligible under the CWSRF state-revolving-fund-cwsrf (last visited Apr. 30, analysis-drinking-water-regulations (last visited and DWSRF categories. Should Treasury 2021); 42 U.S.C. 300j–12. Apr. 30, 2020). consider expanding eligible

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infrastructure under the interim final exists, broadband access may be out of a minimum of 100 Mbps symmetrical rule to include dam and reservoir reach for millions of Americans because for download and upload speeds.144 In projects? Discuss public health, it is unaffordable, as the United States setting these standards, Treasury environmental, climate, or equity has some of the highest broadband identified speeds necessary to ensure benefits and costs in expanding the prices in the Organisation for Economic that broadband infrastructure is eligibility to include these types of Co-operation and Development sufficient to enable users to generally projects. (OECD).141 There are disparities in meet household needs, including the availability as well; historically, ability to support the simultaneous use 2. Broadband Infrastructure Americans living in territories and of work, education, and health The COVID–19 public health Tribal lands as well as rural areas have applications, and also sufficiently emergency has underscored the disproportionately lacked sufficient robust to meet increasing household importance of universally available, broadband infrastructure.142 Moreover, demands for bandwidth. Treasury also high-speed, reliable, and affordable rapidly growing demand has, and will recognizes that different communities broadband coverage as millions of likely continue to, quickly outpace and their members may have a broad Americans rely on the internet to infrastructure capacity, a phenomenon range of internet needs and that those participate in, among critical activities, acknowledged by various states around needs may change over time. remote school, healthcare, and work. the country that have set scalability In considering the appropriate speed Recognizing the need for such requirements to account for this requirements for eligible projects, connectivity, the ARPA provides funds anticipated growth in demand.143 Treasury considered estimates of typical to State, territorial, local, and Tribal The interim final rule provides that households demands during the governments to make necessary eligible investments in broadband are pandemic. Using the Federal investments in broadband those that are designed to provide Communication Commission’s (FCC) infrastructure. services meeting adequate speeds and Broadband Speed Guide, for example, a The National Telecommunications are provided to unserved and household with two telecommuters and and Information Administration (NTIA) underserved households and two to three remote learners today are highlighted the growing necessity of businesses. Understanding that States, estimated to need 100 Mbps download broadband in daily lives through its territories, localities, and Tribal to work simultaneously.145 In analysis of NTIA Internet Use Survey governments have a wide range of households with more members, the data, noting that Americans turn to varied broadband infrastructure needs, demands may be greater, and in broadband internet access service for the interim final rule provides award households with fewer members, the every facet of daily life including work, recipients with flexibility to identify the demands may be less. study, and healthcare.139 With increased specific locations within their In considering the appropriate speed use of technology for daily activities and communities to be served and to requirements for eligible projects, the movement by many businesses and otherwise design the project. Treasury also considered data usage schools to operating remotely during the Under the interim final rule, eligible patterns and how bandwidth needs have pandemic, broadband has become even projects are expected to be designed to changed over time for U.S. households more critical for people across the deliver, upon project completion, and businesses as people’s use of country to carry out their daily lives. service that reliably meets or exceeds technology in their daily lives has By at least one measure, however, symmetrical upload and download evolved. In the few years preceding the tens of millions of Americans live in speeds of 100 Mbps. There may be pandemic, market research data showed areas where there is no broadband instances in which it would not be that average upload speeds in the infrastructure that provides download practicable for a project to deliver such United States surpassed over 10 Mbps speeds greater than 25 Mbps and upload service speeds because of the geography, in 2017 146 and continued to increase speeds of 3 Mbps.140 By contrast, as topography, or excessive costs significantly, with the average upload noted below, many households use associated with such a project. In these speed as of November, 2019 increasing upload and download speeds of 100 instances, the affected project would be to 48.41 Mbps,147 attributable, in part to Mbps to meet their daily needs. Even in expected to be designed to deliver, upon a shift to using broadband and the areas where broadband infrastructure project completion, service that reliably internet by individuals and businesses meets or exceeds 100 Mbps download 139 See, e.g., https://www.ntia.gov/blog/2020/ and between at least 20 Mbps and 100 144 This scalability threshold is consistent with more-half-american-households-used-internet- Mbps upload speeds and be scalable to scalability requirements used in other jurisdictions. health-related-activities-2019-ntia-data-show; Id. 145 https://www.ntia.gov/blog/2020/nearly-third- 141 How Do U.S. Internet Costs Compare To The Federal Communications Commission, american-employees-worked-remotely-2019-ntia- Rest Of The World?, BroadbandSearch Blog Post, Broadband Speed Guide, https://www.fcc.gov/ data-show; and generally, https://www.ntia.gov/ available at https://www.broadbandsearch.net/blog/ consumers/guides/broadband-speed-guide (last data/digital-nation-data-explorer. internet-costs-compared-worldwide. visited Apr. 30, 2021). 146 140 As an example, data from the Federal 142 See, e.g., Federal Communications Letter from Lisa R. Youngers, President and Communications Commission shows that as of June Commission, Fourteenth Broadband Deployment CEO of Fiber Broadband Association to FCC, WC 2020, 9.07 percent of the U.S. population had no Report, available at https://docs.fcc.gov/public/ Docket No. 19–126 (filed Jan. 3, 2020), including an available cable or fiber broadband providers attachments/FCC-21-18A1.pdf. Appendix with research from RVA LLC, Data providing greater than 25 Mbps download speeds 143 See, e.g., Illinois Department of Commerce & Review Of The Importance of Upload Speeds (Jan. and 3 Mbps upload speeds. Availability was Economic Opportunity, Broadband Grants, h (last 2020), and Ookla speed test data, available at significantly less for rural versus urban populations, visited May 9, 2021), https://www2.illinois.gov/ https://ecfsapi.fcc.gov/file/101030085118517/ with 35.57 percent of the rural population lacking dceo/ConnectIllinois/Pages/BroadbandGrants.aspx; FCC%20RDOF%20Jan%203%20 such access, compared with 2.57 percent of the Kansas Office of Broadband Development, Ex%20Parte.pdf.Additional information on historic urban population. Availability was also Broadband Acceleration Grant, https:// growth in data usage is provided in Schools, Health significantly less for tribal versus non-tribal www.kansascommerce.gov/wp-content/uploads/ & Libraries Broadband Coalition, Common Sense populations, with 35.93 percent of the tribal 2020/11/Broadband-Acceleration-Grant.pdf (last Solutions for Closing the Digital Divide, Apr. 29, population lacking such access, compared with 8.74 visited May 9, 2021); New York State Association 2021. of the non-tribal population. Federal of Counties, Universal Broadband: Deploying High 147 Id. See also United States’s Mobile and Communications Commission, Fixed Broadband Speed Internet Access in NYS (Jul. 2017), https:// Broadband internet Speeds—Speedtest Global Deployment, https://broadbandmap.fcc.gov/#/ (last www.nysac.org/files/BroadbandUpdate Index, available at https://www.speedtest.net/ visited May 9, 2021). Report2017(1).pdf. global-index/united-states#fixed.

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to create and share content using video gigabytes.152 OpenVault also noted infrastructure to eligible service areas of sharing, video conferencing, and other significant increases in upstream usage the country also prioritizes projects applications.148 among the data users it observed, with designed to provide broadband service The increasing use of data accelerated upstream data usage growing 63 with a download speed of not less than markedly during the pandemic as percent—from 19 gigabytes to 31 100 Mbps and an upload speed of not gigabytes—between December, 2019 and less than 20 Mbps.157 households across the country became 153 increasingly reliant on tools and December, 2020. According to an The 100 Mbps upload and download speeds will support the increased and applications that require greater internet OECD Broadband statistic from June 2020, the largest percentage of U.S. growing needs of households and capacity, both to download data but also broadband subscribers have services businesses. Recognizing that, in some to upload data. Sending information providing speeds between 100 Mbps instances, 100 Mbps upload speed may became as important as receiving it. A and 1 Gbps.154 be impracticable due to geographical, video consultation with a healthcare Jurisdictions and Federal programs topographical, or financial constraints, provider or participation by a child in are increasingly responding to the the interim final rule permits upload a live classroom with a teacher and growing demands of their communities speeds of between at least 20 Mbps and fellow students requires video to be sent for both heightened download and 100 Mbps in such instances. To provide and received simultaneously.149 As an upload speeds. For example, Illinois for investments that will accommodate example, some video conferencing now requires 100 Mbps symmetrical technologies requiring symmetry in technology platforms indicate that service as the construction standard for download and upload speeds, as noted download and upload speeds should be its state broadband grant programs. This above, eligible projects that are not roughly equal to support two-way, standard is also consistent with speed 150 designed to deliver, upon project interactive video meetings. For both levels, particularly download speed completion, service that reliably meets work and school, client materials or levels, prioritized by other Federal or exceeds symmetrical speeds of 100 completed school assignments, which programs supporting broadband Mbps because it would be impracticable may be in the form of PDF files, videos, projects. Bids submitted as part of the to do so should be designed so that they or graphic files, also need to be shared FCC in its Rural Digital Opportunity can be scalable to such speeds. with others. This is often done by Fund (RDOF), established to support the Recipients are also encouraged to uploading materials to a collaboration construction of broadband networks in prioritize investments in fiber optic site, and the upload speed available to rural communities across the country, infrastructure where feasible, as such a user can have a significant impact on are given priority if they offer faster advanced technology enables the next the time it takes for the content to be service, with the service offerings of 100 generation of application solutions for 151 shared with others. These activities Mbps download and 20 Mbps upload all communities. require significant capacity from home being included in the ‘‘above baseline’’ Under the interim final rule, eligible internet connections to both download performance tier set by the FCC.155 The projects are expected to focus on and upload data, especially when there Broadband Infrastructure Program locations that are unserved or are multiple individuals in one (BBIP) 156 of the Department of underserved. The interim final rule household engaging in these activities Commerce, which provides Federal treats users as being unserved or simultaneously. funding to deploy broadband underserved if they lack access to a This need for increased broadband wireline connection capable of reliably capacity during the pandemic was 152 OVBI: Covid-19 Drove 15 percent Increase in delivering at least minimum speeds of Broadband Traffic in 2020, OpenVault, Quarterly 25 Mbps download and 3 Mbps upload reflected in increased usage patterns Advisory, (Feb. 10, 2021), available at https:// seen over the last year. As OpenVault openvault.com/ovbi-covid-19-drove-51-increase-in- as households and businesses lacking noted in recent advisories, the broadband-traffic-in-2020; See OpenVault’s data set this level of access are generally not pandemic significantly increased the incorporates information on usage by subscribers viewed as being able to originate and across multiple continents, including North receive high-quality voice, data, amount of data users consume. Among America and Europe. Additional data and detail on data users observed by OpenVault, per- increases in the amount of data users consume and graphics, and video subscriber average data usage for the the broadband speeds they are using is provided in telecommunications. This threshold is fourth quarter of 2020 was 482.6 OpenVault Broadband Insights Report Q4, consistent with the FCC’s benchmark for gigabytes per month, representing a 40 Quarterly Advisory (Feb. 10, 2021), available at an ‘‘advanced telecommunications https://openvault.com/complimentary-report-4q20/. capability.’’ 158 This threshold is also percent increase over the 344 gigabytes 153 OVBI Special Report: 202 Upstream Growth consumed in the fourth quarter of 2019 Nearly 4X of Pre-Pandemic Years, OpenVault, consistent with thresholds used in other and a 26 percent increase over the third Quarterly Advisory, (April 1, 20201), available at Federal programs to identify eligible quarter 2020 average of 383.8 https://openvault.com/ovbi-special-report-2020- areas to be served by programs to upstream-growth-rate-nearly-4x-of-pre-pandemic- improve broadband services. For years/; Additional data is provided in OpenVault 148 Id. Broadband Insights Pandemic Impact on Upstream example, in the FCC’s RDOF program, 149 One high definition Zoom meeting or class Broadband Usage and Network Capacity, available eligible areas include those without requires approximately 3.8 Mbps/3.0 Mbps (up/ at https://openvault.com/upstream-whitepaper/. current (or already funded) access to down). 154 Organisation for Economic Co-operation and terrestrial broadband service providing 150 See, e.g., Zoom, System Requirements for Development, Fixed broadband subscriptions per 25 Mbps download and 3 Mbps upload Windows, macOS, and Linux, https:// 100 inhabitants, per speed tiers (June 2020), https:// 159 support.zoom.us/hc/en-us/articles/201362023- www.oecd.org/sti/broadband/5.1-FixedBB- speeds. The Department of System-requirements-for-Windows-macOS-and- SpeedTiers-2020-06.xls www.oecd.org/sti/ Commerce’s BBIP also considers Linux#h_d278c327-e03d-4896-b19a-96a8f3c0c69c broadband/broadband-statistics. households to be ‘‘unserved’’ generally (last visited May 8, 2021). 155 Rural Digital Opportunity Fund, Report and if they lack access to broadband service 151 By one estimate, to upload a one gigabit video Order, 35 FCC Rcd 686, 690, para. 9 (2020), file to YouTube would take 15 minutes at an upload available at https://www.fcc.gov/document/fcc- speed of 10 Mbps compared with 1 minute, 30 launches-20-billion-rural-digital-opportunity-fund- 157 Section 905(d)(4) of the Consolidated seconds at an upload speed of 100 Mbps, and 30 0. Appropriations Act, 2021. seconds at an upload speed of 300 Mbps. 156 The BIPP was authorized by the Consolidated 158 Deployment Report, supra note 142. Reviews.org: What is Symmetrical internet? (March Appropriations Act, 2021, Section 905, Public Law 159 Rural Digital Opportunity Fund, supra note 2020). 116–260, 134 Stat. 1182 (Dec. 27, 2020). 156.

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with a download speed of not less than Question 25: What are the advantages four eligible uses reflect Congress’s 25 Mbps download and 3 Mbps upload, and disadvantages of focusing these judgment that the Fiscal Recovery among other conditions. In selecting an investments on those without access to Funds should be expended in particular area to be served by a project, recipients a wireline connection that reliably ways that support recovery from the are encouraged to avoid investing in delivers 25 Mbps download by 3 Mbps COVID–19 public health emergency. locations that have existing agreements upload? Would another threshold be The further restrictions reflect to build reliable wireline service with appropriate and why? Congress’s judgment that tax cuts and minimum speeds of 100 Mbps Question 26: What are the advantages pension deposits do not fall within download and 20 Mbps upload by and disadvantages of setting any these eligible uses. The interim final December 31, 2024, in order to avoid particular threshold for identifying rule describes how Treasury will duplication of efforts and resources. unserved or underserved areas, identify when such uses have occurred Recipients are also encouraged to minimum speed standards or scalability and how it will recoup funds put consider ways to integrate affordability minimum? Are there other standards toward these impermissible uses and, as options into their program design. To that should be set (e.g., latency)? If so, discussed in Section VIII of this meet the immediate needs of unserved why and how? How can such threshold, SUPPLEMENTARY INFORMATION, establishes and underserved households and standards, or minimum be set in a way a reporting framework for monitoring businesses, recipients are encouraged to that balances the public’s interest in the use of Fiscal Recovery Funds for focus on projects that deliver a physical making sure that reliable broadband eligible uses. broadband connection by prioritizing services meeting the daily needs of all projects that achieve last mile- Americans are available throughout the A. Deposit Into Pension Funds connections. Treasury also encourages country with the providing recipients The statute provides that recipients recipients to prioritize support for flexibility to meet the varied needs of may not use Fiscal Recovery Funds for broadband networks owned, operated their communities? ‘‘deposit into any pension fund.’’ For by, or affiliated with local governments, the reasons discussed below, Treasury III. Restrictions on Use non-profits, and co-operatives— interprets ‘‘deposit’’ in this context to providers with less pressure to turn As discussed above, recipients have refer to an extraordinary payment into a profits and with a commitment to considerable flexibility to use Fiscal pension fund for the purpose of serving entire communities. Recovery Funds to address the diverse reducing an accrued, unfunded liability. Under sections 602(c)(1)(A) and needs of their communities. To ensure More specifically, the interim final rule 603(c)(1)(A), assistance to households that payments from the Fiscal Recovery does not permit this assistance to be facing negative economic impacts due to Funds are used for these congressionally used to make a payment into a pension COVID–19 is also an eligible use, permitted purposes, the ARPA includes fund if both: including internet access or digital two provisions that further define the 1. The payment reduces a liability literacy assistance. As discussed above, boundaries of the statute’s eligible uses. incurred prior to the start of the COVID– in considering whether a potential use Section 602(c)(2)(A) of the Act provides 19 public health emergency, and is eligible under this category, a that States and territories may not ‘‘use 2. the payment occurs outside the recipient must consider whether, and the funds . . . to either directly or recipient’s regular timing for making the extent to which, the household has indirectly offset a reduction in . . . net such payments. experienced a negative economic impact tax revenue . . . resulting from a change Under this interpretation, a ‘‘deposit’’ from the pandemic. in law, regulation, or administrative is distinct from a ‘‘payroll Question 22: What are the advantages interpretation during the covered period contribution,’’ which occurs when and disadvantages of setting minimum that reduces any tax . . . or delays the employers make payments into pension symmetrical download and upload imposition of any tax or tax increase.’’ funds on regular intervals, with speeds of 100 Mbps? What other In addition, sections 602(c)(2)(B) and contribution amounts based on a pre- minimum standards would be 603(c)(2) prohibit any recipient, determined percentage of employees’ appropriate and why? including cities, nonentitlement units of wages and salaries. Question 23: Would setting such a government, and counties, from using As discussed above, eligible uses for minimum be impractical for particular Fiscal Recovery Funds for deposit into premium pay and responding to the types of projects? If so, where and on any pension fund. These restrictions negative economic impacts of the what basis should those projects be support the use of funds for the COVID–19 public health emergency identified? How could such a standard congressionally permitted purposes include hiring and compensating public be set while also taking into account the described in Section II of this sector employees. Interpreting the scope practicality of using this standard in Supplementary Information by of ‘‘deposit’’ to exclude contributions particular types of projects? In addition providing a backstop against the use of that are part of payroll contributions is to topography, geography, and financial funds for purposes outside of the more consistent with these eligible uses factors, what other constraints, if any, eligible use categories. and would reduce administrative are relevant to considering whether an These provisions give force to burden for recipients. Accordingly, if an investment is impracticable? Congress’s clear intent that Fiscal employee’s wages and salaries are an Question 24: What are the advantages Recovery Funds be spent within the eligible use of Fiscal Recovery Funds, and disadvantages of setting a four eligible uses identified in the recipients may treat the employee’s minimum level of service at 100 Mbps statute—(1) to respond to the public covered benefits as an eligible use of download and 20 Mbps upload in health emergency and its negative Fiscal Recovery Funds. For purposes of projects where it is impracticable to set economic impacts, (2) to provide the Fiscal Recovery Funds, covered minimum symmetrical download and premium pay to essential workers, (3) to benefits include costs of all types of upload speeds of 100 Mbps? What are provide government services to the leave (vacation, family-related, sick, the advantages and disadvantages of extent of eligible governments’ revenue military, bereavement, sabbatical, jury setting a scalability requirement in these losses, and (4) to make necessary water, duty), employee insurance (health, life, cases? What other minimum standards sewer, and broadband infrastructure dental, vision), retirement (pensions, would be appropriate and why? investments—and not otherwise. These 401(k)), unemployment benefit plans

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(Federal and State), workers’ i.e., cover the cost of—any reduction in offsetting those reductions in compensation insurance, and Federal net tax revenue resulting from such constructing its budget over the covered Insurance Contributions Act taxes changes. A recipient government would period—the framework prevents efforts (which includes Social Security and only be considered to have used Fiscal to use Fiscal Recovery Funds to Medicare taxes). Recovery Funds to offset a reduction in indirectly offset reductions in net tax Treasury anticipates that this net tax revenue resulting from changes revenue for which the recipient approach to employees’ covered benefits in law, regulation, or interpretation if, government has not identified other will be comprehensive and, for and to the extent that, the recipient offsetting sources of funding. employees whose wage and salary costs government could not identify sufficient As discussed in greater detail below are eligible expenses, will allow all funds from sources other than the Fiscal in this preamble, the framework set covered benefits listed in the previous Recovery Funds to offset the reduction forth in the interim final rule establishes paragraph to be eligible under the Fiscal in net tax revenue. If sufficient funds a step-by-step process for determining Recovery Funds. Treasury expects that from other sources cannot be identified whether, and the extent to which, Fiscal this will minimize the administrative to cover the full cost of the reduction in Recovery Funds have been used to offset burden on recipients by treating all the net tax revenue resulting from changes a reduction in net tax revenue. Based on specified covered benefit types as in law, regulation, or interpretation, the information reported annually by the eligible expenses, for employees whose remaining amount not covered by these recipient government: wage and salary costs are eligible sources will be considered to have been • First, each year, each recipient expenses. offset by Fiscal Recovery Funds, in government will identify and value the Question 27: Beyond a ‘‘deposit’’ and contravention of the offset provision. changes in law, regulation, or a ‘‘payroll contribution,’’ are there other The interim final rule recognizes three interpretation that would result in a types of payments into a pension fund sources of funds that may offset a reduction in net tax revenue, as it would that Treasury should consider? reduction in net tax revenue other than in the ordinary course of its budgeting Fiscal Recovery Funds—organic growth, B. Offset a Reduction in Net Tax process. The sum of these values in the increases in revenue (e.g., an increase in Revenue year for which the government is a tax rate), and certain cuts in spending. reporting is the amount it needs to ‘‘pay For States and territories (recipient In order to reduce burden, the interim 160 for’’ with sources other than Fiscal governments ), section 602(c)(2)(A)— final rule’s approach also incorporates Recovery Funds (total value of revenue the offset provision—prohibits the use the types of information and modeling reducing changes). of Fiscal Recovery Funds to directly or already used by States and territories in • Second, the interim final rule indirectly offset a reduction in net tax their own fiscal and budgeting recognizes that it may be difficult to revenue resulting from a change in law, processes. By incorporating existing predict how a change would affect net regulation, or administrative budgeting processes and capabilities, tax revenue in future years and, interpretation 161 during the covered States and territories will be able to accordingly, provides that if the total period. If a State or territory uses Fiscal assess and evaluate the relationship of value of the changes in the year for Recovery Funds to offset a reduction in tax and budget decisions to uses of the which the recipient government is net tax revenue, the ARPA provides that Fiscal Recovery Funds based on reporting is below a de minimis level, the State or territory must repay to the information they likely have or can as discussed below, the recipient Treasury an amount equal to the lesser obtain. This approach ensures that government need not identify any of (i) the amount of the applicable recipient governments have the sources of funding to pay for revenue reduction attributable to the information they need to understand the reducing changes and will not be impermissible offset and (ii) the amount implications of their decisions regarding subject to recoupment. received by the State or territory under the use of the Fiscal Recovery Funds— • Third, a recipient government will the ARPA. See Section IV of this and, in particular, whether they are consider the amount of actual tax SUPPLEMENTARY INFORMATION. As using the funds to directly or indirectly revenue recorded in the year for which discussed below Section IV of this offset a reduction in net tax revenue, they are reporting. If the recipient SUPPLEMENTARY INFORMATION, a State or making them potentially subject to government’s actual tax revenue is territory that chooses to use Fiscal recoupment. greater than the amount of tax revenue Recovery Funds to offset a reduction in Reporting on both the eligible uses received by the recipient for the fiscal net tax revenue does not forfeit its entire and on a State’s or territory’s covered year ending 2019, adjusted annually for allocation of Fiscal Recovery Funds tax changes that would reduce tax inflation, the recipient government will (unless it misused the full allocation to revenue will enable identification of, not be considered to have violated the offset a reduction in net tax revenue) or and recoupment for, use of Fiscal offset provision because there will not any non-ARPA funding received. Recovery Funds to directly offset The interim final rule implements reductions in tax revenue resulting from have been a reduction in net tax tax relief. Moreover, this approach revenue. these conditions by establishing a • framework for States and territories to recognizes that, because money is Fourth, if the recipient determine the cost of changes in law, fungible, even if Fiscal Recovery Funds government’s actual tax revenue is less regulation, or interpretation that reduce are not explicitly or directly used to than the amount of tax revenue received tax revenue and to identify and value cover the costs of changes that reduce by the recipient government for the the sources of funds that will offset— net tax revenue, those funds may be fiscal year ending 2019, adjusted used in a manner inconsistent with the annually for inflation, in the reporting 160 In this sub-section, ‘‘recipient governments’’ statute by indirectly being used to year the recipient government will refers only to States and territories. In other substitute for the State’s or territory’s identify any sources of funds that have sections, ‘‘recipient governments’’ refers more funds that would otherwise have been been used to permissibly offset the total broadly to eligible governments receiving funding needed to cover the costs of the value of covered tax changes other than from the Fiscal Recovery Funds. reduction. By focusing on the cost of Fiscal Recovery Funds. These are: 161 For brevity, referred to as ‘‘changes in law, Æ regulation, or interpretation’’ for the remainder of changes that reduce net tax revenue— State or territory tax changes that this preamble. and how a recipient government is would increase any source of general

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fund revenue, such as a change that or rule where the phase-in or taking 19 public health emergency.164 This would increase a tax rate; and effect was not prescribed prior to the baseline year is consistent with the Æ Spending cuts in areas not being start of the covered period. Changed approach directed by the ARPA in replaced by Fiscal Recovery Funds. administrative interpretations would sections 602(c)(1)(C) and 603(c)(1)(C), The recipient government will not include corrections to replace prior which identify the ‘‘most recent full calculate the value of revenue reduction inaccurate interpretations; such fiscal year of the [State, territory, or remaining after applying these sources corrections would instead be treated as Tribal government] prior to the of offsetting funding to the total value of changes implementing legislation emergency’’ as the comparator for revenue reducing changes—that, is, how enacted or regulations issued prior to measuring revenue loss. U.S. gross much of the tax change has not been the covered period; the operative change domestic product is projected to paid for. The recipient government will in those circumstances is the underlying rebound to pre-pandemic levels in then compare that value to the legislation or regulation that occurred 2021,165 suggesting that an FY 2019 pre- difference between the baseline and prior to the covered period. Moreover, pandemic baseline is a reasonable actual tax revenue. A recipient only the changes within the control of comparator for future revenue levels. government will not be required to the State or territory are considered The FY 2019 baseline revenue will be repay to the Treasury an amount that is covered changes. Covered changes do adjusted annually for inflation to allow greater than the recipient government’s not include a change in rate that is for direct comparison of actual tax actual tax revenue shortfall relative to triggered automatically and based on revenue in each year (reported in the baseline (i.e., fiscal year 2019 tax statutory or regulatory criteria in effect nominal terms) to baseline revenue in revenue adjusted for inflation). This prior to the covered period. For common units of measurement; without ‘‘revenue reduction cap,’’ together with example, a state law that sets its earned inflation adjustment, each dollar of Step 3, ensures that recipient income tax credit (EITC) at a fixed reported actual tax revenue would be governments can use organic revenue percentage of the Federal EITC will see worth less than each dollar of baseline growth to offset the cost of revenue its EITC payments automatically revenue expressed in 2019 terms. reductions. Reporting year. The interim final rule • increase—and thus its tax revenue Finally, if there are any amounts reduced—because of the Federal defines ‘‘reporting year’’ as a single year that could be subject to recoupment, Government’s expansion of the EITC in within the covered period, aligned to Treasury will provide notice to the the ARPA.162 This would not be the current fiscal year of the recipient recipient government of such amounts. considered a covered change. In government during the covered period, This process is discussed in greater addition, the offset provision applies for which a recipient government detail in Section IV of this only to actions for which the change in reports the value of covered changes SUPPLEMENTARY INFORMATION. policy occurs during the covered period; and any sources of offsetting revenue Together, these steps allow Treasury it excludes regulations or other actions increases (‘‘in-year’’ value), regardless of to identify the amount of reduction in that implement a change or law when those changes were enacted. For net tax revenue that both is attributable substantively enacted prior to March 3, the fiscal years ending in 2021 or 2025 to covered changes and has been 2021. Finally, Treasury has determined (partial years), the term ‘‘reporting year’’ directly or indirectly offset with Fiscal and previously announced that income refers to the portion of the year falling Recovery Funds. This process ensures tax changes—even those made during within the covered period. For example, Fiscal Recovery Funds are used in a the covered period—that simply the reporting year for a fiscal year manner consistent with the statute’s conform with recent changes in Federal beginning July 2020 and ending June defined eligible uses and the offset law (including those to conform to 2021 would be from March 3, 2021 to provision’s limitation on these eligible recent changes in Federal taxation of July 2021. uses, while avoiding undue interference Tax revenue. The interim final rule’s unemployment insurance benefits and with State and territory decisions definition of ‘‘tax revenue’’ is based on taxation of loan forgiveness under the regarding tax and spending policies. the Census Bureau’s definition of taxes, Paycheck Protection Program) are The interim final rule also used for its Annual Survey of State permissible under the offset provision. implements a process for recouping 166 Baseline. For purposes of measuring a Government Finances. It provides a Fiscal Recovery Funds that were used to reduction in net tax revenue, the interim consistent, well-established definition offset reductions in net tax revenue, final rule measures actual changes in tax with which States and territories will be including the calculation of any revenue relative to a revenue baseline familiar and is consistent with the amounts that may be subject to (baseline). The baseline will be approach taken in Section II.C of this recoupment, a process for a recipient calculated as fiscal year 2019 (FY 2019) SUPPLEMENTARY INFORMATION describing government to respond to a notice of tax revenue indexed for inflation in the implementation of sections recoupment, and clarification regarding each year of the covered period, with 602(c)(1)(C) and 603(c)(1)(C) of the Act, amounts excluded from recoupment. inflation calculated using the Bureau of regarding revenue loss. Consistent with See Section IV of this SUPPLEMENTARY Economic Analysis’s Implicit Price the approach described in Section II.C INFORMATION. Deflator.163 of this SUPPLEMENTARY INFORMATION, tax The interim final rule includes several FY 2019 was chosen as the starting definitions that are applicable to the 164 year for the baseline because it is the Using Fiscal Year 2019 is consistent with implementation of the offset provision. section 602 as Congress provided for using that Covered change. The offset provision last full fiscal year prior to the COVID– baseline for determining the impact of revenue loss is triggered by a reduction in net tax affecting the provision of government services. See 162 See, e.g., Tax Policy Center, How do state section 602(c)(1)(C). revenue resulting from ‘‘a change in earned income tax credits work?, https:// 165 Congressional Budget Office, An Overview of law, regulation, or administrative www.taxpolicycenter.org/briefing-book/how-do- the Economic Outlook: 2021 to 2031 (February 1, interpretation.’’ A covered change state-earned-income-tax-credits-work/ (last visited 2021), available at https://www.cbo.gov/ includes any final legislative or May 9, 2021). publication/56965. 163 U.S. Department of Commerce, Bureau of 166 U.S. Census Bureau, Annual Survey of State regulatory action, a new or changed Economic Analysis, GDP Price Deflator, https:// and Local Government Finances Glossary, https:// administrative interpretation, and the www.bea.gov/data/prices-inflation/gdp-price- www.census.gov/programs-surveys/state/about/ phase-in or taking effect of any statute deflator (last visited May 9, 2021). glossary.html (last visited Apr. 30, 2021).

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revenue does not include revenue taxed and territories already consider tax such funds are used to offset a reduction and collected by a different unit of changes.167 in net tax revenue. If net tax revenue has government (e.g., revenue from taxes (2) In excess of the de minimis. The not been reduced, this provision does levied by a local government and recipient government will next calculate not apply. In the event that actual tax transferred to a recipient government). the total value of all covered changes in revenue is above the baseline, the the reporting year resulting in revenue organic revenue growth that has Framework. The interim final rule reductions, identified in Step 1. If the occurred, plus any other revenue-raising provides a step-by-step framework, to be total value of the revenue reductions changes, by definition must have been used in each reporting year, to calculate resulting from these changes is below enough to offset the in-year costs of the whether the offset provision applies to the de minimis level, the recipient covered changes. a State’s or territory’s use of Fiscal government will be deemed not to have (4) Consideration of other sources of Recovery Funds: any revenue-reducing changes for the funding. Next, the recipient government (1) Covered changes that reduce tax purpose of determining the recognized will identify and calculate the total revenue. For each reporting year, a net reduction. If the total is above the de value of changes that could pay for recipient government will identify and minimis level, the recipient government revenue reduction due to covered value covered changes that the recipient must identify sources of in-year revenue changes and sum these items. This government predicts will have the effect to cover the full costs of changes that amount can be used to pay for up to the of reducing tax revenue in a given reduce tax revenue. total value of revenue-reducing changes in the reporting year. These changes reporting year, similar to the way it The de minimis level is calculated as consist of two categories: would in the ordinary course of its 1 percent of the reporting year’s baseline. Treasury recognizes that, (a) Tax and other increases in budgeting process. The value of these revenue. The recipient government must covered changes may be reported based pursuant to their taxing authority, States and territories may make many small identify and consider covered changes on estimated values produced by a in policy that the recipient government budget model, incorporating reasonable changes to alter the composition of their tax revenues or implement other predicts will have the effect of assumptions, that aligns with the policies with marginal effects on tax increasing general revenue in a given recipient government’s existing revenues. They may also make changes reporting year. As when identifying and approach for measuring the effects of based on projected revenue effects that valuing covered changes that reduce tax fiscal policies, and that measures turn out to differ from actual effects, revenue, the value of revenue-raising relative to a current law baseline. The unintentionally resulting in minor changes may be reported based on covered changes may also be reported revenue changes that are not fairly estimated values produced by a budget based on actual values using a statistical described as ‘‘resulting from’’ tax law model, incorporating reasonable assumptions, aligned with the recipient methodology to isolate the change in changes. The de minimis level government’s existing approach for year-over-year revenue attributable to recognizes the inherent challenges and measuring the effects of fiscal policies, the covered change(s), relative to the uncertainties that recipient governments and measured relative to a current law current law baseline prior to the face, and thus allows relatively small baseline, or based on actual values using change(s). Further, estimation reductions in tax revenue without a statistical methodology to isolate the approaches should not use dynamic consequence. Treasury determined the 1 change in year-over-year revenue methodologies that incorporate the percent level by assessing the historical attributable to the covered change(s). projected effects of macroeconomic effects of state-level tax policy changes Further, and as discussed above, growth because macroeconomic growth in state EITCs implemented to effect estimation approaches should not use is accounted for separately in the policy goals other than reducing net tax 168 dynamic scoring methodologies that framework. Relative to these dynamic revenues. The 1 percent de minimis incorporate the effects of scoring methodologies, scoring level reflects the historical reductions in macroeconomic growth because growth methodologies that do not incorporate revenue due to minor changes in state is accounted for separately under the projected effects of macroeconomic fiscal policies. interim final rule. In general and where growth rely on fewer assumptions and (3) Safe harbor. The recipient possible, reporting should be produced thus provide greater consistency among government will then compare the by the agency of the recipient States and territories. Dynamic scoring reporting year’s actual tax revenue to government responsible for estimating that incorporates macroeconomic the baseline. If actual tax revenue is the costs and effects of fiscal policy growth may also increase the likelihood greater than the baseline, Treasury will changes. This approach offers recipient of underestimation of the cost of a deem the recipient government not to governments the flexibility to determine reduction in tax revenue. have any recognized net reduction for their reporting methodology based on the reporting year, and therefore to be in In general and where possible, their existing budget scoring practices a safe harbor and outside the ambit of and capabilities. reporting should be produced by the the offset provision. This approach is agency of the recipient government (b) Covered spending cuts. A recipient consistent with the ARPA, which government also may cut spending in responsible for estimating the costs and contemplates recoupment of Fiscal certain areas to pay for covered changes effects of fiscal policy changes. This Recovery Funds only in the event that that reduce tax revenue, up to the approach offers recipient governments amount of the recipient government’s the flexibility to determine their 167 See, e.g., Megan Randall & Kim Rueben, Tax net reduction in total spending as Policy Center, Sustainable Budgeting in the States: reporting methodology based on their described below. These changes must be existing budget scoring practices and Evidence on State Budget Institutions and Practices (Nov. 2017), available at https:// reductions in government outlays not in capabilities. In addition, the approach of www.taxpolicycenter.org/sites/default/files/ an area where the recipient government using the projected value of changes in publication/149186/sustainable-budgeting-in-the- has spent Fiscal Recovery Funds. To states_1.pdf. law that enact fiscal policies to estimate better align with existing reporting and the net effect of such policies is 168 Data provided by the Urban-Brookings Tax Policy Center for state-level EITC changes for 2004– accounting, the interim final rule consistent with the way many States 2017. considers the department, agency, or

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authority from which spending has been offset for a reduction in net tax approach for permitting organic revenue cut and whether the recipient revenue—aims to prevent recipient growth to cover the cost of tax cuts. government has spent Fiscal Recovery governments from using Fiscal Recovery Finally, as discussed further in Funds on that same department, agency, Funds to supplant State or territory Section IV of this SUPPLEMENTARY or authority. This approach was selected funding in the eligible use areas, and INFORMATION, a recipient government to allow recipient governments to report then use those State or territory funds to may request reconsideration of any how Fiscal Recovery Funds have been offset tax cuts. Such an approach helps amounts identified as subject to spent using reporting units already ensure that Fiscal Recovery Funds are recoupment under this framework. This incorporated into their budgeting not used to ‘‘indirectly’’ offset revenue process ensures that all relevant facts process. If they have not spent Fiscal reductions due to covered changes. and circumstances, including Recovery Funds in a department, In order to help ensure recipient information regarding planned spending agency, or authority, the full amount of governments use Fiscal Recovery Funds cuts and budgeting assumptions, are the reduction in spending counts as a in a manner consistent with the considered prior to a determination that covered spending cut, up to the prescribed eligible uses and do not use an amount must be repaid. Amounts recipient government’s net reduction in Fiscal Recovery Funds to indirectly subject to recoupment are calculated on total spending. If they have, the Fiscal offset a reduction in net tax revenue an annual basis; amounts recouped in Recovery Funds generally would be resulting from a covered change, one year cannot be returned if the State deemed to have replaced the amount of Treasury will monitor changes in or territory subsequently reports an spending cut and only reductions in spending throughout the covered increase in net tax revenue. spending above the amount of Fiscal period. If, over the course of the covered To facilitate the implementation of Recovery Funds spent on the period, a spending cut is subsequently the framework above, and in addition to department, agency, or authority would replaced with Fiscal Recovery Funds reporting required on eligible uses, in count. and used to indirectly offset a reduction each year of the reporting period, each To calculate the amount of spending State and territory will report to cuts that are available to offset a in net tax revenue resulting from a covered change, Treasury may consider Treasury the following items: reduction in tax revenue, the recipient • Actual net tax revenue for the such change to be an evasion of the government must first consider whether reporting year; there has been a reduction in total net restrictions of the offset provision and • Each revenue-reducing change spending, excluding Fiscal Recovery seek recoupment of such amounts. made to date during the covered period Funds (net reduction in total spending). (5) Identification of amounts subject and the in-year value of each change; This approach ensures that reported to recoupment. If a recipient • Each revenue-raising change made spending cuts actually create fiscal government (i) reports covered changes to date during the covered period and space, rather than simply offsetting that reduce tax revenue (Step 1); (ii) to the in-year value of each change; other spending increases. A net a degree greater than the de minimis • Each covered spending cut made to reduction in total spending is measured (Step 2); (iii) has experienced a date during the covered period, the in- as the difference between total spending reduction in net tax revenue (Step 3); year value of each cut, and in each reporting year, excluding Fiscal and (iv) lacks sufficient revenue from documentation demonstrating that each Recovery Funds spent, relative to total other, permissible sources to pay for the spending cut is covered as prescribed spending for the recipient’s fiscal year entirety of the reduction (Step 4), then under the interim final rule; ending in 2019, adjusted for inflation. the recipient government will be Treasury will provide additional Measuring reductions in spending considered to have used Fiscal Recovery guidance and instructions the reporting relative to 2019 reflects the fact that the Funds to offset a reduction in net tax requirements at a later date. fiscal space created by a spending cut revenue, up to the amount that revenue Question 28: Does the interim final persists so long as spending remains has actually declined. That is, the rule’s definition of tax revenue accord below its original level, even if it does maximum value of reduction in revenue with existing State and territorial not decline further, relative to the same due to covered changes which a practice and, if not, are there other amount of revenue. Measuring spending recipient government must cover is definitions or elements Treasury should cuts from year to year would, by capped at the difference between the consider? Discuss why or why not. contrast, not recognize any available baseline and actual tax revenue.169 In Question 29: The interim final rule funds to offset revenue reductions the event that the baseline is above permits certain spending cuts to cover unless spending continued to decline, actual tax revenue and the difference the costs of reductions in tax revenue, failing to reflect the actual availability of between them is less than the sum of including cuts in a department, agency, funds created by a persistent change and revenue reducing changes that are not or authority in which the recipient limiting the discretion of States and paid for with other, permissible sources, government is not using Fiscal Recovery territories. In general and where organic revenue growth has implicitly Funds. How should Treasury and possible, reporting should be produced offset a portion of the reduction. For recipient governments consider the by the agency of the recipient example, if a recipient government scope of a department, agency, or government responsible for estimating reduces tax revenue by $1 billion, authority for the use of funds to ensure the costs and effects of fiscal policy makes no other changes, and spending cuts are not being substituted changes. Treasury chose this approach experiences revenue growth driven by with Fiscal Recovery Funds while also because while many recipient organic economic growth worth $500 avoiding an overbroad definition of that governments may score budget million, it need only pay for the captures spending that is, in fact, legislation using projections, spending remaining $500 million with sources distinct? cuts are readily observable using actual other than Fiscal Recovery Funds. The Question 30: Discuss the budget values. revenue reduction cap implements this scoring methodologies currently used by This approach—allowing only States and territories. How should the spending reductions in areas where the 169 This cap is applied in § 35.8(c) of the interim interim final rule take into recipient government has not spent final rule, calculating the amount of funds used in consideration differences in Fiscal Recovery Funds to be used as an violation of the tax offset provision. approaches? Please discuss the use of

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practices including but not limited to definition of ‘‘incurred’’ does not have grants to eligible employers, and to macrodynamic scoring, microdynamic a clear meaning. With respect to the make necessary investments in water, scoring, and length of budget windows. CARES Act, on the understanding that sewer, or broadband infrastructure, Question 31: If a recipient government the CRF was intended to be used to which all relate to prospective uses. In has a balanced budget requirement, how meet relatively short-term needs, addition, sections 602(c)(1)(C) and will that requirement impact its use of Treasury interpreted this requirement to 603(c)(1)(C) permit recipients to use Fiscal Recovery Funds and ability to mean that, for a cost to be considered to Fiscal Recovery Funds for the provision implement this framework? have been incurred, performance of the of government services. This clause Question 32: To implement the service or delivery of the goods acquired provides that the amount of funds that framework described above, the interim must occur by December 31, 2021. In may be used for this purpose is final rule establishes certain reporting contrast, the ARPA, passed at a different measured by reference to the reduction requirements. To what extent do stage of the COVID–19 public health in revenue due to the public health recipient governments already produce emergency, was intended to provide emergency relative to revenues collected this information and on what timeline? more general fiscal relief over a broader in the most recent full fiscal year, but Discuss ways that Treasury and timeline. In addition, the ARPA this reference does not relate to the recipient governments may better rely expressly permits the use of Fiscal period during which recipients may use on information already produced, while Recovery Funds for improvements to the funds, which instead refers to ensuring a consistent application of the water, sewer, and broadband prospective uses, consistent with the framework. infrastructure, which entail a longer other eligible uses. Question 33: Discuss States’ and timeframe. In recognition of this, Although as discussed above the territories’ ability to produce the figures Treasury is interpreting the requirement eligible uses of payments from the and numbers required for reporting in section 602 and section 603 that costs Fiscal Recovery Funds are all under the interim final rule. What be incurred by December 31, 2024, to prospective in nature, Treasury additional reporting tools, such as a require only that recipients have considers the beginning of the covered standardized template, would facilitate obligated the Fiscal Recovery Funds by period for purposes of determining States’ and territories’ ability to such date. The interim final rule adopts compliance with section 602(c)(2)(A) to complete the reporting required under a definition of ‘‘obligation’’ that is based be the relevant reference point for this the interim final rule? on the definition used for purposes of purpose. The interim final rule thus permits funds to be used to cover costs C. Other Restrictions on Use the Uniform Guidance, which will allow for uniform administration of this incurred beginning on March 3, 2021. Payments from the Fiscal Recovery requirement and is a definition with This aligns the period for use of Fiscal Funds are also subject to pre-existing which most recipients will be familiar. Recovery Funds with the period during limitations provided in other Federal Payments from the Fiscal Recovery which these funds may not be used to statutes and regulations and may not be Funds are grants provided to recipients offset reductions in net tax revenue. used as non-Federal match for other to mitigate the fiscal effects of the Permitting Fiscal Recovery Funds to be Federal programs whose statute or COVID–19 public health emergency and used to cover costs incurred beginning regulations bar the use of Federal funds to respond to the public health on this date will also mean that to meet matching requirements. For emergency, consistent with the eligible recipients that began incurring costs in example, payments from the Fiscal uses enumerated in sections 602(c)(1) the anticipation of enactment of the Recovery Funds may not be used to and 603(c)(1).172 As such, these funds ARPA and in advance of the issuance of satisfy the State share of Medicaid.170 are intended to provide economic this rule and receipt of payment from As provided for in the award terms, stimulus in areas still recovering from the Fiscal Recovery Funds would be payments from the Fiscal Recovery the economic effects of the pandemic. In able to cover them using these Funds as a general matter will be subject implementing and interpreting these payments.173 to the provisions of the Uniform provisions, including what it means to As set forth in the award terms, the Administrative Requirements, Cost ‘‘respond to’’ the COVID–19 public period of performance will run until Principles, and Audit Requirements for health emergency, Treasury takes into December 31, 2026, which will provide Federal Awards (2 CFR part 200) (the consideration pre-pandemic facts and recipients a reasonable amount of time Uniform Guidance), including the cost circumstances (e.g., average revenue to complete projects funded with principles and restrictions on general growth prior to the pandemic) as well as payments from the Fiscal Recovery provisions for selected items of cost. impact of the pandemic that predate the Funds. D. Timeline for Use of Fiscal Recovery enactment of the ARPA (e.g., IV. Recoupment Process Funds replenishing Unemployment Trust balances drawn during the pandemic). Under the ARPA, failure to comply Section 602(c)(1) and section 603(c)(1) While assessing the effects of the with the restrictions on use contained in require that payments from the Fiscal sections 602(c) and 603(c) of the Act COVID–19 public health emergency 174 Recovery Funds be used only to cover necessarily takes into consideration the may result in recoupment of funds. costs incurred by the State, territory, facts and circumstances that predate the The interim final rule implements these Tribal government, or local government ARPA, use of Fiscal Recovery Funds is provisions by establishing a process for by December 31, 2024. Similarly, the forward looking. recoupment. CARES Act provided that payments As discussed above, recipients are Identification and Notice of from the CRF be used to cover costs permitted to use payments from the Violations. Failure to comply with the 171 incurred by December 31, 2021. The Fiscal Recovery Funds to respond to the restrictions on use will be identified based on reporting provided by the public health emergency, to respond to 170 See 42 CFR 433.51 and 45 CFR 75.306. workers performing essential work by 171 Section 1001 of Division N of the Consolidated 173 Given the nature of this program, recipients Appropriations Act, 2021 amended section providing premium pay or providing will not be permitted to use funds to cover pre- 601(d)(3) of the Act by extending the end of the award costs, i.e., those incurred prior to March 3, covered period for CRF expenditures from 172 Sections 602(a), 603(a), 602(c)(1) and 603(c)(1) 2021. December 30, 2020 to December 31, 2021. of the Act. 174 Sections 602(e) and 603(e) of the Act.

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recipient. As discussed further in issues and considerations raised in the Splitting payments to States into two Sections III.B and VIII of this request for reconsideration taking into tranches will help encourage recipients SUPPLEMENTARY INFORMATION, Treasury account the information and arguments to adapt, as necessary, to new will collect information regarding presented by the recipient along with developments that could arise over the eligible uses on a quarterly basis and on any other relevant information. coming twelve months, including the tax offset provision on an annual Repayment. Finally, the interim final potential changes to the nature of the basis. Treasury also may consider other rule provides that any amounts subject public health emergency and its information in identifying a violation, to recoupment must be repaid within negative economic impacts. While the such as information provided by 120 calendar days of receipt of any final U.S. economy has been recovering and members of the public. If Treasury notice of recoupment or, if the recipient adding jobs in aggregate, there is still identifies a violation, it will provide has not requested reconsideration, considerable uncertainty in the written notice to the recipient along within 120 calendar days of the initial economic outlook and the interaction with an explanation of such amounts. notice provided by the Secretary. between the pandemic and the Request for Reconsideration. Under Question 34: Discuss the timeline for economy.177 For these reasons, Treasury the interim final rule, a recipient may requesting reconsideration under the believes it will be appropriate for a submit a request for reconsideration of interim final rule. What, if any, majority of recipients to adapt their any amounts identified in the notice challenges does this timeline present? plans as the recovery evolves. For provided by Treasury. This example, a faster-than-expected reconsideration process provides a V. Payments in Tranches to Local economic recovery in 2021 could lead a recipient the opportunity to submit Governments and Certain States recipient to dedicate more Fiscal additional information it believes Section 603 of the Act provides that Recovery Funds to longer-term supports its request in light of the notice the Secretary will make payments to investments starting in 2022. In of recoupment, including, for example, local governments in two tranches, with contrast, a slower-than-expected additional information regarding the the second tranche being paid twelve economic recovery in 2021 could lead a recipient’s use of Fiscal Recovery Funds months after the first payment. In recipient to use additional funds for or its tax revenues. The process also addition, section 602(b)(6)(A)(ii) near-term stimulus in 2022. provides the Secretary with an provides that the Secretary may At the same time, the statute opportunity to consider all information withhold payment of up to 50 percent contemplates the possibility that relevant to whether a violation has of the amount allocated to each State elevated unemployment in certain occurred, and if so, the appropriate and territory for a period of up to twelve States could justify a single payment. amount for recoupment. months from the date on which the Elevated unemployment is indicative of The interim final rule also establishes State or territory provides its a greater need to assist unemployed requirements for the timing of a request certification to the Secretary. Any such workers and stimulate a faster economic for reconsideration. Specifically, if a withholding for a State or territory is recovery. For this reason, the interim recipient wishes to request required to be based on the final rule provides that States and reconsideration of any amounts unemployment rate in the State or territories with an increase in their identified in the notice, the recipient territory as of the date of the unemployment rate over a specified must submit a written request for certification. threshold may receive a single payment, reconsideration to the Secretary within The Secretary has determined to with the expectation that a single 60 calendar days of receipt of such provide in this interim final rule for tranche will better enable these States notice. The request must include an withholding of 50 percent of the amount and territories to take additional explanation of why the recipient of Fiscal Recovery Funds allocated to all immediate action to aid the unemployed believes that the finding of a violation States (and the District of Columbia) and strengthen their economies. or recoupable amount identified in the other than those with an unemployment Following the initial pandemic- notice of recoupment should be rate that is 2.0 percentage points or related spike in unemployment in 2020, reconsidered. To facilitate the more above its pre-pandemic (i.e., States’ unemployment rates have been Secretary’s review of a recipient’s February 2020) level. The Secretary will trending back towards pre-pandemic request for reconsideration, the request refer to the latest available monthly data levels. However, some States’ labor should identify all supporting reasons from the Bureau of Labor Statistics as of markets are healing more slowly than for the request. Within 60 calendar days the date the certification is provided. others. Moreover, States varied widely of receipt of the recipient’s request for Based on data available at the time of in their pre-pandemic levels of reconsideration, the recipient will be public release of this interim final rule, unemployment, and some States remain notified of the Secretary’s decision to this threshold would result in a majority substantially further from their pre- affirm, withdraw, or modify the notice of States being paid in two tranches. of recoupment. Such notification will Splitting payments for the majority of of the CMIA and Treasury’s implementing include an explanation of the decision, regulations at 31 CFR part 205 will not apply to States is consistent with the payments from the Fiscal Recovery Funds. including responses to the recipient’s requirement in section 603 of the Act to Providing funding in two tranches to the majority supporting reasons and consideration of make payments from the Coronavirus of States reflects, to the maximum extent permitted additional information provided. Local Fiscal Recovery Fund to local by section 602 of the Act, the general principles of The process and timeline established Federal cash management and stewardship of governments in two tranches.176 by the interim final rule are intended to Federal funding, yet will be much less restrictive than the usual requirements to which States are provide the recipient with an adequate 176 With respect to Federal financial assistance subject. opportunity to fully present any issues more generally, States are subject to the 177 The potential course of the virus, and its or arguments in response to the notice requirements of the Cash Management impact on the economy, has contributed to a of recoupment.175 This process will Improvement Act (CMIA), under which Federal heightened degree of uncertainty relative to prior funds are drawn upon only on an as needed basis periods. See, e.g., Dave Altig et al., Economic allow the Secretary to respond to the and States are required to remit interest on unused uncertainty before and during the COVID–19 balances to Treasury. Given the statutory pandemic, J. of Public Econ. (Nov. 2020), available 175 The interim final rule also provides that requirement for Treasury to make payments to at https://www.sciencedirect.com/science/article/ Treasury may extend any deadlines. States within a certain period, these requirements abs/pii/S0047272720301389.

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pandemic starting point. Consequently, cities, and nonentitlement units of local regulatory requirements and the terms Treasury is delineating States with government are collectively referred to and conditions of the award. Recipients significant remaining elevation in the as ‘‘local governments’’) to transfer also remain responsible for reporting to unemployment rate, based on the net amounts paid from the Fiscal Recovery Treasury on their subrecipients’ use of difference to pre-pandemic levels. Funds to a number of specified entities. payments from the Fiscal Recovery Treasury has established that By permitting these transfers, Congress Funds for the duration of the award. significant remaining elevation in the recognized the importance of providing Transfers under sections 602(c)(3) and unemployment rate is a net change in flexibility to governments seeking to 603(c)(3) must qualify as an eligible use the unemployment rate of 2.0 achieve the greatest impact with their of Fiscal Recovery Funds by the percentage points or more relative to funds, including by working with other transferor. Once Fiscal Recovery Funds pre-pandemic levels. In the four levels or units of government or private are received, the transferee must abide previous recessions going back to the entities to assist recipient governments by the restrictions on use applicable to early 1980s, the national unemployment in carrying out their programs. This the transferor under the ARPA and other rate rose by 3.6, 2.3, 2.0, and 5.0 includes special-purpose districts that applicable law and program guidance. percentage points, as measured from the perform specific functions in the For example, if a county transferred start of the recession to the eventual community, such as fire, water, sewer, Fiscal Recovery Funds to a town within peak during or immediately following or mosquito abatement districts. its borders to respond to the COVID–19 the recession.178 Each of these increases Specifically, under section 602(c)(3), a public health emergency, the town can therefore represent a recession’s State, territory, or Tribal government would be bound by the eligible use impact on unemployment. To identify may transfer funds to a ‘‘private requirements applicable to the county in States with significant remaining nonprofit organization . . . a Tribal carrying out the county’s goal. This also elevation in unemployment, Treasury organization . . . a public benefit means that county A may not transfer took the lowest of these four increases, corporation involved in the Fiscal Recovery Funds to county B for 2.0 percentage points, to indicate states transportation of passengers or cargo, or use in county B because such a transfer where, despite improvement in the a special-purpose unit of State or local would not, from the perspective of the unemployment rate, current labor government.’’ 180 Similarly, section transferor (county A), be an eligible use market conditions are consistent still 603(c)(3) authorizes a local government in county A. with a historical benchmark for a to transfer funds to the same entities Section 603(c)(4) separately provides recession. (other than Tribal organizations). for transfers by a local government to its No U.S. territory will be subject to The interim final rule clarifies that the State or territory. A transfer under withholding of its payment from the lists of transferees in sections 602(c)(3) section 603(c)(4) will not make the State Fiscal Recovery Funds. For Puerto Rico, and 603(c)(3) are not exclusive. The a subrecipient of the local government, the Secretary has determined that the interim final rule permits State, and such Fiscal Recovery Funds may be current level of the unemployment rate territorial, and Tribal governments to used by the State for any purpose (8.8 percent, as of March 2021 179) is transfer Fiscal Recovery Funds to other permitted under section 602(c). A sufficiently high such that Treasury constituent units of government or transfer under section 603(c)(4) will should not withhold any portion of its private entities beyond those specified result in a cancellation or termination of payment from the Fiscal Recovery in the statute. Similarly, local the award on the part of the transferor Funds regardless of its change in governments are authorized to transfer local government and a modification of unemployment rate relative to its pre- Fiscal Recovery Funds to other the award to the transferee State or pandemic level. For U.S. territories that constituent units of government (e.g., a territory. The transferor must provide are not included in the Bureau of Labor county is able to transfer Fiscal notice of the transfer to Treasury in a Statistics’ monthly unemployment rate Recovery Funds to a city, town, or format specified by Treasury. If the local data, the Secretary will not exercise the school district within it) or to private government does not provide such authority to withhold amounts from the entities. This approach is intended to notice, it will remain legally obligated to Fiscal Recovery Funds. help provide funding to local Treasury under the award and remain governments with needs that may responsible for ensuring that the VI. Transfer exceed the allocation provided under awarded Fiscal Recovery Funds are The statute authorizes State, the statutory formula. being used in accordance with the territorial, and Tribal governments; State, local, territorial, and Tribal statute and program guidance and for counties; metropolitan cities; and governments that receive a Federal reporting on such uses to Treasury. A nonentitlement units of local award directly from a Federal awarding State that receives a transfer from a local government (counties, metropolitan agency, such as Treasury, are government under section 603(c)(4) will ‘‘recipients.’’ A transferee receiving a be bound by all of the use restrictions 178 Includes the period during and immediately transfer from a recipient under sections set forth in section 602(c) with respect following recessions, as defined by the National 602(c)(3) and 603(c)(3) will be a to the use of those Fiscal Recovery Bureau of Economic Research. National Bureau of subrecipient. Subrecipients are entities Funds, including the prohibitions on Economic Research, US Business Cycle Expansions that receive a subaward from a recipient and Contractions, https://www.nber.org/research/ use of such Fiscal Recovery Funds to data/us-business-cycle-expansions-and- to carry out a program or project on offset certain reductions in taxes or to contractions (last visited Apr. 27, 2021). Based on behalf of the recipient with the make deposits into pension funds. data from U.S. Bureau of Labor Statistics, recipient’s Federal award funding. The Question 35: What are the advantages Unemployment Rate [UNRATE], retrieved from recipient remains responsible for and disadvantages of treating the list of FRED, Federal Reserve Bank of St. Louis, https:// fred.stlouisfed.org/series/UNRATE (last visited Apr. monitoring and overseeing the transferees in sections 602(c)(3) and 27, 2021). subrecipient’s use of Fiscal Recovery 603(c)(3) as nonexclusive, allowing 179 U.S. Bureau of Labor Statistics, Economic Funds and other activities related to the States and localities to transfer funds to News Release—Table 1. Civilian labor force and award to ensure that the subrecipient entities outside of the list? unemployment by state and selected area, seasonally adjusted, https://www.bls.gov/ complies with the statutory and Question 36: Are there alternative news.release/laus.t01.htm (last visited Apr. 30, ways of defining ‘‘special-purpose unit 2021). 180 Section 602(c)(3) of the Act. of State or local government’’ and

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‘‘public benefit corporation’’ that would complying with the Fiscal Recovery government, as disbursing these funds better further the aims of the Funds? Funds statutory requirement that itself is a response to the public health distributions to NEUs not exceed 75 emergency and its negative economic VII. Nonentitlement Units of percent of the NEU’s most recent impacts. If a State or territory requires Government budget. The most recent budget is more time to disburse Fiscal Recovery The Fiscal Recovery Funds provides defined as the NEU’s most recent annual Funds to NEUs than the allotted 30 for $19.53 billion in payments to be total operating budget, including its days, Treasury will grant extensions of made to States and territories which general fund and other funds, as of not more than 30 days for States and will distribute the funds to January 27, 2020. Amounts in excess of territories that submit a certification in nonentitlement units of local such cap and therefore not distributed writing in accordance with section government (NEUs); local governments to the NEU must be returned to Treasury 603(b)(2)(C)(ii)(I). Additional extensions which generally have populations below by the State or territory. States and may be granted at the discretion of the 50,000. These local governments have territories may rely for this Secretary. not yet received direct fiscal relief from determination on a certified top-line Question 37: What are alternative the Federal Government during the budget total from the NEU. ways for States and territories to enforce COVID–19 public health emergency, Under the interim final rule, the total the 75 percent cap while reducing the making Fiscal Recovery Funds allocation and distribution to an NEU, administrative burden on them? payments an important source of including the sum of both the first and Question 38: What criteria should support for their public health and second tranches of funding, cannot Treasury consider in assessing requests economic responses. Section 603 exceed the 75 percent cap. States and for extensions for further time to requires Treasury to allocate and pay territories must permit NEUs without distribute NEU payments? Fiscal Recovery Funds to the States and formal budgets as of January 27, 2020 to VIII. Reporting territories and requires the States and self-certify their most recent annual territories to distribute Fiscal Recovery expenditures as of January 27, 2020 for States (defined to include the District Funds to NEUs based on population the purpose of calculating the cap. This of Columbia), territories, metropolitan within 30 days of receipt unless an approach will provide an administrable cities, counties, and Tribal governments extension is granted by the Secretary. means to implement the cap for small will be required to submit one interim The interim final rule clarifies certain local governments that do not adopt a report and thereafter quarterly Project aspects regarding the distribution of formal budget. and Expenditure reports through the Fiscal Recovery by States and territories Section 603(b)(3) of the Social end of the award period on December to NEUs, as well as requirements around Security Act provides for Treasury to 31, 2026. The interim report will timely payments from the Fiscal make payments to counties but provides include a recipient’s expenditures by Recovery Funds. that, in the case of an amount to be paid category at the summary level from the The ARPA requires that States and to a county that is not a unit of general date of award to July 31, 2021 and, for territories allocate funding to NEUs in local government, the amount shall States and territories, information an amount that bears the same instead be paid to the State in which related to distributions to proportion as the population of the NEU such county is located, and such State nonentitlement units. Recipients must bears to the total population of all NEUs shall distribute such amount to each submit their interim report to Treasury in the State or territory, subject to a cap unit of general local government within by August 31, 2021. Nonentitlement (described below). Because the statute such county in an amount that bears the units of local government are not requires States and territories to make same proportion to the amount to be required to submit an interim report. distributions based on population, paid to such county as the population The quarterly Project and Expenditure States and territories may not place of such units of general local reports will include financial data, additional conditions or requirements government bears to the total population information on contracts and subawards on distributions to NEUs, beyond those of such county. As with NEUs, States over $50,000, types of projects funded, required by the ARPA and Treasury’s may not place additional conditions or and other information regarding a implementing regulations and guidance. requirements on distributions to such recipient’s utilization of the award For example, a State may not impose units of general local government, funds. The reports will include the same stricter limitations than permitted by beyond those required by the ARPA and general data (e.g., on obligations, statute or Treasury regulations or Treasury’s implementing regulations expenditures, contracts, grants, and sub- guidance on an NEU’s use of Fiscal and guidance. awards) as those submitted by recipients Recovery Funds based on the NEU’s In the case of consolidated of the CRF, with some modifications. proposed spending plan or other governments, section 603(b)(4) allows Modifications will include updates to policies. States and territories are also consolidated governments (e.g., a city- the expenditure categories and the not permitted to offset any debt owed by county consolidated government) to addition of data elements related to the NEU against the NEU’s distribution. receive payments under each allocation specific eligible uses, including some of Further, States and territories may not based on the respective formulas. In the the reporting elements described in provide funding on a reimbursement case of a consolidated government, sections above. The initial quarterly basis—e.g., requiring NEUs to pay for Treasury interprets the budget cap to Project and Expenditure report will project costs up front before being apply to the consolidated government’s cover two calendar quarters from the reimbursed with Fiscal Recovery Funds NEU allocation under section 603(b)(2) date of award to September 30, 2021, payments—because this funding model but not to the consolidated and must be submitted to Treasury by would not comport with the statutory government’s county allocation under October 31, 2021. The subsequent requirement that States and territories section 603(b)(3). quarterly reports will cover one make distributions to NEUs within the If necessary, States and territories may calendar quarter and must be submitted statutory timeframe. use the Fiscal Recovery Funds under to Treasury within 30 days after the end Similarly, States and territories section 602(c)(1)(A) to fund expenses of each calendar quarter. distributing Fiscal Recovery Funds related to administering payments to Nonentitlement units of local payments to NEUs are responsible for NEUs and units of general local government will be required to submit

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annual Project and Expenditure reports discussed below, the requirements of action as an action likely to result in a until the end of the award period on advance notice and public comment do rule that may: December 31, 2026. The initial annual not apply ‘‘to the extent that there is (1) Have an annual effect on the Project and Expenditure report for involved . . . a matter relating to agency economy of $100 million or more, or nonentitlement units of local . . . grants.’’ 181 The interim final rule adversely affect a sector of the economy; government will cover activity from the implements statutory conditions on the productivity; competition; jobs; the date of award to September 30, 2021 eligible uses of the Fiscal Recovery environment; public health or safety; or and must be submitted to Treasury by Funds grants, and addresses the State, local, or Tribal governments or October 31, 2021. The subsequent payment of those funds, the reporting communities in a material way (also annual reports must be submitted to on uses of funds, and potential referred to as ‘‘economically significant’’ Treasury by October 31 each year. consequences of ineligible uses. In regulations); States, territories, metropolitan cities, addition and as discussed below, the (2) Create a serious inconsistency or and counties with a population that Administrative Procedure Act also otherwise interfere with an action taken exceeds 250,000 residents will also be provides an exception to ordinary or planned by another agency; required to submit an annual Recovery notice-and-comment procedures ‘‘when (3) Materially alter the budgetary Plan Performance report to Treasury. the agency for good cause finds (and impacts of entitlements, grants, user The Recovery Plan Performance report incorporates the finding and a brief fees, or loan programs or the rights and will provide the public and Treasury statement of reasons therefor in the obligations of recipients thereof; or information on the projects that rules issued) that notice and public (4) Raise novel legal or policy issues recipients are undertaking with program procedure thereon are impracticable, arising out of legal mandates, the funding and how they are planning to unnecessary, or contrary to the public President’s priorities, or the principles ensure project outcomes are achieved in interest.’’ 182 This good cause stated in the Executive order. an effective, efficient, and equitable justification also supports waiver of the This regulatory action is an manner. Each jurisdiction will have 60-day delayed effective date for major economically significant regulatory some flexibility in terms of the form and rules under the Congressional Review action subject to review by OMB under content of the Recovery Plan Act at 5 U.S.C. 808(2). Although this section 3(f) of Executive Order 12866. Performance report, as long as it interim final rule is effective Treasury has also reviewed these includes the minimum information immediately, comments are solicited regulations under Executive Order required by Treasury. The Recovery from interested members of the public Plan Performance report will include 13563, which supplements and and from recipient governments on all explicitly reaffirms the principles, key performance indicators identified aspects of the interim final rule. by the recipient and some mandatory structures, and definitions governing indicators identified by Treasury, as These comments must be submitted regulatory review established in well as programmatic data in specific on or before July 16, 2021. Executive Order 12866. To the extent permitted by law, section 1(b) of eligible use categories and the specific X. Regulatory Analyses reporting requirements described in the Executive Order 13563 requires that an sections above. The initial Recovery Executive Orders 12866 and 13563 agency: Plan Performance report will cover the (1) Propose or adopt regulations only This interim final rule is upon a reasoned determination that period from the date of award to July 31, economically significant for the 2021 and must be submitted to Treasury their benefits justify their costs purposes of Executive Orders 12866 and (recognizing that some benefits and by August 31, 2021. Thereafter, 13563. Treasury, however, is proceeding Recovery Plan Performance reports will costs are difficult to quantify); under the emergency provision at (2) Tailor its regulations to impose the cover a 12-month period, and recipients Executive Order 12866 section 6(a)(3)(D) will be required to submit the report to least burden on society, consistent with based on the need to act expeditiously obtaining regulatory objectives taking Treasury within 30 days after the end of to mitigate the current economic the 12-month period. The second into account, among other things, and to conditions arising from the COVID–19 the extent practicable, the costs of Recovery Plan Performance report will public health emergency. The rule has cover the period from July 1, 2021 to cumulative regulations; been reviewed by the Office of (3) Select, in choosing among June 30, 2022, and must be submitted to Management and Budget (OMB) in Treasury by July 31, 2022. Each annual alternative regulatory approaches, those accordance with Executive Order 12866. approaches that maximize net benefits Recovery Plan Performance report must This rule is necessary to implement the be posted on the public-facing website (including potential economic, ARPA in order to provide economic environmental, public health and safety, of the recipient. Local governments with relief to State, local, and Tribal fewer than 250,000 residents, Tribal and other advantages; distributive governments adversely impacted by the impacts; and equity); governments, and nonentitlement units COVID–19 public health emergency. of local government are not required to (4) To the extent feasible, specify Under Executive Order 12866, OMB develop a Recovery Plan Performance performance objectives, rather than the must determine whether this regulatory report. behavior or manner of compliance a Treasury will provide additional action is ‘‘significant’’ and, therefore, regulated entity must adopt; and guidance and instructions on the subject to the requirements of the (5) Identify and assess available reporting requirements outlined above Executive Order and subject to review alternatives to direct regulation, for the Fiscal Recovery Funds at a later by OMB. Section 3(f) of Executive Order including providing economic date. 12866 defines a significant regulatory incentives—such as user fees or marketable permits—to encourage the IX. Comments and Effective Date 181 5 U.S.C. 553(a)(2). desired behavior, or providing This interim final rule is being issued 182 5 U.S.C. 553(b)(3)(B); see also 5 U.S.C. information that enables the public to 553(d)(3) (creating an exception to the requirement without advance notice and public of a 30-day delay before the effective date of a rule make choices. comment to allow for immediate ‘‘for good cause found and published with the Executive Order 13563 also requires implementation of this program. As rule’’). an agency ‘‘to use the best available

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techniques to quantify anticipated to local needs; and limiting These benefits are achieved in the present and future benefits and costs as administrative burdens. interim final rule through a broadly accurately as possible.’’ OMB’s Office of Analysis of Benefits. Relative to a pre- flexible approach that sets clear Information and Regulatory Affairs statutory baseline, the Fiscal Recovery guidelines on eligible uses of Fiscal (OIRA) has emphasized that these Funds provide a combined $350 billion Recovery Funds and provides State, techniques may include ‘‘identifying to State, local, and Tribal governments local, and Tribal government officials changing future compliance costs that for fiscal relief and support for costs discretion within those eligible uses to might result from technological incurred responding to the COVID–19 direct Fiscal Recovery Funds to areas of innovation or anticipated behavioral pandemic. Treasury believes that this greatest need within their jurisdiction. changes.’’ transfer will generate substantial While preserving recipients’ overall Treasury has assessed the potential additional economic activity, although flexibility, the interim final rule costs and benefits, both quantitative and given the flexibility accorded to includes several provisions that qualitative, of this regulatory action, and recipients in the use of funds, it is not implement statutory requirements and is issuing this interim final rule only on possible to precisely estimate the extent will help support use of Fiscal Recovery a reasoned determination that the to which this will occur and the timing Funds to achieve the intended benefits. benefits exceed the costs. In choosing with which it will occur. Economic The remainder of this section clarifies among alternative regulatory research has demonstrated that state how Treasury’s approach to key approaches, Treasury selected those fiscal relief is an efficient and effective provisions in the interim final rule will approaches that would maximize net way to mitigate declines in jobs and contribute to greater realization of benefits. Based on the analysis that output during an economic benefits from the program. follows and the reasons stated downturn.183 Absent such fiscal relief, • Revenue Loss: Recipients will elsewhere in this document, Treasury fiscal austerity among State, local, and compute the extent of reduction in believes that this interim final rule is Tribal governments could exert a revenue by comparing actual revenue to consistent with the principles set forth prolonged drag on the overall economic a counterfactual trend representing what in Executive Order 13563. recovery, as occurred following the could have plausibly been expected to Treasury also has determined that this 2007–09 recession.184 occur in the absence of the pandemic. regulatory action does not unduly This interim final rule provides The counterfactual trend begins with interfere with States, territories, Tribal benefits across several areas by the last full fiscal year prior to the governments, and localities in the implementing the four eligible funding public health emergency (as required by exercise of their governmental uses, as defined in statute: statute) and projects forward with an functions. Strengthening the response to the annualized growth adjustment. This Regulatory Impact Analysis COVID–19 public health emergency and Treasury’s decision to incorporate a discusses the need for regulatory action, its economic impacts; easing fiscal growth adjustment into the calculation the potential benefits, and the potential pressure on State, local, and Tribal of revenue loss ensures that the formula costs. governments that might otherwise lead more fully captures revenue shortfalls Need for Regulatory Action. This to harmful cutbacks in employment or relative to recipients’ pre-pandemic interim final rule implements the $350 government services; providing expectations. Moreover, recipients will billion Fiscal Recovery Funds of the premium pay to essential workers; and have the opportunity to re-calculate ARPA, which Congress passed to help making necessary investments in certain revenue loss at several points States, territories, Tribal governments, types of infrastructure. In implementing throughout the program, recognizing and localities respond to the ongoing the ARPA, Treasury also sought to that some recipients may experience COVID–19 public health emergency and support disadvantaged communities revenue effects with a lag. This option its economic impacts. As the agency that have been disproportionately to re-calculate revenue loss on an charged with execution of these impacted by the pandemic. The Fiscal ongoing basis should result in more programs, Treasury has concluded that Recovery Funds as implemented by the support for recipients to avoid harmful this interim final rule is needed to interim final rule can be expected to cutbacks in future years. In calculating ensure that recipients of Fiscal Recovery channel resources toward these uses in revenue loss, recipients will look at Funds fully understand the order to achieve substantial near-term general revenue in the aggregate, rather requirements and parameters of the economic and public health benefits, as than on a source-by-source basis. Given program as set forth in the statute and well as longer-term benefits arising from that recipients may have experienced deploy funds in a manner that best the allowable investments in water, offsetting changes in revenues across reflects Congress’ mandate for targeted sewer, and broadband infrastructure and sources, Treasury’s approach provides a fiscal relief. aid to families. more accurate representation of the This interim final rule is primarily a effect of the pandemic on overall transfer rule: It transfers $350 billion in 183 Gabriel Chodorow-Reich et al., Does State revenues. aid from the Federal Government to Fiscal Relief during Recessions Increase • Premium Pay: Per the statute, states, territories, Tribal governments, Employment? Evidence from the American recipients have broad latitude to and localities, generating a significant Recovery and Reinvestment Act, American Econ. J.: designate critical infrastructure sectors Econ. Policy, 4:3 118–45 (Aug. 2012), available at macroeconomic effect on the U.S. https://www.aeaweb.org/articles?id=10.1257/ and make grants to third-party economy. In making this transfer, pol.4.3.118. employers for the purpose of providing Treasury has sought to implement the 184 See, e.g., Fitzpatrick, Haughwout & Setren, premium pay or otherwise respond to program in ways that maximize its Fiscal Drag from the State and Local Sector?, essential workers. While the interim Liberty Street Economics Blog, Federal Reserve potential benefits while minimizing its Bank of New York (June 27, 2012), https:// final rule generally preserves the costs. It has done so by aiming to target www.libertystreeteconomics.newyorkfed.org/2012/ flexibility in the statute, it does add a relief in key areas according to the 06/fiscal-drag-from-the-state-and-local-sector.html; requirement that recipients give written congressional mandate; offering clarity Jiri Jonas, Great Recession and Fiscal Squeeze at justification in the case that premium U.S. Subnational Government Level, IMF Working to States, territories, Tribal Paper 12/184, (July 2012), available at https:// pay would increase a worker’s annual governments, and localities while www.imf.org/external/pubs/ft/wp/2012/ pay above a certain threshold. To set maintaining their flexibility to respond wp12184.pdf; Gordon, supra note 9. this threshold, Treasury analyzed data

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from the Bureau of Labor Statistics to particularly communities that have been have familiarity with how to administer determine a level that would not require historically disadvantaged and have and report on Federal funds or grant further justification for premium pay to experienced disproportionate impacts of funding provided by other entities. In the vast majority of essential workers, the COVID–19 crisis. Targeting relief is particular, States, territories, and large while requiring higher scrutiny for in line with Executive Order 13985, localities will have received funds from provision of premium pay to higher- ‘‘Advancing Racial Equity and Support the CRF and Treasury expects them to earners who, even without premium for Underserved Communities Through rely heavily on established processes pay, would likely have greater personal the Federal Government,’’ which laid developed last year or through prior financial resources to cope with the out an Administration-wide priority to grant funding, mitigating burden on effects of the pandemic. Treasury support ‘‘equity for all, including people these governments. believes the threshold in the interim of color and others who have been Treasury expects to provide technical final rule strikes the appropriate balance historically underserved, marginalized, assistance to defray the costs of between preserving flexibility and and adversely affected by persistent administration of Fiscal Recovery Funds helping encourage use of these poverty and inequality.’’ 185 To this end, to further mitigate burden. In making resources to help those in greatest need. the interim final rule enumerates a list implementation choices, Treasury has The interim final rule also requires that of services that may be provided using hosted numerous consultations with a eligible workers have regular in-person Fiscal Recovery Funds in low-income diverse range of direct recipients— interactions or regular physical areas to address the disproportionate States, small cities, counties, and Tribal handling of items that were also impacts of the pandemic in these governments—along with various handled by others. This requirement communities; establishes the communities across the United States, will also help encourage use of financial characteristics of essential workers including those that are underserved. resources for those who have endured eligible for premium pay and Treasury lacks data to estimate the the heightened risk of performing encouragement to serve workers based precise extent to which this interim essential work. on financial need; provides that final rule generates administrative • Withholding of Payments to recipients may use Fiscal Recovery burden for State, local, and Tribal Recipients: Treasury believes that for Funds to restore (to pre-pandemic governments, but seeks comment to the vast majority of recipient entities, it levels) state and local workforces, where better estimate and account for these will be appropriate to receive funds in women and people of color are costs, as well as on ways to lessen two separate payments. As discussed disproportionately represented; 186 and administrative burdens. above, withholding of payments ensures targets investments in broadband Executive Order 13132 that recipients can adapt spending plans infrastructure to unserved and to evolving economic conditions and Executive Order 13132 (entitled underserved areas. Collectively, these Federalism) prohibits an agency from that at least some of the economic provisions will promote use of resources benefits will be realized in 2022 or later. publishing any rule that has federalism to facilitate the provision of assistance implications if the rule either imposes However, consistent with authorities to individuals and communities with granted to Treasury in the statute, substantial, direct compliance costs on the greatest need. State, local, and Tribal governments, Treasury recognizes that a subset of Analysis of Costs. This regulatory States with significant remaining and is not required by statute, or action will generate administrative costs preempts state law, unless the agency elevation in the unemployment rate relative to a pre-statutory baseline. This could face heightened additional near- meets the consultation and funding includes, chiefly, costs required to term needs to aid unemployed workers requirements of section 6 of the administer Fiscal Recovery Funds, and stimulate the recovery. Therefore, Executive order. This interim final rule oversee subrecipients and beneficiaries, for a subset of State governments, does not have federalism implications and file periodic reports with Treasury. Treasury will not withhold any funds within the meaning of the Executive It also requires States to allocate Fiscal from the first payment. Treasury order and does not impose substantial, Recovery Funds to nonentitlement believes that this approach strikes the direct compliance costs on State, local, units, which are smaller units of local appropriate balance between the general and Tribal governments or preempt state government that are statutorily required reasons to provide funds in two law within the meaning of the Executive to receive their funds through States. payments and the heightened additional order. The compliance costs are near-term needs in specific States. As Treasury expects that the imposed on State, local, and Tribal discussed above, Treasury set a administrative burden associated with governments by sections 602 and 603 of threshold based on historical analysis of this program will be moderate for a the Social Security Act, as enacted by unemployment rates in recessions. grant program of its size. Treasury the ARPA. Notwithstanding the above, • Hiring Public Sector Employees: expects that most recipients receive Treasury has engaged in efforts to The interim final rule states explicitly direct or indirect funding from Federal consult and work cooperatively with that recipients may use funds to restore Government programs and that many affected State, local, and Tribal their workforces up to pre-pandemic 185 government officials and associations in levels. Treasury believes that this Executive Order on Advancing Racial Equity and Support for Underserved Communities through the process of developing the interim statement is beneficial because it the Federal Government (Jan. 20, 2021) (86 FR 7009, final rule. Pursuant to the requirements eliminates any uncertainty that could January 25, 2021), https://www.whitehouse.gov/ set forth in section 8(a) of Executive cause delays or otherwise negatively briefing-room/presidential-actions/2021/01/20/ Order 13132, Treasury certifies that it impact restoring public sector executive-order-advancing-racial-equity-and- support-for-underserved-communities-through-the- has complied with the requirements of workforces (which, at time of federal-government/ (last visited May 9, 2021). Executive Order 13132. publication, remain significantly below 186 David Cooper, Mary Gable & Algernon Austin, pre-pandemic levels). Economic Policy Institute Briefing Paper, The Administrative Procedure Act Finally, the interim final rule aims to Public-Sector Jobs Crisis: Women and African The Administrative Procedure Act Americans hit hardest by job losses in state and promote and streamline the provision of local governments, https://www.epi.org/ (APA), 5 U.S.C. 551 et seq., generally assistance to individuals and publication/bp339-public-sector-jobs-crisis (last requires public notice and an communities in greatest need, visited May 9, 2021). opportunity for comment before a rule

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becomes effective. However, the APA public health emergency; it is Congressional Review Act or CRA) (5 provides that the requirements of 5 ‘‘extraordinary’’ legislation about which U.S.C. 804(2) et seq.). Under the CRA, U.S.C. 553 do not apply ‘‘to the extent ‘‘both Congress and the President a major rule takes effect 60 days after that there is involved . . . a matter articulated a profound sense of the rule is published in the Federal relating to agency . . . grants.’’ The ‘urgency.’’’ Petry v. Block, 737 F.2d Register. 5 U.S.C. 801(a)(3). interim final rule implements statutory 1193, 1200 (D.C. Cir. 1984). Indeed, Notwithstanding this requirement, the conditions on the eligible uses of the several provisions implemented by this CRA allows agencies to dispense with Fiscal Recovery Funds grants, and interim final rule (sections 602(c)(1)(A) the requirements of section 801 when addresses the payment of those funds, and 603(c)(1)(A)) explicitly provide the agency for good cause finds that the reporting on uses of funds, and funds to ‘‘respond to the public health such procedure would be impracticable, potential consequences of ineligible emergency,’’ and the urgency is further unnecessary, or contrary to the public uses. The rule is thus ‘‘both clearly and exemplified by Congress’s command (in interest and the rule shall take effect at directly related to a federal grant sections 602(b)(6)(B) and 603(b)(7)(A)) such time as the agency promulgating program.’’ National Wildlife Federation that, ‘‘[t]o the extent practicable,’’ funds the rule determines. 5 U.S.C. 808(2). v. Snow, 561 F.2d 227, 232 (D.C. Cir. must be provided to Tribes and cities Pursuant to section 808(2), for the 1976). The rule sets forth the ‘‘process ‘‘not later than 60 days after the date of reasons discussed above, Treasury for necessary to maintain state . . . enactment.’’ See Philadelphia Citizens good cause finds that a 60-day delay to eligibility for federal funds,’’ id., as well in Action v. Schweiker, 669 F.2d 877, provide public notice is impracticable as the ‘‘method[s] by which states can 884 (3d Cir. 1982) (finding good cause and contrary to the public interest. . . . qualify for federal aid,’’ and other under circumstances, including Paperwork Reduction Act ‘‘integral part[s] of the grant program,’’ statutory time limits, where APA Center for Auto Safety v. Tiemann, 414 procedures would have been ‘‘virtually The information collections F. Supp. 215, 222 (D.D.C. 1976). As a impossible’’). Finally, there is an urgent associated with State, territory, local, result, the requirements of 5 U.S.C. 553 need for States to undertake the and Tribal government applications do not apply. planning necessary for sound fiscal materials necessary to receive Fiscal The APA also provides an exception policymaking, which requires an Recovery Funds (e.g., payment to ordinary notice-and-comment understanding of how funds provided information collection and acceptance procedures ‘‘when the agency for good under the ARPA will augment and of award terms) have been reviewed and cause finds (and incorporates the interact with existing budgetary approved by OMB pursuant to the finding and a brief statement of reasons resources and tax policies. Treasury Paperwork Reduction Act (44 U.S.C. therefor in the rules issued) that notice understands that many states require chapter 35) (PRA) emergency processing and public procedure thereon are immediate rules on which they can rely, procedures and assigned control impracticable, unnecessary, or contrary especially in light of the fact that the number 1505–0271. The information to the public interest.’’ 5 U.S.C. ARPA ‘‘covered period’’ began on collections related to ongoing reporting 553(b)(3)(B); see also 5 U.S.C. 553(d)(3) March 3, 2021. The statutory urgency requirements, as discussed in this (creating an exception to the and practical necessity are good cause to interim final rule, will be submitted to requirement of a 30-day delay before the forego the ordinary requirements of OMB for emergency processing in the effective date of a rule ‘‘for good cause notice-and-comment rulemaking. near future. Under the PRA, an agency found and published with the rule’’). may not conduct or sponsor and a Congressional Review Act Assuming 5 U.S.C. 553 applied, respondent is not required to respond Treasury would still have good cause The Administrator of OIRA has to, an information collection unless it under sections 553(b)(3)(B) and determined that this is a major rule for displays a valid OMB control number. 553(d)(3) for not undertaking section purposes of Subtitle E of the Small Estimates of hourly burden under this 553’s requirements. The ARPA is a law Business Regulatory Enforcement and program are set forth in the table below. responding to a historic economic and Fairness Act of 1996 (also known as the Burden estimates below are preliminary.

Number of Number of Reporting respondents responses per Total responses Hours per Total burden Cost to respondent (estimated) respondent response in hours ($48.80 per hour *)

Recipient Payment Form ...... 5,050 1 ...... 5,050 .25 (15 minutes) ... 1,262.5 $61,610 Acceptance of Award Terms ...... 5,050 1 ...... 5,050 .25 (15 minutes) ... 1,262.5 61,610 Title VI Assurances ...... 5,050 1 ...... 5,050 .50 (30 minutes) ... 2,525 123,220 Quarterly Project and Expenditure Re- 5,050 4*** ...... 20,200 25 ...... 505,000 24,644,000 port. Annual Project and Expenditure Re- TBD 1 per year ...... † 20,000–40,000 15 ...... 300,000–600,000 14,640,000–29,280,000 port from NEUs. Annual Recovery Plan Performance 418 1 per year ...... 418 100 ...... 41,800 2,039,840 report.

Total ...... (**) N/A ...... 55,768–75,768 141 ...... 851,850–1,151,850 41,570,280–56,210,280 *Bureau of Labor Statistics, U.S. Department of Labor, Occupational Outlook Handbook, Accountants and Auditors, on the internet at https://www.bls.gov/ooh/business-and-financial/accountants-and-auditors.htm (visited March 28, 2020). Base wage of $33.89/hour increased by 44 percent to account for fully loaded employer cost of employee compensation (benefits, etc.) for a fully loaded wage rate of $48.80. **5,050–TBD. ***Per year after first year. † (Estimate only).

Periodic reporting is required by As discussed in Section VIII of this and thereafter quarterly Project and section 602(c) of Section VI of the Social SUPPLEMENTARY INFORMATION, recipients Expenditure reports until the end of the Security Act and under the interim final of Fiscal Recovery Funds will be award period. Recipients must submit rule. required to submit one interim report interim reports to Treasury by August

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31, 2021. The quarterly Project and pursuant to section 553(b) of the seq.) by adding sections 602 and 603 to Expenditure reports will include Administrative Procedure Act or establish the Coronavirus State Fiscal financial data, information on contracts another law, the agency must prepare a Recovery Fund and Coronavirus Local and subawards over $50,000, types of regulatory flexibility analysis that meets Fiscal Recovery Fund. projects funded, and other information the requirements of the RFA and § 35.2 Applicability. regarding a recipient’s utilization of the publish such analysis in the Federal award funds. Register. 5 U.S.C. 603, 604. This subpart applies to States, Nonentitlement unit recipients will be Rules that are exempt from notice and territories, Tribal governments, required to submit annual Project and comment under the APA are also metropolitan cities, nonentitlement Expenditure reports until the end of the exempt from the RFA requirements, units of local government, counties, and award period. The initial annual Project including the requirement to conduct a units of general local government that and Expenditure report for regulatory flexibility analysis, when accept a payment or transfer of funds Nonentitlement unit recipients must be among other things the agency for good made under section 602 or 603 of the submitted to Treasury by October 31, cause finds that notice and public Social Security Act. 2021. The subsequent annual reports procedure are impracticable, § 35.3 Definitions. must be submitted to Treasury by unnecessary, or contrary to the public As used in this subpart: October 31 each year. States, territories, interest. Since this rule is exempt from Baseline means tax revenue of the metropolitan cities, and counties with a the notice and comment requirements of recipient for its fiscal year ending in population that exceeds 250,000 the APA, Treasury is not required to 2019, adjusted for inflation in each residents will also be required to submit conduct a regulatory flexibility analysis. reporting year using the Bureau of an annual Recovery Plan Performance List of Subjects in 31 CFR Part 35 Economic Analysis’s Implicit Price report to Treasury. The Recovery Plan Deflator for the gross domestic product Performance report will include Executive compensation, Public of the United States. descriptions of the projects funded and health emergency, State and local County means a county, parish, or information on the performance governments, Tribal governments. other equivalent county division (as indicators and objectives of the award. For the reasons stated in the defined by the Census Bureau). Each annual Recovery Plan Performance preamble, the Department of the Covered benefits include, but are not report must be posted on the public- Treasury amends 31 CFR part 35 as limited to, the costs of all types of leave facing website of the recipient. Treasury follows: (vacation, family-related, sick, military, will provide additional guidance and bereavement, sabbatical, jury duty), instructions on the all the reporting PART 35—PANDEMIC RELIEF employee insurance (health, life, dental, requirements outlined above for the PROGRAMS vision), retirement (pensions, 401(k)), Fiscal Recovery Funds program at a ■ 1. The authority citation for part 35 is unemployment benefit plans (Federal later date. and State), workers’ compensation revised to read as follows: These and related periodic reporting insurance, and Federal Insurance requirements are under consideration Authority: 42 U.S.C. 802(f); 42 U.S.C. Contributions Act taxes (which includes and will be submitted to OMB for 803(f); 31 U.S.C. 321; Division N, Title V, Social Security and Medicare taxes). approval under the PRA emergency Subtitle B, Pub. L. 116–260, 134 Stat. 1182; Covered change means a change in provisions in the near future. Section 104A, Pub. L. 103–325, 108 Stat. law, regulation, or administrative 2160, as amended (12 U.S.C. 4701 et seq.); Treasury invites comments on all interpretation. A change in law includes aspects of the reporting and Pub. L. 117–2, 135 Stat. 4 (42 U.S.C. 802 et seq.). any final legislative or regulatory action, recordkeeping requirements including: a new or changed administrative ■ (a) Whether the collection of 2. Revise the part heading to read as interpretation, and the phase-in or information is necessary for the proper set forth above. taking effect of any statute or rule if the performance of the functions of the ■ 3. Add subpart A to read as follows: phase-in or taking effect was not agency, including whether the prescribed prior to the start of the Subpart A—Coronavirus State and information has practical utility; (b) the covered period. accuracy of the estimate of the burden Local Fiscal Recovery Funds Covered period means, with respect to of the collection of information; (c) ways Sec. a State, Territory, or Tribal government, to enhance the quality, utility, and 35.1 Purpose. the period that: clarity of the information to be 35.2 Applicability. (1) Begins on March 3, 2021; and collected; (d) ways to minimize the 35.3 Definitions. (2) Ends on the last day of the fiscal burden of the collection of information; 35.4 Reservation of authority, reporting. year of such State, Territory, or Tribal and (e) estimates of capital or start-up 35.5 Use of funds. government in which all funds received costs and costs of operation, 35.6 Eligible uses. by the State, Territory, or Tribal maintenance, and purchase of services 35.7 Pensions. government from a payment made to provide information. Comments 35.8 Tax. under section 602 or 603 of the Social should be sent by the comment deadline 35.9 Compliance with applicable laws. Security Act have been expended or 35.10 Recoupment. to the www.regulations.gov docket with 35.11 Payments to States. returned to, or recovered by, the a copy to the Office of Information and 35.12 Distributions to nonentitlement units Secretary. Regulatory Affairs, U.S. Office of of local government and units of general COVID–19 means the Coronavirus Management and Budget, 725 17th local government. Disease 2019. Street NW, Washington, DC 20503; or COVID–19 public health emergency email to [email protected]. § 35.1 Purpose. means the period beginning on January This subpart implements section 9901 27, 2020 and until the termination of the Regulatory Flexibility Analysis of the American Rescue Plan Act national emergency concerning the The Regulatory Flexibility Act (RFA) (Subtitle M of Title IX of Pub. L. COVID–19 outbreak declared pursuant generally requires that when an agency 117–2), which amends Title VI of the to the National Emergencies Act (50 issues a proposed rule, or a final rule Social Security Act (42 U.S.C. 801 et U.S.C. 1601 et seq.).

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Deposit means an extraordinary (i) Regular in-person interactions with contracts, subawards, and similar payment of an accrued, unfunded patients, the public, or coworkers of the transactions that require payment. liability. The term deposit does not refer individual that is performing the work; Pension fund means a defined benefit to routine contributions made by an or plan and does not include a defined employer to pension funds as part of the (ii) Regular physical handling of items contribution plan. employer’s obligations related to that were handled by, or are to be Premium pay means an amount of up payroll, such as either a pension handled by patients, the public, or to $13 per hour that is paid to an contribution consisting of a normal cost coworkers of the individual that is eligible worker, in addition to wages or component related to current employees performing the work. remuneration the eligible worker or a component addressing the Funds means, with respect to a otherwise receives, for all work amortization of unfunded liabilities recipient, amounts provided to the performed by the eligible worker during calculated by reference to the recipient pursuant to a payment made the COVID–19 public health emergency. employer’s payroll costs. under section 602(b) or 603(b) of the Such amount may not exceed $25,000 Eligible employer means an employer Social Security Act or transferred to the with respect to any single eligible of an eligible worker who performs recipient pursuant to section 603(c)(4) worker. Premium pay will be essential work. of the Social Security Act. considered to be in addition to wages or Eligible workers means workers General revenue means money that is remuneration the eligible worker needed to maintain continuity of received from tax revenue, current otherwise receives if, as measured on an operations of essential critical charges, and miscellaneous general hourly rate, the premium pay is: infrastructure sectors, including health revenue, excluding refunds and other (1) With regard to work that the care; emergency response; sanitation, correcting transactions, proceeds from eligible worker previously performed, disinfection, and cleaning work; issuance of debt or the sale of pay and remuneration equal to the sum maintenance work; grocery stores, investments, agency or private trust of all wages and remuneration restaurants, food production, and food transactions, and intergovernmental previously received plus up to $13 per delivery; pharmacy; biomedical transfers from the Federal Government, hour with no reduction, substitution, research; behavioral health work; including transfers made pursuant to offset, or other diminishment of the medical testing and diagnostics; home- section 9901 of the American Rescue eligible worker’s previous, current, or and community-based health care or Plan Act. General revenue does not prospective wages or remuneration; or assistance with activities of daily living; include revenues from utilities. Revenue (2) With regard to work that the family or child care; social services from Tribal business enterprises must be eligible worker continues to perform, work; public health work; vital services included in general revenue. pay of up to $13 that is in addition to to Tribes; any work performed by an Intergovernmental transfers means the eligible worker’s regular rate of employee of a State, local, or Tribal money received from other wages or remuneration, with no government; educational work, school governments, including grants and reduction, substitution, offset, or other nutrition work, and other work required shared taxes. diminishment of the workers’ current to operate a school facility; laundry Metropolitan city has the meaning and prospective wages or remuneration. work; elections work; solid waste or Qualified census tract has the same given that term in section 102(a)(4) of hazardous materials management, meaning given in 26 U.S.C. the Housing and Community response, and cleanup work; work 42(d)(5)(B)(ii)(I). Development Act of 1974 (42 U.S.C. requiring physical interaction with Recipient means a State, Territory, 5302(a)(4)) and includes cities that patients; dental care work; Tribal government, metropolitan city, relinquish or defer their status as a transportation and warehousing; work at nonentitlement unit of local metropolitan city for purposes of hotel and commercial lodging facilities government, county, or unit of general receiving allocations under section 106 that are used for COVID–19 mitigation local government that receives a of such Act (42 U.S.C. 5306) for fiscal and containment; work in a mortuary; payment made under section 602(b) or year 2021. work in critical clinical research, 603(b) of the Social Security Act or Net reduction in total spending is development, and testing necessary for transfer pursuant to section 603(c)(4) of measured as the State or Territory’s total COVID–19 response. the Social Security Act. (1) With respect to a recipient that is spending for a given reporting year Reporting year means a single year or a metropolitan city, nonentitlement unit excluding its spending of funds, partial year within the covered period, of local government, or county, workers subtracted from its total spending for its aligned to the current fiscal year of the in any additional sectors as each chief fiscal year ending in 2019, adjusted for State or Territory during the covered executive officer of such recipient may inflation using the Bureau of Economic period. designate as critical to protect the health Analysis’s Implicit Price Deflator for the Secretary means the Secretary of the and well-being of the residents of their gross domestic product of the United Treasury. metropolitan city, nonentitlement unit States. State means each of the 50 States and of local government, or county; or Nonentitlement unit of local the District of Columbia. (2) With respect to a State, Territory, government means a ‘‘city,’’ as that term Small business means a business or Tribal government, workers in any is defined in section 102(a)(5) of the concern or other organization that: additional sectors as each Governor of a Housing and Community Development (1) Has no more than 500 employees, State or Territory, or each Tribal Act of 1974 (42 U.S.C. 5302(a)(5)), that or if applicable, the size standard in government, may designate as critical to is not a metropolitan city. number of employees established by the protect the health and well-being of the Nonprofit means a nonprofit Administrator of the Small Business residents of their State, Territory, or organization that is exempt from Federal Administration for the industry in Tribal government. income taxation and that is described in which the business concern or Essential work means work that: section 501(c)(3) of the Internal Revenue organization operates; and (1) Is not performed while Code. (2) Is a small business concern as teleworking from a residence; and Obligation means an order placed for defined in section 3 of the Small (2) Involves: property and services and entering into Business Act (15 U.S.C. 632).

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Tax revenue means revenue received § 35.4 Reservation of authority, reporting. § 35.6 Eligible uses. from a compulsory contribution that is (a) Reservation of authority. Nothing (a) In general. Subject to §§ 35.7 and exacted by a government for public in this subpart shall limit the authority 35.8, a recipient may use funds for one purposes excluding refunds and of the Secretary to take action to enforce or more of the purposes described in corrections and, for purposes of § 35.8, conditions or violations of law, paragraphs (b) through (e) of this section intergovernmental transfers. Tax including actions necessary to prevent (b) Responding to the public health revenue does not include payments for evasions of this subpart. emergency or its negative economic a special privilege granted or service impacts. A recipient may use funds to (b) Extensions or accelerations of rendered, employee or employer respond to the public health emergency timing. The Secretary may extend or assessments and contributions to or its negative economic impacts, accelerate any deadline or compliance finance retirement and social insurance including for one or more of the date of this subpart, including reporting trust systems, or special assessments to following purposes: requirements that implement this pay for capital improvements. (1) COVID–19 response and subpart, if the Secretary determines that Territory means the Commonwealth prevention. Expenditures for the such extension or acceleration is mitigation and prevention of COVID–19, of Puerto Rico, the United States Virgin appropriate. In determining whether an Islands, Guam, the Commonwealth of including: extension or acceleration is appropriate, (i) Expenses related to COVID–19 the Northern Mariana Islands, or the Secretary will consider the period of American Samoa. vaccination programs and sites, time that would be extended or including staffing, acquisition of Tribal enterprise means a business accelerated and how the modified equipment or supplies, facilities costs, concern: timeline would facilitate compliance and information technology or other (1) That is wholly owned by one or with this subpart. administrative expenses; more Tribal governments, or by a (c) Reporting and requests for other (ii) COVID–19-related expenses of corporation that is wholly owned by one information. During the covered period, public hospitals, clinics, and similar or more Tribal governments; or recipients shall provide to the Secretary facilities; (2) That is owned in part by one or periodic reports providing detailed (iii) COVID–19 related expenses in more Tribal governments, or by a accounting of the uses of funds, all congregate living facilities, including corporation that is wholly owned by one modifications to a State or Territory’s skilled nursing facilities, long-term care or more Tribal governments, if all other tax revenue sources, and such other facilities, incarceration settings, owners are either United States citizens information as the Secretary may homeless shelters, residential foster care or small business concerns, as these require for the administration of this facilities, residential behavioral health terms are used and consistent with the section. In addition to regular reporting treatment, and other group living definitions in 15 U.S.C. 657a(b)(2)(D). requirements, the Secretary may request facilities; Tribal government means the other additional information as may be (iv) Expenses of establishing recognized governing body of any necessary or appropriate, including as temporary public medical facilities and Indian or Alaska Native tribe, band, may be necessary to prevent evasions of other measures to increase COVID–19 nation, pueblo, village, community, the requirements of this subpart. False treatment capacity, including related component band, or component statements or claims made to the construction costs and other capital reservation, individually identified Secretary may result in criminal, civil, investments in public facilities to meet (including parenthetically) in the list or administrative sanctions, including COVID–19-related operational needs; published by the Bureau of Indian fines, imprisonment, civil damages and (v) Expenses of establishing Affairs on January 29, 2021, pursuant to penalties, debarment from participating temporary public medical facilities and section 104 of the Federally Recognized in Federal awards or contracts, and/or other measures to increase COVID–19 Indian Tribe List Act of 1994 (25 U.S.C. any other remedy available by law. treatment capacity, including related 5131). construction costs and other capital § 35.5 Use of funds. Unemployment rate means the U–3 investments in public facilities to meet unemployment rate provided by the (a) In general. A recipient may only COVID–19-related operational needs; Bureau of Labor Statistics as part of the use funds to cover costs incurred during (vi) Costs of providing COVID–19 Local Area Unemployment Statistics the period beginning March 3, 2021, and testing and monitoring, contact tracing, program, measured as total ending December 31, 2024, for one or and monitoring of case trends and unemployment as a percentage of the more of the purposes enumerated in genomic sequencing for variants; civilian labor force. sections 602(c)(1) and 603(c)(1) of the (vii) Emergency medical response expenses, including emergency medical Unemployment trust fund means an Social Security Act, as applicable, transportation, related to COVID–19; unemployment trust fund established including those enumerated in section § 35.6, subject to the restrictions set (viii) Expenses for establishing and under section 904 of the Social Security operating public telemedicine Act (42 U.S.C. 1104). forth in sections 602(c)(2) and 603(c)(2) of the Social Security Act, as applicable. capabilities for COVID–19-related Unit of general local government has treatment; the meaning given to that term in (b) Costs incurred. A cost shall be (ix) Expenses for communication section 102(a)(1) of the Housing and considered to have been incurred for related to COVID–19 vaccination Community Development Act of 1974 purposes of paragraph (a) of this section programs and communication or (42 U.S.C. 5302(a)(1)). if the recipient has incurred an enforcement by recipients of public Unserved and underserved obligation with respect to such cost by health orders related to COVID–19; households or businesses means one or December 31, 2024. (x) Expenses for acquisition and more households or businesses that are (c) Return of funds. A recipient must distribution of medical and protective not currently served by a wireline return any funds not obligated by supplies, including sanitizing products connection that reliably delivers at least December 31, 2024, and any funds not and personal protective equipment; 25 Mbps download speed and 3 Mbps expended to cover such obligations by (xi) Expenses for disinfection of of upload speed. December 31, 2026. public areas and other facilities in

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response to the COVID–19 public health or other services, that responds to the (B) Assistance to high-poverty school emergency; negative economic impacts of the districts to advance equitable funding (xii) Expenses for technical assistance COVID–19 public health emergency. across districts and geographies; and to local authorities or other entities on (8) Assistance to households. (C) Educational and evidence-based mitigation of COVID–19-related threats Assistance programs, including cash services to address the academic, social, to public health and safety; assistance programs, that respond to the emotional, and mental health needs of (xiii) Expenses for quarantining or COVID–19 public health emergency. students; and isolation of individuals; (9) Aid to impacted industries. Aid to (iv) Programs or services that address (xiv) Expenses of providing paid sick tourism, travel, hospitality, and other or mitigate the impacts of the COVID– and paid family and medical leave to impacted industries that responds to the 19 public health emergency on public employees to enable compliance negative economic impacts of the childhood health or welfare, including: with COVID–19 public health COVID–19 public health emergency. (A) New or expanded childcare; precautions; (10) Expenses to improve efficacy of (B) Programs to provide home visits (xv) Expenses for treatment of the public health or economic relief by health professionals, parent long-term symptoms or effects of programs. Administrative costs educators, and social service COVID–19, including post-intensive associated with the recipient’s COVID– professionals to individuals with young care syndrome; 19 public health emergency assistance children to provide education and (xvi) Expenses for the improvement of programs, including services responding assistance for economic support, health ventilation systems in congregate to the COVID–19 public health needs, or child development; and settings, public health facilities, or other emergency or its negative economic (C) Services for child welfare- public facilities; impacts, that are not federally funded. involved families and foster youth to (xvii) Expenses related to establishing (11) Survivor’s benefits. Benefits for provide support and education on child or enhancing public health data the surviving family members of development, positive parenting, coping systems; and individuals who have died from (xviii) Mental health treatment, skills, or recovery for mental health and COVID–19, including cash assistance to substance use. substance misuse treatment, and other widows, widowers, or dependents of behavioral health services. (c) Providing premium pay to eligible individuals who died of COVID–19. workers. A recipient may use funds to (2) Public health and safety staff. (12) Disproportionately impacted provide premium pay to eligible Payroll and covered benefit expenses for populations and communities. A workers of the recipient who perform public safety, public health, health care, program, service, or other assistance essential work or to provide grants to human services, and similar employees that is provided in a qualified census eligible employers, provided that any to the extent that the employee’s time is tract, that is provided to households and premium pay or grants provided under spent mitigating or responding to the populations living in a qualified census this paragraph (c) must respond to COVID–19 public health emergency. tract, that is provided by a Tribal eligible workers performing essential (3) Hiring State and local government government, or that is provided to other work during the COVID–19 public staff. Payroll, covered benefit, and other households, businesses, or populations health emergency. A recipient uses costs associated with the recipient disproportionately impacted by the premium pay or grants provided under increasing the number of its employees COVID–19 public health emergency, this paragraph (c) to respond to eligible up to the number of employees that it such as: workers performing essential work employed on January 27, 2020. (i) Programs or services that facilitate during the COVID–19 public health (4) Assistance to unemployed access to health and social services, emergency if it prioritizes low- and workers. Assistance, including job including: training, for individuals who want and (A) Assistance accessing or applying moderate-income persons. The recipient are available for work, including those for public benefits or services; must provide, whether for themselves or who have looked for work sometime in (B) Remediation of lead paint or other on behalf of a grantee, a written the past 12 months or who are lead hazards; and justification to the Secretary of how the employed part time but who want and (C) Community violence intervention premium pay or grant provided under are available for full-time work. programs; this paragraph (c) responds to eligible (5) Contributions to State (ii) Programs or services that address workers performing essential work if the unemployment insurance trust funds. housing insecurity, lack of affordable premium pay or grant would increase an Contributions to an unemployment trust housing, or homelessness, including: eligible worker’s total wages and fund up to the level required to restore (A) Supportive housing or other remuneration above 150 percent of such the unemployment trust fund to its programs or services to improve access eligible worker’s residing State’s average balance on January 27, 2020 or to pay to stable, affordable housing among annual wage for all occupations or their back advances received under Title XII individuals who are homeless; residing county’s average annual wage, of the Social Security Act (42 U.S.C. (B) Development of affordable whichever is higher. 1321) for the payment of benefits housing to increase supply of affordable (d) Providing government services. For between January 27, 2020 and May 17, and high-quality living units; and the provision of government services to 2021. (C) Housing vouchers and assistance the extent of a reduction in the (6) Small businesses. Assistance to relocating to neighborhoods with higher recipient’s general revenue, calculated small businesses, including loans, levels of economic opportunity and to according to paragraphs (d)(1) and (2) of grants, in-kind assistance, technical reduce concentrated areas of low this section. assistance or other services, that economic opportunity; (1) Frequency. A recipient must responds to the negative economic (iii) Programs or services that address calculate the reduction in its general impacts of the COVID–19 public health or mitigate the impacts of the COVID– revenue using information as-of emergency. 19 public health emergency on December 31, 2020, December 31, 2021, (7) Nonprofits. Assistance to nonprofit education, including: December 31, 2022, and December 31, organizations, including loans, grants, (A) New or expanded early learning 2023 (each, a calculation date) and in-kind assistance, technical assistance services; following each calculation date.

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(2) Calculation. A reduction in a recipient’s general revenue equals:

Max {[Base Year Revenue* (1 + Growth Adjustment)(~~)] -Actual General Revenue6 O}

Where: resulting from a covered change during (B) Departments, agencies, or Base Year Revenue is the recipient’s general the covered period. authorities in which the State or revenue for the most recent full fiscal (b) Violation. Treasury will consider a Territory is using funds, in an amount year prior to the COVD–19 public health State or Territory to have used funds to equal to the value of the spending cuts emergency; offset a reduction in net tax revenue if, in those departments, agencies, or Growth Adjustment is equal to the greater of during a reporting year: authorities, minus funds used. 4.1 percent (or 0.041) and the recipient’s (1) Covered change. The State or (c) Amount and revenue reduction average annual revenue growth over the three full fiscal years prior to the Territory has made a covered change cap. If a State or Territory is considered COVID–19 public health emergency. that, either based on a reasonable to be in violation pursuant to paragraph n equals the number of months elapsed from statistical methodology to isolate the (b) of this section, the amount used in the end of the base year to the impact of the covered change in actual violation of paragraph (a) of this section calculation date. revenue or based on projections that use is equal to the lesser of: Actual General Revenue is a recipient’s reasonable assumptions and do not (1) The reduction in net tax revenue actual general revenue collected during incorporate the effects of of the State or Territory for the reporting 12-month period ending on each macroeconomic growth to reduce or year, measured as the difference calculation date; increase the projected impact of the between the State’s or Territory’s Subscript t denotes the specific calculation baseline and its actual tax revenue, each date. covered change, the State or Territory assesses has had or predicts to have the measured as of the end of the reporting (e) To make necessary investments in effect of reducing tax revenue relative to year; and, infrastructure. A recipient may use current law; (2) The aggregate amount of the funds to make investments in: (2) Exceeds the de minimis threshold. reductions in tax revenues caused by (1) Clean Water State Revolving Fund The aggregate amount of the measured covered changes identified in paragraph and Drinking Water State Revolving or predicted reductions in tax revenue (b)(1) of this section, minus the sum of Fund investments. Projects or activities caused by covered changes identified the amounts in identified in paragraphs of the type that would be eligible under under paragraph (b)(1) of this section, in (b)(4)(i) and (ii). section 603(c) of the Federal Water the aggregate, exceeds 1 percent of the § 35.9 Compliance with applicable laws. Pollution Control Act (33 U.S.C. State’s or Territory’s baseline; A recipient must comply with all 1383(c)) or section 1452 of the Safe (3) Reduction in net tax revenue. The other applicable Federal statutes, Drinking Water Act (42 U.S.C. 300j–12); State or Territory reports a reduction in regulations, and Executive orders, and a or, net tax revenue, measured as the recipient shall provide for compliance (2) Broadband. Broadband difference between actual tax revenue with the American Rescue Plan Act, this infrastructure that is designed to and the State’s or Territory’s baseline, subpart, and any interpretive guidance provide service to unserved or each measured as of the end of the by other parties in any agreements it underserved households and businesses reporting year; and and that is designed to, upon (4) Consideration of other changes. enters into with other parties relating to completion: The aggregate amount of measured or these funds. (i) Reliably meet or exceed predicted reductions in tax revenue symmetrical 100 Mbps download speed § 35.10 Recoupment. caused by covered changes is greater (a) Identification of violations—(1) In and upload speeds; or than the sum of the following, in each (ii) In cases where it is not general. Any amount used in violation case, as calculated for the reporting practicable, because of the excessive of § 35.5, § 35.6, or § 35.7 may be year: cost of the project or geography or identified at any time prior to December (i) The aggregate amount of the topography of the area to be served by 31, 2026. expected increases in tax revenue the project, to provide service meeting (2) Annual reporting of amounts of caused by one or more covered changes the standards set forth in paragraph violations. On an annual basis, a that, either based on a reasonable (e)(2)(i) of this section: recipient that is a State or Territory statistical methodology to isolate the (A) Reliably meet or exceed 100 Mbps must calculate and report any amounts impact of the covered change in actual download speed and between at least 20 used in violation of § 35.8. revenue or based on projections that use Mbps and 100 Mbps upload speed; and (b) Calculation of amounts subject to reasonable assumptions and do not (B) Be scalable to a minimum of 100 recoupment—(1) In general. Except as incorporate the effects of Mbps download speed and 100 Mbps provided in paragraph (b)(2) of this macroeconomic growth to reduce or upload speed. section, Treasury will calculate any increase the projected impact of the amounts subject to recoupment § 35.7 Pensions. covered change, the State or Territory resulting from a violation of § 35.5, A recipient may not use funds for assesses has had or predicts to have the § 35.6, or § 35.7 as the amounts used in deposit into any pension fund. effect of increasing tax revenue; and violation of such restrictions. (ii) Reductions in spending, up to the (2) Violations of § 35.8. Treasury will § 35.8 Tax. amount of the State’s or Territory’s net calculate any amounts subject to (a) Restriction. A State or Territory reduction in total spending, that are in: recoupment resulting from a violation of shall not use funds to either directly or (A) Departments, agencies, or § 35.8, equal to the lesser of: indirectly offset a reduction in the net authorities in which the State or (i) The amount set forth in § 35.8(c); tax revenue of the State or Territory Territory is not using funds; and and,

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(ii) The amount of funds received by requirements of paragraph (d) of this with the requirements set forth in such recipient. section; or section 603(b)(2)(C) of the Social (c) Notice. If Treasury calculates an (2) Within 120 calendar days of Security Act and without offsetting any amount subject to recoupment under receipt of the Secretary’s decision under debt owed by such nonentitlement units paragraph (b) of this section, Treasury paragraph (e) of this section, in the case of local governments against such will provide the recipient a written of a recipient that submits a request for payments. notice of the amount subject to reconsideration in accordance with the (b) Budget cap. A State or Territory requirements of paragraph (d) of this recoupment along with an explanation may not make a payment to a section. of such amounts. nonentitlement unit of local government (d) Request for reconsideration. § 35.11 Payments to States. pursuant to section 603(b)(2)(C) of the Unless Treasury extends the time (a) In general. With respect to any Social Security Act and paragraph (a) of period, within 60 calendar days of this section in excess of the amount receipt of a notice of recoupment State or Territory that has an unemployment rate as of the date that equal to 75 percent of the most recent provided under paragraph (c) of this budget for the nonentitlement unit of section, a recipient may submit a it submits an initial certification for payment of funds pursuant to section local government as of January 27, 2020. written request to Treasury requesting A State or Territory shall permit a reconsideration of any amounts subject 602(d)(1) of the Social Security Act that is less than two percentage points above nonentitlement unit of local government to recoupment under paragraph (b) of without a formal budget as of January this section. To request reconsideration its unemployment rate in February 2020, the Secretary will withhold 50 27, 2020, to provide a certification from of any amounts subject to recoupment, an authorized officer of the a recipient must submit to Treasury a percent of the amount of funds allocated under section 602(b) of the Social nonentitlement unit of local government written request that includes: of its most recent annual expenditures (1) An explanation of why the Security Act to such State or territory until the date that is twelve months as of January 27, 2020, and a State or recipient believes all or some of the Territory may rely on such certification amount should not be subject to from the date such initial certification is provided to the Secretary. for purposes of complying with this recoupment; and paragraph (b). (2) A discussion of supporting (b) Payment of withheld amount. In reasons, along with any additional order to receive the amount withheld (c) Units of general local government. information. under paragraph (a) of this section, the Each State or Territory that receives a (e) Final amount subject to State or Territory must submit to the payment from Treasury pursuant to recoupment. Unless Treasury extends Secretary at least 30 days prior to the section 603(b)(3)(B)(ii) of the Social the time period, within 60 calendar days date referenced in paragraph (a) the Security Act, in the case of an amount of receipt of the recipient’s request for following information: to be paid to a county that is not a unit (1) A certification, in the form reconsideration provided pursuant to of general local government, shall provided by the Secretary, that such paragraph (d) of this section, the distribute the amount of the payment to State or Territory requires the payment recipient will be notified of the units of general local government within to carry out the activities specified in Secretary’s decision to affirm, withdraw, such county in accordance with the section 602(c) of the Social Security Act or modify the notice of recoupment. requirements set forth in section and will use the payment in compliance Such notification will include an 603(b)(3)(B)(ii) of the Social Security with section 602(c) of the Social explanation of the decision, including Act and without offsetting any debt Security Act; and, responses to the recipient’s supporting owed by such units of general local (2) Any reports required to be filed by government against such payments. reasons and consideration of additional that date pursuant to this subpart that information provided. have not yet been filed. (d) Additional conditions. A State or (f) Repayment of funds. Unless Territory may not place additional Treasury extends the time period, a § 35.12 Distributions to nonentitlement conditions or requirements on recipient shall repay to the Secretary units of local government and units of distributions to nonentitlement units of any amounts subject to recoupment in general local government. local government or units of general accordance with instructions provided (a) Nonentitlement units of local local government beyond those required by Treasury: government. Each State or Territory that by section 603 of the Social Security Act (1) Within 120 calendar days of receives a payment from Treasury or this subpart. receipt of the notice of recoupment pursuant to section 603(b)(2)(B) of the provided under paragraph (c) of this Social Security Act shall distribute the Laurie Schaffer, section, in the case of a recipient that amount of the payment to Acting General Counsel. does not submit a request for nonentitlement units of government in [FR Doc. 2021–10283 Filed 5–13–21; 11:15 am] reconsideration in accordance with the such State or Territory in accordance BILLING CODE 4810–AK–P

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Reader Aids Federal Register Vol. 86, No. 93 Monday, May 17, 2021

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING MAY

Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 106...... 24751 Presidential Documents 3 CFR 204...... 24750 Executive orders and proclamations 741–6000 Proclamations: 207...... 24750 The United States Government Manual 741–6000 10189...... 23843 208...... 24750 10190...... 23845 Other Services 209...... 24750 10191...... 23847 210...... 24750 741–6020 Electronic and on-line services (voice) 10192...... 23849 212...... 24750, 25809 Privacy Act Compilation 741–6050 10193...... 23851 214...... 24750 10194...... 23853 215...... 24750 10195...... 23855 ELECTRONIC RESEARCH 216...... 24750 10196...... 23857 235...... 24750 World Wide Web 10197...... 23859 236...... 24750 10198...... 23861 240...... 24750 Full text of the daily Federal Register, CFR and other publications 10199...... 24297 241...... 24751 is located at: www.govinfo.gov. 10200...... 24301 244...... 24750 Federal Register information and research tools, including Public 10201...... 24477 245...... 24750 Inspection List and electronic text are located at: 10202...... 24479 245a...... 24750 www.federalregister.gov. 10203...... 24697 264...... 24750 10204...... 25799 274...... 25809 E-mail 10205...... 25943 274a...... 24751 10206...... 25945 FEDREGTOC (Daily Federal Register Table of Contents Electronic 287...... 24750 10207...... 26147 316...... 24750 Mailing List) is an open e-mail service that provides subscribers 10208...... 26345 with a digital form of the Federal Register Table of Contents. The 333...... 24750 digital form of the Federal Register Table of Contents includes Executive Orders: 335...... 24750 14027...... 25947 HTML and PDF links to the full text of each document. 14028...... 26633 10 CFR To join or leave, go to https://public.govdelivery.com/accounts/ Administrative Orders: 72...... 26651 USGPOOFR/subscriber/new, enter your email address, then Presidential 430...... 24483, 24484 follow the instructions to join, leave, or manage your Determinations: No. Proposed Rules: subscription. 2021–06 of May 3, 50...... 24362, 25977 PENS (Public Law Electronic Notification Service) is an e-mail 2021 ...... 24475 51...... 24514 service that notifies subscribers of recently enacted laws. Notices: 52...... 24362 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Notice of May 6, 429...... 24516 and select Join or leave the list (or change settings); then follow 2021 ...... 25793 430...... 23635, 24538 the instructions. Notice of May 6, 431 ...... 23875, 24516, 24752 2021 ...... 25795 FEDREGTOC and PENS are mailing lists only. We cannot Notice of May 6, 11 CFR respond to specific inquiries. 2021 ...... 25797 Proposed Rules: Reference questions. Send questions and comments about the Notice of May 11, 113...... 23300 Federal Register system to: [email protected] 2021 ...... 26339 Notice of May 11, 12 CFR The Federal Register staff cannot interpret specific documents or 2021 ...... 26341 1242...... 23577 regulations. Proposed Rules: 5 CFR 30...... 24755 FEDERAL REGISTER PAGES AND DATE, MAY 2611...... 25801 208...... 24755 9801...... 26649 235...... 26189 23237–23576...... 3 328...... 24770 6 CFR 23577–23842...... 4 364...... 24755 23843–24296...... 5 37...... 23237 24297–24474...... 6 13 CFR 7 CFR 24475–24696...... 7 126...... 23863 24697–25798...... 10 3...... 24699 14 CFR 25799–25942...... 11 989...... 26347 25942–26148...... 12 4280, Subpart D ...... 26348 13...... 23241 26149–26346...... 13 Proposed Rules: 39 ...... 23593, 23595, 23599, 24485, 26149, 26365, 26367, 26347–26632...... 14 205...... 25961 993...... 25975 26370, 26373, 26651 26633–26824...... 17 1280...... 24513 71 ...... 26377, 26378, 26379, 26380 8 CFR 77...... 25801 Proposed Rules: 97...... 26382, 26385 1...... 24750 244...... 23260 103...... 24750, 25809 259...... 23260

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383...... 23241 788...... 24303 301–74...... 26455 216...... 23241 406...... 23241 795...... 24303 Ch. 301 Appendix E ...... 26455 217...... 23241 Proposed Rules: 2204...... 26658 218...... 23241 42 CFR Ch. I ...... 23876 219...... 23241 30 CFR 39 ...... 23301, 24546, 24549, 37...... 24336 220...... 23241 24551, 24554, 24556, 24560, 250...... 23606 412...... 24735 221...... 23241 24778, 24780, 24783, 24786, 483...... 26306 31 CFR 222...... 23241 24790, 25810, 25812, 26195, 510...... 23496 223...... 23241 26198, 26682 35...... 26786 Proposed Rules: 224...... 23241 536...... 26661 71 ...... 24562, 21782, 24792, 412...... 25070 225...... 23241 598...... 26661 24794, 24795, 24797, 24798, 413...... 25070 227...... 23241 24800, 24801, 24803, 24805 Proposed Rules: 425...... 25070 228...... 23241 100...... 23877 Ch. II ...... 23876 455...... 25070 229...... 23241 Ch. III ...... 23876 495...... 25070 32 CFR 230...... 23241 15 CFR 310...... 26671 44 CFR 231...... 23241 233...... 23241 Ch. XV ...... 23271 Proposed Rules: 64...... 24739 97...... 26444 234...... 23241 16 CFR 45 CFR 235...... 23241 1112...... 26654 33 CFR 147...... 24140 236...... 23241 1130...... 26654 100 ...... 23608, 23865, 24326, 150...... 24140 237...... 23241 1232...... 26654 24492 153...... 24140 238...... 23241 Proposed Rules: 117...... 23278, 23609 155...... 24140 239...... 23241 Ch. II ...... 25817 165 ...... 23279, 23611, 23613, 156...... 24140 240...... 23241 23865, 24710, 25949, 26386 158...... 24140 241...... 23241 17 CFR 401...... 23241 184...... 24140 242...... 23241 232...... 25803 Proposed Rules: 1173...... 26184 243...... 23241 239...... 25803 117...... 23639, 23880 244...... 23241 46 CFR 249...... 25803 165...... 24807, 25830 272...... 23241 269...... 25803 221...... 23241 386...... 23241 274...... 25803 34 CFR 307...... 23241 578...... 23241 Proposed Rules: 668...... 26608 340...... 23241 1570...... 23629 240...... 24364 677...... 26608 356...... 23241 1582...... 23629 275...... 26685 Proposed Rules: Proposed Rules: Proposed Rules: Ch. II ...... 23304 Ch. II ...... 23876 Ch. I ...... 23876 18 CFR Ch. II ...... 23876 38 CFR 47 CFR 157...... 26150 Ch. III ...... 23876 17...... 24494 1...... 26677 Ch. V...... 23876 19 CFR 2...... 23281, 23614 39 CFR 531...... 25980 Ch. I ...... 23277 15...... 23281 533...... 25980 20...... 23614 3...... 24712 Ch. VI...... 23876 20 CFR 10...... 24712 68...... 23614 Ch. VII...... 23876 655...... 26164 73 ...... 23866, 23868, 24339, Ch. VIII...... 23876 656...... 26164 40 CFR 24510, 24741, 26422 Ch. X...... 23876 Proposed Rules: 9...... 24328 76...... 26185 Ch. XI...... 23876 655...... 24368 52 ...... 24499, 24500, 24502, 90...... 23281, 26423 24503, 24505, 24507, 24713, 95...... 23281 21 CFR 24715, 24717, 24718, 24726, Proposed Rules: 50 CFR 1308...... 23602, 24487 24728, 25951, 25954, 26179, 1...... 26262 17...... 23869, 25806 26181, 26388, 26401 1310...... 24703 15...... 23323 218...... 24340 62...... 24730 Proposed Rules: 73 ...... 23340, 24837, 25978, 622...... 24742 82...... 24444 573...... 24564 25979 635...... 24359, 26424 83...... 26406 90...... 23323 648 ...... 23633, 24360, 24745, 22 CFR 180 ...... 24731, 25956, 26672 95...... 23323 26186 228...... 24708 300...... 26419 721...... 24328 48 CFR 660 ...... 23872, 26425, 26439 665...... 24511 23 CFR 725...... 24328 Proposed Rules: 679...... 24746 Proposed Rules: Proposed Rules: Ch. 12 ...... 23876 Ch. I ...... 23876 52 ...... 24564, 24569, 24809, Proposed Rules: Ch. II ...... 23876 24829, 24835, 25978, 26448, 49 CFR 10...... 24573 Ch. III ...... 23876 26450, 26687 107...... 23241 17...... 23882, 25833 81...... 23309 171...... 23241 20...... 23641 26 CFR 300...... 26452 190...... 23241 32...... 23794 53...... 23865 209...... 23241 71...... 23794 41 CFR 213...... 23241 224...... 23657 29 CFR Proposed Rules: 214...... 23241 635...... 25992 780...... 24303 300–70...... 26455 215...... 23241 660...... 23659

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