FEDERAL REGISTER
Vol. 86 Tuesday No. 89 May 11, 2021
Pages 25799–25942
OFFICE OF THE FEDERAL REGISTER
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Contents Federal Register Vol. 86, No. 89
Tuesday, May 11, 2021
Agency for Healthcare Research and Quality Environmental Protection Agency NOTICES NOTICES Requests for Nominations: Clean Water Act: Initial Review Group for Scientific Peer Review, 25871– No-Discharge Zones for Vessel Sewage in Maryland and 25872 Virginia, 25856–25860 Proposed Administrative Settlement: Agriculture Department CERCLA; Former Healy School Site, Fall River, MA, See Food and Nutrition Service 25860–25861 Receipts of Requests to Voluntarily Cancel Certain Pesticide Antitrust Division Registrations, 25861–25865 NOTICES Changes under the National Cooperative Research and Federal Aviation Administration Production Act: RULES National Armaments Consortium, 25887–25888 Review of Solar Energy System Projects on Federally- National Spectrum Consortium, 25888 Obligated Airports, 25801–25803 OpenJS Foundation, 25885–25886 PROPOSED RULES Recreational Off-Highway Vehicle Association, 25886 Airworthiness Directives: Specialty Vehicle Institute of America, 25886 Airbus SAS Airplanes, 25810–25812 The Institute of Electrical and Electronics Engineers, Inc., Textron Aviation Inc. (Type Certificate previously held 25887 by Cessna Aircraft Company) Airplanes, 25812– Z-Wave Alliance, Inc., 25886–25887 25817 NOTICES Centers for Medicare & Medicaid Services Release and Sale of Land Acquired with Airport NOTICES Improvement Program Assistance: Agency Information Collection Activities; Proposals, Evergreen Municipal Airport, Evergreen, AL, 25935 Submissions, and Approvals, 25872–25873 Federal Energy Regulatory Commission Coast Guard NOTICES PROPOSED RULES Agency Information Collection Activities; Proposals, Safety Zones: Submissions, and Approvals, 25852–25854 Recurring Safety Zone in Captain of the Port Sault Sainte Application: Marie Zone, 25830–25833 Kern River Gas Transmission Co., 25848–25850 Ocean Renewable Power Co., Inc., 25855 Commerce Department Pacific Gas and Electric Co., 25847–25848 See International Trade Administration Combined Filings, 25850–25851, 25854–25856 Commodity Futures Trading Commission Initial Market-Based Rate Filings Including Requests for NOTICES Blanket Section 204 Authorizations: Agency Information Collection Activities; Proposals, Orangeville Energy Storage, LLC, 25852 Submissions, and Approvals: Yellow Pine Energy Center I, LLC, 25851–25852 Reparations Complaint, 25845–25846 Yellow Pine Energy Center II, LLC, 25856 Consumer Product Safety Commission Federal Highway Administration PROPOSED RULES NOTICES Off-Highway Vehicle Fire and Debris-Penetration Hazards, Agency Information Collection Activities; Proposals, 25817–25830 Submissions, and Approvals, 25937 Environmental Impact Statements; Availability, etc.: Drug Enforcement Administration Heber Valley Corridor, Wasatch County, UT, 25935– NOTICES 25937 Decision and Order: Rosa A. Fuentes, M.D., 25888–25890 Federal Reserve System NOTICES Education Department Change in Bank Control: NOTICES Acquisitions of Shares of a Bank or Bank Holding Agency Information Collection Activities; Proposals, Company, 25865, 25870 Submissions, and Approvals: Guidance: Maintenance-of-Effort Requirements and Waiver Requests Proposed Guidelines for Evaluating Account and Services under the Elementary and Secondary School Requests, 25865–25870 Emergency Relief Fund and the Governor’s Emergency Education Relief Fund, 25846–25847 Federal Trade Commission NOTICES Energy Department Agency Information Collection Activities; Proposals, See Federal Energy Regulatory Commission Submissions, and Approvals, 25870–25871
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Fish and Wildlife Service Certain Steel Nails from the People’s Republic of China, RULES 25841–25843 Endangered and Threatened Species: Binational Panel Review: Two Species Not Warranted for Listing as Endangered or North American Free Trade Agreement, Article 1904; Threatened Species, 25806–25808 Request for Panel Review; Correction, 25844 PROPOSED RULES Endangered and Threatened Wildlife and Plants: International Trade Commission 90-Day Findings for Three Species, 25833–25836 NOTICES Investigations; Determinations, Modifications, and Rulings, Food and Nutrition Service etc.: NOTICES Non-Refillable Steel Cylinders from China, 25885 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Justice Department Pandemic Electronic Benefits Transfer, 25837–25839 See Antitrust Division See Drug Enforcement Administration Geological Survey NOTICES Labor Department Agency Information Collection Activities; Proposals, See Occupational Safety and Health Administration Submissions, and Approvals: National Geological and Geophysical Data Preservation Management and Budget Office Program Grant Opportunity, 25882–25883 NOTICES Senior Executive Service Performance Review Board Government Ethics Office Membership, 25892 RULES Removal of U.S. Office of Government Ethics Guidance National Archives and Records Administration Documents Regulations, 25801 NOTICES Records Schedules; Availability, 25892–25893 Health and Human Services Department See Agency for Healthcare Research and Quality National Institutes of Health See Centers for Medicare & Medicaid Services NOTICES See Health Resources and Services Administration Meetings: See National Institutes of Health Center for Scientific Review, 25875–25876 Fogarty International Center, 25877 Health Resources and Services Administration National Institute of Allergy and Infectious Diseases, NOTICES 25875, 25877 Agency Information Collection Activities; Proposals, National Institute on Drug Abuse, 25876–25877 Submissions, and Approvals: The Maternal, Infant, and Early Childhood Home Visiting National Park Service Program Pay for Outcomes Supplemental Information NOTICES Request, 25873–25875 National Register of Historic Places: Pending Nominations and Related Actions, 25883–25884 Homeland Security Department See Coast Guard Occupational Safety and Health Administration See U.S. Citizenship and Immigration Services NOTICES NOTICES Nationally Recognized Testing Laboratories: Privacy Act; Systems of Records, 25877–25881 CSA Group Testing and Certification, Inc.; Grant of Expansion of Recognition, 25891–25892 Housing and Urban Development Department NOTICES Postal Regulatory Commission Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: New Postal Products, 25893 Multifamily Insurance Benefits Claims Package, 25881– 25882 Postal Service NOTICES Interior Department Privacy Act; System of Records, 25899–25902 See Fish and Wildlife Service Transfer of Post Office Box Service in Selected Locations to See Geological Survey the Competitive Product List, 25894–25899 See National Park Service See Surface Mining Reclamation and Enforcement Office Presidential Documents PROCLAMATIONS International Trade Administration Special Observances: NOTICES Military Spouse Appreciation Day (Proc. 10204), 25799– Antidumping or Countervailing Duty Investigations, Orders, 25800 or Reviews: Certain Corrosion-Resistant Steel Products from India, Securities and Exchange Commission 25844–25845 RULES Certain Non-Refillable Steel Cylinders from the People’s Adoption of Updated EDGAR Filer Manual, Form ID Republic of China, 25839–25841 Amendments, 25803–25806
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NOTICES Surface Transportation Board Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 25931 Abandonment Exemption: Self-Regulatory Organizations; Proposed Rule Changes: Indiana Rail Road Co., Vigo County, IN, 25933 Cboe Exchange, Inc., 25915–25918 ICE Clear Europe, Ltd., 25928–25931 Tennessee Valley Authority Miami International Securities Exchange, LLC, 25923– NOTICES 25928 Environmental Impact Statements; Availability, etc.: MIAX PEARL, LLC, 25906–25911 Cumberland Fossil Plant Retirement, 25933–25935 Nasdaq BX, Inc., 25911–25913 Nasdaq PHLX, LLC, 25918–25922 Transportation Department See Federal Aviation Administration New York Stock Exchange, LLC, 25902–25905 See Federal Highway Administration NYSE American, LLC, 25905–25906 NYSE Arca, Inc., 25913–25915 U.S. Citizenship and Immigration Services PROPOSED RULES Small Business Administration Removal of International Entrepreneur Parole Program, NOTICES 25809–25810 Conflicts of Interest: Veterans Affairs Department Gemini Investor VI, LP, 25932 NOTICES Major Disaster Declaration: Agency Information Collection Activities; Proposals, Georgia, 25932 Submissions, and Approvals: Kentucky, 25932 Application for Fee or Roster Personnel Designation, 25937–25938 State Department Statement in Support of Claim, 25938 NOTICES Meetings: Culturally Significant Objects Imported for Exhibition: Listening Sessions on the Department of Veterans Affairs Staff Sergeant Parker Gordon Fox Suicide Prevention Nikolai Astrup: Visions of Norway, 25933 Grant Program, 25938–25941
Surface Mining Reclamation and Enforcement Office NOTICES Reader Aids Agency Information Collection Activities; Proposals, Consult the Reader Aids section at the end of this issue for Submissions, and Approvals: phone numbers, online resources, finding aids, and notice Contractor Eligibility and the Abandoned Mine Land of recently enacted public laws. Contractor Information Form, 25884 To subscribe to the Federal Register Table of Contents Maintenance of State Programs and Procedures for electronic mailing list, go to https://public.govdelivery.com/ Substituting Federal Enforcement of State Programs accounts/USGPOOFR/subscriber/new, enter your e-mail and Withdrawing Approval of State Programs, address, then follow the instructions to join, leave, or 25884–25885 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 Proclamations: 10204...... 25799 5 CFR 2611...... 25801 8 CFR Proposed Rules: 103...... 25809 212...... 25809 274...... 25809 14 CFR 77...... 25801 Proposed Rules: 39 (2 documents) ...... 25810, 25812 16 CFR Proposed Rules: Ch. II ...... 25817 17 CFR 232...... 25803 239...... 25803 249...... 25803 269...... 25803 274...... 25803 33 CFR Proposed Rules: 165...... 25830 50 CFR 17...... 25806 Proposed Rules: 17...... 25833
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Federal Register Presidential Documents Vol. 86, No. 89
Tuesday, May 11, 2021
Title 3— Proclamation 10204 of May 6, 2021
The President Military Spouse Appreciation Day, 2021
By the President of the United States of America
A Proclamation As the members of our Armed Forces safeguard our Nation at home and around the world, they depend on the people they love for strength, comfort, joy, and stability. Military spouses may not always wear a uniform, but they serve and sacrifice alongside their service members and keep our mili- tary strong. On Military Spouse Appreciation Day, we recognize and thank the military spouses who serve our Nation and are critical to our national security. Military families are proud of the lives they build. Spouses understand that loving a service member means facing the challenges that can accompany their service: from leaving friends behind to changing jobs again; making parenting decisions alone to losing sleep at night; deployments to home- comings to more deployments. Those challenges have been magnified by the COVID–19 pandemic, which has led to lost income, fewer childcare options, and extended deployments. Still, military spouses have done what they do best: adapt, persevere, and keep going. When someone you love is hurting, you hurt with them. When your spouse is at home, trying to make ends meet, or is torn between taking care of your children and keeping a job, your heart breaks too. Service members cannot focus on their mission if their families do not have what they need to thrive at home, and we cannot expect to retain even the most dedicated service members if they are forced to choose between their love of country and the hopes and dreams they have for their families. That is why supporting military spouses is critical to keeping our Nation safe. On Military Spouse Appreciation Day, we recognize the importance of em- powering spouses and ensuring they have the necessary tools and resources to thrive in all facets of their lives, including in the community, in the workforce, and at home. My Administration is dedicated to supporting our Nation’s military spouses. Through the First Lady’s work with Joining Forces, the White House has committed to supporting military and veteran families, caregivers, and sur- vivors through economic and entrepreneurship opportunities, support for military child education, and health and wellbeing resources. Launched in 2011 as part of Joining Forces, the Department of Defense’s Military Spouse Employment Partnership now includes more than 500 companies, nonprofit organizations, and Federal agencies that are committed to recruit- ing, hiring, promoting, and retaining military spouses. Since its inception, the Partnership has supported more than 180,000 military spouses. Joining Forces will continue to convene and collaborate with Federal agency partners, nonprofit organizations, corporate stakeholders, and service providers to develop comprehensive, meaningful, and long-term solutions to address the holistic well-being of military and veteran families, caregivers, and survivors. And, Joining Forces calls upon on all Americans to support and harness the special skills, strengths, and experiences of military spouses. Today, we pause to salute the women and men who do so much to support our troops, invest in our communities, and sacrifice for our country. Their
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strength and resilience are essential to the recruitment, retention, and readi- ness of our fighting forces and, indeed, to the strength of our Nation. NOW, THEREFORE, I, JOSEPH R. BIDEN JR., President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim May 7, 2021, as Military Spouse Appreciation Day. I call upon the people of the United States to honor military spouses with appropriate ceremonies and activities. IN WITNESS WHEREOF, I have hereunto set my hand this sixth day of May, in the year of our Lord two thousand twenty-one, and of the Independ- ence of the United States of America the two hundred and forty-fifth.
[FR Doc. 2021–10038 Filed 5–10–21; 8:45 am] Billing code 3295–F1–P
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Rules and Regulations Federal Register Vol. 86, No. 89
Tuesday, May 11, 2021
This section of the FEDERAL REGISTER ‘‘promptly take steps to rescind any harmonizing rules, and of promoting contains regulatory documents having general orders, rules, regulations, guidelines, or flexibility. In promulgating this applicability and legal effect, most of which policies, or portions thereof, rulemaking, OGE has adhered to the are keyed to and codified in the Code of implementing or enforcing’’ the revoked regulatory philosophy and the Federal Regulations, which is published under executive orders. applicable principles of regulation set 50 titles pursuant to 44 U.S.C. 1510. In accordance with Executive Order forth in Executive Orders 12866 and The Code of Federal Regulations is sold by 13992, OGE is removing 5 CFR part 13563. The rule is not a significant the Superintendent of Documents. 2611 in its entirety. OGE will retain a regulatory action for the purposes of copy of the regulation. The Federal Executive Order 12866. Register issuance at 85 FR 51301, which Executive Order 12988 OFFICE OF GOVERNMENT ETHICS includes the full text of the regulation, will remain on OGE’s website. OGE will As Director of the Office of 5 CFR Part 2611 also remove the Guidance Portal from Government Ethics, I have reviewed this RIN 3209–AA61 its website; however, the documents rule in light of section 3 of Executive from the Guidance Portal will continue Order 12988, Civil Justice Reform, and Removal of U.S. Office of Government to be available elsewhere on OGE’s certify that it meets the applicable Ethics Guidance Documents website. standards provided therein. Regulations II. Matters of Regulatory Procedure List of Subjects in 5 CFR Part 2611 AGENCY: Office of Government Ethics. Administrative Procedure Act Administrative practice and ACTION: Final rule. procedure, Guidance documents, Pursuant to 5 U.S.C. 553(b)(3)(A), as Significant guidance documents. SUMMARY: Pursuant to Executive Order Director of the Office of Government Approved: May 6, 2021. 13992, the U.S. Office of Government Ethics, the notice and comment Ethics (OGE) is removing its regulations procedures are being waived because Emory Rounds, that detail the processes for the issuance these amendments concern matters of Director, U.S. Office of Government Ethics. of, modifications to, and petitions agency organization, procedure and For the reasons set forth in the regarding guidance documents, as practice. preamble, and under the authority of 5 defined by Executive Order 13891. Paperwork Reduction Act U.S.C. app. 101–505 (Ethics in DATES: This final rule is effective May Government Act of 1978), the U.S. The Paperwork Reduction Act (44 11, 2021. Office of Government Ethics amends 5 U.S.C. chapter 35) does not apply CFR chapter XVI by removing part 2611. FOR FURTHER INFORMATION CONTACT: because this regulation does not contain Patrick J. Lightfoot, Assistant Counsel, information collection requirements that [FR Doc. 2021–09954 Filed 5–10–21; 8:45 am] or Margaret Dylus-Yukins, Assistant require approval of the Office of BILLING CODE 6345–03–P Counsel; Telephone: 202–482–9300. Management and Budget. SUPPLEMENTARY INFORMATION: Unfunded Mandates Reform Act DEPARTMENT OF TRANSPORTATION I. Background For purposes of the Unfunded As required by Executive Order Mandates Reform Act of 1995 (2 U.S.C. Federal Aviation Administration 13891, ‘‘Promoting the Rule of Law chapter 5, subchapter II), this final rule Through Improved Agency Guidance would not significantly or uniquely 14 CFR Part 77 Documents’’ (October 9, 2019), OGE affect small governments and will not Federal Aviation Administration Policy: issued 5 CFR part 2611 on August 20, result in increased expenditures by Review of Solar Energy System 2020. 85 FR 51301 (August 20, 2020). 5 State, local, and tribal governments, in Projects on Federally-Obligated CFR part 2611 set forth processes and the aggregate, or by the private sector, of Airports procedures for OGE’s issuance of $100 million or more (as adjusted for guidance documents as defined by inflation) in any one year. AGENCY: Federal Aviation Executive Order 13891. Also pursuant Administration, DOT. Executive Order 13563 and Executive to Executive Order 13891, OGE ACTION: Noticificaton of policy. established and maintained a Guidance Order 12866 Portal on its website, which provided Executive Orders 13563 and 12866 SUMMARY: This document establishes links to all guidance documents in effect direct agencies to assess all costs and FAA policy for proposals by sponsors of and issued by OGE. 85 FR 45638 (July benefits of available regulatory federally-obligated airports to construct 29, 2020). Notably, all of OGE’s alternatives and, if regulation is solar energy systems on airport guidance documents are already posted necessary, to select the regulatory property. FAA is publishing this policy elsewhere on the OGE website. approaches that maximize net benefits because it is in the public interest to Executive Order 13992, ‘‘Revocation (including economic, environmental, enhance safety by analyzing ocular of Certain Executive Orders Concerning public health and safety effects, impact of proposed solar energy systems Federal Regulation’’ (January 20, 2021), distributive impacts, and equity). on airport traffic control tower revoked Executive Order 13891 and five Executive Order 13563 emphasizes the personnel. The policy applies to other executive orders. Executive Order importance of quantifying both costs proposed on-airport solar energy 13992 also directed agencies to and benefits, of reducing costs, of systems at federally-obligated towered
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airports. This policy replaces the this policy pursuant to its authority ATCT cabs. Therefore, FAA has Interim Policy published on October 23, under title 14 of the Code of Federal determined the scope of agency policy 2013. Regulations (CFR), part 77, with the should be focused on the impact of on- DATES: The effective date of this policy intent to ensure the safety of the airport solar energy systems to federally- is May 11, 2021. development of solar energy systems on obligated towered airports, specifically ADDRESSES: You can obtain an airport property by eliminating the the airport’s ATCT cab. potential for ocular impact to the ATCT electronic copy of this Policy and all The policy in this document updates cab from these systems. FAA other documents in this docket using and replaces the previous policy by established a cross-organizational the internet by: encouraging airport sponsors to conduct working group in 2012 to establish a (1) Searching the Federal an ocular analysis of potential impacts eRulemaking portal (http:// standard for measuring glint and glare, and clear thresholds for when glint and to ATCT cabs prior to submittal of a www.faa.gov/regulations/search); Notice of Proposed Construction or (2) Visiting FAA’s Regulations and glare would impact aviation safety. This resulted in FAA’s 2013 Interim Policy Alteration Form 7460–1 (hereinafter Policies web page at (http:// Form 7460–1). Airport sponsors are no www.faa.gov/regulations_policies); or on Review of Solar Energy Systems at Federally-Obligated Airports, referenced longer required to submit the results of (3) Accessing the Government an ocular analysis to FAA. Instead, to Printing Office’s web page at (http:// above. demonstrate compliance with 14 CFR www.gpoaccess.gov). The Interim Policy required federally- 77.5(c), FAA will rely on the submittal You can also obtain a copy by sending obligated airports to conduct an ocular of Form 7460–1 in which the sponsor a request to FAA, Airport Planning and analysis of potential glint and glare Environmental Division, 800 effects to pilots on final approach and confirms that it has analyzed the Independence Ave. SW, Washington, ATCT cabs before construction begins. potential for glint and glare and DC 20591, or by calling (202) 267–3263. The policy also included a standard for determined there is no potential for Make sure to identify the docket measuring ocular impact and a ocular impact to the airport’s ATCT cab. number, document number or recommended tool for measuring ocular This process will enable FAA to amendment number of this proceeding. impact. evaluate the solar energy system project, FAA received 20 comments on the with assurance that the system will not FOR FURTHER POLICY INFORMATION Interim Policy. The majority of impact the ATCT cab. CONTACT: Mike Hines, Manager, Airport comments were from persons who are Planning and Environmental Division, involved with the solar energy industry. FAA is also withdrawing the APP–400, Federal Aviation FAA also received comments from the recommended tool for ocular impact, Administration, 800 Independence Ave. Airport Consultants Council (ACC) on the Solar Glare Hazard Analysis Tool SW, Washington, DC 20591, telephone behalf of its membership. The (SGHAT). The Interim Policy mandated (202) 267–8772; email: Michael.Hines@ comments were largely focused on the use of SGHAT, developed faa.gov. requirements in the interim policy that independently by Sandia National SUPPLEMENTARY INFORMATION: Authority FAA is not carrying forward to this Laboratories. The tool is no longer for the Policy: This policy is published updated policy. available to all users at no cost. There under the authority described in Title are several glint/glare analysis tools 49 of the United States Code, subtitle Developments Since Interim Policy available to airport sponsors on the VII, part B, Chapter 471, Section The Interim Policy stated that ‘‘FAA open market, but FAA is not requiring 47122(a). expects to continue to update these or endorsing a specific tool for assessing policies and procedures as part of an ocular impact. In addition, FAA Background iterative process as new information and acknowledges that in some cases a tool In October 2013, FAA issued an technologies become available.’’ This is may not be required to support a interim policy for proposals by sponsors in keeping with FAA’s obligation under sponsor’s statement that a proposed of federally-obligated airports to 49 U.S.C. 47122(a) to continually solar energy system will not impact an construct solar energy systems on incorporate new information on safety ATCT cab. The primary example is a airport property. 78 FR 63276, October considerations, and update policies and proposed on-airport solar energy system 23, 2013. procedures as appropriate. In keeping that is not visible from an ATCT cab There is continued interest in with these statements, FAA reviewed because it is blocked by another installing solar photovoltaic (PV) and the comments received on the Interim structure. solar hot water (SHW) systems on Policy and continued to collect This policy does not apply to: airports. While solar PV or SHW additional information on ocular systems (henceforth referred to as solar impacts of proposed solar energy 1. Solar energy systems on airports energy systems) are designed to absorb systems. that do not have an ATCT, solar energy to maximize electrical Initially, FAA believed that solar 2. Airports that are not federally- energy production or the heating of energy systems could introduce a novel obligated, or water, in certain situations the glass glint and glare effect to pilots on final surfaces of the solar energy systems can approach. FAA has subsequently 3. Solar energy systems not located on reflect sunlight and produce glint (a concluded that in most cases, the glint airport property. momentary flash of bright light) and and glare from solar energy systems to Though this policy does not apply to glare (a continuous source of bright pilots on final approach is similar to proponents of solar energy systems light). FAA has learned that glint and glint and glare pilots routinely located off airport property, they are glare from solar energy systems could experience from water bodies, glass- encouraged to consider ocular impact result in an ocular impact to airport fac¸ade buildings, parking lots, and for proposed systems in proximity to traffic control tower (ATCT) personnel similar features. However, FAA has airports with ATCTs. In these cases, working in the tower cab, and continued to receive reports of potential solar energy system proponents should compromise the safety of the air glint and glare from on-airport solar coordinate with the local airport transportation system. FAA is issuing energy systems on personnel working in sponsor.
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FAA Policy: Review of Solar Energy systems that are blocked from the ATCT and secure process for EDGAR access by System Projects on Federally-Obligated cab’s view by another structure), the use requiring certain applicants that already Airports of such tools may not be necessary to have an EDGAR Central Index Key (or The following sets forth FAA’s policy support the assertion that a proposed CIK) account number, but do not have for analyzing ocular impact and the solar energy system will not result in EDGAR access codes, to submit the obligations of an Airport Sponsor when ocular impacts. FAA suggests that related form and an authenticating a solar energy system is proposed for airport sponsors with questions about document to obtain access to EDGAR. development on a federally-obligated conducting this analysis contact their The related form has also been amended airport with an ATCT. local FAA Airports District Office (or to update its instructions and cross- It is in the public interest to enhance Regional Office for those Regions references to Volume I of the Filer safety by analyzing ocular impact of without District Offices) during the Manual. The revisions to Volume II proposed solar energy systems at early stages of a solar energy system reflect additional updates to the EDGAR federally-obligated towered airports. siting process. Regional and Airports system. The policy applies to any proposed District Offices are available to provide DATES: solar energy system on a federally- assistance with this process. Effective date: May 11, 2021. obligated towered airport. Integration of This Policy Statement Into Incorporation by reference: The Standard for Analyzing Ocular Impact FAA Orders and Publications incorporation by reference of the EDGAR Filer Manual is approved by the FAA will incorporate this policy into For federally-obligated towered Director of the Federal Register as of applicable FAA Orders and airports, the airport sponsor will revise May 11, 2021. publications, such as Advisory an Airport Layout Plan to depict Compliance date: The applicable proposed solar installations of any size Circulars, as they are updated. The agency will also continually review this compliance date is discussed in Section that are not co-located with an existing VII. structure and require a new footprint (as policy in the interest of aviation safety. FOR FURTHER INFORMATION CONTACT: For required by 49 U.S.C. 47107(a)(16)(A)). FAA reserves the right to update this questions regarding the amendments to The airport sponsor will also file a policy if the agency collects or receives Volume I of the Filer Manual, Form ID, Notice of Proposed Construction or additional information on glint and and related rules, please contact Alteration Form 7460–1 (as required by glare from on-airport solar energy Rosemary Filou, Chief Counsel, or 14 CFR 77.9). To demonstrate systems. The FAA will incorporate any Monica Lilly, Senior Special Counsel, in compliance with 14 CFR 77.5(c), FAA updates into applicable FAA Orders and the EDGAR Business Office at 202–551– will rely on the airport sponsor to publications. 3900. For questions concerning the include a statement in its completed This policy does not have the force changes to the submission form types Form 7460–1 that the proposed solar and effect of law and is not meant to for Forms N–NMFP and N–CEN, please project will not result in ocular (i.e. glint bind the public in any way, it is contact Heather Fernandez in the or glare) impacts to the airport’s ATCT intended only to provide clarity to the Division of Investment Management at cab. The airport sponsor is encouraged public regarding existing requirements (202) 551–6708. For questions to conduct an ocular analysis of under the law or agency policies. concerning changes to the submission potential impacts to ATCT cabs prior to Issued in Washington, DC. form types for Form C, please contact the submittal of its Form 7460–1. If the Robert John Craven, Christian Windsor, Senior Special 7460–1 evaluation results in a ‘‘no Director, Airport Planning and Programming. Counsel, in the Division of Corporation objection’’ finding, FAA will include [FR Doc. 2021–09862 Filed 5–10–21; 8:45 am] Finance at (202) 551–3419. For the following statement in the BILLING CODE 4910–13–P questions concerning the XBRL aeronautical study determination: submissions, please contact the Office of FAA relies on the airport sponsor’s Structured Disclosure in the Division of statement in the submitted Form 7460–1 that SECURITIES AND EXCHANGE Economic and Risk Analysis at (202) it has proposed a project that will not create COMMISSION 551–5494. ocular (i.e., glint or glare) impacts to SUPPLEMENTARY INFORMATION: personnel in the airport’s airport traffic 17 CFR Parts 232, 239, 249, 269 and We are control tower. If impacts to the airport traffic 274 adopting an updated EDGAR Filer control tower are discovered after Manual, Volume I: ‘‘General construction, the Sponsor must mitigate [Release Nos. 33–10935; 34–91352; 39– Information,’’ Version 37 (March 2021) those impacts at its own expense. The 2538, IC–34226] and Volume II: ‘‘EDGAR Filing,’’ Sponsor remains subject to a compliance Version 57 (March 2021); amendments action under 14 CFR part 16 for failing to Adoption of Updated EDGAR Filer to 17 CFR 232.10 and 17 CFR 232.301 mitigate ocular impacts that interfere with Manual, Form ID Amendments aviation safety. (‘‘Rule 301’’); and amendments to Form AGENCY: Securities and Exchange ID (17 CFR 239.63, 17 CFR 249.446, 17 Tools To Assess Ocular Impact Commission. CFR 269.7, and 17 CFR 274.402). The updated Filer Manual volumes are FAA encourages airport sponsors of ACTION: Final rule. federally-obligated towered airports to incorporated by reference into the Code conduct a sufficient analysis to support SUMMARY: The Securities and Exchange of Federal Regulations. their assertion that a proposed solar Commission (the ‘‘Commission’’) is I. Background energy system will not result in ocular adopting amendments to Volumes I and impacts. There are several tools II of the Electronic Data Gathering, The Filer Manual contains technical available on the open market to airport Analysis, and Retrieval system specifications needed for filers to make sponsors that can analyze potential glint (‘‘EDGAR’’) Filer Manual (‘‘EDGAR Filer submissions on EDGAR. Filers must and glare to an ATCT cab. For proposed Manual’’ or ‘‘Filer Manual’’), a related comply with the applicable provisions systems that will clearly not impact form, and related rules. The of the Filer Manual in order to assure ATCT cabs (e.g., on-airport solar energy amendments result in a more uniform the timely acceptance and processing of
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filings made in electronic format.1 Filers the Commission is amending Volume I this rulemaking, EDGAR Release 21.1 should consult the Filer Manual in of the EDGAR Filer Manual to require updates the following submission form conjunction with our rules governing these applicants that already have CIKs, types to include co-issuer fields: C, mandated electronic filings when but do not have EDGAR access codes, to C/A, C–U, C–AR, C–AR/A, and C–TR. preparing documents for electronic submit a Form ID and authenticating Filers can specify the co-issuer name, submission. document to obtain EDGAR access.4 legal status, and address if the co-issuer Volume I of the Filer Manual provides This process will streamline is not an EDGAR filer but associated general information regarding electronic administration of EDGAR access in the with the C, C/A, C–U, C–AR C–AR/A, submissions to the Commission on short term, and facilitate modernization and C–TR filing. Alternatively, if the co- EDGAR, including information of EDGAR access in the longer term. issuer is an EDGAR filer, the system will concerning requirements for becoming As a conforming change, the pre-populate this information based on an EDGAR filer.2 The amendments to Commission is deleting the phrase, ‘‘to the CIK provided. See Chapter 8 Volume I require certain applicants that whom the Commission previously has (Preparing And Transmitting Online already have an EDGAR Central Index not assigned a Central Index Key (CIK) Submissions) of the EDGAR Filer Key (or CIK) account number, but do not code’’ in rules related to EDGAR access Manual, Volume II: ‘‘EDGAR Filing.’’ have EDGAR access codes, to submit the requests.5 Separately, the Commission is In order to simplify the preparation of application for EDGAR access codes amending Form ID to delete references XBRL submissions and reduce the (Form ID) and an authenticating to applicants that do not have CIKs. number of separate file attachments, the document to obtain access to EDGAR. In These amendments clarify that a Form content of section 6.7.8 (Element addition, the Commission is: ID submission will be required by xsd:schema must not contain any • Amending related rules and Form ‘‘Convert Paper Only Filer to Electronic occurrences of ‘‘embedded’’ linkbases) ID to reflect the changes to the EDGAR Filer’’ applicants that already have CIKs of Volume II of the Filer Manual has access process; but do not have EDGAR access codes.6 been deleted and marked as ‘‘Reserved.’’ • Modifying Form ID to update its Finally, the Commission is modifying Relatedly, updates have been made to instructions and cross-references to Form ID to update its instructions and section 6.9 (Syntax of all Linkbases) of Volume I of the Filer Manual; and cross-references to Volume I of the Filer Volume II of the Filer Manual. See • Amending Volume II of the Filer Manual.7 Chapter 6 (Interactive Data) of the Manual in accordance with additional III. EDGAR Releases and Amendments EDGAR Filer Manual, Volume II: EDGAR updates. to Volume II of the Filer Manual ‘‘EDGAR Filing.’’ EDGAR Release 21.0.1 updated II. Amendments to Volume I of the Filer EDGAR is being updated in Release submission form types N–MFP2 and Manual, Rules Related to EDGAR 21.1, and was previously updated in N–MFP2/A to allow filers to provide Access, and Form ID Release 21.0.1, and corresponding negative values for Item A.16 and select All individuals, companies, and other amendments to Volume II of the Filer ‘‘Exempt Government’’ and organizations who seek a CIK and access Manual are being made to reflect these ‘‘Government/Agency’’ as the category 8 codes to file on EDGAR must complete changes, as described below. of the fund in Item A.10 of the form and submit a Form ID and an On November 2, 2020, the types. EDGAR will continue to allow authenticating document.3 The Form ID Commission adopted changes to Form C filers to choose ‘‘Exempt Government’’ to be used by participants in Regulation and authenticating document are and ‘‘Treasury’’ as the category of the Crowdfunding offerings.9 As a result of intended to allow Commission staff to fund in Item A.10 of the form types. See review applicant business information, Appendix A (Messages Reported by 4 The amendments to Volume I of the Filer determine if a person signing the Form Manual also include adding the title ‘‘EDGAR EDGAR) of the EDGAR Filer Manual, ID is authorized by the applicant, and Access Consequences of Potentially Misleading or Volume II: ‘‘EDGAR Filing.’’ confirm the authorized person’s identity Manipulative Submissions and Unauthorized EDGAR Release 21.0.1 updated filer- Submissions’’ to the discussion regarding 17 CFR constructed submission form types through notarization. A separate, 232.15 (Rule 15 of Regulation S–T) and changing abbreviated process existed for certain the reference ‘‘authentication’’ documents to N–CEN and N–CEN/A to validate the applicants seeking EDGAR access codes ‘‘authenticating’’ documents. CIK provided in the ‘‘Filer Information’’ that already have CIKs but have not 5 See new rules 17 CFR 232.10(b), 17 CFR 239.63, section of the header with the CIK listed filed electronically on EDGAR—for 17 CFR 249.446, 17 CFR 269.7, and 17 CFR 274.402. in the ‘‘Information about the 6 We have submitted revised burden estimates on Registrant’’ section. See Appendix A example, broker-dealers who have the Form ID collection of information to OMB for previously filed with the Commission approval and have provided a notice and (Messages Reported by EDGAR) of the only in paper form. This process was opportunity for the public to comment on the EDGAR Filer Manual, Volume II: referred to as ‘‘Convert Paper Only Filer revised burden estimates. See, e.g., Proposed ‘‘EDGAR Filing.’’ Collection and Comment Request for Form ID [85 EDGAR Release 21.1 also introduces, to Electronic Filer.’’ FR 86599 (Dec. 30, 2020)]. In order to implement a more uniform 7 See Revised Volume I Release (allowing and Release 21.0.2 introduced, and secure process for EDGAR access, applicants to EDGAR the option of obtaining additional changes in EDGAR that do electronic notarizations and remote online not require corresponding amendments notarizations). The Commission also amended 17 1 to the Filer Manual. See the ‘‘Updates’’ See Rule 301. CFR 232.10(b) to remove the manual signature 2 We originally adopted the Filer Manual on April requirement for EDGAR access requests to allow section of Volume II of the EDGAR Filer 1, 1993, with an effective date of April 26, 1993. electronic signature requests. Id. Manual, Volume II: ‘‘EDGAR Filing.’’ Release No. 33–6986 (Apr. 1, 1993) [58 FR 18638]. 8 EDGAR Release 21.1 will be deployed on or The most recent update to the Filer Manual was about March 22, 2021. EDGAR Release 21.0.1 was IV. Amendments to Rule 301 of Volume I: ‘‘General Information,’’ Version 36 deployed on January 11, 2021, and EDGAR Release Regulation S–T (December 2020) and Volume II: ‘‘EDGAR Filing,’’ 21.0.2 was deployed on February 18, 2021 (note Version 56 (December 2020). See Adoption of that there were no corresponding amendments to Along with the adoption of the Updated EDGAR Filer Manual, Proposed Collection the EDGAR Filer Manual for Release 21.0.2). updated Filer Manual, we are amending and Comment Request for Form ID, Release No. 33– 9 See Facilitating Capital Formation and Rule 301 of Regulation S–T to provide 10902 (Dec. 11, 2020) [86 FR 7968 (Feb. 3, 2021)] Expanding Investment Opportunities by Improving for the incorporation by reference into (‘‘Revised Volume I Release’’). Access to Capital in Private Markets, Release No. 3 See 17 CFR 232.10(b), 17 CFR 239.63, 17 CFR 33–10884 (Nov. 2, 2020) [86 FR 3496 (Jan. 14, the Code of Federal Regulations of the 249.446, 17 CFR 269.7 and 17 CFR 274.402. 2021)]. current revisions. This incorporation by
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reference was approved by the Director 30, 31, and 38 of the Investment printing in the Commission’s Public of the Federal Register in accordance Company Act of 1940.17 Reference Room, 100 F Street NE, with 5 U.S.C. 552(a) and 1 CFR part 51. Washington, DC 20549, on official List of Subjects The updated EDGAR Filer Manual is business days between the hours of 10 available at https://www.sec.gov/edgar/ 17 CFR Parts 232 a.m. and 3 p.m. You can also inspect the filer-information/current-edgar-filer- Incorporation by reference, Reporting document at the National Archives and manual. Typically, the EDGAR Filer and recordkeeping requirements, Records Administration (NARA). For Manual is also available for website Securities. information on the availability of this viewing and printing in the material at NARA, email fedreg.legal@ Commission’s Public Reference Room, 17 CFR Parts 239, 249, 269 and 274 nara.gov, or go to: https:// 100 F Street NE, Washington, DC 20549, Reporting and recordkeeping www.archives.gov/federal-register/cfr/ on official business days between the requirements, Securities. ibr-locations.html. hours of 10 a.m. and 3 p.m. Due to pandemic conditions, however, access Text of the Amendments PART 239—FORMS PRESCRIBED to the Commission’s Public Reference In accordance with the foregoing, title UNDER THE SECURITIES ACT OF 1933 Room is not permitted at this time. 17, chapter II of the Code of Federal V. Administrative Law Matters; Regulations is amended as follows: ■ 4. The authority citation for part 239 continues to read, in part, as follows: Effective and Compliance Dates PART 232—REGULATION S–T— Because the Filer Manual, and form GENERAL RULES AND REGULATIONS Authority: 15 U.S.C. 77c, 77f, 77g, 77h, and rule amendments, relate solely to FOR ELECTRONIC FILINGS 77j, 77s, 77z–2, 77z–3, 77sss, 78c, 78l, agency procedures or practice and do 78m,78n, 78o(d), 78o–7 note, 78u–5, 78w(a), not substantially alter the rights and ■ 1. The authority citation for part 232 78ll, 78mm, 80a–2(a), 80a–3, 80a–8, 80a–9, obligations of non-agency parties, continues to read, in part, as follows: 80a–10, 80a–13, 80a–24, 80a–26, 80a–29, 80a–30, and 80a–37; and sec. 107, Pub. L. publication for notice and comment is Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j, 112–106, 126 Stat. 312, unless otherwise not required under the Administrative 77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, 78n, noted. Procedure Act (‘‘APA’’).10 It follows that 78o(d), 78w(a), 78ll, 80a–6(c), 80a–8, 80a–29, the amendments do not require analysis 80a–30, 80a–37, 7201 et seq.; and 18 U.S.C. * * * * * 1350, unless otherwise noted. under requirements of the Regulatory § 239.63 [Amended] Flexibility Act 11 or a report to Congress * * * * * under the Small Business Regulatory ■ 5. In § 239.63, amend the introductory Fairness Act.12 § 232.10 [Amended] text by removing the phrase ‘‘to whom The effective date for the Filer ■ 2. Amend § 232.10(b) by removing the the Commission previously has not Manual, Form ID, and related rule phrase ‘‘to whom the Commission assigned a Central Index Key (CIK) amendments is May 11, 2021. The previously has not assigned a Central code,’’. compliance date for the updated Index Key (CIK) code,’’. Volume I of the Filer Manual, Form ID ■ 3. Revise § 232.301 to read as follows: PART 249—FORMS, SECURITIES amendments (17 CFR 239.63, 17 CFR EXCHANGE ACT OF 1934 249.446, 17 CFR 269.7, and 17 CFR § 232.301 EDGAR Filer Manual. 274.402), and 17 CFR 232.10(b) is June Filers must prepare electronic filings ■ 6. The authority citation for part 249 25, 2021. in the manner prescribed by the EDGAR continues to read, in part, as follows: In accordance with the APA,13 we Filer Manual, promulgated by the Authority: 15 U.S.C. 78a et seq. and 7201 find that there is good cause to establish Commission, which sets forth the et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350; an effective date less than 30 days after technical formatting requirements for Sec. 953(b), Pub. L. 111–203, 124 Stat. 1904; publication of these rules. The electronic submissions. The Sec. 102(a)(3), Pub. L. 112–106, 126 Stat. 309 Commission believes that establishing requirements for becoming an EDGAR (2012); Sec. 107, Pub. L. 112–106, 126 Stat. an effective date less than 30 days after Filer and updating company data are set 313 (2012), and Sec. 72001, Pub. L. 114–94, publication of these rules is necessary to forth in the updated EDGAR Filer 129 Stat. 1312 (2015), unless otherwise coordinate the effectiveness of the Manual, Volume I: ‘‘General noted. updated Filer Manual with the related Information,’’ Version 37 (March 2021). * * * * * system upgrades. The requirements for filing on EDGAR are set forth in the updated EDGAR Filer § 249.446 [Amended] VI. Statutory Basis Manual, Volume II: ‘‘EDGAR Filing,’’ ■ We are adopting the amendments to Version 57 (March 2021). All of these 7. In § 249.446, amend the Regulation S–T and Form ID under the provisions have been incorporated by introductory text by removing the authority in Sections 6, 7, 8, 10, and reference into the Code of Federal phrase ‘‘to whom the Commission 19(a) of the Securities Act of 1933,14 Regulations, which action was approved previously has not assigned a Central Sections 3, 12, 13, 14, 15, 15B, 23, and by the Director of the Federal Register Index Key (CIK) code,’’. 35A of the Securities Exchange Act of in accordance with 5 U.S.C. 552(a) and PART 269—FORMS PRESCRIBED 1934,15 Section 319 of the Trust 1 CFR part 51. You must comply with Indenture Act of 1939,16 and Sections 8, UNDER THE TRUST INDENTURE ACT these requirements in order for OF 1939 documents to be timely received and 10 5 U.S.C. 553(b)(A). accepted. The EDGAR Filer Manual is 11 ■ 8. The authority citation for part 269 5 U.S.C. 601–612. available at https://www.sec.gov/edgar/ 12 5 U.S.C. 804(3)(C). continues to read as follows: 13 filer-information/current-edgar-filer- 5 U.S.C. 553(d)(3). Authority: 15 U.S.C. 77ddd(c), 77eee, 14 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a). manual. The EDGAR Filer Manual is 77ggg, 77hhh, 77iii, 77jjj, 77sss, and 78ll(d), 15 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78o–4, 78w, also available for website viewing and and 78ll. unless otherwise noted. 16 15 U.S.C. 77sss. 17 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37. * * * * *
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§ 269.7 [Amended] Dated: March 18, 2021. Species Contact information Vanessa A. Countryman, ■ 9. In § 269.7, amend the introductory Secretary. Hall’s bulrush Karen Herrington, Field Su- text by removing the phrase ‘‘to whom pervisor, Missouri Ecologi- [FR Doc. 2021–08759 Filed 5–10–21; 8:45 am] the Commission previously has not cal Services Field Office, assigned a Central Index Key (CIK) BILLING CODE 8011–01–P 573–234–2132, karen_ code,’’. [email protected]. Triangle pigtoe Debra Bills, Field Supervisor, PART 274—FORMS PRESCRIBED Arlington Ecological Serv- UNDER THE INVESTMENT COMPANY DEPARTMENT OF THE INTERIOR ices Field Office, 817– ACT OF 1940 277–1100 x22113, debra_ Fish and Wildlife Service [email protected]. ■ 10. The authority citation for part 274 50 CFR Part 17 If you use a telecommunications continues to read, in part, as follows: device for the deaf (TDD), please call the Authority: 15 U.S.C. 77f, 77g, 77h, 77j, [FF09E21000 FXES11110900000 212] Federal Relay Service at 800–877–8339. 77s, 78c(b), 78l, 78m, 78n, 78o(d), 80a–8, SUPPLEMENTARY INFORMATION: 80a–24, 80a–26, and 80a–29, and Pub. L. 111–203, sec. 939A, 124 Stat. 1376 (2010), Endangered and Threatened Wildlife Background unless otherwise noted. and Plants; Two Species Not Warranted for Listing as Endangered Under section 4(b)(3)(B) of the Act (16 * * * * * or Threatened Species U.S.C. 1531 et seq.), we are required to § 274.402 [Amended] make a finding whether or not a AGENCY: Fish and Wildlife Service, petitioned action is warranted within 12 ■ 11. In § 274.402, amend the Interior. months after receiving any petition for introductory text by removing the which we have determined contains phrase ‘‘to whom the Commission ACTION: Notification of findings. substantial scientific or commercial previously has not assigned a Central information indicating that the Index Key (CIK) code,’’. SUMMARY: We, the U.S. Fish and petitioned action may be warranted Wildlife Service (Service), announce (‘‘12-month finding’’). We must make a ■ 12. Form ID (referenced in §§ 239.63, findings that two species are not finding that the petitioned action is: (1) 249.446, 259.602, 269.7 and 274.402) is warranted for listing as endangered or Not warranted; (2) warranted; or (3) amended by: threatened species under the warranted but precluded. We must Note: The text of Form ID does not, and the Endangered Species Act of 1973, as publish a notice of these 12-month amendments will not, appear in the Code of amended (Act). After a thorough review findings in the Federal Register. Federal Regulations. of the best available scientific and Summary of Information Pertaining to commercial information, we find that it ■ a. In the instructions to the form, the Five Factors is not warranted at this time to list removing ‘‘to whom the Commission Hall’s bulrush (Schoenoplectiella hallii) Section 4 of the Act (16 U.S.C. 1533) previously has not assigned a Central or triangle pigtoe (formerly Fusconaia and the implementing regulations at Index Key (CIK) code,’’ from the first lananensis). However, we ask the public part 424 of title 50 of the Code of sentence in the section entitled ‘‘Using to submit to us at any time any new Federal Regulations (50 CFR part 424) and Preparing Form ID’’; information relevant to the status of any set forth procedures for adding species ■ b. In the instructions to the form, of the species mentioned above or their to, removing species from, or revising the third paragraph in the habitats. reclassifying species on the Lists of section entitled ‘‘Using and Preparing Endangered and Threatened Wildlife Form ID’’ to read as follows: ‘‘The DATES: The findings in this document and Plants (Lists). The Act defines applicant must provide applicable were made on May 11, 2021. ‘‘species’’ as any subspecies of fish or responses within the Form ID electronic ADDRESSES: Detailed descriptions of the wildlife or plants, and any distinct filing. The applicant can save a partial bases for these findings are available on population segment of any species of or full Form ID electronic filing. At the the internet at http:// vertebrate fish or wildlife which completion of filling out the online www.regulations.gov under the interbreeds when mature. The Act form, the applicant must sign the copy following docket numbers: defines ‘‘endangered species’’ as any within the ‘‘Form ID: Notarized species that is in danger of extinction Authentication’’ section and have the Species Docket No. throughout all or a significant portion of signature notarized to confirm its range (16 U.S.C. 1532(6)), and authenticity of the Form ID filing. This Hall’s bulrush ..... FWS–R3–ES–2020–0144 ‘‘threatened species’’ as any species that signed and notarized document will Triangle pigtoe ... FWS–R2–ES–2020–0145 is likely to become an endangered fulfill the authenticating document species within the foreseeable future requirement. This authenticated Supporting information used to throughout all or a significant portion of document must be attached to the prepare this finding is available by its range (16 U.S.C. 1532(20)). Under ■ c. electronic Form ID filing in PDF contacting the appropriate person as section 4(a)(1) of the Act, a species may format.’’; and specified under FOR FURTHER be determined to be an endangered INFORMATION CONTACT. Please submit any species or a threatened species because ■ d. In the instructions to the form, new information, materials, comments, of any of the following five factors: removing the last sentence in the second or questions concerning this finding to (A) The present or threatened paragraph under ‘‘Contact for EDGAR the appropriate person, as specified destruction, modification, or Information, Inquiries, and Access under FOR FURTHER INFORMATION curtailment of its habitat or range; Codes’’ in the section entitled ‘‘Section CONTACT. (B) Overutilization for commercial, III—Contact Information.’’ recreational, scientific, or educational By the Commission. FOR FURTHER INFORMATION CONTACT: purposes;
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(C) Disease or predation; future threats and the species’ responses (see ADDRESSES, above). The following (D) The inadequacy of existing to those threats are likely. In other are informational summaries for the regulatory mechanisms; or words, the foreseeable future is the findings in this document. (E) Other natural or manmade factors period of time in which we can make Hall’s Bulrush affecting its continued existence. reliable predictions. ‘‘Reliable’’ does not These factors represent broad mean ‘‘certain’’; it means sufficient to Previous Federal Actions categories of natural or human-caused provide a reasonable degree of actions or conditions that could have an On April 20, 2010, the Service confidence in the prediction. Thus, a received a petition from the CBD to list effect on a species’ continued existence. prediction is reliable if it is reasonable 404 aquatic, riparian, and wetland In evaluating these actions and to depend on it when making decisions. species from the southeastern United conditions, we look for those that may It is not always possible or necessary have a negative effect on individuals of to define foreseeable future as a States, including Hall’s bulrush the species, as well as other actions or particular number of years. Analysis of (Schoenoplectiella hallii), as conditions that may ameliorate any the foreseeable future uses the best endangered or threatened under the Act negative effects or may have positive scientific and commercial data available (CDB 2010, entire). On September 27, effects. and should consider the timeframes 2011, we published a 90-day finding (76 We use the term ‘‘threat’’ to refer in applicable to the relevant threats and to FR 59836) for 374 of the 404 petitioned general to actions or conditions that are the species’ likely responses to those species, including Hall’s bulrush; that known to or are reasonably likely to threats in view of its life-history finding stated that the petition negatively affect individuals of a characteristics. Data that are typically presented substantial information that species. The term ‘‘threat’’ includes relevant to assessing the species’ listing Hall’s bulrush may be warranted, actions or conditions that have a direct biological response include species- due to the threats of present or impact on individuals (direct impacts), specific factors such as lifespan, threatened destruction, modification, or as well as those that affect individuals reproductive rates or productivity, curtailment of the species’ habitat or through alteration of their habitat or certain behaviors, and other range; predation; inadequacy of existing required resources (stressors). The term demographic factors. regulatory mechanisms; and other ‘‘threat’’ may encompass—either In conducting our evaluation of the natural or manmade factors, including together or separately—the source of the five factors provided in section 4(a)(1) of pollution, global climate change, action or condition or the action or the Act to determine whether Hall’s drought, invasive species, and synergies condition itself. However, the mere bulrush meets the definition of between multiple threats. The finding identification of any threat(s) does not ‘‘endangered species’’ or ‘‘threatened solicited information on, and initiated a necessarily mean that the species meets species,’’ we considered and thoroughly status review for, the species. the statutory definition of an evaluated the best scientific and Summary of Finding ‘‘endangered species’’ or a ‘‘threatened commercial information available species.’’ In determining whether a regarding the past, present, and future Hall’s bulrush is a tufted annual species meets either definition, we must stressors and threats. In conducting our bulrush with a stem length ranging from evaluate all identified threats by taxonomic evaluation of triangle pigtoe, 1.6 to 31 inches (4 to 80 centimeters). considering the expected response by we determined that it does not meet the It is historically found across 14 States: the species, and the effects of the definition of a species or subspecies Massachusetts, Georgia, Ohio, threats—in light of those actions and under the Act, and, as a result, we Kentucky, Michigan, Indiana, conditions that will ameliorate the concluded that triangle pigtoe is not a Wisconsin, Illinois, Iowa, Missouri, threats—on an individual, population, listable entity. We reviewed the Nebraska, Kansas, Oklahoma, and and species level. We evaluate each petitions, information available in our Texas. Biologists have concluded the threat and its expected effects on the files, and other available published and species has been extirpated from species, then analyze the cumulative unpublished information for both of Georgia and Massachusetts. effect of all of the threats on the species these species. Our evaluation may Hall’s bulrush requires multiple as a whole. We also consider the include information from recognized adequately timed seasonal flood events cumulative effect of the threats in light experts; Federal, State, and Tribal to break seed dormancy and to trigger of those actions and conditions that will governments; academic institutions; germination. For a seed to germinate, it have positive effects on the species, foreign governments; private entities; also needs bare soil, presence of such as any existing regulatory and other members of the public. ethylene, light, adequate temperature, mechanisms or conservation efforts. The The species assessment form for and moist soil. Seedlings and mature Secretary determines whether the Hall’s bulrush contains more detailed plants need light, moist soil, space, species meets the definition of an biological information, a thorough nutrients, and pollination (mature plant ‘‘endangered species’’ or a ‘‘threatened analysis of the listing factors, a list of only). species’’ only after conducting this literature cited, and an explanation of We have carefully assessed the best cumulative analysis and describing the why we determined that this species do scientific and commercial information expected effect on the species now and not meet the definition of an available regarding the past, present, in the foreseeable future. endangered species or a threatened and future threats to Hall’s bulrush, and The Act does not define the term species. The species assessment form for we evaluated all relevant factors under ‘‘foreseeable future,’’ which appears in triangle pigtoe contains more detailed the five listing factors, including any the statutory definition of ‘‘threatened taxonomic information, a list of regulatory mechanisms and species.’’ Our implementing regulations literature cited, and an explanation of conservation measures addressing these at 50 CFR 424.11(d) set forth a why we determined that this species stressors and the cumulative impact of framework for evaluating the foreseeable does not meet the definition of a species these stressors. The primary stressors future on a case-by-case basis. The term or subspecies. This supporting affecting Hall’s bulrush’s biological ‘‘foreseeable future’’ extends only so far information can be found on the status include habitat alteration, into the future as the Service can internet at http://www.regulations.gov destruction, and conversion; reasonably determine that both the under the appropriate docket number hybridization; and grazing. Hall’s
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bulrush has little population abundance its ecoregions (representative units). result, does not warrant listing under information available across its range. Therefore, we find that listing Hall’s the Act. A detailed discussion of the The best available demographic data do bulrush as an endangered species or basis for this finding can be found in the not allow us to evaluate the ability of threatened species under the Act is not triangle pigtoe species assessment form Hall’s bulrush populations to withstand warranted. A detailed discussion of the and other supporting documents (see demographic stochastic events. Annual basis for this finding can be found in the ADDRESSES, above). variation (in timing and duration) of Hall’s bulrush species assessment form New Information rain events mean that Hall’s bulrush and other supporting documents (see populations are cyclic and dependent ADDRESSES, above). We request that you submit any new on water fluctuations. Therefore, we information concerning the taxonomy Triangle Pigtoe assessed the population status based on of, biology of, ecology of, status of, or the condition of the habitat, including Previous Federal Actions stressors to Hall’s bulrush or triangle pigtoe to the appropriate person, as the presence of potential hybridizing On June 25, 2007, the Service specified under FOR FURTHER plants. We made the assumption that received a petition dated June 18, 2007, INFORMATION CONTACT, whenever it healthy habitat, (i.e., higher habitat from Forest Guardians (now WildEarth becomes available. New information metric scores on the Environmental Guardians) requesting that the Service will help us monitor these species and Protection Agency’s Watershed Index list 475 species, including the triangle make appropriate decisions about their Online tool and higher average scores of pigtoe (formerly Fusconaia lananensis), conservation and status. We encourage the Natural Resources Conservation as endangered or threatened species and local agencies and stakeholders to Service depth to water table) will designate critical habitat under the Act. support a healthy population of Hall’s On December 16, 2009, the Service continue cooperative monitoring and bulrush. published a 90-day finding (74 FR conservation efforts. Despite impacts from the primary 66866) on 192 of the 475 species and References Cited stressors, the species has maintained stated that the petition presented A list of the references cited in this populations throughout its range in substantial scientific information petition finding is available on the multiple ecoregions. We anticipate indicating that listing may be warranted internet at http://www.regulations.gov sufficient quality and quantity of habitat for 67 of the 192 species, including the in the species assessment form or in the to support the viability of the species for triangle pigtoe. As a result, the Service appropriate docket provided above in the foreseeable future. Hall’s bulrush initiated status reviews for all 67 ADDRESSES and upon request from the currently has healthy (moderately or species. highly resilient) populations across its appropriate person, as specified under range (32 extant populations across Summary of Finding FOR FURTHER INFORMATION CONTACT. seven ecoregions). The species’ We have carefully assessed the best Authors representation among ecoregions has scientific and commercial information The primary authors of this document not changed significantly between the available regarding the triangle pigtoe are the staff members of the Species historical and most recent surveys. and evaluated the petition’s claims that Assessment Team, Ecological Services Hall’s bulrush has retained redundancy the species warrants listing under the Program. (and we project it to be maintained into Act. Genetic and morphometric analyses the future) based on multiple resilient indicate that the triangle pigtoe is Authority populations being spread across its synonymous with the wider-ranging The authority for this action is section historical range in seven ecoregions. Texas pigtoe (Fusconaia askewi). These 4 of the Endangered Species Act of Based on these conditions, the Hall’s studies have been accepted by the 1973, as amended (16 U.S.C. 1531 et bulrush current risk of extinction is very relevant scientific community, seq.). low. Although we predict some including NatureServe, the Freshwater continued impacts from these stressors Mollusk Conservation Society, Texas Martha Williams, in the future, we anticipate the species Parks and Wildlife Department, and the Principal Deputy Director, Exercising the will continue to maintain resilient Service. Therefore, the triangle pigtoe is Delegated Authority of the Director. U.S. Fish populations into the foreseeable future not a valid taxonomic entity; does not and Wildlife Service. throughout its range and that are meet the definition of a species or [FR Doc. 2021–09748 Filed 5–10–21; 8:45 am] distributed widely throughout each of subspecies under the Act; and, as a BILLING CODE 4333–15–P
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Proposed Rules Federal Register Vol. 86, No. 89
Tuesday, May 11, 2021
This section of the FEDERAL REGISTER proposed rulemaking (NPRM or They argued that there would be contains notices to the public of the proposed proposed rule) titled ‘‘Removal of significant costs from losing additional issuance of rules and regulations. The International Entrepreneur Parole funding from current and future purpose of these notices is to give interested Program’’ in the Federal Register (83 FR investors, as well as costs related to the persons an opportunity to participate in the 24415). That rule proposed to revise viability and continued operation of the rule making prior to the adoption of the final rules. DHS regulations governing adjudication start-up entity. Commenters also felt the of significant public benefit parole May 2018 NPRM did not fully consider requests made by certain noncitizen costs to small businesses, nor did it DEPARTMENT OF HOMELAND entrepreneurs of start-up entities in the provide less onerous alternatives, as SECURITY United States. Specifically, if finalized, required by the Regulatory Flexibility the rule would have removed the Act (RFA). U.S. Citizenship and Immigration international entrepreneur parole The NPRM was issued subsequent to Services program (IE parole program) from DHS Executive Order 13767, ‘‘Border regulations. In response to the May 2018 Security and Immigration Enforcement 8 CFR Parts 103, 212 and 274 NPRM, DHS received 892 comments Improvements,’’ issued on January 25, during the 30-day public comment 2017. This Executive Order had directed [CIS No. 2572–15; DHS Docket No. USCIS– 2015–0006] period. The overwhelming majority of Federal agencies to ‘‘ensure that parole commenters opposed the proposed authority under section 212(d)(5) of the RIN 1615–AC04 removal of the IE parole program. INA is exercised only on a case-by-case Approximately 8 percent of basis in accordance with the plain Removal of International Entrepreneur commenters expressed support for the language of the statute, and in all Parole Program rule’s removal of the IE parole program circumstances only when an individual AGENCY: U.S. Citizenship and from the regulations and/or offered demonstrates urgent humanitarian Immigration Services, DHS. suggestions for improvement. Nearly 87 reasons or a significant public benefit percent of commenters expressed derived from such parole.’’ ACTION: Proposed rule; withdrawal. general opposition to the rule that On February 2, 2021, President Biden SUMMARY: The U.S. Department of would have removed the IE parole issued Executive Order 14010, ‘‘Creating Homeland Security (DHS) is program, without suggestions for a Comprehensive Regional Framework withdrawing a proposed rule that improvement. Around 3 percent of to Address the Causes of Migration, to published on May 29, 2018. The NPRM commenters expressed mixed opinions Manage Migration Throughout North had proposed removing DHS regulations on the rule and 2 percent were out of and Central America, and to Provide pertaining to the international scope. Comments may be reviewed at Safe and Orderly Processing of Asylum entrepreneur parole program. Those the Federal Docket Management System Seekers at the United States Border.’’ regulations guide the adjudication of (FDMS) at http://www.regulations.gov, This Executive Order revoked Executive significant public benefit parole docket number USCIS–2015–0006. Order 13767. In addition, on February 2, requests made by certain noncitizen Commenters who opposed the rule 2021, President Biden issued Executive entrepreneurs of start-up entities in the did so primarily on the basis that Order 14012, ‘‘Restoring Faith in Our United States. removing the IE parole program would Legal Immigration Systems and Strengthening Integration and Inclusion DATES: DHS withdraws the proposed lead to unrealized economic benefits, rule published May 29, 2018 at 83 FR damage U.S. innovation and Efforts for New Americans.’’ This 24415 as of May 11, 2021. entrepreneurship, and harm noncitizen Executive Order directed Federal startup founders. Additionally, Agencies to ‘‘identify any agency ADDRESSES: The docket for this commenters disagreed with DHS’s actions that fail to promote access to the withdrawn proposed rule is available at assertion that parole is not an legal immigration system.’’ http://www.regulations.gov. Please appropriate mechanism for a program In light of the recent Executive search for docket number USCIS–2015– promoting entrepreneurs, and they Orders, DHS has reviewed the May 2018 0006. further argued that IE parole is within NPRM and public comments that were FOR FURTHER INFORMATION CONTACT: the scope of DHS parole authority. overwhelmingly in opposition to the Charles Nimick, Business and Foreign Commenters also stated that DHS NPRM and has decided to withdraw Workers Division Chief, Office of Policy should not, as one of the proposed that NPRM. DHS believes that the and Strategy, U.S. Citizenship and means of winding down the program, existing regulations in 8 CFR 212.19 Immigration Services, DHS, 5900 automatically terminate IE parole appropriately guide the exercise of Capital Gateway Drive, Camp Springs, granted to individuals, arguing this discretion, on a case-by-case basis, MD 20746; telephone 240–721–3000 would lead to a significant burden to when considering requests for parole (this is not a toll-free number). entrepreneurs, their startup entities, and filed by noncitizen entrepreneurs. Such Individuals with hearing or speech the individuals employed by their applications will continue to be decided impairments may access the telephone businesses. In addition, commenters consistent with the Secretary’s statutory numbers above via TTY by calling the believed the May 2018 NPRM’s authority to grant parole on a case-by- toll-free Federal Information Relay statutory and regulatory reviews, case basis when it is determined that the Service at 1–877–889–5627 (TTY/TDD). required by Executive Orders 12866 and applicant will provide a significant SUPPLEMENTARY INFORMATION: On May 13563, did not take into account the full public benefit and that the applicant 29, 2018, DHS published a notice of costs of removing the IE parole program. merits a favorable exercise of discretion.
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DHS further believes that continuing to require replacing certain nickel- SUPPLEMENTARY INFORMATION: administer the IE parole program, in cadmium (Ni-Cd) batteries with Comments Invited accordance with 8 CFR 212.19, and serviceable Ni-Cd batteries, or withdrawing the May 2018 NPRM, is maintaining the electrical storage The FAA invites you to send any consistent with the Administration’s capacity of those Ni-Cd batteries during written relevant data, views, or goal of better ensuring that all avenues airplane storage or parking, as specified arguments about this proposal. Send available under the law remain viable in a European Union Aviation Safety your comments to an address listed options for those seeking to come to the Agency (EASA) AD, which is proposed under ADDRESSES. Include ‘‘Docket No. United States, including qualified for incorporation by reference. The FAA FAA–2021–0350; Project Identifier entrepreneurs who would substantially is proposing this AD to address the MCAI–2020–01633–T’’ at the beginning benefit the United States by growing unsafe condition on these products. of your comments. The most helpful new businesses and creating jobs for DATES: The FAA must receive comments comments reference a specific portion of U.S. workers. Therefore, for all the on this proposed AD by June 25, 2021. the proposal, explain the reason for any recommended change, and include reasons discussed above, DHS is ADDRESSES: You may send comments, withdrawing the May 29, 2018, NPRM using the procedures found in 14 CFR supporting data. The FAA will consider that would have removed the IE parole 11.43 and 11.45, by any of the following all comments received by the closing program from DHS regulations. methods: date and may amend the proposal • Federal eRulemaking Portal: Go to because of those comments. Authority https://www.regulations.gov. Follow the Except for Confidential Business Executive Order 14010, ‘‘Creating a instructions for submitting comments. Information (CBI) as described in the Comprehensive Regional Framework to • Fax: 202–493–2251. following paragraph, and other Address the Causes of Migration, to • Mail: U.S. Department of information as described in 14 CFR Manage Migration Throughout North Transportation, Docket Operations, 11.35, the FAA will post all comments and Central America, and to Provide M–30, West Building Ground Floor, received, without change, to https:// Safe and Orderly Processing of Asylum Room W12–140, 1200 New Jersey www.regulations.gov, including any Seekers at the United States Border’’; 8 Avenue SE, Washington, DC 20590. personal information you provide. The U.S.C. 1182(d)(5). • Hand Delivery: Deliver to Mail agency will also post a report Executive Order 14012, ‘‘Restoring address above between 9 a.m. and 5 summarizing each substantive verbal Faith in Our Legal Immigration Systems p.m., Monday through Friday, except contact received about this proposed and Strengthening Integration and Federal holidays. AD. For material that will be incorporated Inclusion Efforts for New Americans.’’ Confidential Business Information by reference (IBR) in this AD, contact Alejandro N. Mayorkas, EASA, Konrad-Adenauer-Ufer 3, 50668 CBI is commercial or financial Secretary, U.S. Department of Homeland Cologne, Germany; telephone +49 221 information that is both customarily and Security. 8999 000; email [email protected]; actually treated as private by its owner. [FR Doc. 2021–09609 Filed 5–10–21; 8:45 am] internet www.easa.europa.eu. You may Under the Freedom of Information Act BILLING CODE 9111–97–P find this IBR material on the EASA (FOIA) (5 U.S.C. 552), CBI is exempt website at https://ad.easa.europa.eu. from public disclosure. If your You may view this IBR material at the comments responsive to this NPRM DEPARTMENT OF TRANSPORTATION FAA, Airworthiness Products Section, contain commercial or financial Operational Safety Branch, 2200 South information that is customarily treated Federal Aviation Administration 216th St., Des Moines, WA. For as private, that you actually treat as information on the availability of this private, and that is relevant or 14 CFR Part 39 material at the FAA, call 206–231–3195. responsive to this NPRM, it is important [Docket No. FAA–2021–0350; Project It is also available in the AD docket on that you clearly designate the submitted Identifier MCAI–2020–01633–T] the internet at https:// comments as CBI. Please mark each www.regulations.gov by searching for page of your submission containing CBI RIN 2120–AA64 and locating Docket No. FAA–2021– as ‘‘PROPIN.’’ The FAA will treat such marked submissions as confidential Airworthiness Directives; Airbus SAS 0350. under the FOIA, and they will not be Airplanes Examining the AD Docket placed in the public docket of this AGENCY: Federal Aviation You may examine the AD docket on NPRM. Submissions containing CBI Administration (FAA), DOT. the internet at https:// should be sent to Dan Rodina, ACTION: Notice of proposed rulemaking www.regulations.gov by searching for Aerospace Engineer, Large Aircraft (NPRM). and locating Docket No. FAA–2021– Section, International Validation 0350; or in person at Docket Operations Branch, FAA, 2200 South 216th St., Des SUMMARY: The FAA proposes to adopt a between 9 a.m. and 5 p.m., Monday Moines, WA 98198; telephone and fax new airworthiness directive (AD) for all through Friday, except Federal holidays. 206–231–3225; email dan.rodina@ Airbus SAS Model A318, A319, A320, The AD docket contains this NPRM, any faa.gov. Any commentary that the FAA A321, A330–200, A330–200 Freighter, comments received, and other receives which is not specifically A330–300, A330–800, A330–900, A340– information. The street address for designated as CBI will be placed in the 200, A340–300, A340–500, A340–600, Docket Operations is listed above. public docket for this rulemaking. and A380–800 series airplanes. This FOR FURTHER INFORMATION CONTACT: Dan proposed AD was prompted by a report Rodina, Aerospace Engineer, Large Background that repetitive disconnection and Aircraft Section, International EASA, which is the Technical Agent reconnection of certain batteries during Validation Branch, FAA, 2200 South for the Member States of the European airplane parking or storage could lead to 216th St., Des Moines, WA 98198; Union, has issued EASA AD 2020–0274, a reduction in capacity of those telephone and fax 206–231–3225; email dated December 10, 2020 (EASA AD batteries. This proposed AD would [email protected]. 2020–0274) (also referred to as the
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Mandatory Continuing Airworthiness the MCAI for additional background process, the FAA initially worked with Information, or the MCAI), to correct an information. Airbus and EASA to develop a process unsafe condition for all: Related Service Information Under 1 to use certain EASA ADs as the primary • Airbus SAS Model A318–111, –112, CFR Part 51 source of information for compliance –121, and –122 airplanes; with requirements for corresponding • Airbus SAS Model A319–111, –112, EASA AD 2020–0274 describes FAA ADs. The FAA has since procedures for replacing certain affected –113, –114, –115, –131, –132, –133, coordinated with other manufacturers Ni-Cd batteries with serviceable Ni-Cd –151N, –153N, and –171N airplanes; and civil aviation authorities (CAAs) to • Airbus SAS Model A320–211, –212, batteries, or maintaining the electrical storage capacity of those Ni-Cd batteries use this process. As a result, EASA AD –214, –215, –216, –231, –232, –233, 2020–0274 will be incorporated by –251N, –252N, –253N, –271N, –272N, during airplane storage or parking. reference in the FAA final rule. This and –273N airplanes; This material is reasonably available proposed AD would, therefore, require • Airbus SAS Model A321–111, –112, because the interested parties have –131, –211, –212, –213, –231, –232, access to it through their normal course compliance with EASA AD 2020–0274 –251N, –251NX, –252N, –252NX, of business or by the means identified in its entirety, through that –253N, –253NX, –271N, –271NX, in the ADDRESSES section. incorporation, except for any differences identified as exceptions in the –272N, and –272NX airplanes; FAA’s Determination and Requirements • Airbus SAS Model A330–201, –202, of This Proposed AD regulatory text of this proposed AD. –203, –223, –223F, –243, –243F, –301, Using common terms that are the same This product has been approved by –302, –303, –321, –322, –323, –341, as the heading of a particular section in the aviation authority of another –342, –343, –743L, –841, and –941 the EASA AD does not mean that country, and is approved for operation airplanes; operators need comply only with that in the United States. Pursuant to the • Airbus SAS Model A340–211, –212, section. For example, where the AD FAA’s bilateral agreement with the State –213, –311, –312, –313, –541, –542 requirement refers to ‘‘all required of Design Authority, the FAA has been –642, and –643 airplanes; and notified of the unsafe condition actions and compliance times,’’ • Airbus SAS Model A380–841, –842, described in the MCAI referenced compliance with this AD requirement is and –861 airplanes. above. The FAA is proposing this AD not limited to the section titled Airbus SAS Model A320–215, A330– because the FAA evaluated all the ‘‘Required Action(s) and Compliance 743L, A340–542, and A340–643 relevant information and determined Time(s)’’ in the EASA AD. Service airplanes are not certificated by the FAA the unsafe condition described information specified in EASA AD and are not included on the U.S. type previously is likely to exist or develop 2020–0274 that is required for certificate data sheet; this AD therefore in other products of the same type compliance with EASA AD 2020–0274 does not include those airplanes in the design. will be available on the internet at applicability. https://www.regulations.gov by This proposed AD was prompted by Proposed AD Requirements searching for and locating Docket No. a report that repetitive disconnection This proposed AD would require FAA–2021–0350 after the FAA final and reconnection of certain Ni-Cd accomplishing the actions specified in rule is published. batteries during airplane parking or EASA AD 2020–0274 described storage could lead to a reduction in previously, as incorporated by Costs of Compliance capacity of those batteries. The FAA is reference, except for any differences proposing this AD to address reduced identified as exceptions in the The FAA estimates that this proposed capacity of certain Ni-Cd batteries, regulatory text of this AD. AD affects 1,814 airplanes of U.S. which could lead to reduced battery registry. The FAA estimates the endurance performance and possibly Explanation of Required Compliance following costs to comply with this result in failure to supply the minimum Information proposed AD: essential electrical power during In the FAA’s ongoing efforts to abnormal or emergency conditions. See improve the efficiency of the AD
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost per Cost on U.S. Labor cost Parts cost product operators
5 work-hours × $85 per hour = $425 ...... $0 $425 $770,950
Authority for This Rulemaking 44701: General requirements. Under Regulatory Findings that section, Congress charges the FAA Title 49 of the United States Code with promoting safe flight of civil The FAA determined that this specifies the FAA’s authority to issue aircraft in air commerce by prescribing proposed AD would not have federalism rules on aviation safety. Subtitle I, implications under Executive Order section 106, describes the authority of regulations for practices, methods, and procedures the Administrator finds 13132. This proposed AD would not the FAA Administrator. Subtitle VII: have a substantial direct effect on the Aviation Programs, describes in more necessary for safety in air commerce. This regulation is within the scope of States, on the relationship between the detail the scope of the Agency’s national Government and the States, or authority. that authority because it addresses an unsafe condition that is likely to exist or on the distribution of power and The FAA is issuing this rulemaking develop on products identified in this responsibilities among the various under the authority described in levels of government. Subtitle VII, Part A, Subpart III, Section rulemaking action.
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For the reasons discussed above, I (e) Reason Organization Approval (DOA). If approved by certify this proposed regulation: This AD was prompted by a report that the DOA, the approval must include the (1) Is not a ‘‘significant regulatory repetitive disconnection and reconnection of DOA-authorized signature. action’’ under Executive Order 12866, certain nickel-cadmium (Ni-Cd) batteries (3) Required for Compliance (RC): Except (2) Would not affect intrastate during airplane parking or storage could lead as required by paragraph (j)(2) of this AD, if to a reduction in capacity of those batteries. any service information referenced in EASA aviation in Alaska, and AD 2020–0274 that contains paragraphs that The FAA is issuing this AD to address (3) Would not have a significant are labeled as RC, the instructions in RC reduced capacity of certain Ni-Cd batteries, economic impact, positive or negative, paragraphs, including subparagraphs under which could lead to reduced battery on a substantial number of small entities an RC paragraph, must be done to comply endurance performance and possibly result under the criteria of the Regulatory with this AD; any paragraphs, including in failure to supply the minimum essential Flexibility Act. subparagraphs under those paragraphs, that electrical power during abnormal or are not identified as RC are recommended. List of Subjects in 14 CFR Part 39 emergency conditions. The instructions in paragraphs, including Air transportation, Aircraft, Aviation (f) Compliance subparagraphs under those paragraphs, not identified as RC may be deviated from using safety, Incorporation by reference, Comply with this AD within the accepted methods in accordance with the Safety. compliance times specified, unless already operator’s maintenance or inspection done. The Proposed Amendment program without obtaining approval of an (g) Requirements AMOC, provided the instructions identified Accordingly, under the authority as RC can be done and the airplane can be delegated to me by the Administrator, Except as specified in paragraph (h) of this put back in an airworthy condition. Any the FAA proposes to amend 14 CFR part AD: Comply with all required actions and substitutions or changes to instructions compliance times specified in, and in 39 as follows: identified as RC require approval of an accordance with, European Union Aviation AMOC. Safety Agency (EASA) AD 2020–0274, dated PART 39—AIRWORTHINESS December 10, 2020 (EASA AD 2020–0274). (k) Related Information DIRECTIVES (h) Exceptions to EASA AD 2020–0274 (1) For information about EASA AD 2020– ■ 1. The authority citation for part 39 0274 contact EASA, Konrad-Adenauer-Ufer (1) Where EASA AD 2020–0274 refers to its 3, 50668 Cologne, Germany; telephone +49 continues to read as follows: effective date, this AD requires using the 221 8999 000; email [email protected]; Authority: 49 U.S.C. 106(g), 40113, 44701. effective date of this AD. Internet www.easa.europa.eu. You may find (2) Where EASA AD 2020–0274 defines a this EASA AD on the EASA website at § 39.13 [Amended] ‘‘reconnection cycle’’ as ‘‘repeated https://ad.easa.europa.eu. You may view this ■ 2. The FAA amends § 39.13 by adding disconnection and connection of a battery material at the FAA, Airworthiness Products the following new airworthiness . . .’’ this AD defines it as ‘‘one instance of Section, Operational Safety Branch, 2200 directive: disconnection and connection of a South 216th St., Des Moines, WA. For battery. . . .’’ information on the availability of this Airbus SAS: Docket No. FAA–2021–0350; (3) The ‘‘Remarks’’ section of EASA AD material at the FAA, call 206–231–3195. This Project Identifier MCAI–2020–01633–T. 2020–0274 does not apply to this AD. material may be found in the AD docket on the internet at https://www.regulations.gov (a) Comments Due Date (i) No Reporting Requirement by searching for and locating Docket No. The FAA must receive comments on this Although the service information FAA–2021–0350. airworthiness directive (AD) by June 25, referenced in EASA AD 2020–0274 specifies (2) For more information about this AD, 2021. to submit certain information to the contact Dan Rodina, Aerospace Engineer, (b) Affected ADs manufacturer, this AD does not include that Large Aircraft Section, International requirement. Validation Branch, FAA, 2200 South 216th None. St., Des Moines, WA 98198; telephone and (j) Other FAA AD Provisions (c) Applicability fax 206–231–3225; email dan.rodina@ The following provisions also apply to this faa.gov. This AD applies to all Airbus SAS AD: Issued on May 5, 2021. airplanes identified in paragraphs (c)(1) (1) Alternative Methods of Compliance through (7) of this AD, certificated in any (AMOCs): The Manager, Large Aircraft Lance T. Gant, category. Section, International Validation Branch, Director, Compliance & Airworthiness (1) Model A318–111, –112, –121, and –122 FAA, has the authority to approve AMOCs Division, Aircraft Certification Service. airplanes. for this AD, if requested using the procedures (2) Model A319–111, –112, –113, –114, [FR Doc. 2021–09876 Filed 5–10–21; 8:45 am] found in 14 CFR 39.19. In accordance with –115, –131, –132, –133, –151N, –153N, and BILLING CODE 4910–13–P –171N airplanes. 14 CFR 39.19, send your request to your (3) Model A320–211, –212, –214, –216, principal inspector or responsible Flight –231, –232, –233, –251N, –252N, –253N, Standards Office, as appropriate. If sending DEPARTMENT OF TRANSPORTATION –271N, –272N, and –273N airplanes. information directly to the Large Aircraft (4) Model A321–111, –112, –131, –211, Section, International Validation Branch, Federal Aviation Administration –212, –213, –231, –232, –251N, –251NX, send it to the attention of the person identified in paragraph (k)(2) of this AD. –252N, –252NX, –253N, –253NX, –271N, 14 CFR Part 39 –271NX, –272N, and –272NX airplanes. Information may be emailed to: 9-AVS-AIR- (5) Model A330–201, –202, –203, –223, [email protected]. Before using any [Docket No. FAA–2020–1078; Project –223F, –243, –243F, –301, –302, –303, –321, approved AMOC, notify your appropriate Identifier AD–2020–00716–A] –322, –323, –341, –342, –343, –841, and –941 principal inspector, or lacking a principal airplanes. inspector, the manager of the responsible RIN 2120–AA64 (6) Model A340–211, –212, –213, –311, Flight Standards Office. –312, –313, 541, and –642 airplanes. (2) Contacting the Manufacturer: For any Airworthiness Directives; Textron (7) Model A380–841, –842, and –861 requirement in this AD to obtain instructions Aviation Inc. (Type Certificate airplanes. from a manufacturer, the instructions must Previously Held by Cessna Aircraft be accomplished using a method approved Company) Airplanes (d) Subject by the Manager, Large Aircraft Section, Air Transport Association (ATA) of International Validation Branch, FAA; or AGENCY: Federal Aviation America Code 24, Electrical Power. EASA; or Airbus SAS’s EASA Design Administration (FAA), DOT.
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ACTION: Notice of proposed rulemaking FOR FURTHER INFORMATION CONTACT: airplane experienced an in-flight break- (NPRM). Bobbie Kroetch, Aviation Safety up while performing low-altitude aerial Engineer, Wichita ACO Branch, FAA, survey operations in Australia. The SUMMARY: The FAA proposes to adopt a 1801 Airport Rd, Wichita, KS 67209; carry-thru spar failed and resulted in new airworthiness directive (AD) for all phone: (316) 946–4155; fax: (316) 946– wing separation and loss of control of Textron Aviation Inc. (Textron) (Type 4107; email: [email protected] or the airplane. A visual examination of Certificate previously held by Cessna [email protected]. Aircraft Company) Models 210N, 210R, the fracture surface identified fatigue SUPPLEMENTARY INFORMATION: P210N, P210R, T210N, T210R, 177, cracking that initiated at a corrosion pit. 177A, 177B, 177RG, and F177RG Comments Invited The FAA issued an airworthiness airplanes. This proposed AD was concern sheet (ACS) on June 27, 2019, The FAA invites you to send any advising owners and operators of the prompted by the in-flight break-up of a written relevant data, views, or accident and requesting relevant Model T210M airplane in Australia, due arguments about this proposal. Send information about the fleet. to fatigue cracking that initiated at a your comments to an address listed corrosion pit, and subsequent corrosion under ADDRESSES. Include Docket No. Following the ACS, the FAA received reports on other Model 210-series and FAA–2020–1078; Project Identifier AD– reports of widespread and severe Model 177-series airplanes. This 2020–00716–A’’ at the beginning of your corrosion of the carry-thru spar. Earlier proposed AD would require visual and comments. The most helpful comments Models 210G, T210G, 210H, T210H, eddy current inspections of the carry- reference a specific portion of the 210J, T210J, 210K, T210K, 210L, T210L, thru spar lower cap, corrective action if proposal, explain the reason for any 210M, and T210M airplanes necessary, application of a protective recommended change, and include experienced the most widespread and coating and corrosion inhibiting supporting data. The FAA will consider severe corrosion, and the FAA issued compound (CIC), and reporting the all comments received by the closing AD 2020–03–16 (85 FR 10043, February inspection results to the FAA. The FAA date and may amend this proposal 21, 2020) (AD 2020–03–16) as a final is proposing this AD to address the because of those comments. rule; request for comments to unsafe condition on these products. Except for Confidential Business immediately address the unsafe DATES: The FAA must receive comments Information (CBI) as described in the condition on those airplanes. on this proposed AD by June 25, 2021. following paragraph, and other The FAA also received reports of ADDRESSES: You may send comments, information as described in 14 CFR using the procedures found in 14 CFR 11.35, the FAA will post all comments corrosion on later Models 210N, P210N, 11.43 and 11.45, by any of the following received, without change, to https:// T210N, 210R, P210R, and T210R methods: www.regulations.gov, including any airplanes and Model 177-series • Federal eRulemaking Portal: Go to personal information you provide. The airplanes. On Models 210N, P210N, https://www.regulations.gov. Follow the agency will also post a report T210N, 210R, P210R, and T210R instructions for submitting comments. summarizing each substantive verbal airplanes, the upper surface of the carry- • Fax: (202) 493–2251. contact received about this NPRM. thru spar is covered by fuselage skin • Mail: U.S. Department of and is not exposed to the environment. Confidential Business Information Transportation, Docket Operations, This removes the leak paths at the skin M–30, West Building Ground Floor, CBI is commercial or financial splices common to the earlier Model Room W12–140, 1200 New Jersey information that is both customarily and 210 airplanes and reduces the potential Avenue SE, Washington, DC 20590. actually treated as private by its owner. for moisture intrusion. Additionally, the • Hand Delivery: Deliver to Mail Under the Freedom of Information Act later Model 210 airplanes were address above between 9 a.m. and 5 (FOIA) (5 U.S.C. 552), CBI is exempt manufactured with zinc chromate p.m., Monday through Friday, except from public disclosure. If your primer applied to all carry-thru spars. Federal holidays. comments responsive to this NPRM However, the later Model 210 airplanes For service information identified in contain commercial or financial were also delivered with foam installed this NPRM, contact Textron Aviation information that is customarily treated along the carry-thru spar lower cap. The Inc., One Cessna Boulevard, Wichita, KS as private, that you actually treat as foam traps moisture against the lower 67215; phone: (316) 517–6061; email: private, and that is relevant or surface of the carry-thru spar cap, which [email protected]; website: https:// responsive to this NPRM, it is important can aid in the development of corrosion. support.cessna.com. You may view this that you clearly designate the submitted The Model 177-series airplanes share a referenced service information at the comments as CBI. Please mark each similar carry-thru spar design with the FAA, Airworthiness Products Section, page of your submission containing CBI earlier Model 210-series airplanes: The Operational Safety Branch, 901 Locust, as ‘‘PROPIN.’’ The FAA will treat such upper surface of the carry-thru spars are Kansas City, MO 64106. For information marked submissions as confidential exposed, and the spars may not have on the availability of this material at the under the FOIA, and they will not be been delivered with zinc chromate FAA, call (816) 329–4148. placed in the public docket of this NPRM. Submissions containing CBI primer applied. Although Model 177- Examining the AD Docket should be sent to Bobbie Kroetch, series airplanes were not delivered with You may examine the AD docket at Aviation Safety Engineer, Wichita ACO foam padding installed on the lower https://www.regulations.gov by Branch, FAA, 1801 Airport Rd, Wichita, surface of the carry-thru spar, corrosion searching for and locating Docket No. KS 67209. Any commentary that the has been reported on the carry-thru spar FAA–2020–1078; or in person at Docket FAA receives which is not specifically lower cap. Corrosion of the carry-thru Operations between 9 a.m. and 5 p.m., designated as CBI will be placed in the spar lower cap can lead to fatigue Monday through Friday, except Federal public docket for this rulemaking. cracking or reduced structural strength holidays. The AD docket contains this of the carry-thru spar, which, if not NPRM, any comments received, and Background addressed, could result in wing other information. The street address for The FAA received a report that, on separation and loss of control of the Docket Operations is listed above. May 26, 2019, a Textron Model T210M airplane.
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FAA’s Determination • Textron Aviation Mandatory Single • Textron SEL–57–08R2 and Textron The FAA is issuing this NPRM after Engine Service Letter, SEL–57–08, SEL–57–09R1 only require eddy current determining that the unsafe condition Revision 1, dated November 19, 2019; inspection of the lower cap kick of the described previously is likely to exist or and carry-thru spar if corrosion is identified • develop on other products of the same Textron Aviation Mandatory Single on the carry-thru spar cap. This type design. Engine Service Letter, SEL–57–09, dated proposed AD would require a one-time November 19, 2019. eddy current inspection of the lower cap Related Service Information Under 1 kick area of all affected airplanes, CFR Part 51 Proposed AD Requirements in This NPRM regardless of the results of the visual The FAA reviewed the following inspection. The fatigue crack on the service documents proposed for This proposed AD would require Model T210M airplane that suffered the compliance with this NPRM: accomplishing the actions specified in • fatal in-flight break-up initiated in the Textron Aviation Mandatory Single SEL–57–08R2 and SEL–57–09R1, except lower cap kick area. Cracks and Engine Service Letter, SEL–57–08, as discussed under Differences Between corrosion damage may be difficult to Revision 2, dated August, 3, 2020 (SEL– this Proposed AD and the Service identify through visual inspection 57–08R2); and Information. This proposed AD also alone. The FAA will use the results of • Textron Aviation Mandatory Single requires reporting the inspection results Engine Service Letter, SEL–57–09, to the FAA by email at Wichita-COS@ the one-time eddy current inspection of Revision 1, dated August, 3, 2020 (SEL– faa.gov. the lower cap kick area, in part, to 57–09R1). determine the necessity of future For the applicable airplanes specified, Differences Between This Proposed AD rulemaking action. and the Service Information these service letters contain instructions • Textron SEL–57–08R2 and Textron for visually inspecting the carry-thru • Although Textron SEL–57–08R2 SEL–57–09R1 specify contacting spar for corrosion, damage, and cracks also applies to Models 210G, T210G, Textron for evaluation and disposition and for completing an eddy current 210H, T210H, 210J, T210J, 210K, of certain damage. Instead, this inspection. This service information T210K, 210L, T210L, 210M, and T210M proposed AD would require removing also specifies applying protective airplanes, this proposed AD would not. the carry-thru spar from service or coating and CIC. The FAA issued AD 2020–03–16 to repairing it (if possible) in accordance This service information is reasonably address the immediate safety of flight with the AMOC procedures identified in available because the interested parties for those airplanes. paragraph (o) of this proposed AD. have access to it through their normal • Textron SEL–57–08R2 and Textron Operators should work with Textron to course of business or by the means SEL–57–09R1 specify inspecting all identified in the ADDRESSES section of develop a repair in support of an AMOC interior surfaces of the carry-thru spar; request. this NPRM. additionally, Textron SEL–57–09R1 • Textron SEL–57–08 R2 and Textron Other Related Service Information specifies inspecting the lower surface of the outboard spar to wing attach lugs. SEL–57–09R1 provide instruction The FAA reviewed the following This proposed AD would only require allowing airplanes that have complied service letters related to this NPRM, inspecting the carry-thru spar lower cap, with SEL–57–06 or SEL–57–07 to which, for the applicable airplanes including the lower surface, edge, and complete the application of the specified, contain instructions for upper surface of the lower cap. While protective coating and CIC within 200 visually inspecting the carry-thru spar the web, upper cap, and lugs of the flight hours or at the next annual for corrosion and doing an eddy current carry-thru spar may be susceptible to inspection, whichever occurs first. This inspection of the carry-thru spar corrosion, evidence does not support proposed AD would permit those regardless of whether corrosion was including inspection of these areas as found and removed. This service airplanes that have complied with the part of this proposed AD. The FAA will information also contains instructions visual and eddy current inspections in continue to monitor reports of corrosion for applying CIC, but does not specify SEL–57–06 or SEL–57–07, as required on all areas of the carry-thru spar for applying protective coating. by paragraphs (g) and (h) of this • potential future action. proposed AD, to complete the Textron Aviation Mandatory Single • Engine Service Letter, SEL–57–06, dated Textron SEL–57–08R2 and Textron application of the protective coating and June, 24, 2019 (SEL–57–06); SEL–57–09R1 do not require an eddy CIC within 24 months from the date of • Textron Aviation Mandatory Single current inspection on the carry-thru the visual and eddy current inspections Engine Service Letter, SEL–57–06, spar unless the amount of material or within 12 months after the effective Revision 1, dated November 19, 2019; removed in the blended area exceeds date of this AD, whichever occurs first. • Textron Aviation Mandatory Single 0.010 inch deep but is within limits. Engine Service Letter, SEL–57–07, dated This proposed AD would require an Interim Action June 24, 2019 (SEL–57–07); and eddy current inspection of all locations The FAA considers this proposed AD • Textron Aviation Mandatory Single on the carry-thru spar where corrosion Engine Service Letter, SEL–57–07, was removed. The fatigue crack on the an interim action. This proposed AD Revision 1, dated November 19, 2019. Model T210M airplane that suffered the would require a one-time visual The FAA also reviewed the service fatal in-flight break-up initiated from a inspection of specified areas on the letters listed below related to this corrosion pit approximately 0.011 inch carry-thru spar lower cap and an eddy NPRM, which, for the applicable deep in the lower cap kick area. The current inspection of the lower cap kick airplanes specified, contain the same visual and less restrictive eddy current area and any locations where corrosion instructions and repair criteria as SEL– inspection requirements specified in was removed. This proposed AD would 57–08R2 and SEL–57–09R1. SEL–57–08R2 and SEL–57–09R1 could also require reporting the inspection • Textron Aviation Mandatory Single potentially miss similar fatigue cracks results to the FAA. The FAA will Engine Service Letter, SEL–57–08, dated on airplanes currently operating in the analyze the inspection results received November 1, 2019; field. to determine further rulemaking action.
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Costs of Compliance The FAA estimates the following The FAA estimates that this AD, if costs to comply with this proposed AD: adopted as proposed, would affect 3,421 airplanes of U.S. registry.
ESTIMATED COSTS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Inspections (includes part removal for ac- 12 work-hours × $85 per hour = $1,020 ...... Not applicable $1,020 $3,489,420 cess, removal of foam, if required, visual inspection, eddy current inspection of the cap kick area, and reassembly). Spar treatment (application of primer and 3.5 work-hours × $85 per hour = $297.50 ..... $340 ...... 637.50 2,180,887.50 corrosion inhibitor) *. Report of inspection results ...... 2 work-hours × $85 per hour = $170 ...... Not applicable 170 581,570
* Model 210-series airplanes may only application of the primer, depending on replacements that would be required require application of corrosion the production year and the quality of based on the results of the proposed inhibitor, depending on the condition of any existing zinc chromate primer. inspection. The agency has no way of the zinc chromate primer. Model 177- The FAA estimates the following determining the number of aircraft that series airplanes may or may not require costs to do any necessary repairs or might need these actions:
ON-CONDITION COSTS
Cost per Action Labor cost Parts cost product
Corrosion removal ...... 2 work-hours × $85 per hour = $170 ...... Not applicable $170 On-condition eddy current inspection ...... 1 work-hour × $85 per hour = $85 ...... Not applicable 85 Spar replacement, Model 210/T210-series airplanes .. 160 work-hours × $85 per hour = $13,600 ...... $30,000 ...... 43,600 Spar replacement, Model P210-series airplanes ...... 170 work-hours × $85 per hour = $14,450 ...... $30,000 ...... 44,450 Spar replacement, Model 177-series airplanes ...... 120 work-hours × $85 per hour = $10,200 ...... $30,000 ...... 40,200
The amount of work-hours necessary Reduction Act unless that collection of The FAA is issuing this rulemaking to complete the eddy current inspection information displays a current valid under the authority described in and corrosion removal will depend on OMB Control Number. The OMB Subtitle VII, Part A, Subpart III, Section the extent of the corrosion on the spar. Control Number for this information 44701: General requirements. Under The FAA has no way of estimating the collection is 2120–0056. Public that section, Congress charges the FAA work-hours that may be required for reporting for this collection of with promoting safe flight of civil those procedures. The FAA’s cost information is estimated to take aircraft in air commerce by prescribing estimate assumes a minimum of one approximately 2 hours per response, regulations for practices, methods, and hour for the eddy current inspection including the time for reviewing procedures the Administrator finds and two hours for the corrosion instructions, searching existing data necessary for safety in air commerce. removal. If the operator needs an sources, gathering and maintaining the This regulation is within the scope of alternative method of compliance for data needed, and completing and that authority because it addresses an repair, the FAA has no way of reviewing the collection of information. unsafe condition that is likely to exist or estimating the extent of damage or All responses to this collection of develop on products identified in this follow-on eddy current inspection that information are mandatory. Send rulemaking action. may be required. The FAA has no way comments regarding this burden Regulatory Findings of estimating the potential cost of those estimate or any other aspect of this actions. collection of information, including The FAA determined that this Replacement spars are not currently suggestions for reducing this burden, to proposed AD would not have federalism available from Textron. Textron no Information Collection Clearance implications under Executive Order longer produces the current spar design, Officer, Federal Aviation 13132. This proposed AD would not and they are working to develop a new Administration, 10101 Hillwood have a substantial direct effect on the spar design. The FAA does not have Parkway, Fort Worth, TX 76177–1524. States, on the relationship between the data to determine the availability of national government and the States, or Authority for This Rulemaking replacement spars from other sources. on the distribution of power and Title 49 of the United States Code responsibilities among the various Paperwork Reduction Act specifies the FAA’s authority to issue levels of government. A federal agency may not conduct or rules on aviation safety. Subtitle I, For the reasons discussed above, I sponsor, and a person is not required to section 106, describes the authority of certify this proposed regulation: respond to, nor shall a person be subject the FAA Administrator. Subtitle VII: (1) Is not a ‘‘significant regulatory to penalty for failure to comply with a Aviation Programs, describes in more action’’ under Executive Order 12866, collection of information subject to the detail the scope of the Agency’s (2) Would not affect intrastate requirements of the Paperwork authority. aviation in Alaska, and
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(3) Would not have a significant (g) Visual Inspection 08R2 or SEL–57–09R1, as applicable to your economic impact, positive or negative, Within 200 hours time-in-service (TIS) airplane. You must complete an eddy current on a substantial number of small entities after the effective date of this AD or within inspection of the lower cap kick area of your under the criteria of the Regulatory 12 months after the effective date of this AD, airplane regardless of whether corrosion was found and removed as a result of the visual Flexibility Act. whichever occurs first, prepare the carry-thru spar lower cap for inspection by following inspection in paragraph (g) of this AD. List of Subjects in 14 CFR Part 39 steps 4 and 5 of the Accomplishment (ii) All areas where corrosion was found Instructions in Textron Aviation Mandatory and removed as a result of the inspection in Air transportation, Aircraft, Aviation Single Engine Service Letter, SEL–57–08, paragraph (g) of this AD. safety, Incorporation by reference, Revision 2, dated August, 3, 2020 (SEL–57– (2) If there is a crack, before further flight, Safety. 08R2) or Textron Aviation Mandatory Single remove the carry-thru spar from service. Engine Service Letter, SEL–57–09, Revision (3) If there is any damage, before further The Proposed Amendment 1, dated August, 3, 2020 (SEL–57–09R1), as flight, either remove the carry-thru spar from applicable to your airplane model. Visually service or repair the area using a method Accordingly, under the authority inspect the carry-thru spar lower cap approved as specified in paragraph (o) of this delegated to me by the Administrator, (including the lower surface, upper surface, AD. After completing the repair, repeat the the FAA proposes to amend 14 CFR part and edge) with a 10X magnification lens eddy current inspection of the repaired area 39 as follows: looking for corrosion, cracks, and damage. before further flight. You are not required to inspect the lower cap (4) If there is any corrosion, before further PART 39—AIRWORTHINESS to web radius, spar web, upper cap, or lugs. flight, remove the corrosion by following the requirements in paragraph (g)(3) of this AD. DIRECTIVES Refer to the ‘Spar Dimensions’ and the ‘Spar Detail’ figures on page 7 of SEL–57–08R2 or You must repeat the eddy current inspection SEL–57–09R1, as applicable to your airplane and comply with paragraph (h) of this AD for ■ 1. The authority citation for part 39 model, for the location of the specific spar the area where the additional material was continues to read as follows: features. removed, but you do not have to repeat the (1) If there is a crack, before further flight, eddy current inspection of the kick area. Authority: 49 U.S.C. 106(g), 40113, 44701. remove the carry-thru spar from service. (i) Corrosion Protection § 39.13 [Amended] (2) If there is damage or evidence of previous removal of corrosion (blending), Within 12 months after the effective date ■ 2. The FAA amends § 39.13 by adding before further flight, either remove the carry- of this AD, apply protective coating and the following new airworthiness thru spar from service or repair the area using corrosion inhibiting compound (CIC) by directive: a method approved as specified in paragraph following steps 9 and 10 of the (o) of this AD. Comply with the requirements Accomplishment Instructions in SEL–57– Textron Aviation Inc. (Type Certificate in paragraph (h) of this AD before further 08R2 or SEL–57–09R1, as applicable to your previously held by Cessna Aircraft flight. airplane model. Company): Docket No. FAA–2020–1078; (3) If there is any corrosion, before further (j) Installation Prohibition Project Identifier AD–2020–00716–A. flight, remove the corrosion in the affected area by following steps 6.B.(1) through (7) of As of the effective date of this AD, do not (a) Comments Due Date the Accomplishment Instructions in SEL–57– install on any airplane a carry-thru spar The FAA must receive comments on this 08R2 or SEL–57–09R1, as applicable to your unless it has been inspected as required by airworthiness directive (AD) by June 25, airplane model, and then mechanically paragraphs (g) and (h) of this AD and 2021. measure the depth of the blended area using corrosion protection applied as required by a straight edge and feeler gauge or a depth paragraph (i) of this AD. (b) Affected ADs gauge micrometer. (k) Reporting Requirement None. (i) If the material removed in the blended Within 30 days after completing the (c) Applicability area exceeds the allowable blend limits specified in table 1 (including the notes) of inspections required by this AD or within 30 This AD applies to Textron Aviation Inc. SEL–57–08R2 or SEL–57–09R1, as applicable days after the effective date of this AD, (Type Certificate previously held by Cessna to your airplane model, before further flight, whichever occurs later, report to the FAA by Aircraft Company) Models 210N, 210R, either remove the carry-thru spar from email ([email protected]) all information P210N, P210R, T210N, T210R, 177, 177A, service or repair the area using a method requested in the Carry-Thru Spar Inspection 177B, 177RG, and F177RG airplanes, all approved as specified in paragraph (o) of this Report Attachment to SEL–57–08R2 or SEL– serial numbers, certificated in any category. AD. Comply with the requirements in 57–09R1, as applicable to your airplane paragraph (h) of this AD before further flight. model. (d) Subject (ii) If the material removed in the blended (l) Credit for Previous Actions Joint Aircraft System Component (JASC) area does not exceed the allowable blend Code 5310, Fuselage Main, Structure. limits specified in table 1 (including the (1) You may take credit for the visual notes) of SEL–57–08R2 or SEL–57–09R1, as inspection required by paragraph (g) of this (e) Unsafe Condition applicable to your airplane model, comply AD if you performed the visual inspection This AD was prompted by the in-flight with the requirements in paragraph (h) of this before the effective date of this AD using break-up of a Model T210M airplane, due to AD before further flight. Textron Aviation Mandatory Single Engine fatigue cracking of the carry-thru spar that (4) If the visual inspection did not detect Service Letter SEL–57–08, dated November 1, initiated at a corrosion pit and subsequent corrosion, cracks, or damage and there is no 2019 (SEL–57–08); Textron Aviation corrosion reports on other Model 210-series evidence of previous removal of corrosion, Mandatory Single Engine Service Letter SEL– and Model 177-series airplanes. The FAA is comply with the requirements in paragraph 57–08, Revision 1, dated November 19, 2019 issuing this AD to detect and correct cracks, (h) of this AD before further flight. (SEL–57–08R1); Textron Aviation Mandatory corrosion, and other damage of the carry-thru Single Service Letter SEL–57–09, dated spar lower cap, which, if not corrected, could (h) Eddy Current Inspection November 19, 2019 (SEL–57–09); Textron lead to the carry-thru spar being unable to (1) Complete an eddy current inspection of Aviation Mandatory Single Engine Service support the required structural loads and the carry-thru spar lower cap for cracks, Letter SEL–57–06, dated June 24, 2019 (SEL– could result in separation of the wing and corrosion, and damage in the following areas 57–06); Textron Aviation Mandatory Single loss of airplane control. in accordance with step 7 of the Engine Service Letter SEL–57–06, Revision 1, Accomplishment Instructions in SEL–57– dated November 19, 2019 (SEL–57–06R1); (f) Compliance 08R2 or SEL–57–09R1, as applicable to your Textron Aviation Mandatory Single Engine Comply with this AD within the airplane model. Service Letter, SEL–57–07, dated June 24, compliance times specified, unless already (i) The kick area as depicted in the ‘Spar 2019 (SEL–57–07); or Textron Aviation done. Dimensions’ figure on page 7 of SEL–57– Mandatory Single Engine Service Letter,
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SEL–57–07, Revision 1, dated November 19, principal inspector or local Flight Standards associated with off-highway vehicles 2019 (SEL–57–07R1). District Office, as appropriate. If sending (OHVs). This advance notice of (2) You may take credit for the eddy information directly to the manager of the proposed rulemaking (ANPR) initiates a current inspection of the lower cap kick area certification office, send it to the attention of rulemaking proceeding under the and all locations where corrosion was the person identified in Related Information. removed on the carry-thru spar lower cap as (2) Before using any approved AMOC, Consumer Product Safety Act (CPSA). specified in paragraph (h) of this AD if you notify your appropriate principal inspector, We invite written comments from performed the eddy current inspection before or lacking a principal inspector, the manager interested persons concerning the risk of the effective date of this AD using SEL–57– of the local flight standards district office/ injury associated with OHV fire and 08, SEL–57–08R1, SEL–57–06, SEL–57–06R1, certificate holding district office. debris-penetration hazards, the SEL–57–07, SEL–57–07R1, or SEL–57–09. (3) An AMOC that provides an acceptable regulatory alternatives discussed in this (3) You may take credit for the corrosion level of safety may be used for any repair, notice, other possible means to address protection required by paragraph (i) of this modification, or alteration required by this this risk, and the economic impacts of AD if you performed those actions before the AD if it is approved by a Textron Aviation, effective date of this AD using SEL–57–08, Inc. Unit Member (UM) of the Textron the various alternatives. We also invite SEL–57–08R1, or SEL–57–09. Organization Designation Authorization interested persons to submit an existing (4) If you can take credit for the visual and (ODA), that has been authorized by the standard, or a statement of intent to eddy current inspections as specified in Manager, Wichita ACO Branch, to make modify or develop a voluntary standard, paragraphs (l)(1) and (2) of this AD but you those findings. To be approved, the repair, to address the risks of injury described did not apply protective coating and CIC to modification deviation, or alteration in this ANPR. the spar, you must apply protective coating deviation must meet the certification basis of DATES: Written comments and and CIC by following steps 9 and 10 of the the airplane, and the approval must Accomplishment Instructions in SEL–57– specifically refer to this AD. submissions in response to this notice 08R2 or SEL–57–09R1, as applicable to your must be received by July 12, 2021. airplane model, within 24 months after the (p) Related Information ADDRESSES: You may submit comments, date you completed the visual and eddy (1) For more information about this AD, identified by Docket No. CPSC–2021– current inspections or within 12 months after contact Bobbie Kroetch, Aviation Safety 0014, by any of the following methods: the effective date of this AD, whichever Engineer, Wichita ACO Branch, FAA, 1801 Electronic Submissions: Submit occurs first. Airport Rd., Wichita, KS 67209; phone: (316) electronic comments to the Federal (5) To take credit for any previous action, 946–4155; fax: (316) 946–4107; email: you must have provided a completed Carry- [email protected] or Wichita-COS@ eRulemaking Portal at: Thru Spar Inspection Report, an attachment faa.gov. www.regulations.gov. Follow the to SEL–57–06, SEL–57–06 R1, SEL–57–07, (2) For service information identified in instructions for submitting comments. SEL–57–07R1, SEL–57–08, SEL–57–08R1, or this AD, contact Textron Aviation Inc., One The Commission encourages you to SEL–57–09 to Textron Aviation Inc. before Cessna Boulevard, Wichita, KS 67215; phone: submit electronic comments by using the effective date of this AD, or you must (316) 517–6061; email: [email protected]; the Federal eRulemaking Portal, as comply with paragraph (k) of this AD within website: https://support.cessna.com. You described above. 30 days after the effective date of this AD. may view this referenced service information Written Submissions: Submit written at the FAA, Airworthiness Products Section, submissions by mail/hand delivery/ (m) Special Flight Permit Operational Safety Branch, 901 Locust, Special flight permits are prohibited. Kansas City, MO 64106. For information on courier to: Division of the Secretariat, the availability of this material at the FAA, Consumer Product Safety Commission, (n) Paperwork Reduction Act Burden call (816) 329–4148. Room 820, 4330 East West Highway, Statement Issued on April 16, 2021. Bethesda, MD 20814; telephone: (301) A federal agency may not conduct or 504–7923. Alternatively, as a temporary Lance T. Gant, sponsor, and a person is not required to option during the COVID–19 pandemic, respond to, nor shall a person be subject to Director, Compliance & Airworthiness you can email such submissions to: a penalty for failure to comply with a Division, Aircraft Certification Service. [email protected]. collection of information subject to the [FR Doc. 2021–09871 Filed 5–10–21; 8:45 am] requirements of the Paperwork Reduction Instructions: All submissions received Act unless that collection of information BILLING CODE 4910–13–P must include the agency name and displays a currently valid OMB Control docket number for this document. All Number. The OMB Control Number for this comments received may be posted information collection is 2120–0056. Public CONSUMER PRODUCT SAFETY without change, including any personal reporting for this collection of information is COMMISSION identifiers, contact information, or other estimated to be approximately 2 hours per personal information provided, to response, including the time for reviewing 16 CFR Chapter II instructions, searching existing data sources, www.regulations.gov. Do not submit gathering and maintaining the data needed, [Docket No. CPSC–2021–0014] confidential business information, trade completing and reviewing the collection of secret information, or other sensitive or information. All responses to this collection Off-Highway Vehicle (OHV) Fire and protected information that you do not of information are mandatory. Send Debris-Penetration Hazards; Advance want to be available to the public. If comments regarding this burden estimate or Notice of Proposed Rulemaking; furnished at all, such information any other aspect of this collection of Request for Comments and should be submitted in writing. information, including suggestions for Information Docket: For access to the docket to reducing this burden to: Information read background documents or Collection Clearance Officer, Federal AGENCY: Consumer Product Safety comments received, go to Aviation Administration, 10101 Hillwood Commission. Parkway, Fort Worth, TX 76177–1524. www.regulations.gov, and insert the ACTION: Advance notice of proposed docket number CPSC–2021–0014 into (o) Alternative Methods of Compliance rulemaking. the ‘‘Search’’ box, and follow the (AMOCs) SUMMARY: prompts. (1) The Manager, Wichita ACO Branch, The Consumer Product Safety FAA, has the authority to approve AMOCs Commission (CPSC or Commission) is FOR FURTHER INFORMATION CONTACT: Han for this AD, if requested using the procedures considering developing a rule to address Lim, Directorate for Engineering found in 14 CFR 39.19. In accordance with the risk of injury associated with fire Sciences, U.S. Consumer Product Safety 14 CFR 39.19, send your request to your and debris-penetration hazards Commission, 5 Research Place,
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Rockville, MD 20850; telephone: (301) OPEI on multiple occasions, beginning 2056(a). The safety standard may consist 987–2327; email: [email protected]. in September 2018, to discuss the of performance requirements or SUPPLEMENTARY INFORMATION: development of requirements to address requirements for warnings and the risk of fire and debris-penetration instructions. Id. However, if there is a A. Background hazards. CPSC staff believes that voluntary standard that would The CPSC is aware of numerous significant progress has been made in adequately reduce the risk of injury the injuries and deaths resulting from fire discussing possible fire preventative Commission seeks to address, and there hazards associated with all-terrain standard requirements, but to date the is likely to be substantial compliance vehicles (ATVs), recreational off- standard development organizations with that standard, then the highway Vehicles (ROVs), and Utility have not proposed any fire preventative Commission must rely on the voluntary Terrain or Utility Task Vehicles (UTVs), standard requirements. In addition, standard, instead of issuing a mandatory and from debris-penetration hazards there has been no discussion on standard. 15 U.S.C. 2056(b)(1). To issue associated with ROVs and UTVs. For possible debris-penetration mitigation a mandatory standard under section 7, the purposes of this rulemaking standard requirements. the Commission must follow the proceeding, we collectively refer to The Commission is considering procedural and substantive these three vehicle types as off-highway developing a mandatory standard (or requirements in section 9 of the CPSA. vehicles, or OHVs. standards) to reduce the risk of injury 15 U.S.C. 2056(a). CPSC staff’s review of incident data associated with OHV fire and debris- Under section 9 of the CPSA, the from January 1, 2003 through December penetration hazards. Commission staff Commission may begin rulemaking by 31, 2020 in CPSC’s Consumer Product prepared a briefing package to describe issuing an ANPR. 15 U.S.C. 2058(a). The Safety Risk Management System the products at issue, assess the relevant ANPR must identify the product and the (CPSRMS) identified 28 fatalities and incident data, describe the hazards, nature of the risk of injury associated 264 injuries from fire-related OHV examine relevant voluntary standards, with it; summarize the regulatory hazards, and 6 fatalities and 20 injuries 1 and discuss regulatory alternatives for alternatives the Commission is from debris-penetration OHV hazards. addressing the risk associated with OHV considering; and include information From the National Electronic Injury fire and debris-penetration hazards. about any relevant existing standards, Surveillance System (NEISS) database, That briefing package is available at: and why the Commission preliminarily CPSC staff estimates there were 14,200 https://www.cpsc.gov/s3fs-public/ believes those standards would not emergency department-treated injuries Advance-Notice-of-Proposed- adequately reduce the risk of injury from 2007 to 2019 (based on a sample Rulemaking-Regarding-Off-Highway- associated with the product. The ANPR size of 282) associated with OHV fire, Vehicles.pdf. must also invite comments concerning thermal, and burn hazards without B. Statutory Authority the risk of injury and regulatory or other indication of a crash or related event. A rulemaking addressing the fire and possible alternatives for addressing the The current voluntary standards for debris-penetration hazards associated risk, and invite the public to submit the three OHV types are: with ROVs and UTVs falls under the existing standards or a statement of • ANSI/SVIA 1–2017 Four-Wheel All- authority of the CPSA. 15 U.S.C. 2051– intent to modify or develop a voluntary Terrain Vehicles—Equipment, 2084. A rulemaking addressing the fire standard to address the risk of injury. Id. Configurations, and Performance hazards associated with ATVs is subject After publishing an ANPR, the Requirements developed by Specialty to section 42(b)(3) of the CPSA. Section Commission may proceed with Vehicle Institute of America (SVIA) for 42(b)(3) provides that for CPSC-initiated rulemaking by reviewing the comments ATVs and incorporated by reference as changes to the mandatory standard for received in response to the ANPR and a mandatory standard in 16 CFR 1420.3; • ATVs, 15 U.S.C. 2089, the Commission publishing an NPR. An NPR must ANSI/ROHVA 1–2016— include the text of the proposed rule, Recreational Off-Highway Vehicles; and must make findings required by sections • 7 and 9 of the CPSA, 15 U.S.C. 2056 and alternatives the Commission is ANSI/OPEI B71.9–2016—American considering, a preliminary regulatory National Standard for Multipurpose Off- 2058. Thus, a Commission-initiated rulemaking addressing the fire hazards analysis describing the costs and Highway Utility Vehicles. benefits of the proposed rule and the The current voluntary standards for associated with ATVs would also fall under sections 7 and 9 of the CPSA. alternatives, and an assessment of any ROVs and UTVs, ANSI/ROHVA–1–2016 submitted standards. 15 U.S.C. 2058(c). and ANSI/OPEI B71.9–2016, Because of the three vehicle types and two different hazard patterns involved The Commission would then review respectively, do not have requirements comments on the NPR and decide that address fire hazards or debris- in this rulemaking, it is possible the Commission will divide this rulemaking whether to issue a final rule, along with penetration hazards. The current a final regulatory analysis. voluntary standard for ATVs, ANSI/ into separate rulemakings at the notice SVIA 1–2017, does not include of proposed rulemaking (NPR) stage. C. The Product Under section 7 of the CPSA, the requirements that address fire hazards. Commission may issue a consumer For purposes of this rulemaking, CPSC staff has met with product safety standard if the OHVs include: ATVs, ROVs, and UTVs. representatives from ROHVA, SVIA, and requirements of the standard are The scope of this rulemaking does not include golf cars, personal transport 1 Note that two of the 20 injuries related to OHV ‘‘reasonably necessary to prevent or debris-penetration hazards came from the NEISS reduce an unreasonable risk of injury vehicles (PTVs), low-speed vehicles, or data. associated with [a] product.’’ 15 U.S.C. dune buggies.
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1. All-Terrain Vehicles to be straddled by the operator, recalls, consumer education, media An all-terrain vehicle (ATV) is a handlebars for steering, and designed outreach, and litigation. These efforts motorized vehicle with three or four for off-highway use. Since the 1980s, the focused on stability and handling issues broad, low-pressure tires (less than 10 CPSC has addressed ATV safety through related to ATV overturn and collisions. pounds per square inch), a seat designed various activities, including rulemaking, Figure 1 shows an example of an ATV.
Figure 1: Example of an ATV
Currently, CPSC regulates ATVs manufacturer primarily for recreational of a handle bar for steering; bench or through the incorporation by reference use by one or more persons. Other bucket seats for the driver and of ANSI/SVIA 1–2017 Four-Wheel All- characteristics of an ROV include: A passenger(s), instead of straddle seating; Terrain Vehicles—Equipment, steering wheel for steering control, foot foot controls for throttle and braking, Configuration, and Performance controls for throttle and braking, bench instead of levers located on the handle Requirements as a mandatory standard or bucket seats, rollover protective bar; and ROPS and restraint systems (16 CFR 1420.3(a)). structure (ROPS), restraint system, and that are not present on ATVs. CPSC staff a maximum speed greater than 30 miles 2. Recreational Off-Highway Vehicles has worked on stability, handling, and per hour (mph). ROVs are intended to occupant protection issues related to An ROV is a motorized vehicle having be used on terrain similar to ATVs. ROVs since 2009.2 Figure 2 shows an four or more low-pressure tires designed ROVs are distinguished from ATVs by example of an ROV. for off-highway use and intended by the the presence of a steering wheel, instead
2 The NPR for ROVs is available at: 79 FR 68964 is available at: https://cpsc.gov/s3fs-public/pdfs/ foia_SafetyStandardforRecreationalOff- (Nov. 19, 2014); the accompanying briefing package HighwayVehicles-ProposedRule.pdf.
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Figure 2: Example of an ROV
3. Utility Terrain Vehicles or Utility low-pressure tires designed for off- for utility use, have larger cargo beds to Task Vehicles highway use with the same accommodate hauling-type tasks, and characteristics as ROVs (bench seating, they generally have maximum speeds For this rulemaking, a UTV is a steering wheel, foot controls, ROPS, and between 25 and 30 mph. Figure 3 shows motorized vehicle having four or more seat belts). However, UTVs are intended an example of a UTV.
Figure 3: Example of a UTV
D. The Market at an estimated 812,000 units. Since adult models and 77,000 youth models, 2004, ATV sales have declined steadily. with sales revenue of approximately 1. Market Size The Commission estimates $1.35 billion. The Commission ATV sales have varied over the last 15 approximately 205,000 ATVs were sold identified 13 manufacturers supplying years. U.S. ATV sales peaked in 2004, in the United States in 2018: 177,000 ATVs to the U.S. market in 2018, six
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from the United States, five from Mexico and South Korea. The Commission estimates U.S. Taiwan, and one each from Japan and Commission identified 53 distributers/ manufacturers accounted for Mexico. Nine manufacturers were brands. CPSC staff estimates U.S. approximately 92 percent of 2018 U.S. responsible for all ATVs distributed into manufacturers accounted for UTV sales. Current ROHVA and OPEI the U.S. market in 2018; four U.S. approximately 79 percent of 2018 U.S. members accounted for approximately manufacturers distributed ATVs ROV sales, and estimates approximately 90 percent of U.S. 2018 UTV sales. manufactured by Taiwanese firms, in 90 percent of ROVs sold in the United Total U.S. OHV unit sales peaked in addition to their own. U.S. States in 2018 were manufactured by 2004, at approximately 937,000. OHV manufacturers accounted for current members of the Recreational sales then declined, to approximately approximately 63 percent of 2018 U.S. Off-highway Vehicle Association 475,000 by 2011, before beginning a ATV sales; all ATVs were manufactured (ROHVA) or the Outdoor Power partial recovery. Figure 4 illustrates and/or distributed by current members Equipment Institute (OPEI). ATV, ROV, UTV, and total OHV unit of the Specialty Vehicle Institute of U.S. UTV sales peaked in 2007, at an sales from 1998 through 2018. The America (SVIA). estimated 112,000 units, before Commission identified as many as 52 Except for 2009, annual U.S. ROV gradually declining. Approximately manufacturers and 68 distributors/ sales have increased steadily, from an 76,000 UTVs were sold in the United brands of OHVs supplying an estimated estimated 2,700 units in 1998, to an States in 2018, with sales revenue of 657,000 OHVs to the U.S. market in estimated 376,000 units in 2018. The approximately $700 million. The 2018, with sales revenue exceeding Commission estimates 2018 U.S. ROV Commission identified 22 $7.87 billion. The Commission sales revenue at approximately $5.85 manufacturers known to have supplied estimates U.S. manufacturers accounted billion. The Commission identified 35 UTVs to the U.S. market in 2018, 14 for approximately 75 percent of 2018 manufacturers known to have supplied from the United States, 6 from China U.S. OHV sales; SVIA, ROHVA, and ROVs to the U.S. market in 2018, 20 (including Taiwan), and 1 each from OPEI members accounted for from China (including Taiwan); 13 from Canada and South Korea; and 27 approximately 93 percent of 2018 U.S. the United States, and 1 each from distributers/brands were identified. The OHV sales.
Figure 4. RV, ROV,UfV, and Total OHV Unit Sales, 1998-2018
lOO,t!OO ·c . ~· .... ';:r 600,000 ; t,l :I• !.: 500,000 400,000 30CJ,fl00 •·
200.,00& 11.iO,mo · ==:=====:::;;;;. 1"a 1"f 2wo 2001. l(JOi 2001 • 2005 200, 2001 2ma 1009 2011 2011 2012. 2m 2014 ms 201, 2017: ams YW . . -- . • •.. . • • •••• . ·• • .-.•.v.. - ..• • ~.~.-.-~•.•.. ,.»-.•~.- ..a.~.- ...•~~•~,- .. --.-~. "~ .-...-.-~,~-- ..,-. --.~.-,--.•-.-. ..-.-.•~• .,--...- ....-~ ...... ~ r ....•--...-,-.-.- ..- ..-.-.- •• , ' -
2. Retail Prices The mean MSRP for all U.S. ATV sales MSRPs ranged from a minimum of 3 The Commission identified 115 in 2018 was approximately $6,750. $3,299, to a maximum of $53,700, with different ATV model variants and As with ATVs, there is significant an average of approximately $15,400. configurations in two product segments variation in ROV design, weight, engine The Commission identified 138 sold in the United States in 2018: Youth displacement, and other characteristics different UTV model variants and and accessories. The Commission and adult. Youth ATV manufacturer configurations that were sold in the identified 396 different ROV model suggested retail prices (MSRPs) ranged United States in 2018. UTV MSRPs from a minimum of $1,999, to a variants and configurations that were sold in the United States in 2018. ROV ranged from a minimum of $3,499 to a maximum of $3,799, with an average of maximum of $49,900, with an average of approximately $2,650. Adult ATV 3 Unless otherwise noted, OHV product and approximately $12,000. model MSRPs ranged from a minimum market information is based upon CPSC staff of $3,799, to a maximum of $15,349, analysis of 1998–2018 sales data provided by Power with a mean of approximately $7,400. Products Marketing, Minneapolis, MN.
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3. Number of Off-Highway Vehicles in UTV product life. Table 1 illustrates a with shape = 5 and b = 1, applied to Use range of estimates possible under 1998–2018 OHV sales data. Table 1 The Commission is unable to provide different assumptions of product life. In provides estimates for ATVs, ROVs, an accurate estimate of the number of each case, the estimate is constructed UTVs, and total OHVs under three OHVs currently in use, due to a lack of using a gamma distribution, a common product-life assumptions (10, 15, and 20 reliable estimates of ATV, ROV, and distribution for estimating failure rates, years).4
TABLE 1—ESTIMATES OF OHVSINUSE [Gamma distribution w/shape = 5 and beta = 1]
Life expectancy 10 Years 15 Years 20 Years
ATV ...... 3,217,376 5,782,667 7,467,359 ROV ...... 2,419,854 2,725,373 2,853,372 UTV ...... 895,474 1,226,299 1,417,666
Total ...... 6,532,704 9,734,340 11,738,397
4. Small Businesses Subject to be classified in NAICS categories penetration hazards. The reported Rulemaking 423110 (Automobile and Other Motor incidents from CPSC’s Consumer OHV manufacturers might be Vehicle Merchant Wholesalers) or Product Safety Risk Management classified in the North American 441228 (Motorcycle, ATV, and All System (CPSRMS) are from January 1, Industrial Classification System Other Motor Vehicle Dealers). The SBA 2003 through December 31, 2020; the (NAICS) category 336999 (All Other size standard for these NAICS National Electronic Injury Surveillance Transportation Equipment classifications is 500 employees. The System (NEISS)-based injury estimates Manufacturing), or possibly, 336112 Commission identified eight U.S. OHV are from January 1, 2007 to December (Light Truck and Utility Vehicle manufacturers that meet these SBA size 31, 2019. standards, nine that do not, and four for Manufacturing), 333111 (Farm Fire and debris-penetration hazards Machinery and Equipment), 333112 which a determination could not be are generally unrelated to one another. (Lawn and Garden Tractor and Home made. CPSC staff also identified 27 OHV Out of the 4,792 incidents staff Lawn and Garden Equipment distributors that meet these SBA size Manufacturing), and 333120 standards, 24 that do not, and 17 for identified as related to debris- (Construction Machinery which a determination could not be penetration or fire hazards, only two Manufacturing). According to size made. exhibited both debris-penetration and fire-related hazards. Table 2 shows the standards established by the U.S. Small E. Risk of Injury Business Administration (SBA) for these breakout of hazards by data sources and NAICS, firms with fewer than 1,000, 1. Incident Data severity of incidents. 1,500, 1,250, 1,500, and 1,250 CPSC staff conducted a review of employees, respectively, are considered incidents, injuries, and fatalities to be small firms. OHV distributers may associated with OHV fire and debris-
TABLE 2—INCIDENT RECORDS RELEVANT TO DEBRIS-PENETRATION AND/OR FIRE HAZARDS AS PRESENTED IN THIS REPORT
CPSRMS NEISS (2003–2020) (2007–2019) Total records Relevant hazards reviewed No injury Fatal reported Injury reported reported Injury cases incidents incidents incidents in sample
Debris Penetration ...... 107 6 18 81 2 Fire Hazard (fire, thermal, leaks) ...... 4,683 28 264 4,109 282 Both hazard of Debris-Penetration and Thermal, Fuel, or Fire-Related Hazards...... 2 0 1 1 0
Total ...... 4,792 34 283 4,191 284 Sources: CPSRMS and NEISS.
(a) Fire Hazard Incidents OHV ignites) refueling incidents, and in CPSRMS with incident dates from incidents in which it is ambiguous 2003 through 2020 is detailed below. CPSC staff’s assessment of the fire about whether the source of the fire may hazard incidents excludes fires ignited have come from a source outside the by external sources (e.g., overtaken by a controlled burn or bonfire, even if the OHV. The analysis of reported incidents
4 Implied in the total OHV estimates is the does not hold, because product life is dependent other usage characteristics, which are not assumption that ATVs, ROVs, and UTVs have the upon annual mileage, terrain driven upon, and homogenous across OHV categories. same expected product life. This assumption likely
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CPSRMS Incident Data (2003–2020) instances, occupants may still have been or hazardous. Leaks or spraying of oil or CPSC staff categorized reports in injured or killed from the crash, even if fuel do not necessarily constitute a CPSRMS with incident dates from 2003 the vehicle had not ignited. For thermal event, because these flammable through 2020 into one of several instances of a fire igniting before or liquids not only have the potential to mutually exclusive categories. without a crash, it is generally clearer to ignite and release thermal energy; but Sometimes OHV fires occur after a attribute resulting injuries or deaths even without ignitions, such leaks can crash, and because these events may specifically to the fire. In many other present a hazard. involve multiple complicating factors, instances, there may be thermal events Table 3 presents the fire hazard they are set aside in their own category. that do not involve actual ignition of subtypes by the severity of the outcome It is very plausible that in some of these fire; but such events can still be harmful as seen in the CPSRMS incident data.
TABLE 3—REPORTED INCIDENTS BY FIRE HAZARD SUBTYPE AND SEVERITY; 2003–2020
Reported incident severity Type of fire, thermal, or leak hazard Reported incidents Fatal Injury No injury
Post-Crash Fire Ignition ...... 51 28 18 5 Fire Ignited (without/prior to crash) ...... 1,626 0 129 1,497 Thermal Event or burn (without Fire Ignition) ...... 2,451 0 105 2,346 Leak or spray of oil or fuel (without other burn, thermal event, or fire) ...... 273 0 12 261
Total ...... 4,401 28 264 4,109 Source: CPSRMS.
NEISS-Based National Injury Estimates a burn, or other thermal-related event projectiles lacerating or penetrating the (2007–2019) occurred without a crash-type event. body, or a gasoline explosion. Staff is unable to present the annual Most of the injuries were suffered in There are an estimated 14,200 (sample estimates of the injuries over the period the lower body, with an estimated 5,900 size = 282) emergency department- from 2007 through 2019, because (42%) of injuries affecting the lower leg treated injuries from 2007 to 2019, estimates for many of the individual in particular. About 1,800 (13%) of the associated with OHV fire, thermal, and years fall below the NEISS publication burn hazards without indication of a criteria.5 However, staff did not see any injuries affected the ankle, foot, or toe, and about 1,500 (11%) involved the crash or related event. ‘‘Crash-type increasing or decreasing trend in the knee, upper leg and/or lower trunk. events’’ are defined in this review to data. Many of these injuries suffered at the leg include vehicle wrecks, rollovers, The 14,200 estimated thermal-, fuel-, and neighboring body parts were entrapments, traffic collisions, and and fire-related injuries are based on a described as involving burns from the victims falling or jumping from the sample size of 282 cases. The vast muffler, exhaust pipe, and/or hot vehicle, for example. majority of these estimated injuries indicate burns (as the primary exhaust. It was not always clear whether Although crash-type events diagnosis), without necessarily the burns were suffered due to direct coinciding with burns and other involving the ignition of any fire or contact or proximity. An estimated thermal-, fuel- and fire-related hazards flame. Of the injuries involving burns, 3,200 (23%) of the injuries involved are of concern, such cases were already around 12,800 injuries (about 91 hands and fingers. Injuries between the considered and discussed among the percent) were classified as thermal shoulders and wrists (including arms reported incidents. For the assessment burns, while the remainder consisted of and elbows) were attributed to an of NEISS injury cases, they are excluded scald burns, chemical burns, or burns estimated 1,300 (9%) of the injuries. to focus on injuries more directly that were not specified. None of the Several reported injuries also occurred attributable to heat and thermal events. incidents reviewed involved any on or near the eyes and face, but the This narrowing of scope is not intended fatalities. Only around 3 percent of sample size is too small to project an to suggest that overheating or other estimated injuries mentioned any sort of estimate specific to that region of the malfunctioning of the OHV occurred, or fire ignition. Less than 2 percent of body. Table 4 presents the estimated even that other additional factors were estimated injuries did not mention injuries by body parts grouped as not involved, but simply to indicate that burns, but instead involved exploding described above.
TABLE 4—U.S. EMERGENCY ROOM-TREATED INJURIES RELATED TO FIRE/THERMAL/FUEL HAZARDS WITHOUT INDICATION OF CRASH-TYPE EVENTS BY BODY PARTS; 2007–2019
Percentage of estimated Body part Body parts injuries for group estimate body part group (percent)
Leg, lower *** ...... 5,900 42 Ankle;*** Foot; Toe ...... 1,800 13 Trunk, lower; Leg, upper; Knee ...... 1,500 11
5 According to the NEISS publication criteria, an must be 20 or greater, and the coefficient of estimate must be 1,200 or greater, the sample size variation must be 33 percent or smaller.
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TABLE 4—U.S. EMERGENCY ROOM-TREATED INJURIES RELATED TO FIRE/THERMAL/FUEL HAZARDS WITHOUT INDICATION OF CRASH-TYPE EVENTS BY BODY PARTS; 2007–2019—Continued
Percentage of estimated Body part Body parts injuries for group estimate body part group (percent)
Hand; Finger ...... 3,200 23 Shoulder; Arm, upper; Elbow; Arm, lower; Wrist ...... 1,300 9 Eyeball; Face * ...... (**) (**)
Total ...... 14,200 100 Source: NEISS. * ‘‘Face’’ includes eyelid, eye area, nose, and forehead. ** Sample size is too small to report estimate specific to this group of body parts. *** Almost all injuries in this dataset are classified under a single primary (e.g., most severely injured) body part. Only one injury is counted only as a lower leg injury (and not as an ankle injury) which also involved a burn at the lower leg in combination with a ‘‘popped’’ ankle when the vehicle ‘‘blew out.’’
An overwhelming majority of the ATV, ROV, UTV, or unknown type of TABLE 5—DEBRIS PENETRATION BY emergency room patients (94%, or an OHV. INJURY SEVERITY: 2003–2020 estimated 13,500) were treated and In the NEISS data, staff identified released, or released without treatment. only two cases with sufficient Injury severity Incidents The remainder were treated and descriptive information to conclude that Hospital Admission ...... 4 admitted for hospitalization, held for the injuries were specifically associated Emergency Department Treatment Re- observation, or left without treatment or with a debris-penetration hazard. Due to ceived ...... 3 being seen. this small sample size, staff cannot First Aid Received by Non-Medical Pro- Although the majority of these fessional ...... 1 report any estimate of injuries. Instead, No First Aid or Medical Attention Re- injuries appear to have involved burns for the debris-penetration-hazard ceived ...... 2 due simply to proximity or contact with scenario, staff counted the two injuries Level of care not known ...... 10 heat sources, some other relevant from NEISS with the other reported Total Injury Incidents ...... 20 hazards are observed among the NEISS injuries from CPSRMS. cases. There were several incidents For the six fatal incidents, two Sources: CPSRMS and NEISS. relating to fuel or gasoline, battery or involved a passenger’s death, while the some form of ‘‘explosion’’; and as 2. Hazard Patterns and Analysis of In- other four involved the driver’s death. Depth Investigations previously mentioned, there were a few Four involved a tree branch, one a large incidents in which ignition or fire was stick, and the other a 2-inch to 3-inch (a) Fire Hazard Review and Assessment mentioned. Staff does not have data piece of wood. At least three involved Since 2018, CPSC staff has about which burn cases resulted from penetration of the chest. overheating, as compared to collaborated with the three standards The list below paraphrases text development organizations (SDOs): components operating at normal hot written by the respective CPSC temperatures. However, given that many ROHVA, OPEI, and SVIA, to examine investigators for each of the six fatal fire hazard causations of OHV-related of the injuries involving the hand and incidents: fingers appear to have involved contact incidents investigated by CPSC staff and • Tree limb penetrated the floor board with components that are expected to be reported as in-depth investigations and struck passenger in chest (driven in heated at normal operational conditions, (IDIs). All three vehicle types, ROVs, water); UTVs, and ATVs, were associated with staff infers that many of the hand burns • likely occurred without the OHV tire over tree limb that pierces fire hazards. Staff provided the SDOs overheating, or otherwise functioning fender, nylon mesh door, and left side with 121 redacted IDIs related to fire outside of normal design parameters. of driver (driven in woods); hazards in OHVs for review and • passed over a large stick that was analysis. These 121 redacted IDIs are a (b) Debris-Penetration Incidents sticking up in the ground, which passed subset of the more comprehensive list of Debris penetration involves debris through brake pedal arm through bottom IDI data analyzed by the CPSC (usually a tree branch or stick) edge of seat and into lower abdomen of Epidemiology staff and detailed in penetrating an OHV (usually the driver (driven in power line clearing); section E.1 of this preamble. Of the 121 floorboard of underside of an ROV or • impaled by a 2- to 3-inch-size piece redacted IDIs, CPSC staff and the SDOs UTV). When such penetration occurs, of wood in upper right thigh, causing concluded that 84 IDIs contained there is a potential hazard of the branch exsanguination of driver (driven on sufficient information to determine or other debris to penetrate not only the heavily forested public land); cause of fire origin, and they agreed to floor or body of the OHV, but also • branch penetrated UTV bottom and categorize these IDIs. This discussion occupants of the OHV. None of the struck passenger in chest (driven along provides staff’s insight into this subset incidents staff identified were found to trail); of 121 incidents discussed by and the involve ATV debris-penetration • ran over large tree branch that SDOs. When cause or categorization of incidents. Given that ATVs lack struck driver in chest (driven in incidents are discussed here, we discuss floorboards, this result was not mountains). only the 84 incidents for which CPSC unexpected; but staff did search OHV Table 2 presents the severity of the 20 staff and SDOs agreed there was incidents for this hazard, regardless of nonfatal injury incidents from debris sufficient information for categorization. whether it was indicated to involve an penetration. Fuel leaks are considered fire hazards
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because ignition of flammable fluids deemed unknown involved either two spreads into a fuel-fed fire, so that the contributes to the severity of an or more possible combined causations entire vehicle becomes engulfed in incident. The fire and fuel leak origins or instances where causations could not flames. This often makes it difficult to identified in the 84 IDIs include a be determined due to insufficient determine the origin of the fire. The breach in the fuel system, electrical information from particular IDIs. smaller fire can originate from various component failure, exhaust overheat, Twenty-seven of the 121 IDIs involved sources, such as an overheating exhaust and debris (grass/dry vegetation) burn injuries when consumers that burns a plastic body panel, a fuel ignition. contacted hot surfaces or suffered burns leak fire, or a fire from an electrical The majority (44 of the 84) of the from open flames. Neither CPSC staff, short, where a portion of a plastic body causations involved fuel system nor the SDOs, identified any fires due panel may catch fire, then that fire can components (29) and exhaust overheat to the lack of a spark arrester. (15). The others involved specific Of the 37 IDIs that had unknown fire spread to the entire vehicle because the electronic components (voltage causations, 20 involved total-OHV majority of the OHV body panels are regulator, wiring harness, electronic losses. A total loss fire refers to an OHV generally made of flammable plastics. control module, or battery), debris (grass that has been completely consumed by Total loss incidents, as shown in Figure or dry vegetation) ignition from the fire, leaving only a metal frame and 5, represent the most severe fire hazard contacting exhaust heat, oil leaks, and other non-combustible metal parts. A of an OHV. unknown causes. Those that were total loss can occur when a smaller fire
Figure 5: ROV Prior to the Fire Incident (Left), ROV on Fire (Middle), and ROV Post Total Loss Fire (Right)
Each OHV is equipped with fuel leak and pose a risk of fire. A Inadequate ventilation and over- subsystems that have combustible or breach can be a crack/hole in the fuel pressurization of the fuel system can flammable sources that can lead to fires tank, damaged fuel hose, crack/hole in result in boiling gasoline, which can and/or fire hazards (i.e., fuel leaks). a fuel filter, or unsecured fuel expel abruptly when opening the fuel These subsystems are the fuel system connection to a fuel rail. For example, cap, potentially splashing hot gasoline (fuel tank, fuel pump, fuel rail, fuel in one IDI involving an ATV, a onto consumers. Figure 6 shows an filter, hoses, shutoff valves, and fuel passenger received second- and third- example from an IDI of an over- caps), electrical system (voltage degree burns to the right wrist and right pressurization scenario with an ROV. regulator, wire harnesses, battery, fuse leg when the ATV burst into flames Unbeknownst to the consumer, opening boxes, and alternator), and the exhaust from an overheated gasoline line that the fuel cap released pressurized system (exhaust piping, catalytic melted and spilled fuel onto the hot gasoline and a brief fire resulted. Black converter, muffler, and all surrounding engine. soot can be seen surrounding the fuel componentry). Other fuel-related fire hazards can be With respect to the fuel system, a due to over-pressurization of the fuel cap. breach in the fuel system can cause a system and inadequate ventilation.
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Figure 6- Soot on the Frame of the ROV (Red Arrows) Resulted from Flames that Shot Out from the Fuel Tank When the Consumer Opened the Gas Cap
An electrical failure, such as an fires. Figure 7 illustrates a fire that control module (ECM), which ignited electrical short or an electronic started due to an overheated electronic the ECM and wiring. component overheating, can lead to
Figure 7 - Example of Burned ATV ECM; Left Photo - Top View, Right Photo - Side View
Excessive exhaust heat near exhaust pipes and plastic paneling can third-degree burn injuries. The other 17 flammable plastics can cause melting cause the plastic to melt. Figure 8 IDIs did not specify the severity of the and subsequently fires, if the exhaust illustrates a fire that ignited when burn injuries. These burn injuries systems do not manage the exhaust heat melted plastic paneling dripped onto occurred when victims had direct sufficiently, via heat shielding and/or the exhaust pipe and burned a hole contact with a hot surface or when an adequate ventilation. It is not through the panel. open flame burned the victims. uncommon for modern ROV exhaust Of the 121 IDIs examined, 27 IDIs surface temperatures to exceed 800 °F. involved burned victims. Of these 27 Insufficient heat shielding between the IDIs, 10 specified first-, second-, and/or
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Figure 8 - Example of Fire Damage Caused by Excessive Exham Heat
(b) Debris-Penetration Hazard Review compared to ATVs. The larger space and has caused severe injuries and and Assessment exposes more floorboard and wheel-well deaths. An example of debris surface to branches that can and do penetration is shown in Figure 9. CPSC Debris-penetration hazards are unique penetrate into the occupant staff did not find any ATV-related to ROVs and UTVs because the wheel- compartment. Debris penetration debris-penetration incidents in the well areas on these vehicles are through the floorboard or wheel well injury/death data searches or debris- generally larger and more open, can impale the occupants of the vehicle penetration recalls.
Figure 9: Example of Tree Branch (Yellow Arrows) Penetrating ROV floorboard; Left Photograph Shows View from the Cabin (Passenger Seat); Right Photograph Shows Front View of ROV
CPSC staff shared eight redacted IDIs Epidemiology staff, with the SDOs for summary of the IDI data shown in Table involving debris penetration, which is a review and analysis. CPSC staff’s review 6 suggests the debris penetrations subset of the more comprehensive list of revealed four IDIs involved fatal occurred at relatively low speeds, i.e., IDI data analyzed by the CPSC impalement of the occupant. A 25 mph or less.
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TABLE 6—SUMMARIES OF EIGHT DEBRIS-PENETRATION IDIS
Estimated Vehicle Injury type speed, mph Injured body part(s) Description
A ...... Death ...... 25 ...... heart ...... Consumer drove into a creek when water splashed onto the windshield; tree limb broke through the floor and struck passenger who died as a result of the impalement. B * ...... No Injury ...... 5 ...... none ...... Consumer was driving on a slight hill; rocks punctured the floorboard. C ...... Death ...... 10 ...... viscera ...... Consumer drove on a wooded trail (dirt road) with various de- bris (rocks and limbs); tree limb pierced fender and nylon mesh door and impaled the driver. D ** ...... Death ...... Not available ..... no information ...... Not available. E ...... Contusion/No Med- 20 ...... abdomen ...... Consumer drove in the dark (12:30 a.m.) on a leaf covered ical Attention. trail; tree branch punctured driver’s side floor, struck his ab- domen, but did not impale the driver due to the driver wearing thick clothing. F ...... Abrasions ...... 25 ...... ankle ...... IDI involved 2 occasions—on one occasion snow was on ground, could not see branches thus a debris penetration occurred; other occasion ROV traveled on paved road and a tree branch punctured rear passenger floor. G ...... Death ...... Not available ..... thigh ...... Not available. H ...... Abdomen impaled ... 25 ...... Liver, stomach, Consumer drove on dirt/gravel road lined with 3-foot-tall grass spleen, pancreas. on both sides; when attempting to avoid debris from a downed tree, a branch penetrated passenger side floor, struck passenger and impaled the driver. *All vehicles are ROVs, except vehicle B, which is a UTV. Vehicle B involved rocks penetrating the floorboard; all other vehicles involved tree branches penetrating the floorboards. ** It is unknown whether vehicle D is an ROV or UTV due to the lack of model information.
There were four deaths and three involved fuel system components; 3 and revised the standard in 2001, 2007, injuries associated with debris involved electrical wiring/electrical 2010, and 2017. In 2008, the Consumer penetration. Many of these incidents components; 10 involved exhaust heat- Product Safety Improvement Act occurred when there was reduced inadequate heat shielding; 3 involved (CPSIA) required the Commission to visibility or the driver was unable to see grass/dry vegetation debris ignition; 5 make mandatory the voluntary standard the debris (e.g., driving in the dark, involved oil leaks; 1 involved improper for ATVs, ANSI/SVIA 1–2007. The snow-covered terrain), but overall the throttle body installation; and 2 Commission adopted the voluntary incidents occurred during what staff involved multiple sources (engine standard as a mandatory standard; the considers reasonably foreseeable, misfire, brake fires). Collectively, there standard is codified in 16 CFR part normal use of the vehicles. were 709,886 recalled vehicles, 1,022 1420. The Commission amended 16 CFR incidents, 327 fires, and 32 injuries 3. OHV Recalls part 1420 in 2011 and 2018, to reference associated with 33 recalls from 2008 to the latest revision of ANSI/SVIA 1–2010 From 2002 to 2019, there were 68 2019. There was one death associated and ANSI/SVIA 1–2017, respectively. OHV fire and debris-penetration hazard with one fire hazard recall. The requirements ANSI/SVIA 1–2017 recalls. The fire hazard recalls involved There were 6 UTV fire hazard recalls; include warning label requirements, ATVs, ROVs, and UTVs. The debris- 1 involved grass/dry vegetation debris various mechanical requirements, such penetration recalls involved ROVs. ignition; and 5 involved fuel system as static stability, braking distances, CPSC recall data include the number components. Collectively, there were maximum speeds for the various age of affected vehicles, number of 43,340 recalled vehicles, 144 incidents, incidents, and injuries associated with and 11 fires associated with 6 recalls group ATVs, and various component the recalls. An incident is considered a from 2008 to 2017. There were no construction requirements such as those penetration through the floorboard, an injuries or deaths associated with UTV for handlebars, foot rests, suspension, actual fire, a fuel leak, or other thermal fire hazard recalls. and most recently, lights. event (e.g., melted plastic, overheated There were 3 ROV debris penetration 2. ROVs component). hazard recalls. Collectively, there were There have been 26 ATV fire hazard 44,500 recalled vehicles, 630 incidents, The Recreational Off-Highway recalls, of which 18 involved fuel and 9 injuries associated with three Vehicle Association (ROHVA) system components; 4 involved recalls from 2014 to 2016. There were developed ANSI/ROHVA 1 American electronic control modules; 2 involved no deaths associated with ROV debris National Standard for Recreational Off- oil leaks; 1 involved brake fires due to penetration hazard recalls. Highway Vehicles for recreation- friction; and 1 involved inadequate heat F. Existing Standards oriented ROVs. The Outdoor Power shielding. Collectively, there were Equipment Institute (OPEI) developed 462,372 recalled vehicles, 3,325 1. ATVs ANSI/OPEI B71.9 American National incidents, 83 fires, and 24 injuries SVIA developed the voluntary Standard for Multipurpose Off-Highway associated with 26 recalls from 2002 to standard for ATVs, ANSI/SVIA 1 Four- Utility Vehicles for utility-oriented 2018. There were no deaths associated Wheel All-Terrain Vehicles— vehicles; ANSI/OPEI B71.9 includes with ATV fire hazard recalls. Equipment, Configuration, and requirements for vehicles that exceed 30 With respect to ROVs, there were 33 Performance Requirements standard. mph (and thus meet CPSC’s definition ROV fire hazard recalls, of which 9 SVIA published ANSI/SVIA 1 in 1990, of ‘‘ROVs’’).
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The ROV requirements in ANSI/ CPSC staff met with representatives of the fire and debris-penetration hazards ROHVA 1–2016 and ANSI/OPEI B71.9– the three SDOs, ROHVA, SVIA, and association with OHVs. As with recalls, 2016 include static and dynamic OPEI on multiple occasions to discuss this alternative is not likely to be as stability, vehicle handling, ROPS, speed recall data, categorizing IDIs fire effective at reducing the risk of injury as limiter function when seat belts are not causations, and possible requirements a mandatory standard. fastened, and various component for fuel system, electrical, and exhaust construction requirements such as for system requirements to reduce the risk H. Request for Information and steering, brakes, and seat belts. of fire hazards. After discussing and Comments categorizing fire causations of IDIs, This ANPR is the first step in a 3. UTVs CPSC staff and SDOs initiated proceeding that could result in a OPEI developed ANSI/OPEI B71.9 discussions of possible fire preventative mandatory safety standard(s) to address American National Standard for utility- standards requirements starting with the fire and debris-penetration hazards oriented vehicles; ANSI/OPEI B71.9 fuel system component examination. associated with OHVs. The Commission includes requirements for vehicles that However, to date, there have been no requests comments on all aspects of this exceed 30 mph (and thus meet CPSC proposed fire and debris-penetration ANPR, but specifically requests definition of ‘‘ROVs’’). For this requirements to update the current comments regarding: rulemaking, the Commission defines ANSI/ROHVA 1–2016, ANSI/SVIA 1– 1. The risk of injury identified by the ‘‘UTVs’’ to have maximum speeds 2017, and ANSI/OPEI B71.9–2016 Commission, the regulatory alternatives below 30 mph. The UTV requirements standards to address fire and debris being considered, and other possible in ANSI/OPEI B71.9–2016 for vehicles penetration hazards. Thus, the alternatives for addressing the risk; with maximum speed below 30 mph Commission concludes that the current 2. Any existing standard or portion of include minimum static stability, OHV standards will not adequately a standard that could be issued as a rollover protection structure (ROPS), address the deaths and injuries proposed regulation; brake configuration and performance, associated with OHV fire and debris- 3. A statement of intention to modify and lighting. penetration hazards. or develop a voluntary standard to All three of these standards reference address the risk of injury discussed in the U.S. Forest Service standard, G. Regulatory Alternatives this notice, along with a description of USDA–FS 5100–1, which requires The Commission could proceed with a plan (including a schedule) to do so; OHVs to be equipped with spark rulemaking under the CPSA establishing 4. Studies, tests, or surveys performed arrestors. A spark arrestor is a metal performance requirements and/or to analyze fire and/or debris penetration screen installed in the exhaust tail pipe warnings and instructions for OHVs to hazard injuries, including severity and to mitigate sparks exiting the tail pipe address the risks of injury associated costs associated with injury; to reduce the risk of forest fires. This with OHV fire and debris-penetration 5. Studies, tests, or descriptions of requirement does not address other hazards. Alternatively, the Commission technologies or design changes that sources of fire hazards to riders and could continue to address the hazards address OHV fire and/or debris passengers of OHVs; and thus, the through the voluntary standards, and penetration hazard, and estimates of Commission views this requirement as continue to work to develop more costs associated with incorporation of ineffective to address OHV fire hazards effective voluntary standard the technologies and their impact on to consumers. requirements to address the identified wholesale or retail prices; In addition, the ANSI/OPEI B71.9– hazards, instead of issuing a mandatory 6. Information on ATV, ROV, and 2016 standard has a general requirement rule. However, as previously discussed, UTV expected lifespans and/or the that ‘‘all fuel system components shall the Commission preliminarily believes number of ATVs, ROVs, and UTVs in be located, routed, and contained in that the existing standards do not use; such a manner as to provide clearance adequately address the risk of injury 7. Information on the number of hours to heat-generating components and to associated with fire and debris- driven, miles driven, and/or other avoid damage from obstacles or penetration hazards in OHVs. The exposure metrics for OHVs; projections that may be encountered Commission has recalled OHVs for fire 8. Studies, test, or surveys performed during normal operation.’’ This and debris penetration hazards. The fire to analyze use of aftermarket products requirement lacks specificity, and thus, hazard recalls involved ATVs, ROVs, that address OHV fire and/or debris- the Commission views this requirement and UTVs. The debris-penetration penetration hazards, and their as ineffective. recalls involved ROVs. The Commission effectiveness at reducing OHV fire and/ The Commission does not believe the could continue to conduct recalls, both or debris-penetration hazard injuries, two preceding requirements adequately voluntary and mandatory, instead of and means by which their use by address the fire hazards associated with promulgating a mandatory rule. consumers could be increased; OHVs. The incident data and recall data However, recalls are not likely to be as 9. Information on the expected impact suggest OHV fires due to fire sources, effective at reducing the risk of injury as of technologies or design changes that such as electrical shorts, exhaust a mandatory standard. Recalls only address OHV fire and/or debris- overheat, and fuel leaks cannot be apply to an individual manufacturer penetration hazard injuries on addressed by the spark arrestor and product and do not extend to manufacturing costs or wholesale requirement or the general ANSI/OPEI similar products. Product recalls occur prices; B71.9–2016 statement regarding fuel only after consumers have purchased 10. Information on the potential system component location. None of the and used such products and have been impact of technologies or design aforementioned standards contain exposed to the hazard to be remedied by changes to address OHV fire and/or requirements to mitigate the debris the recall. Additionally, recalls can only debris-penetration hazards on consumer penetration hazard. Thus, the address products that are already on the utility. Commission believes additional market, and cannot prevent unsafe Comments and other submissions requirements are needed to address products from entering the market. should be identified by identified by OHV fire and debris penetration Finally, the Commission could issue Docket No. CPSC–2021–0014 and hazards. news releases warning consumers about submitted in accordance with the
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instructions provided above. All DHS Department of Homeland Security entry into, transiting through, or comments and other submissions must FR Federal Register anchoring within the safety zone is be received by July 12, 2021. NPRM Notice of proposed rulemaking prohibited unless authorized by the § Section Captain of the Port Sault Sainte Marie, U.S.C. United States Code Alberta A. Mills, or his or her designated representative. Secretary, U.S. Consumer Product Safety II. Background, Purpose, and Legal The Captain of the Port Sault Sainte Commission. Basis Marie or his or her designated [FR Doc. 2021–09881 Filed 5–10–21; 8:45 am] On March 21, 2018 the Coast Guard representative may be contacted via BILLING CODE 6355–01–P published an NPRM in the Federal VHF Channel 16 or telephone at 906– Register (83 FR 12307) entitled ‘‘Safety 635–3319. No vessel or person will be Zones; Recurring Safety Zones in permitted to enter the safety zone DEPARTMENT OF HOMELAND Captain of the Port Sault Sainte Marie without obtaining permission from the SECURITY Zone.’’ The NPRM proposed to amend COTP or a designated representative. Coast Guard 21 permanent safety zones for annually IV. Regulatory Analyses recurring events in the Captain of the We developed this proposed rule after 33 CFR Part 165 Port Sault Sainte Marie Zone under § 165.918. The NPRM was open for considering numerous statutes and [Docket Number USCG–2021–0272] comment for 30 days. Executive orders related to rulemaking. Below we summarize our analyses RIN 1625–AA00 On April 20, 2018 the Coast Guard published the Final Rule in the Federal based on a number of these statutes and Executive orders, and we discuss First Safety Zone; Recurring Safety Zone in Register (83 FR 12307), after receiving Amendment rights of protestors. Captain of the Port Sault Sainte Marie no comments on the NPRM. Since that Zone time there have been changes to the A. Regulatory Planning and Review events that were listed in the Final Rule. AGENCY: Coast Guard, DHS. Through this proposed rule the Coast Executive Orders 12866 and 13563 ACTION: Notice of proposed rulemaking. Guard seeks to update § 165.918 to direct agencies to assess the costs and reflect the current status of a recurring benefits of available regulatory SUMMARY: The Coast Guard is proposing marine event in the Captain of the Port alternatives and, if regulation is to amend its recurring safety zone Sault Sainte Marie Zone. necessary, to select regulatory regulations in the Captain of the Port The purpose of this rulemaking is to approaches that maximize net benefits. Sault Sainte Marie Zone. This proposed ensure the safety of vessels and the This NPRM has not been designated a rule would update one safety zone navigable waters within a 1000-yard ‘‘significant regulatory action,’’ under location and dates. This proposed radius of the fireworks barge before, Executive Order 12866. Accordingly, amendment action is necessary to during, and after the scheduled event. the NPRM has not been reviewed by the provide for the safety of life associated The Coast Guard is proposing this Office of Management and Budget with annual marine events and firework rulemaking under authority in 46 U.S.C. (OMB). displays on these navigable waters near 70034 (previously 33 U.S.C. 1231). This regulatory action determination Mackinaw City, MI. This proposed is based on the size, location, duration, rulemaking would prohibit persons and III. Discussion of Proposed Rule and time-of-day for each safety zone. vessels from being in the safety zone The COTP determines that an Vessel traffic will be able to safely unless authorized by the Captain of the amendment to the recurring safety zones transit around all safety zones which Port Sault Sainte Marie or a designated list as published in 33 CFR 165.918 is will impact small designated areas representative. We invite your necessary to: Update the location and within the COTP zone for short comments on this proposed rulemaking. date of three existing safety zones: durations of time. Moreover, the Coast DATES: Comments and related material Mackinaw Area Visitors Bureau Friday Guard will issue Broadcast Notice to must be received by the Coast Guard on Night Fireworks, Festivals of Fireworks Mariners via VHF channel 16 about the or before August 9, 2021. Celebration Fireworks, and Mackinac zone and the rule allows vessels to seek ADDRESSES: You may submit comments Island Fourth of July Celebration permission to enter the zone. Fireworks. The purpose of this rule is to identified by docket number USCG– B. Impact on Small Entities 2021–0272 using the Federal ensure safety of vessels and the navigable waters in the safety zone The Regulatory Flexibility Act of eRulemaking Portal at https:// 1980, 5 U.S.C. 601–612, as amended, www.regulations.gov. See the ‘‘Public before, during, and after the scheduled event and to improve the overall clarity requires Federal agencies to consider Participation and Request for the potential impact of regulations on Comments’’ portion of the and readability of the rule. The regulatory text we are proposing appears small entities during rulemaking. The SUPPLEMENTARY INFORMATION section for term ‘‘small entities’’ comprises small further instructions on submitting at the end of this document. The amendment to this proposed rule businesses, not-for-profit organizations comments. is necessary to ensure the safety of that are independently owned and FOR FURTHER INFORMATION CONTACT: If vessels and people during annual events operated and are not dominant in their you have questions about this proposed taking place on or near federally fields, and governmental jurisdictions rulemaking, call or email LT Deaven maintained waterways in the Captain of with populations of less than 50,000. Palenzuela, Chief of Waterways the Port Sault Sainte Marie Zone. The Coast Guard certifies under 5 U.S.C. Management, U.S. Coast Guard; Although this proposed rule will be in 605(b) that this proposed rule would not telephone 906–635–3223, email effect year-round, the specific safety have a significant economic impact on [email protected]. zones listed in Table 165.918 will only a substantial number of small entities. SUPPLEMENTARY INFORMATION: be enforced during a specified period of While some owners or operators of time. vessels intending to transit the safety I. Table of Abbreviations When a Notice of Enforcement for a zone may be small entities, for the CFR Code of Federal Regulations particular safety zone is published, reasons stated in section IV.A above,
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this proposed rule would not have a E. Unfunded Mandates Reform Act docket number for this rulemaking, significant economic impact on any The Unfunded Mandates Reform Act indicate the specific section of this vessel owner or operator. of 1995 (2 U.S.C. 1531–1538) requires document to which each comment If you think that your business, Federal agencies to assess the effects of applies, and provide a reason for each organization, or governmental their discretionary regulatory actions. In suggestion or recommendation. jurisdiction qualifies as a small entity particular, the Act addresses actions We encourage you to submit and that this rule would have a that may result in the expenditure by a comments through the Federal significant economic impact on it, State, local, or tribal government, in the eRulemaking Portal at https:// please submit a comment (see aggregate, or by the private sector of www.regulations.gov. If your material ADDRESSES) explaining why you think it $100,000,000 (adjusted for inflation) or cannot be submitted using https:// qualifies and how and to what degree more in any one year. Though this www.regulations.gov, call or email the this rule would economically affect it. proposed rule would not result in such person in the FOR FURTHER INFORMATION an expenditure, we do discuss the CONTACT section of this document for Under section 213(a) of the Small alternate instructions. Business Regulatory Enforcement effects of this rule elsewhere in this preamble. We accept anonymous comments. Fairness Act of 1996 (Pub. L. 104–121), Comments we post to https:// we want to assist small entities in F. Environment www.regulations.gov will include any understanding this proposed rule. If the We have analyzed this proposed rule personal information you have rule would affect your small business, under Department of Homeland provided. For more about privacy and organization, or governmental Security Directive 023–01, Rev. 1, submissions in response to this jurisdiction and you have questions associated implementing instructions, document, see DHS’s eRulemaking concerning its provisions or options for and Environmental Planning System of Records notice (85 FR 14226, compliance, please call or email the COMDTINST 5090.1 (series), which March 11, 2020). person listed in the FOR FURTHER guide the Coast Guard in complying Documents mentioned in this NPRM INFORMATION CONTACT section. The Coast with the National Environmental Policy as being available in the docket, and Guard will not retaliate against small Act of 1969 (42 U.S.C. 4321–4370f), and public comments, will be in our online entities that question or complain about have made a preliminary determination docket at https://www.regulations.gov this proposed rule or any policy or that this action is one of a category of and can be viewed by following that action of the Coast Guard. actions that do not individually or website’s instructions. We review all C. Collection of Information cumulatively have a significant effect on comments received, but we will only the human environment. This proposed post comments that address the topic of This proposed rule would not call for rule involves a safety zone lasting 1.5 the proposed rule. We may choose not a new collection of information under hours that would prohibit entry within to post off-topic, inappropriate, or the Paperwork Reduction Act of 1995 1000 yards of a fireworks barge. duplicate comments that we receive. If (44 U.S.C. 3501–3520). Normally such actions are categorically you go to the online docket and sign up D. Federalism and Indian Tribal excluded from further review under for email alerts, you will be notified Governments paragraph L60(a) of Appendix A, Table when comments are posted or a final 1 of DHS Instruction Manual 023–01– rule is published. 001–01, Rev. 1. A preliminary Record of A rule has implications for federalism List of Subjects in 33 CFR Part 165 under Executive Order 13132 Environmental Consideration (Federalism), if it has a substantial supporting this determination is Harbors, Marine safety, Navigation direct effect on the States, on the available in the docket. For instructions (water), Reporting and record keeping relationship between the National on locating the docket, see the requirements, Security measures, Government and the States, or on the ADDRESSES section of this preamble. We Waterways. distribution of power and seek any comments or information that For the reasons discussed in the responsibilities among the various may lead to the discovery of a preamble, the Coast Guard proposes to levels of government. We have analyzed significant environmental impact from amend 33 CFR part 165 as follows: this proposed rule under that Order and this proposed rule. PART 165—REGULATED NAVIGATION have determined that it is consistent G. Protest Activities with the fundamental federalism AREAS AND LIMITED ACCESS AREAS The Coast Guard respects the First principles and preemption requirements ■ 1. The authority citation for part 165 described in Executive Order 13132. Amendment rights of protesters. Protesters are asked to call or email the continues to read as follows: Also, this proposed rule does not have person listed in the FOR FURTHER Authority: 46 U.S.C. 70034, 70051; 33 CFR tribal implications under Executive INFORMATION CONTACT section to 1.05–1, 6.04–1, 6.04–6, and 160.5; Order 13175 (Consultation and coordinate protest activities so that your Department of Homeland Security Delegation Coordination with Indian Tribal message can be received without No. 0170.1. Governments) because it would not jeopardizing the safety or security of ■ 2. Revise § 165.918 to read as follows: have a substantial direct effect on one or people, places, or vessels. more Indian tribes, on the relationship § 165.918 Safety Zones; Recurring Safety between the Federal Government and V. Public Participation and Request for Zones in Captain of the Port Sault Sainte Indian tribes, or on the distribution of Comments Marie. power and responsibilities between the We view public participation as (a) Regulations. The following Federal Government and Indian tribes. essential to effective rulemaking, and regulations apply to the safety zones If you believe this proposed rule has will consider all comments and material listed in Table 165.918 of this section: implications for federalism or Indian received during the comment period. (1) In accordance with the general tribes, please call or email the person Your comment can help shape the regulations in § 165.23, entry into, listed in the FOR FURTHER INFORMATION outcome of this rulemaking. If you transiting, or anchoring within any of CONTACT section. submit a comment, please include the the safety zones listed in this section is
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prohibited unless authorized by the within a safety zone, all vessels shall unnecessary or impractical for the Captain of the Port Sault Sainte Marie, operate at the minimum speed purposes of safety or environmental or a designated representative. necessary to maintain a safe course. safety. (2) All persons and vessels must (b) Suspension of enforcement. If the (e) Contacting the Captain of the Port. comply with the instructions of the event concludes earlier than scheduled, While a safety zone listed in this section Coast Guard Captain of the Port Sault the Captain of the Port Sault Sainte is enforced, the Captain of the Port Sault Sainte Marie or a designated Marie or a designated representative Sainte Marie or a designated representative. Upon being hailed by the will issue a Broadcast Notice to representative may be contacted via Mariners notifying the public that U.S. Coast Guard by siren, radio, VHF Channel 16 or telephone at (906) enforcement of the respective safety flashing light or other means, the 635–3319. Vessel operators given zone is suspended. permission to enter or operate in a operator of a vessel shall proceed as (c) Exemption. Public vessels, defined directed. as any vessel owned or operated by the safety zone must comply with all (3) When a safety zone established by United States or by State or local directions given to them by the Captain this section is being enforced, all vessels governments, operating in an official of the Port Sault Sainte Marie, or a must obtain permission from the capacity are exempted from the designated representative. Captain of the Port Sault Sainte Marie requirements of this section. (f) Notice of enforcement. The Coast or a designated representative to enter, (d) Waiver. For any vessel, the Guard will provide advance notice of move within, or exit that safety zone. Captain of the Port Sault Sainte Marie the enforcement including specific date, Vessels and persons granted permission or a designated representative may, at time, and size of the safety zone being to enter the safety zone shall obey all his or her discretion, waive any of the enforced in Table 165.918 of this lawful orders or directions of the requirements of this section, upon section, by issuing a Notice of Captain of the Port Sault Sainte Marie finding that circumstances are such that Enforcement, as well as, a Broadcast or a designated representative. While application of this section is Notice to Mariners.
TABLE 165.918 [Datum NAD 1983]
Event Location Event date
(1) Mackinaw Area Visitors Bureau All U.S. navigable waters of the Straits of Mackinac within an approx- On or around July 4 and Friday Friday Night Fireworks; Macki- imate 1,000-foot radius from the fireworks launch site located in nights between late May and naw City, MI. position 45°46′28″ N, 084°43′12″ W. late October. (2) Jordan Valley Freedom Festival All U.S. navigable waters of Lake Charlevoix, near the City of East This event historically occurs in Fireworks; East Jordan, MI. Jordan, within the arc of a circle with an approximate 1,200-foot ra- mid to late June. dius from the fireworks launch site in position 45°09′18″ N, 085°07′48″ W. (3) Grand Marais Splash In; Grand All U.S. navigable waters within the southern portion of West Bay This event historically occurs mid Marais, MI. bound within the following coordinates: 46°40′22.08″ N to late June. 085°59′0.12″ W, 46°40′22.08″ N, 85°58′22.08″ W, and 46°40′14.64″ N, 85°58′19.56″ W, with the West Bay shoreline forming the South and West boundaries of the zone. (4) Festivals of Fireworks Celebra- All U.S. navigable waters of East Moran Bay within an approximate On or around July 4th and Satur- tion Fireworks; St. Ignace, MI. 1,000-foot radius from the fireworks launch site at the end of the day nights beginning late June Starline Mill Slip, centered in position: 45°52′24.62″ N, to mid October. 084°43′18.13″ W. (5) National Cherry Festival Air- All U.S. navigable waters of the West Arm of Grand Traverse Bay This event historically occurs late show Safety Zone; Traverse City, within a box bounded by the following coordinates: 44°46′51.6″ N June or early July. MI. 085°38′15.6″ W, 44°46′23.4″ N 085°38′22.8″ W, 44°46′30.00″ N 085°35′42.00″ W, and 44°46′2.34″ N 085°35′50.4″ W. (6) National Cherry Festival Finale All U.S. navigable waters of the West Arm of Grand Traverse Bay This event historically occurs late Fireworks; Traverse City, MI. within the arc of a circle with an approximate 1200-foot radius from June or early July. the fireworks launch site located on a barge in position 44°46′12″ N, 085°37′06″ W. (7) Canada Day Celebration Fire- All U.S. navigable waters of the St. Marys River within an approxi- On or around July 1. works; Sault Sainte Marie, MI. mate 1,400-foot radius from the fireworks launch site, centered ap- proximately 160 yards north of the U.S. Army Corp of Engineers Soo Locks North East Pier, at position 46°30′20.40″ N, 084°20′17.64″ W. (8) Marquette Fourth of July Cele- All U.S. navigable waters of Marquette Harbor within an approximate On or around July 4th. bration Fireworks; Marquette, MI. 1200-foot radius of the fireworks launch site, centered in position 46°32′23.0″ N, 087°23′13.1″ W. (9) Munising Fourth of July Cele- All U.S. navigable waters of South Bay within an approximate 800- On or around July 4th. bration Fireworks; Munising, MI. foot radius from the fireworks launch site at the end of the Munising City Dock, centered in position: 46°24′50.08″ N, 086°39′08.52″ W. (10) Sault Sainte Marie Fourth of All U.S. navigable waters of the St. Marys River within an approxi- On or around July 4th. July Celebration Fireworks; Sault mate 1000-foot radius around the eastern portion of the U.S. Army Sainte Marie, MI. Corp of Engineers Soo Locks North East Pier, centered in position: 46°30′19.66″ N, 084°20′31.61″ W.
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TABLE 165.918—Continued [Datum NAD 1983]
Event Location Event date
(11) Mackinac Island Fourth of July All U.S. navigable waters of Lake Huron within an approximate 750- On or around July 4th. Celebration Fireworks; Mackinac foot radius of the fireworks launch site, centered approximately Island, MI. 1,000 yards west of Round Island Passage Light, at position 45°50′30″ N, 084°36′30″ W. (12) Harbor Springs Fourth of July All U.S. navigable waters of Lake Michigan and Harbor Springs Har- On or around July 4th. Celebration Fireworks; Harbor bor within the arc of a circle with an approximate 1,200-foot radius Springs, MI. from the fireworks launch site located on a barge in position 45°25′30″ N, 084°59′06″ W. (13) Bay Harbor Yacht Club Fourth All U.S. navigable waters of Lake Michigan and Bay Harbor Lake On or around July 4th. of July Celebration Fireworks; within the arc of a circle with an approximate 750-foot radius from Petoskey, MI. the fireworks launch site located on a barge in position 45°21′50″ N, 085°01′37″ W. (14) Petoskey Fourth of July Cele- All U.S. navigable waters of Lake Michigan and Petoskey Harbor, in On or around July 4th. bration Fireworks; Petoskey, MI. the vicinity of Bay Front Park, within the arc of a circle with an ap- proximate 1,200-foot radius from the fireworks launch site located in position 45°22′40″ N, 084°57′30″ W. (15) Boyne City Fourth of July All U.S. navigable waters of Lake Charlevoix, in the vicinity of Vet- On or around July 4th. Celebration Fireworks; Boyne erans Park, within the arc of a circle with an approximate 1,400- City, MI. foot radius from the fireworks launch site located in position 45°13′30″ N, 085°01′40″ W. (16) Alpena Fourth of July Celebra- All U.S. navigable waters of Lake Huron within an approximate On or around July 4th. tion Fireworks; Alpena, MI. 1,000-foot radius of the fireworks launch site located near the end of Mason Street, South of State Avenue, at position 45°02′42″ N, 083°26′48″ W. (17) Traverse City Fourth of July All U.S. navigable waters of the West Arm of Grand Traverse Bay On or around July 4th. Celebration Fireworks; Traverse within the arc of a circle with an approximate 1,200-foot radius City, MI. from the fireworks launch site located on a barge in position 44°46′12″ N, 085°37′06″ W. (18) Charlevoix Venetian Festival All U.S. navigable waters of Lake Charlevoix, in the vicinity of Depot This event historically occurs in Friday Night Fireworks; Beach, within the arc of a circle with an approximate 1,200-foot ra- late July. Charlevoix, MI. dius from the fireworks launch site located on a barge in position 45°19′08″ N, 085°14′18″ W. (19) Charlevoix Venetian Saturday All U.S. navigable waters of Round Lake within the arc of a circle This event historically occurs in Night Fireworks; Charlevoix, MI. with an approximate 500-foot radius from the fireworks launch site late July. located on a barge in position 45°19′03″ N, 085°15′18″ W. (20) Elk Rapids Harbor Days Fire- All U.S. navigable waters within the arc of a circle with an approxi- This event historically occurs in works; Elk Rapids, MI. mate 750-foot radius from the fireworks launch site located on a early August. barge in position 44°54′6.95″ N, 085°25′3.11″ W. (21) Nautical City Fireworks; Rog- All U.S. navigable waters within the arc of a circle with an approxi- Early August. ers City. mate 750-foot radius from the fireworks launch site located near Harbor View Road in position 45°25′04.72″ N, 083°47′51.21″ W.
Dated: April 30, 2021. SUMMARY: We, the U.S. Fish and status reviews, we will issue 12-month A.R. Jones, Wildlife Service (Service), announce 90- petition findings, which will address Captain, U.S. Coast Guard, Captain of the day findings on three petitions to add whether or not the petitioned actions Port Sault Sainte Marie. species to the Lists of Endangered and are warranted, in accordance with the [FR Doc. 2021–09731 Filed 5–10–21; 8:45 am] Threatened Wildlife and Plants under Act. the Endangered Species Act of 1973, as BILLING CODE 9110–04–P DATES: These findings were made on amended (Act). Based on our review, we May 11, 2021. As we commence our find that the petitions present status reviews, we seek any new substantial scientific or commercial DEPARTMENT OF THE INTERIOR information concerning the status of, or information indicating that the threats to, the species or their habitats. petitioned actions may be warranted. Fish and Wildlife Service Any information we receive during the Therefore, with the publication of this course of our status reviews will be document, we announce that we plan to 50 CFR Part 17 considered. initiate status reviews of the Aztec gilia [FF09E21000 FXES11110900000212] (Aliciella formosa), Clover’s cactus ADDRESSES: (Sclerocactus cloverae), and Suckley’s Supporting documents: Summaries of Endangered and Threatened Wildlife cuckoo bumble bee (Bombus suckleyi) to the basis for the petition findings and Plants; 90-Day Findings for Three determine whether the petitioned contained in this document are Species actions are warranted. To ensure that available on http://www.regulations.gov AGENCY: Fish and Wildlife Service, the status reviews are comprehensive, under the appropriate docket number Interior. we are requesting scientific and (see table under SUPPLEMENTARY commercial data and other information INFORMATION). In addition, this ACTION: Notice of petition findings and regarding the species and factors that supporting information is available by initiation of status reviews. may affect their status. Based on the contacting the appropriate person, as
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specified in FOR FURTHER INFORMATION ‘‘Search’’ button. After finding the (2) By hard copy: Submit by U.S. mail CONTACT. correct document, you may submit to: Public Comments Processing, Attn: Status reviews: If you have new information by clicking on ‘‘Comment [Insert appropriate docket number; see scientific or commercial data or other Now!’’ If your information will fit in the table under SUPPLEMENTARY information concerning the status of, or provided comment box, please use this INFORMATION], U.S. Fish and Wildlife threats to, the species for which we are feature of http://www.regulations.gov, as Service, MS: PRB/3W, 5275 Leesburg initiating status reviews, please provide it is most compatible with our Pike, Falls Church, VA 22041–3803. those data or information by one of the information review procedures. If you We request that you send information following methods: only by the methods described above. (1) Electronically: Go to the Federal attach your information as a separate We will post all information we receive eRulemaking Portal: http:// document, our preferred file format is on http://www.regulations.gov. This www.regulations.gov. In the Search box, Microsoft Word. If you attach multiple generally means that we will post any enter the appropriate docket number comments (such as form letters), our personal information you provide us. (see table under SUPPLEMENTARY preferred format is a spreadsheet in INFORMATION). Then, click on the Microsoft Excel. FOR FURTHER INFORMATION CONTACT:
Species common Contact person name
Aztec gilia ...... Shawn Sartorius, Field Supervisor, New Mexico Ecological Services Field Office, 505–761–4781; shawn_ [email protected]. Clover’s cactus ...... Shawn Sartorius, Field Supervisor, New Mexico Ecological Services Field Office, 505–761–4781; shawn_ [email protected]. Suckley’s cuckoo bumble bee ...... Sarah Conn, Project Leader, Fairbanks Fish and Wildlife Conservation Office, 907–456–0499; sarah_ [email protected].
If you use a telecommunications petition may be warranted (50 CFR ‘‘threat’’ may encompass—either device for the deaf, please call the 424.14(h)(1)(i)). together or separately—the source of the Federal Relay Service at 800–877–8339. A species may be determined to be an action or condition, or the action or SUPPLEMENTARY INFORMATION: endangered species or a threatened condition itself. However, the mere species because of one or more of the identification of any threat(s) may not Background five factors described in section 4(a)(1) be sufficient to compel a finding that the Section 4 of the Act (16 U.S.C. 1533) of the Act (16 U.S.C. 1533(a)(1)). The information in the petition is substantial and its implementing regulations in title five factors are: information indicating that the (a) The present or threatened 50 of the Code of Federal Regulations petitioned action may be warranted. The destruction, modification, or (50 CFR part 424) set forth the information presented in the petition curtailment of its habitat or range procedures for adding species to, must include evidence sufficient to (Factor A); suggest that these threats may be removing species from, or reclassifying (b) Overutilization for commercial, species on the Federal Lists of affecting the species to the point that the recreational, scientific, or educational species may meet the definition of an Endangered and Threatened Wildlife purposes (Factor B); and Plants (Lists or List) in 50 CFR part endangered species or threatened (c) Disease or predation (Factor C); species under the Act. 17. Section 4(b)(3)(A) of the Act requires (d) The inadequacy of existing that we make a finding on whether a regulatory mechanisms (Factor D); and If we find that a petition presents petition to add a species to the List (i.e., (e) Other natural or manmade factors such information, our subsequent status ‘‘list’’ a species), remove a species from affecting its continued existence (Factor review will evaluate all identified the List (i.e., ‘‘delist’’ a species), or E). threats by considering the individual-, change a listed species’ status from These factors represent broad population-, and species-level effects endangered to threatened or from categories of natural or human-caused and the expected response by the threatened to endangered (i.e., actions or conditions that could have an species. We will evaluate individual ‘‘reclassify’’ a species) presents effect on a species’ continued existence. threats and their expected effects on the substantial scientific or commercial In evaluating these actions and species, then analyze the cumulative information indicating that the conditions, we look for those that may effect of the threats on the species as a petitioned action may be warranted. To have a negative effect on individuals of whole. We also consider the cumulative the maximum extent practicable, we are the species, as well as other actions or effect of the threats in light of those to make this finding within 90 days of conditions that may ameliorate any actions and conditions that are expected our receipt of the petition and publish negative effects or may have positive to have positive effects on the species— the finding promptly in the Federal effects. such as any existing regulatory Register. We use the term ‘‘threat’’ to refer in mechanisms or conservation efforts that Our regulations establish that general to actions or conditions that are may ameliorate threats. It is only after substantial scientific or commercial known to, or are reasonably likely to, conducting this cumulative analysis of information with regard to a 90-day affect individuals of a species threats and the actions that may petition finding refers to credible negatively. The term ‘‘threat’’ includes ameliorate them, and the expected effect scientific or commercial information in actions or conditions that have a direct on the species now and in the support of the petition’s claims such impact on individuals (direct impacts), foreseeable future, that we can that a reasonable person conducting an as well as those that affect individuals determine whether the species meets impartial scientific review would through alteration of their habitat or the definition of an endangered species conclude that the action proposed in the required resources (stressors). The term or threatened species under the Act. If
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we find that a petition presents complete a status review in accordance Summaries of Petition Findings substantial scientific or commercial with our prioritization methodology for The petition findings contained in information indicating that the 12-month findings (81 FR 49248; July this document are listed in the table petitioned action may be warranted, the 27, 2016). below, and the basis for each finding, Act requires that we promptly along with supporting information, is commence a review of the status of the available on http://www.regulations.gov species, and we will subsequently under the appropriate docket number.
TABLE—STATUS REVIEWS
Common name Docket No. URL to docket on http://www.regulations.gov
Aztec gilia ...... FWS–R2–ES–2020–0095 ...... https://www.regulations.gov/docket?D=FWS-R2-ES-2020-0095. Clover’s cactus ...... FWS–R2–ES–2020–0096 ...... https://www.regulations.gov/docket?D=FWS-R2-ES-2020-0096. Suckley’s cuckoo bumble bee ...... FWS–R7–ES–2020–0097 ...... https://www.regulations.gov/docket?D=FWS-R7-ES-2020-0097.
Evaluation of a Petition To List Aztec Previous Federal Actions Montana, North Dakota, South Dakota, Gilia On June 11, 2020, we received a and New York; Canada: British Columbia, Yukon, Northwest Species and Range petition dated May 29, 2020, from WildEarth Guardians requesting that the Territories, Alberta, Saskatchewan, Aztec gilia (Aliciella formosa); New Clover’s cactus be listed as an Manitoba, Ontario, Quebec, Nova Mexico. endangered or threatened species and Scotia, and Newfoundland and Labrador. Previous Federal Actions critical habitat be designated for this species under the Act. The petition Previous Federal Actions On June 11, 2020, we received a clearly identified itself as such and On April 23, 2020, we received a petition dated May 29, 2020, from included the requisite identification petition dated April 23, 2020, from the WildEarth Guardians requesting that the information for the petitioner, required Center for Biological Diversity, Aztec gilia be listed as an endangered or at 50 CFR 424.14(c). This finding requesting that Suckley’s cuckoo threatened species and critical habitat addresses the petition. bumble bee be listed as an endangered be designated for this species under the Finding species and critical habitat be Act. The petition clearly identified itself Based on our review of the petition designated for this species under the as such and included the requisite Act. The petition clearly identified itself identification information for the and sources cited in the petition, we find that the petition presents as such and included the requisite petitioner, required at 50 CFR 424.14(c). identification information for the This finding addresses the petition. substantial scientific or commercial information indicating the petitioned petitioner, required at 50 CFR 424.14(c). This finding addresses the petition. Finding action may be warranted for the Clover’s Based on our review of the petition cactus due to potential threats Finding and sources cited in the petition, we associated with the following: Oil and Based on our review of the petition find that the petition presents gas development, off-road vehicle use, and sources cited in the petition, we substantial scientific or commercial and livestock grazing (Factor A); illegal find that the petition presents information indicating the petitioned collection (Factor B); predation (Factor substantial scientific or commercial action may be warranted for the Aztec C); and climate change (Factor E). The information indicating the petitioned gilia due to potential threats associated petition also presented substantial action may be warranted for the with the following: Oil and gas information that existing regulatory Suckley’s cuckoo bumble bee due to development, off-road vehicle use, and mechanisms may be inadequate to potential threats associated with the livestock grazing (Factor A); predation address impacts of these threats (Factor following: Livestock grazing and habitat (Factor C); and climate change (Factor D). We will fully evaluate these loss from fire management (Factor A); E). The petition also presented potential threats during our 12-month disease or loss of hosts and potential substantial information that existing status review, pursuant to the Act’s host transmission (Factor C); pesticide regulatory mechanisms may be requirement to review the best available use for bark beetle management, inadequate to address impacts of these scientific information when making that agricultural intensification, effects of threats (Factor D). finding. climate change, loss of genetic diversity, The basis for our finding on this The basis for our finding on this and synergistic effects (Factor E). The petition, and other information petition also presented substantial petition, and other information regarding our review of the petition, can regarding our review of the petition, can information that existing regulatory be found as an appendix at http:// mechanisms may be inadequate to be found as an appendix at http:// www.regulations.gov under Docket No. www.regulations.gov under Docket No. address impacts of these threats (Factor FWS–R2–ES–2020–0096 under the D). We will fully evaluate these FWS–R2–ES–2020–0095 under the Supporting Documents section. Supporting Documents section. potential threats during our 12-month Evaluation of a Petition To List status review, pursuant to the Act’s Evaluation of a Petition To List Clover’s Suckley’s Cuckoo Bumble Bee requirement to review the best available Cactus scientific information when making that Species and Range Species and Range finding. Suckley’s cuckoo bumble bee The basis for our finding on this Clover’s cactus (Sclerocactus (Bombus suckleyi); Alaska, California, petition, and other information cloverae); New Mexico, Colorado. Oregon, Washington, Idaho, Colorado, regarding our review of the petition, can
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be found as an appendix at http:// initiating status reviews of these species Services Program, U.S. Fish and www.regulations.gov under Docket No. to determine whether the actions are Wildlife Service. FWS–R7–ES–2020–0097 under the warranted under the Act. At the Authority Supporting Documents section. conclusion of the status reviews, we Conclusion will issue findings, in accordance with The authority for these actions is the section 4(b)(3)(B) of the Act, as to On the basis of our evaluation of the Endangered Species Act of 1973, as whether the petitioned actions are not information presented in the petitions amended (16 U.S.C. 1531 et seq.). warranted, warranted, or warranted but under sections 4(b)(3)(A) and precluded by pending proposals to Martha Williams, 4(b)(3)(D)(i) of the Act, we have Principal Deputy Director, Exercising the determined that the petitions determine whether any species is an endangered species or a threatened Delegated Authority of the Director, U.S. Fish summarized above for Aztec gilia, and Wildlife Service. Clover’s cactus, and Suckley’s cuckoo species. [FR Doc. 2021–09707 Filed 5–10–21; 8:45 am] bumble bee present substantial Authors scientific or commercial information BILLING CODE 4333–15–P indicating that the petitioned actions The primary authors of this document may be warranted. We are, therefore, are staff members of the Ecological
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Notices Federal Register Vol. 86, No. 89
Tuesday, May 11, 2021
This section of the FEDERAL REGISTER Metro Center II, 1320 Braddock Place, of this program. The American Rescue contains documents other than rules or Alexandria, VA 22314, 703–305–2340. Plan Act of 2021 (ARPA, Pub. L. 117– proposed rules that are applicable to the SUPPLEMENTARY INFORMATION: Comments 2) enacted on March 11 made several public. Notices of hearings and investigations, are invited on: (a) Whether the proposed significant changes to P–EBT. Among committee meetings, agency decisions and these changes is the extension of P–EBT rulings, delegations of authority, filing of collection of information is necessary petitions and applications and agency for the proper performance of the to the summer of 2021, school year statements of organization and functions are functions of the agency, including 2021–2022, and summer 2022. examples of documents appearing in this whether the information shall have Per Public Law 116–159, and in order section. practical utility; (b) the accuracy of the to operate P–EBT for Federal Fiscal Year agency’s estimate of the burden of the 2021 and summer 2021, each State must proposed collection of information, submit a State plan to FNS Regional DEPARTMENT OF AGRICULTURE including the validity of the Office for approval. Once approved, in methodology and assumptions that were addition to administering P–EBT, each Food and Nutrition Service used; (c) ways to enhance the quality, State SNAP agency will also be required to provide monthly reports via the FNS– Agency Information Collection utility, and clarity of the information to be collected; and (d) ways to minimize 292B (Disaster Relief) to the FNS Activities: Pandemic Electronic Regional Office, regarding the number of Benefits Transfer the burden of the collection of information on those who are to eligible children receiving P–EBT AGENCY: Food and Nutrition Service respond, including use of appropriate benefits, number of households (FNS), USDA. automated, electronic, mechanical, or receiving such benefits, and the total value of the benefits. The State is ACTION: Notice. other technological collection techniques or other forms of information expected to provide data that: • SUMMARY: In accordance with the technology. Differentiates between non-SNAP Paperwork Reduction Act of 1995, this Title: Pandemic EBT. and current SNAP households receiving notice invites the general public and Form Number: FNS–292B, FNS–388, P–EBT, • other public agencies to comment on FNS–46, FNS–366A, and SF–425 (under within SNAP households, this proposed information collection. OMB Control Number 0584–0594) is differentiate between base SNAP This is a revision of a currently associated with this collection. benefits and P–EBT benefits. approved information collection for OMB Number: 0584–0660. Each State is also expected to Pandemic Electronic Benefits Transfer Expiration Date: August 31, 2021. separately identify P–EBT participation (P–EBT) for the reporting burden Type of Request: Revision of a and benefit issuance on the FNS–388 associated with administering P–EBT. currently approved collection. (State Issuance and Participation Abstract: The Families First Estimates) and FNS–46 (Issuance DATES: Written comments must be Coronavirus Response Act of 2020 Reconciliation Report) reports. There is received on or before July 12, 2021. (FFCRA, Pub. L. 116–127), enacted no additional burden associated with ADDRESSES: Comments may be March 18, 2020, included a general this requirement, as the States already submitted via email to Ed Harper, provision that allows the Department of report participation data to FNS on the Director, Office of Program Integrity, Agriculture to approve state plans to FNS–388 and FNS–46 on a monthly Food and Nutrition Service, U.S. provide temporary emergency basis. Department of Agriculture, Braddock Supplemental Nutrition Assistance FNS will provide funding to each Metro Center II, 1320 Braddock Place, Program (SNAP) assistance to State’s SNAP State agency for 100% of Alexandria, VA 22314, 703–305–2340. households with children who would P–EBT-related administrative costs. Comments may also be submitted via otherwise receive free or reduced-price Such funding will be available for the email to [email protected]. meals if not for their schools being necessary, allowable, and reasonable Comments will also be accepted through closed due to the COVID–19 emergency State agency costs associated with the the Federal eRulemaking Portal. Go to (also known as Pandemic EBT, or P– administration of P–EBT incurred http://www.regulations.gov, and follow EBT). The authority for P–EBT under during FY 2021. This includes the online instructions for submitting FFCRA expired on September 30, 2020. administrative costs associated with the comments electronically. The Continuing Appropriations Act, issuance of retroactive FY 2020 benefits All responses to this notice will be 2021 and Other Extensions Act (Pub. L. incurred in FY 2021. States interested in summarized and included in the request 116–159), enacted October 1, 2020 the 100% funding will be expected to for Office of Management and Budget extended the authority for P–EBT submit a P–EBT administrative cost approval. All comments will be a matter through September 30, 2021. This plan for the intended period of of public record. legislation also expanded the program to operations for USDA approval using the FOR FURTHER INFORMATION CONTACT: include child care facilities affected by FNS–366A (Program and Budget Requests for additional information or the closures and schools with reduced Summary Statement: Budget copies of this information collection attendance hours. The Consolidated Projection). During the period of should be directed via email to Appropriations Act, 2021 (Pub. L. 116– performance of the 100% funding, the [email protected]. 260), enacted December 27, 2020, SNAP State agency will be expected to Requests can also be directed to Ed provided additional eligibility aggregate obligation and outlay data Harper, U.S. Department of Agriculture requirements and State flexibilities for from all State agencies utilizing the Food and Nutrition Service, Braddock both school and child care components 100% funding and report quarterly to
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USDA using a P–EBT specific instance issue benefits to eligible households. Per estimates the new burden at 3,684,928 of the SF–425 (Federal Financial Public Law 117–2, during the summer burden hours, which is an increase of Report). months all children eligible for free or approximately 2,991,831 hours. The current burden for a State agency reduced price meals that are enrolled in The currently approved total annual to submit FNS–292B, FNS–388, FNS–46, schools that participate in the National responses are 3,320,954; we are FNS–366A and SF–425 reports is School Lunch Program are considered requesting 10,379,211, which is an currently captured under the eligible for P–EBT. This requires all increase of 7,058,257 total annual information collection for the Food schools to provide the State agency with responses. Programs Reporting System (FPRS), a list of children who have been Affected Public: State Government, OMB Control Number 0584–0594 determined eligible for free and reduced Schools, Individual/Households. (expiration date 7/31/23). The Food price meals. Programs Reporting System is the FNS will provide funding to each Respondents include State agencies Federal system State agencies use to State’s SNAP State agency for 100% of (including District of Columbia, and report FNS Program data to FNS. P–EBT-related school level Territories), schools, and participants. Therefore, this information collection administrative costs. Such funding will Estimated Number of Respondents: estimates burden hours associated with be available for the necessary, The total estimated number of P–EBT that are above the currently allowable, and reasonable State agency respondents is 675,820. This includes: approved hours in 0584–0594 for forms costs associated with the administration State agencies (53), schools (94,767), FNS–292B, FNS–366A, and SF–425 for of P–EBT incurred during FY 2021. In Individuals/Households (581,000 normal Program operations. order to receive this funding, schools participants). In order to determine eligibility and must report to their State agency on the Estimated Number of Responses per benefit levels for P–EBT, State agencies school level costs incurred to administer Respondent: The total estimated number must collect data from schools. To P–EBT. of responses per respondent for this administer P–EBT during the school Eligibility and benefit levels for the collection is 15. year, schools must provide the State child care portion of P–EBT are Estimated Total Annual Responses: with predominant learning model (fully determined without needing to collect The total estimated number of annual virtual, hybrid, or fully in-person) used additional information. State agencies responses for this collection is by the school for each month of the use SNAP enrollment status data to 10,379,211. school year. States generally are determine eligibility and school Estimated Time per Response: The collecting this information every couple learning model data they are already estimated time per response averages of months during the school year. This collecting to administer the schools approximately 21 minutes (0.355 hours) information is used to determine the component of P–EBT to determine for all participants. benefit levels children are eligible to benefit levels. receive. Schools that operated This submission seeks OMB approval Estimated Total Annual Burden on predominantly fully virtual or hybrid of this revision to an existing collection Respondents: The estimated total learning models must also provide a list (OMB Control # 0584–0660, expiration annual burden on respondents for this of students that have been determined 8/31/2021) for activities associated with collection is 3,684,928 hours. eligible for free and reduced price administering P–EBT. See the table below for the estimated meals. States use these two pieces of The currently approved burden for total annual burden for each type of information reported by the school to this collection is 693,098 hours. FNS respondent.
Responses Respondent category Instruments Form Number of Frequency Total annual per Hours per Annual burden respondents of response responses respondent response (hours)
Individuals/Households P–EBT Application N/A ...... 581,000 1 581,000 1 0.166666667 96,833.33 Submission (Schools Only). Schools ...... Student Eligibility Data N/A ...... 94,767 4 379,068 4 1.5 568,602.00 (School Year). Student Eligibility Data N/A ...... 94,767 1 94,767 1 0.5 47,383.50 (Summer). P–EBT Local Level N/A ...... 94,767 1 94,767 1 1 94,767.00 Administrative Cost Reporting to State.
Schools Subtotal ...... 94,767 2 568,602 6 1 710,752.50 State Agencies ...... State Plan Submis- N/A ...... 53 1 53 1 1 53.00 sion—P–EBT (Schools + Child Care For School Year). State Plan Submis- N/A ...... 53 1 53 1 1 53.00 sion—P–EBT (Schools + Child Care For Summer). P–EBT Household Eli- N/A ...... 53 1 8,660,000 163,396 0.25 2,165,000.00 gibility Determina- tion (Schools + Child Care). Monthly P–EBT Re- FNS–292B 53 12 636 12 1 636.00 porting to FNS (Schools + Child Care).
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Responses Respondent category Instruments Form Number of Frequency Total annual per Hours per Annual burden respondents of response responses respondent response (hours)
P–EBT Administrative FNS–366A 53 1 53 1 12 636.00 Cost Plan (100% funding) (Schools + Child Care). P–EBT Quarterly Ad- SF–425 .... 53 4 212 4 1 212.00 ministrative Cost Report (100% fund- ing) (Schools + Child Care).
SA Subtotal ...... 53 163,415.226 8,661,007 163,415 0.250 2,166,590.00 Grand Total ...... 675,820 15.358 10,379,211 15 0.355 3,684,928.33
Cynthia Long, producers and exporters of non- For a full description of the scope of the Acting Administrator, Food and Nutrition refillable cylinders from China.1 orders, see the appendix to this notice. Service. On March 17, 2021 and March 22, Amendment to AD Final Determination [FR Doc. 2021–09916 Filed 5–10–21; 8:45 am] 2021, Commerce received allegations BILLING CODE 3410–30–P that Commerce made ministerial errors A ministerial error is defined in 19 in the AD Final Determination from CFR 351.224(f) as ‘‘an error in addition, Hangzhou JM Chemical Co., Ltd. subtraction, or other arithmetic DEPARTMENT OF COMMERCE (Hangzhou JM), Ningbo Eagle function, clerical error resulting from Machinery & Technology Co., Ltd. inaccurate copying, duplication, or the International Trade Administration (Ningbo Eagle), and Wuyi Xilinde like, and any other similar type of unintentional error which the Secretary [A–570–126, C–570–127] Machinery Manufacture Co., Ltd. (Wuyi Xilinde).2 After reviewing the considers ministerial.’’ Pursuant to 19 CFR 351.224(f), and as explained further Certain Non-Refillable Steel Cylinders allegations, we determine that the AD in the Ministerial Error Memorandum,4 From the People’s Republic of China: Final Determination included certain Commerce is amending the AD Final Amended Final Antidumping Duty ministerial errors and, therefore, we Determination to reflect the correction Determination and Antidumping Duty made appropriate changes, as described of ministerial errors made in the and Countervailing Duty Orders below in the ‘‘Amendment to AD Final Determination’’ section of this notice. calculations performed for the AD Final AGENCY: Enforcement and Compliance, On May 5, 2021, pursuant to sections Determination, as alleged by Ningbo International Trade Administration, 705(d) and 735(d) of the Act, the ITC Eagle, and Wuyi Xilinde. Correction of Department of Commerce. notified Commerce of its final these errors, as well as a related error SUMMARY: Based on affirmative final affirmative determinations that an identified by Commerce, resulted in determinations by the Department of industry in the United States is changes to the final estimated weighted- Commerce (Commerce) and the materially injured by reason of LTFV average dumping margin calculated for International Trade Commission (ITC), imports and subsidized imports of non- Wuyi Xilinde, the rate applicable to the Commerce is issuing antidumping duty refillable cylinders from China, within separate rate companies, including (AD) and countervailing duty (CVD) the meaning of sections 705(b)(1)(A)(i) Ningbo Eagle, and changes the orders on certain non-refillable steel 3 companies’ corresponding cash deposit and 735(b)(1)(A)(i) of the Act. 5 cylinders (non-refillable cylinders) from rates. Further, Commerce is amending the People’s Republic of China (China). Scope of the Orders the AD Final Determination to reflect In addition, Commerce is amending its The products covered by these orders the correction of a clerical error made in AD final determination to correct for are non-refillable cylinders from China. identifying the incorrect producer certain ministerial errors. 4 See Memorandum, ‘‘Certain Non-Refillable Steel 1 See Non-Refillable Steel Cylinders from the DATES: Applicable May 11, 2021. Cylinders from the People’s Republic of China: People’s Republic of China: Final Affirmative Allegations of Ministerial Errors in the Final FOR FURTHER INFORMATION CONTACT: Determination of Sales at Less Than Fair Value, 86 Affirmative Determination of Sales at Less Than FR 15188 (March 22, 2021) (AD Final Katherine Sliney at (202) 482–2437 (AD) Fair Value,’’ dated April 15, 2021 (Ministerial Error and Kristen Johnson at 202–482–4793 Determination); see also Certain Non-Refillable Memorandum). Steel Cylinders from the People’s Republic of China: 5 See Memorandum, ‘‘Antidumping Duty (CVD), AD/CVD Operations, Final Affirmative Countervailing Duty Investigation of Certain Non-Refillable Steel Enforcement and Compliance, U.S. Determination, 86 FR 15192 (March 22, 2021) (CVD Cylinders from the People’s Republic of China: Final Determination). Department of Commerce, 1401 Amended Final Results Margin Calculation for 2 Constitution Avenue NW, Washington, See Hangzhou JM’s Letter, ‘‘Hangzhou JM Wuyi Xilinde Machinery Manufacture Co., Ltd.,’’ DC 20230. Clerical Error Comments in the Final Determination dated concurrently with this notice; see also including Customs Instructions: Antidumping Duty Memorandum, ‘‘Non-Refillable Steel Cylinders from SUPPLEMENTARY INFORMATION: Investigation of Certain Non-Refillable Cylinders the People’s Republic of China: Amended Double from the People’s Republic of China (A–570–126),’’ Background Remedies and Export Subsidy Offset Calculation,’’ dated March 17, 2021; see also Ningbo Eagle’s dated April 15, 2021, and Memorandum, ‘‘Non- In accordance with sections 705(d) Letter, ‘‘Certain Non-Refillable Steel Cylinders from Refillable Steel Cylinders from the People’s the People’s Republic of China: Ministerial Error and 735(d) of the Tariff Act of 1930, as Republic of China: Amended Double Remedies and Comment,’’ dated March 22, 2021; and Wuyi Export Subsidy Offset Calculation Excel File,’’ amended (the Act), on March 22, 2021, Xilinde’s Letter, ‘‘Certain Non-Refillable Steel dated April 21, 2021 (both of these submissions Commerce published its affirmative Cylinders from the People’s Republic of China: contained a clerical error with respect to the China- final determination of sales at less than Allegation of Ministerial Error in the Final wide rate, which remains unchanged from the Final Determination,’’ dated March 22, 2021. fair value (LTFV) and its affirmative Determination, and were later corrected); and 3 See ITC’s Letter, ‘‘Notification of ITC Final Memorandum, ‘‘Amended Double Remedies and final determination that countervailable Determinations,’’ dated May 5, 2021 (ITC Export Subsidy Offset Calculation, dated April 23, subsidies are being provided to Notification Letter). 2021.
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corresponding to the exporter Hangzhou Therefore, in accordance with section in accordance with section 735(c)(1)(B) JM, and identifies the correct producer, 736(a)(1) of the Act, Commerce intends of the Act, Commerce intends to instruct Wuyi Xilinde, in the combination rates to direct U.S. Customs and Border CBP to continue to suspend liquidation for subject merchandise exported by Protection (CBP) to assess, upon further on all relevant entries of non-refillable Hangzhou JM listed below. instruction by Commerce, antidumping cylinders from China. These duties equal to the amount by which the instructions suspending liquidation will AD Order normal value of the merchandise remain in effect until further notice. exceeds the export price (or constructed As stated above, on May 5, 2021, in export price) of the merchandise for all Commerce also intends to instruct accordance with section 735(d) of the relevant entries of non-refillable CBP to require cash deposits equal to Act, the ITC notified Commerce of its cylinders from China. Antidumping the estimated weighted-average final determination that an industry in duties will be assessed on unliquidated dumping margins indicated in the table the United States is materially injured entries of non-refillable cylinders from below, adjusted by the relevant subsidy within the meaning of section China entered, or withdrawn from offsets. Accordingly, effective on the 735(b)(1)(A)(i) of the Act by reason of warehouse, for consumption on or after date of publication in the Federal imports of non-refillable cylinders from October 30, 2020, the date of Register of the notice of the ITC’s final China that are sold in the United States publication of the AD Preliminary affirmative injury determination, CBP 6 at LTFV. Therefore, in accordance with Determination, but will not include must require, at the same time as section 735(c)(2) of the Act, we are entries occurring after the expiration of importers would normally deposit issuing this AD order. Because the ITC the provisional measures period and estimated customs duties on subject determined that imports of non- before publication of the ITC’s final merchandise, a cash deposit equal to the refillable cylinders from China are injury determination, as further rates listed in the table below. materially injuring a U.S. industry, described below.7 unliquidated entries of such Estimated Weighted-Average Dumping merchandise from China entered, or Continuation of Suspension of Margins withdrawn from warehouse, for Liquidation—AD consumption are subject to the Except as noted in the ‘‘Provisional The estimated weighted-average assessment of antidumping duties. Measures—AD’’ section of this notice, dumping margins are as follows:
Estimated weighted- Cash deposit average rate (adjusted Exporter Producer dumping for subsidy margin offsets) (percent) (percent)
Sanjiang Kai Yuan Co. Ltd ...... Sanjiang Kai Yuan Co. Ltd ...... 93.09 76.82 Wuyi Xilinde Machinery Manufacture Co., Ltd ...... Wuyi Xilinde Machinery Manufacture Co., Ltd ...... 74.32 63.55 Hangzhou JM Chemical Co., Ltd ...... Wuyi Xilinde Machinery Manufacture Co., Ltd ...... 79.98 67.61 Ningbo Eagle Machinery & Technology Co., Ltd ...... Jinhua Sinoblue Machinery Manufacturing Co., Ltd .... 79.98 67.76 Zhejiang Kin-Shine Technology Co., Ltd ...... Zhejiang Kin-Shine Technology Co., Ltd ...... 79.98 67.61 T.T. International Co. Ltd ...... Wuyi Xilinde Machinery Manufacture Co., Ltd ...... 79.98 67.61 ICOOL International Commerce Limited ...... ICOOL International Commerce Limited ...... 79.98 67.61 China-Wide Entity ...... China-Wide Entity ...... 112.21 101.67
Provisional Measures—AD The extended provisional measures deposits will resume on the date of period, beginning on the date of publication of the ITC’s final Section 733(d) of the Act states that publication of the preliminary determination in the Federal Register. suspension of liquidation pursuant to an determination, ended on April 27, 2021. CVD Order affirmative preliminary determination Therefore, in accordance with section may not remain in effect for more than 733(d) of the Act and our practice, As stated above, on May 5, 2021, in four months, except where exporters Commerce will instruct CBP to accordance with section 705(d) of the representing a significant proportion of terminate the suspension of liquidation Act, the ITC notified Commerce of its exports of the subject merchandise and to liquidate, without regard to final determination that the industry in request that Commerce extend the four- antidumping duties, unliquidated the United States is materially injured month period to no more than six entries of non-refillable cylinders from within the meaning of section months. At the request of exporters that China entered, or withdrawn from 705(b)(1)(A)(i) of the Act by reason of account for a significant proportion of warehouse, for consumption after April subsidized imports of non-refillable non-refillable cylinders from China, 27, 2021, the final day on which the cylinders from China.9 Therefore, in Commerce extended the four-month provisional measures were in effect, accordance with section 705(c)(2) of the period to six months in this AD until and through the day preceding the Act, Commerce is issuing this CVD investigation. Commerce published the date of publication of the ITC’s final order. Because the ITC determined that AD Preliminary Determination in this affirmative injury determination in the imports of non-refillable cylinders from investigation on October 30, 2020.8 Federal Register. Suspension of China are materially injuring a U.S. liquidation and the collection of cash industry, unliquidated entries of subject
6 See ITC Notification Letter. Fair Value, Postponement of the Final 8 See AD Preliminary Determination. 7 See Certain Non-Refillable Steel Cylinders from Determination and Extension of Provisional 9 See ITC Notification Letter. the People’s Republic of China: Preliminary Measures, 85 FR 68852 (October 30, 2020) (AD Affirmative Determination of Sales at Less Than Preliminary Determination).
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merchandise from China entered, or Subsidy requirements of, or produced to meet the withdrawn from warehouse, for Company rate requirements of, U.S. Department of consumption, are subject to the (percent) Transportation (USDOT) Specification 39, assessment of countervailing duties. TransportCanada Specification 39M, or Jinhua Sinoblue Machinery Man- United Nations pressure receptacle standard Therefore, in accordance with section ufacturing Co., Ltd ...... 186.18 ISO 11118 and otherwise meeting the 706(a) of the Act, Commerce intends to Ningbo Runkey CGA Cylinders description provided below (non-refillable direct CBP to assess, upon further Co., Ltd ...... 186.18 steel cylinders). The subject non-refillable instruction by Commerce, Ninhua Group Co., Ltd ...... 186.18 steel cylinders are portable and range from countervailing duties for all relevant Shanghai Ronghua High-Pres- 300-cubic inch (4.9 liter) water capacity to entries of non-refillable cylinders from sure Vessel Co., Ltd ...... 186.18 1,526-cubic inch (25 liter) water capacity. Zhejiang Ansheng Mechanical China, which are entered, or withdrawn Subject non-refillable steel cylinders may be Manufacture Co., Ltd ...... 186.18 imported with or without a valve and/or from warehouse, for consumption on or Zhejiang Nof Chemical Co., Ltd 186.18 pressure release device and unfilled at the after August 28, 2020, the date of time of importation. Non-refillable steel publication of the CVD Preliminary Provisional Measures—CVD cylinders filled with pressurized air Determination, but will not include otherwise meeting the physical description entries occurring after the expiration of Section 703(d) of the Act states that above are covered by these orders. the provisional measures period and the suspension of liquidation pursuant Specifically excluded are seamless non- before the publication of the ITC’s final to an affirmative preliminary refillable steel cylinders. injury determination under section determination may not remain in effect The merchandise subject to these orders is 705(b) of the Act, as further described in for more than four months. Commerce properly classified under statistical reporting published the CVD Preliminary numbers 7311.00.0060 and 7311.00.0090 of the ‘‘Provisional Measures—CVD’’ the Harmonized Tariff Schedule of the 10 Determination on August 28, 2020.11 As section of this notice. United States (HTSUS). The merchandise such, the four-month period beginning may also enter under HTSUS statistical Suspension of Liquidation and Cash on the date of the publication of the Deposits—CVD reporting numbers 7310.29.0025 and CVD Preliminary Determination ended 7310.29.0050. Although the HTSUS In accordance with section 706 of the on December 25, 2020. statistical reporting numbers are provided for Therefore, in accordance with section Act, Commerce intends to instruct CBP convenience and customs purposes, the 703(d) of the Act, we instructed CBP to written description of the merchandise is to reinstitute the suspension of terminate the suspension of liquidation dispositive. liquidation of non-refillable cylinders and to liquidate, without regard to from China, effective on the date of [FR Doc. 2021–09942 Filed 5–10–21; 8:45 am] countervailing duties, unliquidated publication of the ITC’s final affirmative BILLING CODE 3510–DS–P entries of non-refillable cylinders from injury determination in the Federal China entered, or withdrawn from Register, and to assess, upon further warehouse, for consumption, on or after DEPARTMENT OF COMMERCE instruction by Commerce, pursuant to December 26, 2020, the date on which section 706(a)(1) of the Act, the provisional measures expired, until International Trade Administration countervailing duties for each entry of and through the day preceding the date subject merchandise in an amount based of publication of the ITC’s final injury [A–570–909] on the net countervailable subsidy rates determination in the Federal Register. below. On or after the date of Suspension of liquidation will resume Certain Steel Nails From the People’s publication of the ITC’s final injury on the date of publication of the ITC’s Republic of China: Preliminary Results determination in the Federal Register, final determination in the Federal of the Antidumping Duty CBP must require, at the same time as Register. Administrative Review and Preliminary importers would normally deposit Determination of No Shipments; 2019– estimated customs duties on this Notification to Interested Parties 2020 merchandise, a cash deposit equal to the This notice constitutes the AD and rates listed in the table below. These CVD orders with respect to non- AGENCY: Enforcement and Compliance, instructions suspending liquidation will refillable cylinders from China pursuant International Trade Administration, remain in effect until further notice. The to sections 706(a) and 736(a) of the Act. Department of Commerce. all-others rate applies to all producers or Interested parties can find a list of SUMMARY: The Department of Commerce exporters not specifically listed below, orders currently in effect at http:// (Commerce) preliminarily determines as appropriate: enforcement.trade.gov/stats/ that certain companies made sales of iastats1.html. Subsidy subject merchandise at less than normal Company rate These orders are published in value. The period of review (POR) is (percent) accordance with sections 706(a) and August 1, 2019, to July 31, 2020. 736(a) of the Act and 19 CFR 351.211(b). Interested parties are invited to Ningbo Eagle Machinery & comment on these preliminary results. Technology Co., Ltd ...... 25.91 Dated: May 6, 2021. Wuyi Xilinde Machinery Manu- James Maeder, DATES: Applicable May 11, 2021. facture Co., Ltd ...... 18.37 Deputy Assistant Secretary for Antidumping FOR FURTHER INFORMATION CONTACT: All Others ...... 21.28 and Countervailing Duty Operations. Jiangsu Kasidi Chemical Ma- Joshua Simonidis, AD/CVD Operations, chinery Co., Ltd ...... 186.18 Appendix Office VIII, Enforcement and Compliance, International Trade Scope of the Orders Administration, U.S. Department of 10 See Certain Non-Refillable Steel Cylinders from The merchandise covered by these orders Commerce, 1401 Constitution Avenue the People’s Republic of China: Preliminary is certain seamed (welded or brazed), non- Affirmative Countervailing Duty Determination and NW, Washington, DC 20230; telephone: refillable steel cylinders meeting the Alignment of Final Determination with Final (202) 482–0608. Antidumping Determination, 85 FR 53323 (August 28, 2020) (CVD Preliminary Determination). 11 See CVD Preliminary Determination. SUPPLEMENTARY INFORMATION:
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Background preliminarily determine that 21 companies that are part of the China- On October 6, 2020, Commerce companies under review did not have wide entity. initiated an administrative review on any shipments of subject merchandise The statute and Commerce’s 4 the antidumping duty order on certain during the POR. For additional regulations do not address what rate to steel nails (nails) from the People’s information regarding this apply to respondents not selected for Republic of China (China) covering the determination, see the Preliminary individual examination when period August 1, 2019, to July 31, 2020 Decision Memorandum. Commerce limits its examination in an with respect to 457 companies.1 Based Consistent with our practice, we are administrative review pursuant to on the timely withdrawal of review not rescinding this review with respect section 777A(c)(2) of the Act. Generally, requests, we rescinded the to these companies but, instead, intend Commerce looks to section 735(c)(5) of administrative review with respect to to complete the review and issue the Act, which provides instructions for appropriate instructions to CBP based calculating the all-others rate in an five companies pursuant to 19 CFR 5 351.213(d)(1) and (4).2 Therefore, the on the final results of the review. investigation, for guidance when results of this review cover the China-Wide Entity calculating the rate for non-selected remaining 452 companies. respondents that are not examined In accordance with Commerce’s individually in an administrative Scope of the Order policy, the China-wide entity will not be review. Section 735(c)(5)(A) of the Act The products covered by the Order under review unless a party specifically states that the all-others rate should be requests, or Commerce self-initiates, a are nails from China. For a complete 6 calculated by averaging the weighted- description of the scope, see the review of the China-wide entity. average dumping margins for Preliminary Decision Memorandum.3 Because no party requested a review of individually-examined respondents, the China-wide entity in this review, the excluding rates that are zero, de Methodology China-wide entity is not under review minimis, or based entirely on facts and the weighted-average dumping Commerce is conducting this review available. Section 735(c)(5)(B) of the Act margin for the China-wide entity is not in accordance with section 751(a)(1)(B) provides that, where all rates are zero, subject to change (i.e., 118.04 percent).7 of the Tariff Act of 1930, as amended de minimis, or based entirely on facts (the Act). Preliminary Results of Review available, Commerce may use ‘‘any For a full description of the Commerce finds that the two reasonable method’’ for assigning a rate methodology underlying our to non-examined respondents. conclusions, see the Preliminary mandatory respondents, Qingdao D&L Group Ltd. (Qingdao D&L) and Shanghai However, for these preliminary Determination Memorandum. The results, we have not calculated any Preliminary Decision Memorandum is a Yueda Nails Industry Co., Ltd., a.k.a. Shanghai Yueda Nails Co. (Shanghai individual rates or assigned a rate based public document and is on file on facts available. Therefore, consistent electronically via Enforcement and Yueda), have not established their eligibility for a separate rate and are to with our recent practice, we Compliance’s Antidumping and preliminarily determine to assign to the Countervailing Duty Centralized be considered part of the China-wide entity for these preliminary results. non-individually examined separate rate Electronic Service System (ACCESS). respondents the most recently assigned ACCESS is available to registered users Furthermore, because 427 additional companies did not submit separate rate separate rate in this proceeding, which at https://access.trade.gov. In addition, a is from the previous administrative complete version of the Preliminary applications or certifications, or no- shipment certifications, we review.8 Using this method, we are Decision Memorandum can be accessed preliminarily determine they are preliminarily assigning a separate rate directly at https:// ineligible for a separate rate as well and margin of 41.75 percent to the two non- enforcement.trade.gov/frn/index.html. are part of the China-wide entity. See individually examined companies, A list of topics included in the Appendix I of the Preliminary Decision Shanghai Curvet Hardware Products Preliminary Decision Memorandum is Memorandum for a full list of Co., Ltd. and Tianjin Zhonglian Metals provided as an appendix to this notice. Ware Co., Ltd., that demonstrated their Preliminary Determination of No 4 These companies are: Astrotech Steels Private eligibility for a separate rate. Shipments Limited; Dezhou Hualude Hardware Products Co., Commerce preliminarily determines Ltd.; Geekay Wires Limited; Hebei Minmetals Co., that the following estimated weighted- Based on our analysis of U.S. Customs Ltd.; Mingguang Ruifeng Hardware Products Co., and Border Protection (CBP) Ltd.; Nanjing Caiqing Hardware Co., Ltd.; Nanjing average dumping margins exist for the information and information provided Yuechang Hardware Co., Ltd.; Region Industries period August 1, 2019, to July 31, 2020: Co., Ltd.; Region System Sdn. Bhd; Schenker China by a number of companies, we Ltd Chengdu Branch; Schenker China Ltd.; SDC 8 See, e.g., Shenzhen Xinboda Industrial Co., Ltd., International Aust. Pty. Ltd.; Shandong Qingyun v. United States, Court No. 15–00179, Slip Op. (CIT 1 See Initiation of Antidumping and Hongyi Hardware Products Co., Ltd.; Shanxi Hairui 2016); see also Certain Steel Threaded Rod From Countervailing Duty Administrative Reviews, 85 FR Trade Co., Ltd.; Shanxi Pioneer Hardware Industrial the People’s Republic of China: Preliminary Results 63081 (October 6, 2020) (Initiation Notice). Co., Ltd.; Shanxi Yuci Broad Wire Products Co., of the Antidumping Duty Administrative Review 2 The five companies for which the review was Ltd.; S-Mart (Tianjin) Technology Development Co., and Rescission of Antidumping Duty rescinded are: Oriental Cherry Hardware Group., Ltd.; Suntec Industries Co., Ltd.; Tianjin Jinchi Administrative Review, in Part; 2015–2016, 82 FR Ltd.; Youngwoo Fasteners Co., Ltd.; China Staple Metal Products Co., Ltd.; Tianjin Jinghai County 21189, 21192 (May 5, 2017), unchanged in Certain Enterprise Co., Ltd.; Faithful Engineering Products Hongli Industry & Business Co., Ltd.; and Xi’an Steel Threaded Rod from the People’s Republic of Co., Ltd.; and Promising Way (Hong Kong) Ltd. See Metals & Minerals Import & Export Co., Ltd. China: Final Results of Antidumping Duty Certain Steel Nails from the People’s Republic of 5 See Non-Market Economy Antidumping Administrative Review; 2015–2016, 82 FR 51611 China: Partial Rescission of AntidumpingDuty Proceedings: Assessment of Antidumping Duties, 76 (November 7, 2017); and Certain Frozen Fish Fillets Administrative Review; 2019–2020, 86 FR 7065 FR 65694, 65694–95 (October 24, 2011) (NME from the Socialist Republic of Vietnam: Preliminary (January 26, 2021). Assessment of Duties). Results and Partial Rescission of the Antidumping 3 See Memorandum, ‘‘Decision Memorandum for 6 Id. Duty Administrative Review; 2014–2015, 81 FR the Preliminary Results of the Antidumping Duty 7 The China-wide rate determined in the 64131, 64133 (September 19, 2016), unchanged in Administrative Review: Certain Steel Nails from the investigation was 118.04 percent. See Notice of Certain Frozen Fish Fillets From the Socialist People’s Republic of China; 2019–2020,’’ issued Antidumping Duty Order: Certain Steel Nails from Republic of Vietnam: Final Results and Partial concurrently with and hereby adopted by this the People’s Republic of China, 73 FR 44961 Rescission of Antidumping Duty Administrative notice (Preliminary Decision Memorandum). (August 1, 2008) (Order). Review; 2014–2015, 82 FR 15181 (March 27, 2017).
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Estimated which will include the results of its that continue to be eligible for a separate weighted- analysis of all issues raised in the case rate based on a completed prior segment average briefs, within 120 days of the of this proceeding, the cash deposit rate Exporter dumping margin publication of these preliminary results, will continue to be that existing cash (percent) pursuant to section 751(a)(3)(A) of the deposit rate published for the most Act and 19 CFR 351.213(h)(1). recently completed period; (3) for all Shanghai Curvet Hardware Chinese exporters of subject Products Co., Ltd ...... 41.75 Assessment Rates merchandise that have not been found Tianjin Zhonglian Metals Ware Upon issuance of the final results of Co., Ltd ...... 41.75 this review, Commerce will determine, to be entitled to a separate rate, and CBP shall assess, antidumping including Qingdao D&L and Shanghai Disclosure and Public Comment duties on all appropriate entries of Yueda, the cash deposit rate will be 118.04 percent, the weighted-average Interested parties may submit case subject merchandise covered by this briefs no later than 30 days after the review.16 If the preliminary results are dumping margin for the China-wide date of publication of this notice.9 unchanged for the final results, we will entity from the less-than-fair-value Rebuttal briefs, limited to issues raised instruct CBP to apply an ad valorem investigation; and (4) for all non- in the case briefs, may be filed no later assessment rate of 118.04 percent to all Chinese exporters of subject than seven days after the time limit for entries of subject merchandise during merchandise which have not received filing case briefs.10 Parties who submit the POR which were exported by 429 their own separate rate, the cash deposit case brief or rebuttal briefs in this companies, including Qingdao D&L and rate will be the rate applicable to the proceeding are encouraged to submit Shanghai Yueda, in the China-wide Chinese exporter that supplied that non- with each argument: (1) A statement of entity. If Commerce continues to make Chinese exporter. These cash deposit the issue; (2) a brief summary of the a no-shipment finding in the final requirements, when imposed, shall argument; and (3) a table of results for the 21 companies referenced remain in effect until further notice. authorities.11 Case and rebuttal briefs in the ‘‘Preliminary Determination of No should be filed using ACCESS.12 Shipments’’ section above, any Notification to Importers Pursuant to 19 CFR 351.310(c), suspended entries of subject This notice serves as a preliminary interested parties who wish to request a merchandise associated with those reminder to importers of their hearing must submit a written request to companies will also be liquidated at the the Assistant Secretary for Enforcement China-wide rate. For the two companies responsibility under 19 CFR and Compliance, U.S. Department of receiving a separate rate, we intend to 351.402(f)(2) to file a certificate Commerce, filed electronically via assign an assessment rate of 41.75 regarding the reimbursement of any ACCESS within 30 days after the date of percent, consistent with the antidumping duties prior to liquidation publication of this notice.13 Hearing methodology described above. of the relevant entries during this requests should contain: (1) The party’s Commerce intends to issue review period. Failure to comply with name, address, and telephone number; assessment instructions to CBP no this requirement could result in the (2) the number of participants; and (3) earlier than 35 days after the date of presumption that reimbursement of the a list of issues to be discussed. Issues publication of the final results of this antidumping duties occurred and the raised in the hearing will be limited to review in the Federal Register. If a subsequent assessment of double issues raised in the briefs. If a request timely summons is filed at the U.S. antidumping duties. for a hearing is made, parties will be Court of International Trade, the notified of the time and date for the assessment instructions will direct CBP Notification to Interested Parties 14 not to liquidate relevant entries until the hearing to be held. An electronically- These preliminary results are issued filed document must be received time for parties to file a request for a and published in accordance with successfully in its entirety by ACCESS statutory injunction has expired (i.e., sections 751(a)(1) and 777(i)(l) of the by 5:00 p.m. Eastern Time on the within 90 days of publication). Act, and 19 CFR 351.213(h)(1). established deadline. Note that Cash Deposit Requirements Commerce has temporarily modified Dated: May 3, 2021. certain of its requirements for serving The following cash deposit Ryan Majerus, documents containing business requirements will be effective upon publication of the final results of this Deputy Assistant Secretary for Policy and proprietary information, until further Negotiation. notice.15 administrative review for shipments of Unless otherwise extended, the subject merchandise from China Appendix I Commerce intends to issue the final entered, or withdrawn from warehouse, for consumption on or after the List of Topics Discussed in the Preliminary results of this administrative review, Decision Memorandum publication date of this notice, as 9 See 19 CFR 351.309(c). provided by section 751(a)(2)(C) of the I. Summary 10 See 19 CFR 351.309(d); see also Temporary Act: (1) For the companies listed above II. Background Rule Modifying AD/CVD Service Requirements Due that have a separate rate, the cash III. Scope of the Order to COVID–19, 85 FR 17006 (March 26, 2020), and deposit rate will be that rate established IV. Preliminary Determination of No Temporary Rule Modifying AD/CVD Service Shipments Requirements Due to COVID 19; Extension of in the final results of this review Effective Period, 85 FR 41363 (July 10, 2020) (except, if the rate is zero or de minimis, V. Discussion of the Methodology (collectively, Temporary Rule). then a cash deposit rate of zero will be VI. Recommendation 11 See 19 CFR 351.309(c)(2). established for those companies); (2) for [FR Doc. 2021–09941 Filed 5–10–21; 8:45 am] 12 See 19 CFR 351.303. previously investigated or reviewed BILLING CODE 3510–DS–P 13 See 19 CFR 351.310(c). Chinese and non-Chinese exporters of 14 See 19 CFR 351.310(d). 15 See 19 CFR 351.309; see also 19 CFR 351.303 subject merchandise not listed above (for general filing requirements); and Temporary Rule. 16 See 19 CFR 351.212(b)(1).
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DEPARTMENT OF COMMERCE DEPARTMENT OF COMMERCE Commerce constructed an AFA rate by selecting the highest calculated rate for International Trade Administration International Trade Administration the identical, or a similar/comparable, [C–533–864] program for each of the subsidy North American Free Trade Agreement programs under review.4 (NAFTA), Article 1904; Binational Panel Certain Corrosion-Resistant Steel Uttam Galva appealed Commerce’s Review: Notice of Request for Panel Products From India: Notice of Court Final Results with respect to the Review; Correction Decision Not in Harmony With the application of AFA and Commerce’s Results of Countervailing Duty construction of the total AFA rate. On AGENCY: United States Section, NAFTA Administrative Review; Notice of February 6, 2020, the CIT remanded the Secretariat, International Trade Amended Final Results Final Results to Commerce, sustaining Administration, Department of Commerce’s decision to apply AFA to AGENCY: Commerce. Enforcement and Compliance, Uttam Galva for failing to disclose its International Trade Administration, ACTION: Notice; correction. affiliation with LSIL and granting Department of Commerce. Commerce’s request for a voluntary SUMMARY: On April 29, 2021, the U.S. remand to reconsider the rate assigned SUMMARY: The Department of Commerce Court of International Trade (CIT) to the Market Access Initiative Program published a document in the Federal issued its final judgment in Uttam Galva and four additional programs.5 The CIT Register of May 3, 2021, in which it Steels Limited v. United States, Court directed Commerce to consider Uttam announced the Binational Panel issuing no. 19–00044, sustaining the Galva’s argument that 20 other subsidy its Interim Decision and Order in the Department of Commerce (Commerce)’s programs should not be included in the matter of Large Residential Washers second remand results pertaining to the total AFA rate and to further explain its from Mexico. That document incorrectly administrative review of the rate selections.6 countervailing duty (CVD) order on stated that the Notice was for a Request In its First Remand Redetermination, certain corrosion-resistant steel for Panel Review, as well as incorrectly issued in May 2020, Commerce adjusted products (CORE) from India covering stating the date of issuance of the Uttam Galva’s total AFA rate to reflect the period November 6, 2015, through Interim Decision. the modifications for the five programs December 31, 2016. Commerce is that were the subject of its voluntary FOR FURTHER INFORMATION CONTACT: Paul notifying the public that the CIT’s final remand request and continued to find E. Morris, United States Secretary, judgment is not in harmony with that the other 20 programs were NAFTA Secretariat, 1401 Constitution Commerce’s final results of the properly included in the AFA rate.7 Avenue NW, Washington, DC 20230, administrative review, and that Specifically, Commerce modified the (202) 482–5438. Commerce is amending the final results AFA rate for the Market Access with respect to the countervailable SUPPLEMENTARY INFORMATION: Initiative program from 16.63 percent to subsidy rate assigned to Uttam Galva 6.06 percent and removed the following Corrections Steels Limited/ Uttam Value Steels programs from Uttam Galva’s total AFA Limited/Uttam Galva Metallics Limited rate: (1) The Provision of Hot-Rolled In the Federal Register of May 3, (collectively, Uttam Galva). 2021, in FR Doc. 2021–09199, on page Steel for Less Than Adequate DATES: Applicable May 9, 2021. 23344, in the third column, the title of Remuneration; (2) State Government of the document incorrectly states FOR FURTHER INFORMATION CONTACT: Uttar Pradesh (SGUP) Exemption from ‘‘Request for Panel Review’’. The correct Justin Neuman, AD/CVD Operations, Entry Tax for the Iron and Steel title is ‘‘Interim Panel Decision’’. Office V, Enforcement and Compliance, Industry; (3) SGUP Long-Term Interest International Trade Administration, Free Loans Equivalent to the Amount of In the Federal Register of May 3, U.S. Department of Commerce, 1401 Value-Added Tax and Central Sales Tax 2021, in FR Doc. 2021–09199, on page Constitution Avenue NW, Washington, Paid; and (4) SGUP’s Interest Free Loans 23345, in the first column in the DC 20230; telephone: (202) 482–0486. under the SGUP Development SUMMARY section, the date of issuance of SUPPLEMENTARY INFORMATION: Promotion Rules 2003. the Interim Decision and Order The CIT remanded for a second time, Background incorrectly states April 26, 2019. The sustaining Commerce’s determination to correct date of issuance is April 26, On March 25, 2019, Commerce include the 20 disputed programs in 2021. published its Final Results in the 2015– Uttam Galva’s AFA rate calculation, and Dated: May 5, 2021. 2016 CVD administrative review of instructing Commerce to further explain CORE from India.1 Commerce found Paul E. Morris, its decision to apply total AFA to Uttam that Uttam Galva failed to properly Galva in this review for Uttam Galva’s U.S. Secretary, NAFTA Secretariat. report its affiliation with Lloyds Steels failure to properly report its affiliation [FR Doc. 2021–09874 Filed 5–10–21; 8:45 am] Industry Limited (LSIL).2 Therefore, with LSIL when Commerce applied BILLING CODE 3510–GT–P Commerce applied total adverse facts partial AFA to respondent JSW Steel available (AFA) pursuant to sections Limited (JSW) in the investigation of 776(a) and (b) of the Tariff Act of 1930, 3 as amended (the Act) to Uttam Galva. 4 Id. 5 See Uttam Galva Steels Limited v. United States, 1 See Certain Corrosion-Resistant Steel Products Court No. 19–00044, Slip Op. 20–15 (CIT February from India: Final Results of Countervailing Duty 6, 2020). Administrative Review; 2015–2016, 84 FR 11053 6 Id. at 13–14. (March 25, 2019) (Final Results), and accompanying 7 See Final Results of Redetermination Pursuant Issues and Decision Memorandum (IDM). to Uttam Galva Steels Limited v. United States, 2 See Final Results IDM at Comment 4. Court No. 19–00044, Slip Op. 20–15 (CIT February 3 Id. Commerce found, as AFA, that LSIL was 6, 2020), dated May 6, 2020 (First Remand cross-owned with Uttam Galva. Redetermination) at 27.
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this proceeding for JSW’s failure to Uttam Galva in this segment because the liquidation of entries pending a properly report an affiliate.8 circumstances surrounding the AFA ‘‘conclusive’’ court decision. The CIT’s In its Second Remand determinations for each company were April 29, 2021, judgment constitutes a Redetermination, issued in December different.10 The CIT sustained final decision of the CIT that is not in 2020, Commerce explained that Commerce’s final redetermination.11 harmony with Commerce’s Final application of total AFA to Uttam Galva Timken Notice Results. Thus, this notice is published is warranted in this review and in fulfillment of the publication 12 consistent with Commerce’s total AFA In its decision in Timken, as requirements of Timken. practice.9 The application of partial clarified by Diamond Sawblades,13 the AFA to JSW was based on a distinct set Court of Appeals for the Federal Circuit Amended Final Results of facts and, although the application of held that, pursuant to sections 516A(c) AFA to JSW was similarly based on the and (e) of the Act, Commerce must Because there is now a final court company respondent’s failure to publish a notice of court decision that judgment, Commerce is amending its properly report an affiliated entity, it is is not ‘‘in harmony’’ with a Commerce Final Results with respect to Uttam not determinative of the treatment of determination and must suspend Galva as follows:
Subsidy rate Manufacturer/exporter (percent ad valorem)
Uttam Galva Steels Limited/Uttam Value Steels Limited/Uttam Galva Metallics Limited/Lloyds Steels Industry Limited ...... 554.26
Cash Deposit Requirements ACTION: Notice. submitted in English, or if not, Commerce will issue revised cash accompanied by an English translation. SUMMARY: The Commodity Futures Comments will be posted as received to deposit instructions to U.S. Customs Trading Commission (CFTC) is and Border Protection (CBP). https://www.cftc.gov. announcing an opportunity for public FOR FURTHER INFORMATION CONTACT: Liquidation of Suspended Entries comment on the proposed collection of Eugene Smith, Director, Office of certain information by the agency. Proceedings, Commodity Futures In the event the CIT’s ruling is not Under the Paperwork Reduction Act appealed, or, if appealed, upheld by a Trading Commission, (202) 418–5371; (‘‘PRA’’), Federal agencies are required email: [email protected]. final and conclusive court decision, to publish notice in the Federal Register SUPPLEMENTARY INFORMATION: Under the Commerce intends to instruct CBP to concerning each proposed collection of PRA, 44 U.S.C. 3501 et seq., Federal assess countervailing duties on information, including proposed agencies must obtain approval from the unliquidated entries of subject extension of an existing collection of Office of Management and Budget merchandise produced and/or exported information, and to allow 60 days for by Uttam Galva at the subsidy rate listed (OMB) for each collection of public comment. This notice solicits information they conduct or sponsor. above in accordance with 19 CFR comments on the collection of 351.212(b). ‘‘Collection of Information’’ is defined information relating to the CFTC in 44 U.S.C. 3502(3) and 5 CFR 1320.3 Notification to Interested Parties Reparations Complaint Process, and includes agency requests or pursuant to the Commission’s This notice is issued and published in requirements that members of the public regulations under the Commodity accordance with sections 516A(c) and submit reports, keep records, or provide Exchange Act (‘‘CEA’’). (e) and 777(i)(1) of the Act. information to a third party. Section DATES: Comments must be submitted on 3506(c)(2)(A) of the PRA, 44 U.S.C. Dated: May 6, 2021. or before July 12, 2021. 3506(c)(2)(A), requires Federal agencies James Maeder, ADDRESSES: You may submit comments, to provide a 60-day notice in the Deputy Assistant Secretary for Antidumping identified by ‘‘OMB Control No. 3038– Federal Register concerning each and Countervailing Duty Operations. 0115’’ by any of the following methods: proposed collection of information, [FR Doc. 2021–09943 Filed 5–10–21; 8:45 am] • The Agency’s website, at http:// including each proposed extension of an BILLING CODE 3510–DS–P comments.cftc.gov/. Follow the existing collection of information, instructions for submitting comments before submitting the collection to OMB through the website. for approval. To comply with this • Mail: Christopher Kirkpatrick, COMMODITY FUTURES TRADING requirement, the CFTC is publishing a Secretary of the Commission, COMMISSION proposed notice to extend the existing Commodity Futures Trading collection of information listed below. Agency Information Collection Commission, Three Lafayette Centre, An agency may not conduct or sponsor, Activities: Notice of Intent To Extend 1155 21st Street NW, Washington, DC and a person is not required to respond Information Collection 3038–0115, 20581. to, a collection of information unless it • Reparations Complaint, CFTC Form 30 Hand Delivery/Courier: Same as displays a currently valid OMB control Mail above. number. AGENCY: Commodity Futures Trading Please submit your comments using Title: Reparations Complaint, CFTC Commission. only one method. All comments must be Form 30 (OMB Control No. 3038–0115).
8 See Uttam Galva Steels Limited v. United States, 29, 2020), dated December 22, 2020 (Second 12 See Timken Co. v. United States, 893 F.2d 337 Court No. 19–00044, Slip Op. 20–151 (CIT October Remand Redetermination). (Fed. Cir. 1990) (Timken). 29, 2020). 10 Id. 13 See Diamond Sawblades Manufacturers 9 See Final Results of Redetermination Pursuant 11 See Uttam Galva Steels Limited v. United Coalition v. United States, 626 F.3d 1374 (Fed. Cir. to Uttam Galva Steels Limited v. United States, States, Court No. 19–00044, Slip Op. 21–48 (CIT 2010) (Diamond Sawblades). Court No. 19–00044, Slip Op. 20–151 (CIT October April 29, 2021).
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This is a request for an extension of a for confidential treatment of the exempt DATES: OMB approved this information currently approved information information may be submitted according collection under emergency processing collection. to the procedures established in § 145.9 on April 19, 2021. A regular clearance Abstract: Pursuant to Section 14 of of the Commission’s regulations.2 process is also hereby being initiated. the Commodity Exchange Act, members The Commission reserves the right, Interested persons are invited to submit of the public may apply to the but shall have no obligation, to review, comments on or before July 12, 2021. Commission to seek damages against pre-screen, filter, redact, refuse or ADDRESSES: To access and review all the Commission registrants for alleged remove any or all of your submission documents related to the information violations of the Act and/or Commission from http://www.cftc.gov that it may collection listed in this notice, please regulations. The legislative intent of the deem to be inappropriate for use http://www.regulations.gov by Reparations program was to provide a publication, such as obscene language. searching the Docket ID number ED– low-cost, speedy, and effective forum All submissions that have been redacted 2021–SCC–0072. Comments submitted for the resolution of customer or removed that contain comments on in response to this notice should be complaints and to sanction individuals the merits of the ICR will be retained in submitted electronically through the and firms found to have violated the Act the public comment file and will be Federal eRulemaking Portal at http:// and/or any regulations. considered as required under the www.regulations.gov by selecting the In 1984, the Commission promulgated Administrative Procedure Act and other Docket ID number or via postal mail, Part 12 of the Commission regulations to applicable laws, and may be accessible commercial delivery, or hand delivery. administer Section 14. Rule 12.13 under the Freedom of Information Act. If the regulations.gov site is not provides the standards and procedures Burden Statement: The respondent available to the public for any reason, for filing a Reparations complaint. burden for this collection is estimated to ED will temporarily accept comments at Specifically, subparagraph (b) describes be as follows: [email protected]. Please include the the form and content requirements of a Respondents/Affected Entities: docket ID number and the title of the complaint. CFTC Form 30 mirrors the Commodity futures customers. information collection request when requirements set forth in subparagraph Estimated Number of Respondents: requesting documents or submitting (b). 24. comments. Please note that comments The Commission began utilizing Form Estimated Average Burden Hours per submitted by fax or email and those 30 in or about 1984. The form was Respondent: 1.5. submitted after the comment period will created to assist customers, who are Estimated Total Annual Burden not be accepted. Written requests for typically pro se and non-lawyers. It was Hours: 36. information or comments submitted by also designed as a way to provide Frequency of Collection: As postal mail or delivery should be proper notice to respondents of the applicable. addressed to the PRA Coordinator of the charges against them. This form is There are no capital costs or operating Strategic Collections and Clearance critical to fulfilling this policy goal.1 and maintenance costs associated with Governance and Strategy Division, U.S. With respect to the collection of this collection. Department of Education, 400 Maryland information, the CFTC invites (Authority: 44 U.S.C. 3501 et seq.) Ave. SW, LBJ, Room 6W208D, comments on: Dated: May 5, 2021. Washington, DC 20202–8240. • Whether the proposed collection of Robert Sidman, FOR FURTHER INFORMATION CONTACT: For information is necessary for the proper Deputy Secretary of the Commission. specific questions related to collection performance of the functions of the [FR Doc. 2021–09894 Filed 5–10–21; 8:45 am] activities, please contact Britt Jung, 202– Commission, including whether the 453–6046. BILLING CODE 6351–01–P information will have a practical use; SUPPLEMENTARY INFORMATION: The • The accuracy of the Commission’s Department of Education (ED), in estimate of the burden of the proposed DEPARTMENT OF EDUCATION accordance with the Paperwork collection of information, including the Reduction Act of 1995 (PRA) (44 U.S.C. validity of the methodology and [Docket No.: ED–2021–SCC–0072] 3506(c)(2)(A)), provides the general assumptions used; • public and Federal agencies with an Ways to enhance the quality, Agency Information Collection opportunity to comment on proposed, usefulness, and clarity of the Activities; Comment Request; revised, and continuing collections of information to be collected; and Maintenance-of-Effort Requirements • information. This helps the Department Ways to minimize the burden of and Waiver Requests Under the assess the impact of its information collection of information on those who Elementary and Secondary School collection requirements and minimize are to respond, including through the Emergency Relief (ESSER) Fund and the public’s reporting burden. It also use of appropriate automated electronic, the Governor’s Emergency Education helps the public understand the mechanical, or other technological Relief (GEER) Fund Department’s information collection collection techniques or other forms of AGENCY: requirements and provide the requested information technology; e.g., permitting Office of Elementary and Secondary Education (OESE), data in the desired format. ED is electronic submission of responses. soliciting comments on the proposed You should submit only information Department of Education (ED). ACTION: Notice. information collection request (ICR) that that you wish to make available is described below. The Department of publicly. If you wish the Commission to SUMMARY: In accordance with the Education is especially interested in consider information that you believe is Paperwork Reduction Act of 1995, ED is public comment addressing the exempt from disclosure under the requesting the Office of Management following issues: (1) Is this collection Freedom of Information Act, a petition and Budget (OMB) to conduct an necessary to the proper functions of the emergency review of a revision of a Department; (2) will this information be 1 The Commission plans to update its rules to include a web-based version of Form 30 in 2021 as currently approved collection. processed and used in a timely manner; an additional option for the public to submit (3) is the estimate of burden accurate; reparations complaints online. 2 17 CFR 145.9. (4) how might the Department enhance
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the quality, utility, and clarity of the clear guidance they need to fully efiling.asp. Commenters can submit information to be collected; and (5) how implement their GEER and ESSER brief comments up to 6,000 characters, might the Department minimize the programs. States and Governors have without prior registration, using the burden of this collection on the delayed distributing and spending funds eComment system at http:// respondents, including through the use due to the absence of guidance on the www.ferc.gov/docs-filing/ of information technology. Please note process for requesting waivers of MOE. ecomment.asp. You must include your that written comments received in Additionally, the Department will not name and contact information at the end response to this notice will be be able to properly monitor GEER and of your comments. For assistance, considered public records. ESSER recipients or provide technical please contact FERC Online Support at Title of Collection: Maintenance-of- assistance without collecting the MOE [email protected], (866) Effort Requirements and Waiver data and, when requested by States, 208–3676 (toll free), or (202) 502–8659 Requests under the Elementary and grant MOE waiver requests. (TTY). In lieu of electronic filing, you Secondary School Emergency Relief Dated: May 6, 2021. may submit a paper copy. Submissions (ESSER) Fund and the Governor’s sent via the U.S. Postal Service must be Emergency Education Relief (GEER) Kate Mullan, addressed to: Kimberly D. Bose, Fund. PRA Coordinator, Strategic Collections and Secretary, Federal Energy Regulatory OMB Control Number: 1810–0745. Clearance Governance and Strategy Division, Commission, 888 First Street NE, Room Type of Review: A revision of a Office of Chief Data Officer, Office of Planning, Evaluation and Policy 1A, Washington, DC 20426. currently approved collection. Submissions sent via any other carrier Respondents/Affected Public: State, Development. [FR Doc. 2021–09953 Filed 5–10–21; 8:45 am] must be addressed to: Kimberly D. Bose, Local, and Tribal Governments Total Secretary, Federal Energy Regulatory Estimated Number of Annual BILLING CODE 4000–01–P Commission, 12225 Wilkins Avenue, Responses: 81. Rockville, Maryland 20852. The first Total Estimated Number of Annual page of any filing should include the Burden Hours: 358. DEPARTMENT OF ENERGY docket number P–77–306. Comments Abstract: The Department is emailed to Commission staff are not Federal Energy Regulatory requesting an emergency approval for a considered part of the Commission Commission revision of the OMB approved CARES record. Act Maintenance of Effort (MOE) [Project No. 77–306] The Commission’s Rules of Practice collection under OMB control number and Procedure require all intervenors 1810–0745. In recognition of the Pacific Gas and Electric Company; filing documents with the Commission immense challenges facing students, Notice of Application Accepted for to serve a copy of that document on educators, staff, schools, LEAs, and Filing and Soliciting Comments, each person whose name appears on the SEAs right now, Congress has made Motions To Intervene, and Protests official service list for the project. additional ESSER and GEER funds Further, if an intervenor files comments available to SEAs and LEAs to prevent, Take notice that the following or documents with the Commission prepare for, and respond to COVID–19 hydroelectric application has been filed relating to the merits of an issue that through the CRRSA Act and, most with the Commission and is available may affect the responsibilities of a recently and significantly, the ARP Act. for public inspection: particular resource agency, they must It is critical that States and Governors a. Application Type: Application for also serve a copy of the document on receive clear guidance on the MOE Temporary Variance of Flow that resource agency. requirements under the CRRSA Act and Requirements. k. Description of Request: The the ARP Act to inform their spending b. Project No: 77–306. licensee requests a temporary variance decisions and implementation plans for c. Date Filed: April 23, 2021. of the minimum flow requirement in the the GEER and ESSER programs as SEAs d. Applicant: Pacific Gas and Electric East Branch Russian River and the and LEAs prepare to help schools return Company (licensee). maximum irrigation releases to the safely to in-person instruction, e. Name of Project: Potter Valley Potter Valley Irrigation District (PVID). maximize in-person instructional time, Hydroelectric Project. The licensee states that due to current sustain the safe operation of schools, f. Location: The project is located on drought conditions and operating and address the academic, social, the Eel River and East Branch Russian restrictions, the storage in Lake emotional, and mental health impacts of River in Lake and Mendocino counties, Pillsbury is severely depleted and is the COVID–19 pandemic. This guidance California. expected to reach critical levels later in and the associated collection provide g. Filed Pursuant to: Federal Power the summer, whereby bank sloughing in States and Governors clear guidance Act, 16 U.S.C. 791a–825r. the vicinity of the outlet works and they need to fully implement their h. Applicant Contact: Ms. Jackie Pope, impaired flow releases may occur. GEER and ESSER programs. States and License Coordinator, Pacific Gas and Therefore, in order to conserve water Governors have delayed distributing Electric Company, Mail Code: N11D, and ensure project operability, the and spending funds due to the absence P.O. Box 770000, San Francisco, CA licensee is proposing to reduce of guidance on the process for 94177, Phone: (530) 254–4007. minimum flow releases to the East requesting waivers of MOE. i. FERC Contact: John Aedo, (415) Branch Russian River from the current Additionally, the Department will not 369–3335, [email protected]. dry water year requirement of 25 cubic be able to properly monitor GEER and j. Deadline for filing comments, feet per second (cfs) to a critically dry ESSER recipients or provide technical motions to intervene, and protests: June water year requirement of 5 cfs. The assistance without collecting the MOE 4, 2021. licensee also requests Commission data and, when requested by States, The Commission strongly encourages approval to decrease its license-required grant MOE waiver requests. electronic filing. Please file comments, maximum release to PVID of 50 cfs to Additional Information: If this motions to intervene, and protests using the exceptionally low water year collection is not allowed to proceed, the Commission’s eFiling system at maximum release of 25 cfs through States and Governors will not have the http://www.ferc.gov/docs-filing/ October 15, 2021.
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The licensee also requests that on or before the specified comment date In addition to publishing the full text compliance with the minimum flow for the particular application. of this document in the Federal requirement in the East Branch Russian o. Filing and Service of Documents: Register, the Commission provides all River be temporarily adjusted to a target Any filing must (1) bear in all capital interested persons an opportunity to flow and that compliance with the letters the title ‘‘COMMENTS’’, view and/or print the contents of this adjusted maximum diversion be ‘‘PROTEST’’, or ‘‘MOTION TO document via the internet through the temporarily adjusted to a demand-based INTERVENE’’ as applicable; (2) set forth Commission’s Home Page (http:// allotment, with compliance based on a in the heading the name of the applicant ferc.gov) using the ‘‘eLibrary’’ link. cumulative diversion allotment of 9,000 and the project number of the Enter the docket number excluding the acre-feet (which would equate to the application to which the filing last three digits in the docket number alternative 25 cfs maximum diversion). responds; (3) furnish the name, address, field to access the document. At this Following the conclusion of the and telephone number of the person time, the Commission has suspended irrigation season on October 16, the commenting, protesting or intervening; access to the Commission’s Public licensee would continue to provide and (4) otherwise comply with the Reference Room, due to the demand-based water deliveries to PVID, requirements of 18 CFR 385.2001 proclamation declaring a National but they would be limited to an average through 385.2005. All comments, Emergency concerning the Novel of 3 cfs. The licensee requests that the motions to intervene, or protests must Coronavirus Disease (COVID–19), issued drought-related variance conclude when set forth their evidentiary basis. Any by the President on March 13, 2020. For Lake Pillsbury storage exceeds 36,000 filing made by an intervenor must be assistance, contact the Federal Energy acre-feet following October 1, 2021, or is accompanied by proof of service on all Regulatory Commission at superseded by another variance. Due to persons listed in the service list [email protected] or call the urgent nature of the variance prepared by the Commission in this toll-free, (886) 208–3676 or TYY, (202) request, Commission staff is approving proceeding, in accordance with 18 CFR 502–8659. the variance for a limited time (until 385.2010. Any questions concerning this June 21, 2021) until the public has an Dated: May 5, 2021. application should be directed to opportunity to review and comment on Michael T. Loeffler, Senior Director, Kimberly D. Bose, the licensee’s proposal. Following the Certificates and External Affairs, Kern close of the public notice period and Secretary. River Gas Transmission Company, at consideration of any comments [FR Doc. 2021–09930 Filed 5–10–21; 8:45 am] (402) 398–7103, 1111 South 103rd received, Commission staff will take BILLING CODE 6717–01–P Street, Omaha, Nebraska 68124, or by action on the remaining timeline email at [email protected]. associated with the licensee’s request. Pursuant to section 157.9 of the DEPARTMENT OF ENERGY l. Locations of the Application: This Commission’s Rules of Practice and filing may be viewed on the Federal Energy Regulatory Procedure,1 within 90 days of this Commission’s website at http:// Commission Notice the Commission staff will either: www.ferc.gov using the ‘‘eLibrary’’ link. Complete its environmental review and Enter the docket number excluding the place it into the Commission’s public [Docket No. CP21–197–000] last three digits in the docket number record (eLibrary) for this proceeding; or field to access the document. You may Kern River Gas Transmission issue a Notice of Schedule for also register online at http:// Company; Notice of Application and Environmental Review. If a Notice of www.ferc.gov/docs-filing/ Establishing Intervention Deadline Schedule for Environmental Review is esubscription.asp to be notified via issued, it will indicate, among other email of new filings and issuances Take notice that on April 23, 2021, milestones, the anticipated date for the related to this or other pending projects. Kern River Gas Transmission Company Commission staff’s issuance of the final For assistance, call 1–866–208–3676 or (Kern River), 2755 East Cottonwood environmental impact statement (FEIS) email [email protected], for Parkway, Suite 300, Salt Lake City, Utah or environmental assessment (EA) for TTY, call (202) 502–8659. Agencies may 84121, filed in the above referenced this proposal. The filing of an EA in the obtain copies of the application directly docket an application pursuant to Commission’s public record for this from the applicant. section 7(c) of the Natural Gas Act proceeding or the issuance of a Notice m. Individuals desiring to be included (NGA) and Part 157 of the Commission’s of Schedule for Environmental Review on the Commission’s mailing list should regulations for its proposed Delta will serve to notify federal and state so indicate by writing to the Secretary Lateral Project (Project). Specifically, agencies of the timing for the of the Commission. Kern River requests authorization to completion of all necessary reviews, and n. Comments, Protests, or Motions to construct, own, operate, and maintain the subsequent need to complete all Intervene: Anyone may submit 35.84 miles of 24-inch-diameter federal authorizations within 90 days of comments, a protest, or a motion to pipeline, a new delivery meter station, the date of issuance of the Commission intervene in accordance with the and related appurtenances in Millard staff’s FEIS or EA. requirements of Rules of Practice and County, Utah. The Project will provide Public Participation Procedure, 18 CFR 385.210, .211, .214, natural gas to Intermountain Power respectively. In determining the Agency’s (IPA) Intermountain Power There are two ways to become appropriate action to take, the Project (IPP), which is being converted involved in the Commission’s review of Commission will consider all protests or from coal-fired electrical generation to this project: You can file comments on other comments filed, but only those natural gas-fired electrical generation. the project, and you can file a motion who file a motion to intervene in Kern River estimates the Project will to intervene in the proceeding. There is accordance with the Commission’s cost approximately $93,140,275, all as no fee or cost for filing comments or Rules may become a party to the more fully set forth in the request which intervening. The deadline for filing a proceeding. Any comments, protests, or is on file with the Commission and open motions to intervene must be received to public inspection. 1 18 CFR (Code of Federal Regulations) § 157.9.
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motion to intervene is 5:00 p.m. Eastern The Commission considers all (1) You may file your motion to Time on May 26, 2021. comments received about the project in intervene by using the Commission’s determining the appropriate action to be eFiling feature, which is located on the Comments taken. However, the filing of a comment Commission’s website (www.ferc.gov) Any person wishing to comment on alone will not serve to make the filer a under the link to Documents and the project may do so. Comments may party to the proceeding. To become a Filings. New eFiling users must first include statements of support or party, you must intervene in the create an account by clicking on objections to the project as a whole or proceeding. For instructions on how to ‘‘eRegister.’’ You will be asked to select specific aspects of the project. The more intervene, see below. the type of filing you are making; first specific your comments, the more useful Interventions select ‘‘General’’ and then select they will be. To ensure that your ‘‘Intervention.’’ The eFiling feature comments are timely and properly Any person, which includes includes a document-less intervention recorded, please submit your comments individuals, organizations, businesses, option; for more information, visit on or before May 26, 2021. municipalities, and other entities,3 has https://www.ferc.gov/docsfiling/ efiling/ There are three methods you can use the option to file a motion to intervene document-less-intervention.pdf.; or to submit your comments to the in this proceeding. Only intervenors (2) You can file a paper copy of your Commission. In all instances, please have the right to request rehearing of motion to intervene, along with three reference the Project docket number Commission orders issued in this copies, by mailing the documents to the (CP21–197–000) in your submission. proceeding and to subsequently address below.6 Your motion to (1) You may file your comments challenge the Commission’s orders in intervene must reference the Project electronically by using the eComment the U.S. Circuit Courts of Appeal. feature, which is located on the To intervene, you must submit a docket number (CP21–197–000). Commission’s website at www.ferc.gov motion to intervene to the Commission Kimberly D. Bose, Secretary, Federal Energy under the link to Documents and in accordance with Rule 214 of the Regulatory Commission, 888 First Street Filings. Using eComment is an easy Commission’s Rules of Practice and NE, Washington, DC 20426 4 method for interested persons to submit Procedure and the regulations under The Commission encourages 5 brief, text-only comments on a project; the NGA by the intervention deadline electronic filing of motions to intervene (2) You may file your comments for the project, which is May 26, 2021. (option 1 above) and has eFiling staff electronically by using the eFiling As described further in Rule 214, your available to assist you at (202) 502–8258 feature, which is located on the motion to intervene must state, to the or [email protected]. Commission’s website (www.ferc.gov) extent known, your position regarding under the link to Documents and the proceeding, as well as your interest Motions to intervene must be served Filings. With eFiling, you can provide in the proceeding. For an individual, on the applicant either by mail or email comments in a variety of formats by this could include your status as a at: 1111 South 103rd Street, Omaha, attaching them as a file with your landowner, ratepayer, resident of an Nebraska 68124, or by email at submission. New eFiling users must impacted community, or recreationist. [email protected]. Any first create an account by clicking on You do not need to have property subsequent submissions by an ‘‘eRegister.’’ You will be asked to select directly impacted by the project in order intervenor must be served on the the type of filing you are making; first to intervene. For more information applicant and all other parties to the select ‘‘General’’ and then select about motions to intervene, refer to the proceeding. Contact information for ‘‘Comment on a Filing’’; or FERC website at https://www.ferc.gov/ parties can be downloaded from the (3) You can file a paper copy of your resources/guides/how-to/intervene.asp. service list at the eService link on FERC comments by mailing them to the All timely, unopposed motions to Online. Service can be via email with a following address below.2 Your written intervene are automatically granted by link to the document. comments must reference the Project operation of Rule 214(c)(1). Motions to All timely, unopposed 7 motions to docket number (CP21–197–000). intervene that are filed after the intervene are automatically granted by 8 Kimberly D. Bose, Secretary, Federal Energy intervention deadline are untimely and operation of Rule 214(c)(1). Motions to Regulatory Commission, 888 First Street may be denied. Any late-filed motion to intervene that are filed after the NE, Washington, DC 20426 intervene must show good cause for intervention deadline are untimely, and may be denied. Any late-filed motion to The Commission encourages being late and must explain why the intervene must show good cause for electronic filing of comments (options 1 time limitation should be waived and being late and must explain why the and 2 above) and has eFiling staff provide justification by reference to time limitation should be waived and available to assist you at (202) 502–8258 factors set forth in Rule 214(d) of the provide justification by reference to or [email protected]. Commission’s Rules and Regulations. A factors set forth in Rule 214(d) of the Persons who comment on the person obtaining party status will be Commission’s Rules and Regulations.9 environmental review of this project placed on the service list maintained by will be placed on the Commission’s the Secretary of the Commission and A person obtaining party status will be environmental mailing list, and will will receive copies (paper or electronic) placed on the service list maintained by receive notification when the of all documents filed by the applicant the Secretary of the Commission and environmental documents (EA or EIS) and by all other parties. will receive copies (paper or electronic) are issued for this project and will be There are two ways to submit your notified of meetings associated with the motion to intervene. In both instances, 6 Hand delivered submissions in docketed proceedings should be delivered to Health and Commission’s environmental review please reference the Project docket number (CP21–197–000) in your Human Services, 12225 Wilkins Avenue, Rockville, process. Maryland 20852. submission. 7 The applicant has 15 days from the submittal of 2 Hand delivered submissions in docketed a motion to intervene to file a written objection to proceedings should be delivered to Health and 3 18 CFR 385.102(d). the intervention. Human Services, 12225 Wilkins Avenue, Rockville, 4 18 CFR 385.214. 8 18 CFR 385.214(c)(1). Maryland 20852. 5 18 CFR 157.10. 9 18 CFR 385.214(b)(3) and (d).
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of all documents filed by the applicant ER12–2226–015; ER12–895–023; ER13– 1925–018; ER15–2582–009; ER15–2676– and by all other parties. 2112–013; ER13–2147–003; ER14–1630– 017; ER16–1672–015; ER16–2190–014; 012; ER14–2138–012; ER14–2707–020; ER16–2191–014; ER16–2453–015; Tracking the Proceeding ER15–1375–011; ER15–2101–010; ER16–632–011; ER16–91–012; ER17– Throughout the proceeding, ER15–2477–011; ER15–2601–008; 2152–011; ER18–1534–008; ER18–1863– additional information about the project ER16–1354–010; ER16–1872–012; 008; ER18–1978–007; ER18–2118–010; will be available from the Commission’s ER16–2275–013; ER16–2276–013; ER18–882–010; ER19–1003–009; ER19– Office of External Affairs, at (866) 208– ER16–90–011; ER17–822–008; ER17– 1393–009; ER19–1394–009; ER19–2269– FERC, or on the FERC website at 823–008; ER18–1771–011; ER18–1952– 004; ER19–2373–005; ER19–2437–005; www.ferc.gov using the ‘‘eLibrary’’ link 010; ER18–2003–009; ER18–2182–009; ER19–2461–005; ER19–2901–006; as described above. The eLibrary link ER18–2246–011; ER18–241–007; ER19– ER19–987–009; ER20–1769–003; ER20– also provides access to the texts of all 1392–006; ER19–2389–006; ER19–2398– 1980–004; ER20–1986–002; ER20–1987– formal documents issued by the 007; ER20–2019–003; ER20–2064–003; 004; ER20–2027–002; ER20–2049–003; Commission, such as orders, notices, ER20–2690–003; ER20–2695–003; ER20–2179–004; ER20–819–005; ER20– and rulemakings. ER21–254–004. 820–004. In addition, the Commission offers a Applicants: FPL Energy Montezuma Applicants: Adelanto Solar, LLC, free service called eSubscription which Wind, LLC, FPL Energy North Dakota Adelanto Solar II, LLC, Armadillo Flats allows you to keep track of all formal Wind, LLC, FPL Energy North Dakota Wind Project, LLC, Ashtabula Wind I, issuances and submittals in specific Wind II, LLC, FPL Energy South Dakota LLC, Ashtabula Wind II, LLC, Ashtabula dockets. This can reduce the amount of Wind, LLC, FPL Energy Stateline II, Inc., Wind III, LLC, Baldwin Wind Energy, time you spend researching proceedings FPL Energy Vansycle, L.L.C., FPL LLC, Blackwell Wind, LLC, Blythe Solar by automatically providing you with Energy Wyman, LLC, FPL Energy 110, LLC, Blythe Solar II, LLC, Blythe notification of these filings, document Wyman IV, LLC, Frontier Utilities Solar III, LLC, Blythe Solar IV, LLC, summaries, and direct links to the Northeast LLC, Garden Wind, LLC, Brady Interconnection, LLC, Brady documents. For more information and to Genesis Solar, LLC, Golden Hills Wind, LLC, Brady Wind II, LLC, register, go to www.ferc.gov/docsfiling/ Interconnection, LLC, Golden Hills Breckinridge Wind Project, LLC, Bronco esubscription.asp. North Wind, LLC, Golden Hills Wind, Plains Wind, LLC, Butler Ridge Wind Intervention Deadline: 5:00 p.m. LLC, Golden West Power Partners, LLC, Energy Center, LLC, Carousel Wind Eastern Time on May 26, 2021. Gray County Wind, LLC, Grazing Yak Farm, LLC, Casa Mesa Wind, LLC, Cedar Dated: May 5, 2021. Solar, LLC, Green Mountain Storage, Bluff Wind, LLC, Cedar Springs Wind, Kimberly D. Bose, LLC, Gulf Power Company, Hancock LLC, Cedar Springs Wind III, LLC, Cedar Secretary. County Wind, LLC, Harmony Florida Springs Transmission, LLC, Cerro Gordo Solar, LLC, Hatch Solar Energy Center I, Wind, LLC, Chaves County Solar, LLC, [FR Doc. 2021–09933 Filed 5–10–21; 8:45 am] LLC, Heartland Divide Wind Project, Chicot Solar, LLC, Cimarron Wind BILLING CODE 6717–01–P LLC, High Lonesome Mesa Wind, LLC, Energy, LLC, Coolidge Solar I, LLC, High Majestic Wind I, LLC, High Cottonwood Wind Project, LLC, DEPARTMENT OF ENERGY Majestic Wind II, LLC, High Winds, Crowned Ridge Wind, LLC, Crystal Lake LLC, Jordan Creek Wind Farm LLC, Wind Energy I, LLC, Crystal Lake Wind Federal Energy Regulatory Kingman Wind Energy I, LLC, Kingman Energy II, LLC, Crystal Lake Wind III, Commission Wind Energy II, LLC, Langdon LLC, Dougherty County Solar, LLC, Day Renewables, LLC, Limon Wind, LLC, County Wind I, LLC, Desert Sunlight Combined Notice of Filings #1 Limon Wind II, LLC, Limon Wind III, 250, LLC, Desert Sunlight 300, LLC, East LLC, Live Oak Solar, LLC, Logan Wind Hampton Energy Storage Center, LLC, Take notice that the Commission Energy LLC, Lorenzo Wind, LLC, Luz Elk City Renewables II, LLC, Elk City received the following electric corporate Solar Partners Ltd., III, Luz Solar Wind, LLC, Emmons-Logan Wind, LLC, filings: Partners Ltd., IV, Luz Solar Partners Endeavor Wind I, LLC, Endeavor Wind Docket Numbers: EC21–87–000. Ltd., V, Mammoth Plains Wind Project, II, LLC, Energy Storage Holdings, LLC, Applicants: PPL Corporation, The LLC, Mantua Creek Solar, LLC, Marshall Ensign Wind, LLC, ESI Vansycle Narragansett Electric Company. Solar, LLC, McCoy Solar, LLC, Minco Partners, L.P., Florida Power & Light Description: Joint Application for Wind, LLC, Minco Wind II, LLC, Minco Company, FPL Energy Cape, LLC, FPL Authorization Under Section 203 of the Wind III, LLC, Minco IV & V Energy Green Power Wind, LLC, FPL Federal Power Act of PPL Corporation, Interconnection, LLC, Minco Wind Energy Illinois Wind, LLC. et al. Interconnection Services, LLC, Mohave Description: Notice of Change in Filed Date: 5/4/21. County Wind Farm LLC. Status of GridLiance Transcos (Part 1). Accession Number: 20210504–5182. Description: Notice of Change in Filed Date: 4/30/21. Comments Due: 5 p.m. ET 5/25/21. Status of GridLiance Transcos (Part 2). Accession Number: 20210430–5753. Take notice that the Commission Filed Date: 4/30/21. Comments Due: 5 p.m. ET 5/21/21. received the following electric rate Accession Number: 20210430–5752. Docket Numbers: ER21–1846–000. filings: Comments Due: 5 p.m. ET 5/21/21. Applicants: Tilton Energy LLC, Docket Numbers: ER11–2160–018; Docket Numbers: ER15–1883–012; Yankee Street, LLC, Tait Electric ER10–1907–021; ER10–1918–022; ER10–1841–022; ER10–1845–022; Generating Station, LLC, Southern ER10–1930–014; ER10–1931–015; ER10–1849–024; ER10–1851–014; Illinois Generation Company, LLC, ER10–1932–016; ER10–1935–016; ER10–1852–052; ER10–1857–016; Sidney, LLC, Shelby County Energy ER10–1950–022; ER10–1962–017; ER10–1890–018; ER10–1899–016; Center, LLC, O.H. Hutchings CT, LLC, ER10–1966–016; ER10–2720–024; ER10–2005–022; ER11–26–022; ER12– Monument Generating Station, LLC, ER11–2642–019; ER11–3635–015; 2227–024; ER12–569–025; ER13–1991– Montpelier Generating Station, LLC, Lee ER11–4428–025; ER12–1228–025; 017; ER13–1992–017; ER13–712–026; County Generating Station, LLC, Grand ER12–1880–024; ER12–2225–015; ER13–752–015; ER15–1418–012; ER15– Tower Energy Center, LLC, Gibson City
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Energy Center, LLC, Eagle Point Power Applicants: PJM Interconnection, Dated: May 5, 2021. Generation LLC. L.L.C. Kimberly D. Bose, Description: § 205(d) Rate Filing: Description: § 205(d) Rate Filing: Secretary. Tilton Energy LLC/FERC Electric Tariffs Original ISA, SA No. 6031 and ICSA, [FR Doc. 2021–09926 Filed 5–10–21; 8:45 am] to be effective 5/5/2021. SA No. 6032; Queue No. AB2–136 to be BILLING CODE 6717–01–P Filed Date: 5/4/21. effective 4/5/2021. Accession Number: 20210504–5168. Filed Date: 5/5/21. Comments Due: 5 p.m. ET 5/25/21. Accession Number: 20210505–5039. DEPARTMENT OF ENERGY Docket Numbers: ER21–1847–000. Comments Due: 5 p.m. ET 5/26/21. Applicants: Interstate Power and Docket Numbers: ER21–1854–000. Federal Energy Regulatory Light Company. Applicants: Tri-State Generation and Commission Description: § 205(d) Rate Filing: IPL Transmission Association, Inc. [Docket No. ER21–1813–000] Cert. of Concurrence for SFA–ER21– Description: § 205(d) Rate Filing: Rate 1842–000 to be effective 5/5/2021. Schedule FERC No. 325 between Tri- Yellow Pine Energy Center I, LLC; Filed Date: 5/4/21. State and EEA to be effective 7/5/2021. Supplemental Notice That Initial Accession Number: 20210504–5169. Filed Date: 5/5/21. Market-Based Rate Filing Includes Comments Due: 5 p.m. ET 5/25/21. Accession Number: 20210505–5081. Request for Blanket Section 204 Docket Numbers: ER21–1848–000. Comments Due: 5 p.m. ET 5/26/21. Authorization Applicants: Isabella Wind, LLC. Docket Numbers: ER21–1855–000. Applicants: Tri-State Generation and This is a supplemental notice in the Description: Tariff Cancellation: above-referenced proceeding of Yellow Isabella Wind MBR Cancellation Filing Transmission Association, Inc. Description: § 205(d) Rate Filing: Rate Pine Energy Center I, LLC’s application to be effective 5/5/2021. for market-based rate authority, with an Filed Date: 5/4/21. Schedule FERC No. 326 between Tri- State and EEA to be effective 7/5/2021. accompanying rate tariff, noting that Accession Number: 20210504–5171. such application includes a request for Comments Due: 5 p.m. ET 5/25/21. Filed Date: 5/5/21. Accession Number: 20210505–5083. blanket authorization, under 18 CFR Docket Numbers: ER21–1849–000. Comments Due: 5 p.m. ET 5/26/21. part 34, of future issuances of securities Applicants: Midcontinent and assumptions of liability. Independent System Operator, Inc. Docket Numbers: ER21–1856–000. Any person desiring to intervene or to Applicants: PacifiCorp. Description: § 205(d) Rate Filing: protest should file with the Federal Description: § 205(d) Rate Filing: 2021–05–05_SA 3175 Delta’s Edge Energy Regulatory Commission, 888 NTUA Const Agmt Red Mesa Affected Solar-Entergy Mississippi 2nd Rev GIA First Street NE, Washington, DC 20426, System to be effective 7/5/2021. (J679) to be effective 4/28/2021. in accordance with Rules 211 and 214 Filed Date: 5/5/21. Filed Date: 5/5/21. of the Commission’s Rules of Practice Accession Number: 20210505–5098. Accession Number: 20210505–5018. and Procedure (18 CFR 385.211 and Comments Due: 5 p.m. ET 5/26/21. Comments Due: 5 p.m. ET 5/26/21. 385.214). Anyone filing a motion to Docket Numbers: ER21–1850–000. Docket Numbers: ER21–1857–000. intervene or protest must serve a copy Applicants: NorthWestern Applicants: PJM Interconnection, of that document on the Applicant. Corporation. L.L.C. Notice is hereby given that the Description: Tariff Cancellation: Description: § 205(d) Rate Filing: deadline for filing protests with regard Cancellation of SA 889—EPC Original WMPA, Service Agreement No. to the applicant’s request for blanket Agreement Idaho Power Company to be 6059; Queue No. AG1–065 to be authorization, under 18 CFR part 34, of effective 5/6/2021. effective 4/5/2021. future issuances of securities and Filed Date: 5/5/21. Filed Date: 5/5/21. assumptions of liability, is May 25, Accession Number: 20210505–5126. Accession Number: 20210505–5020. 2021. Comments Due: 5 p.m. ET 5/26/21. Comments Due: 5 p.m. ET 5/26/21. The Commission encourages The filings are accessible in the Docket Numbers: ER21–1851–000. electronic submission of protests and Commission’s eLibrary system (https:// interventions in lieu of paper, using the Applicants: Midcontinent elibrary.ferc.gov/idmws/search/ Independent System Operator, Inc., FERC Online links at http:// fercgensearch.asp) by querying the www.ferc.gov. To facilitate electronic Ameren Illinois Company. docket number. Description: § 205(d) Rate Filing: service, persons with internet access _ Any person desiring to intervene or who will eFile a document and/or be 2021–05–05 SA 3653 Ameren IL- protest in any of the above proceedings Hoosier Energy Switching Agreement to listed as a contact for an intervenor must file in accordance with Rules 211 must create and validate an be effective 7/5/2021. and 214 of the Commission’s Filed Date: 5/5/21. eRegistration account using the Regulations (18 CFR 385.211 and eRegistration link. Select the eFiling Accession Number: 20210505–5026. 385.214) on or before 5:00 p.m. Eastern Comments Due: 5 p.m. ET 5/26/21. link to log on and submit the time on the specified comment date. intervention or protests. Docket Numbers: ER21–1852–000. Protests may be considered, but Persons unable to file electronically Applicants: PJM Interconnection, intervention is necessary to become a may mail similar pleadings to the L.L.C. party to the proceeding. Federal Energy Regulatory Commission, Description: § 205(d) Rate Filing: eFiling is encouraged. More detailed 888 First Street NE, Washington, DC Original WMPA, Service Agreement No. information relating to filing 20426. Hand delivered submissions in 6055; Queue No. AG1–095 to be requirements, interventions, protests, docketed proceedings should be effective 4/6/2021. service, and qualifying facilities filings delivered to Health and Human Filed Date: 5/5/21. can be found at: http://www.ferc.gov/ Services, 12225 Wilkins Avenue, Accession Number: 20210505–5033. docs-filing/efiling/filing-req.pdf. For Rockville, Maryland 20852. Comments Due: 5 p.m. ET 5/26/21. other information, call (866) 208–3676 In addition to publishing the full text Docket Numbers: ER21–1853–000. (toll free). For TTY, call (202) 502–8659. of this document in the Federal
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Register, the Commission provides all interventions in lieu of paper, using the Reduction Act of 1995, the Federal interested persons an opportunity to FERC Online links at http:// Energy Regulatory Commission view and/or print the contents of this www.ferc.gov. To facilitate electronic (Commission or FERC) is soliciting document via the internet through the service, persons with internet access public comment on the currently Commission’s Home Page (http:// who will eFile a document and/or be approved information collections, www.ferc.gov) using the ‘‘eLibrary’’ link. listed as a contact for an intervenor FERC–567 (Gas Pipeline Certificates: Enter the docket number excluding the must create and validate an Annual Reports of System Flow last three digits in the docket number eRegistration account using the Diagrams) and FERC–576 (Report of field to access the document. At this eRegistration link. Select the eFiling Service Interruptions or Damage to time, the Commission has suspended link to log on and submit the Facilities) which will be submitted to access to the Commission’s Public intervention or protests. the Office of Management and Budget Reference Room, due to the Persons unable to file electronically (OMB) for a review of the information proclamation declaring a National may mail similar pleadings to the collection requirements. Emergency concerning the Novel Federal Energy Regulatory Commission, DATES: Comments on the collections of Coronavirus Disease (COVID–19), issued 888 First Street NE, Washington, DC information are due July 12, 2021. by the President on March 13, 2020. For 20426. Hand delivered submissions in ADDRESSES: You may submit copies of assistance, contact the Federal Energy docketed proceedings should be your comments (identified by Docket Regulatory Commission at delivered to Health and Human No. IC21–20–000 and the specific FERC [email protected] or call Services, 12225 Wilkins Avenue, collection number (FERC–567 or FERC– toll-free, (886) 208–3676 or TYY, (202) Rockville, Maryland 20852. 576)) by one of the following methods: 502–8659. In addition to publishing the full text Electronic filing through http:// Dated: May 5, 2021. of this document in the Federal www.ferc.gov, is preferred. • Kimberly D. Bose, Register, the Commission provides all Electronic Filing: Documents must interested persons an opportunity to Secretary. be filed in acceptable native view and/or print the contents of this [FR Doc. 2021–09936 Filed 5–10–21; 8:45 am] applications and print-to-PDF, but not document via the internet through the in scanned or picture format. BILLING CODE 6717–01–P Commission’s Home Page (http:// • For those unable to file www.ferc.gov) using the ‘‘eLibrary’’ link. electronically, comments may be filed Enter the docket number excluding the DEPARTMENT OF ENERGY by USPS mail or by hand (including last three digits in the docket number courier) delivery: Federal Energy Regulatory field to access the document. At this Æ Mail via U.S. Postal Service Only: Commission time, the Commission has suspended Addressed to: Federal Energy access to the Commission’s Public Regulatory Commission, Secretary of the [Docket No. ER21–1838–000] Reference Room, due to the Commission, 888 First Street NE, proclamation declaring a National Washington, DC 20426. Orangeville Energy Storage LLC; Emergency concerning the Novel Æ Hand (including courier) Delivery: Supplemental Notice That Initial Coronavirus Disease (COVID–19), issued Deliver to: Federal Energy Regulatory Market-Based Rate Filing Includes by the President on March 13, 2020. For Commission, 12225 Wilkins Avenue, Request for Blanket Section 204 assistance, contact the Federal Energy Rockville, MD 20852. Authorization Regulatory Commission at Instructions: All submissions must be This is a supplemental notice in the [email protected] or call formatted and filed in accordance with above-referenced Orangeville Energy toll-free, (886) 208–3676 or TYY, (202) submission guidelines at: http:// Storage LLC’s application for market- 502–8659. www.ferc.gov. For user assistance, based rate authority, with an Dated: May 5, 2021. contact FERC Online Support by email accompanying rate tariff, noting that Kimberly D. Bose, at [email protected], or by phone at (866) 208–3676 (toll-free). such application includes a request for Secretary. blanket authorization, under 18 CFR Docket: Users interested in receiving [FR Doc. 2021–09932 Filed 5–10–21; 8:45 am] part 34, of future issuances of securities automatic notification of activity in this BILLING CODE 6717–01–P and assumptions of liability. docket or in viewing/downloading Any person desiring to intervene or to comments and issuances in this docket may do so at http://www.ferc.gov. protest should file with the Federal DEPARTMENT OF ENERGY Energy Regulatory Commission, 888 FOR FURTHER INFORMATION CONTACT: First Street NE, Washington, DC 20426, Federal Energy Regulatory Ellen Brown may be reached by email in accordance with Rules 211 and 214 Commission at [email protected], telephone of the Commission’s Rules of Practice at (202) 502–8663. and Procedure (18 CFR 385.211 and [Docket No. IC21–20–000] Comments: Comments are invited on: (1) Whether the collections of 385.214). Anyone filing a motion to Commission Information Collection information is necessary for the proper intervene or protest must serve a copy Activities (FERC–567, FERC–576); performance of the functions of the of that document on the Applicant. Consolidated Comment Request; Commission, including whether the Notice is hereby given that the Extension deadline for filing protests with regard information will have practical utility; to the applicant’s request for blanket AGENCY: Federal Energy Regulatory (2) the accuracy of the agency’s estimate authorization, under 18 CFR part 34, of Commission, Department of Energy. of the burden 1 and cost of the future issuances of securities and ACTION: Notice of information assumptions of liability, is May 25, 1 Burden is defined as the total time, effort, or collections and request for comments. financial resources expended by persons to 2021. generate, maintain, retain, or disclose or provide The Commission encourages SUMMARY: In compliance with the information to or for a Federal agency. For further electronic submission of protests and requirements of the Paperwork explanation of what is included in the information
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collections of information, including the requirements with no changes to the pressures; (vi) suction and discharge validity of the methodology and current reporting requirements. pressures at compressor stations; (vii) assumptions used; (3) ways to enhance Abstract: Per 18 Code of Federal installed horsepower and volumes the quality, utility and clarity of the Regulations (CFR) 260.8(a), each major compressed at each compressor station; information collections; and (4) ways to interstate natural gas pipeline with a (viii) existing shippers currently minimize the burden of the collections system delivery capacity exceeding nominating service under firm contracts of information on those who are to 100,000 Mcf 2 per day is required to on each pipeline company; and (ix) respond, including the use of automated submit, by June 1 of each year, diagrams peak capacity on the system. The data collection techniques or other forms of reflecting operating conditions on the is collected so that it’s available in the information technology. pipeline’s main transmission system event the Commission needs to confirm during the previous 12 months ending SUPPLEMENTARY INFORMATION: The pipeline facility data. on December 31. The submitted following information pertains to FERC– information must include (i) Type of Respondents: Natural gas 567 only. configuration and location of installed pipeline companies with a system Title: FERC–567, Gas Pipeline pipeline facilities; (ii) receipt and delivery capacity in excess of 100,000 Certificates: Annual Reports of System delivery points between shippers, and Mcf per day. Flow Diagrams. pipeline companies; (iii) location of Estimate of Annual Burden: The OMB Control No.: 1902–0005. compressor stations on a pipeline Commission estimates the annual public Type of Request: Three-year extension system; (iv) pipeline diameters; (v) reporting burden for the information of the FERC–567 information collection maximum allowable operating collection as: FERC–567—GAS PIPELINE CERTIFICATES: ANNUAL REPORTS OF SYSTEM FLOW DIAGRAMS
Annual Average Total annual Cost per Number of number of Total number burden and Respondents 3 burden hours and respondent respondents responses per of responses cost per total annual cost ($) respondent response 4
(1) (2) (1) * (2) = (3) (4) (3) * (4) = (5) (5) ÷ (1)
Natural Gas Pipelines ...... 124 1 124 4 hrs.; $332 ...... 496 hrs.; $41,168 ...... $332
The following information pertains to The notifications, made to the Department of Transportation under the FERC–576 only. Director, Division of Pipeline Natural Gas Pipeline Safety Act of 1968, Title: FERC–576, Report of Service Certificates via email or fax as soon as a copy of such report shall be submitted Interruptions or Damage to Facilities. feasibly possible, must state: (1) The to the Director of the Commission’s OMB Control No.: 1902–0004. location of the service interruption or Division of Pipeline Certificates, within Type of Request: Three-year extension damage to natural gas pipeline or 30 days of the reportable incident. of the FERC–576 information collection storage facilities; (2) The nature of any Natural gas companies must also send a requirements with no changes to the damage to pipeline or storage facilities; copy of submitted reports to each state current reporting requirements. (3) Specific identification of the commission for the state(s) in which the Abstract: Per 18 CFR 260.9, natural facilities damaged; (4) The time the reported service interruption occurred. gas pipeline companies must report (i) service interruption or damage to the If the Commission did not collect this damage to any jurisdictional natural gas facilities occurred; (5) The customers information, it would lose a data point facilities other than liquefied natural gas affected by the service interruption or that assists in the monitoring of facilities caused by a hurricane, damage to the facilities; (6) Emergency transactions, operations, and reliability earthquake or other natural disaster or actions taken to maintain service; and of interstate pipelines. terrorist activity that results in a loss of (7) Company contact and telephone Type of Respondents: Natural gas or reduction in pipeline throughput or number. The information provided by companies experiencing service storage deliverability; and (ii) serious these notifications are kept by the interruptions or damage to facilities. interruptions of service to any shipper Commission and are not made part of Estimate of Annual Burden: The involving jurisdictional natural gas the public record. Commission estimates the average facilities other than liquefied natural gas In addition, if an incident requires annual burden and cost 5 for this facilities. reporting of the incident to the information collection as follows.
collections burden, reference 5 Code of Federal 4 The Commission staff estimates that the average 20% of the work is performed by a manager, and Regulations 1320.3. respondent for FERC–567 is similarly situated to 80% is performed by legal staff. The hourly costs 2 Mcf is a unit of measurement for natural gas that the Commission, in terms of salary plus benefits. for wages plus benefits are: Based on FERC’s 2020 annual average of $172,329 equals 1,000 cubic feet. • Management (Occupational Code: 11–0000) is (for salary plus benefits), the average hourly cost is 3 The number of respondents in the currently $83/hour. $97.89. • approved OMB inventory for FERC–567 is 197. 5 Costs (for wages and benefits) are based on wage Legal (Occupational Code: 23–0000) is $142.25. Changes to the estimate were based on average figures from the Bureau of Labor Statistics (BLS) for Therefore, the weighted hourly cost (for wages plus number of respondents over the past three years. May 2020 (at https://www.bls.gov/oes/current/ benefits) is $133.38 [(0.20 * $97.89) + (0.80 * naics2_22.htm). Commission staff estimates that $142.25)].
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FERC–576—REPORT OF SERVICE INTERRUPTIONS OR DAMAGE TO FACILITIES
Annual Average burden Total annual burden Cost per Number of number of Total number 7 6 hours and cost ($) hours and total respondent respondents responses per of responses ($) respondent per response annual cost
(1) (2) (1) * (2) = (3) (4) (3) * (4) = (5) (5) ÷ (1)
Notification of Incident—Service Inter- 50 1 50 1 hr.; $133.38 ...... 50 hrs.; $6,669 ...... $133.38 ruption. Notification of Incident—Damage ...... 22 1 22 0.25 hrs.; $33.45 ...... 5.5 hrs.; $735.90 ...... 33.45 Submittal of DOT Incident Report ...... 10 1 10 0.25 hrs.; $33.45 ...... 2.5 hrs.; $333.45 ...... 33.45
Total ...... 82 ...... 84 hrs.; $11,212.74 ......
Dated: May 5, 2021. Description: Notice of Change in Peetz Logan Interconnect, LLC, Peetz Kimberly D. Bose, Status of GridLiance Transcos (Part 4). Table Wind, LLC, Pegasus Wind, LLC, Secretary. Filed Date: 4/30/21. Perrin Ranch Wind, LLC, Pheasant Run [FR Doc. 2021–09935 Filed 5–10–21; 8:45 am] Accession Number: 20210430–5751. Wind, LLC, Pima Energy Storage BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 5/21/21. System, LLC, Pinal Central Energy Docket Numbers: ER18–1535–007; Center, LLC, Ponderosa Wind, LLC, ER10–1951–033; ER10–1970–021; Pratt Wind, LLC, Quitman Solar, LLC, DEPARTMENT OF ENERGY ER10–1972–021; ER10–1973–015; Red Mesa Wind, LLC, River Bend Solar, ER10–1974–026; ER10–2641–039; LLC, Roswell Solar, LLC, Rush Springs Federal Energy Regulatory ER11–2192–017; ER11–4462–054; Energy Storage, LLC, Rush Springs Commission ER11–4677–018; ER12–2444–017; Wind Energy, LLC, Saint Solar, LLC, ER12–676–014; ER13–2461–016; ER14– Sanford Airport Solar, LLC, Seiling Combined Notice of Filings #2 21–009; ER14–2708–021; ER14–2709– Wind, LLC, Seiling Wind II, LLC, Take notice that the Commission 020; ER14–2710–020; ER15–2243–009; Seiling Wind Interconnection Services, received the following electric rate ER15–30–018; ER15–58–018; ER16– LLC, Sholes Wind, LLC, Silver State filings: 1440–014; ER16–1913–008; ER16–2240– Solar Power South, LLC. Description: Notice of Change in Docket Numbers: ER10–1989–018; 014; ER16–2241–013; ER16–2297–013; ER16–2443–008; ER16–2506–013; Status of GridLiance Transcos (Part 3). ER10–2078–022; ER11–4678–018; Filed Date: 4/30/21. ER12–1660–021; ER12–631–019; ER13– ER17–1774–006; ER17–196–006; ER17– 838–029; ER18–1981–009; ER18–2224– Accession Number: 20210430–5754. 2458–016; ER13–2474–019; ER15–1016– Comments Due: 5 p.m. ET 5/21/21. 011; ER16–1277–011; ER16–1293–011; 012; ER18–2314–005; ER18–772–006; ER18–807–007; ER19–11–006; ER19– Docket Numbers: ER19–2462–002; ER17–2270–013; ER17–582–009; ER17– ER18–2264–007; ER19–289–005; ER11– 583–009; ER18–2032–009; ER18–2091– 1128–003; ER19–2266–004; ER20–1219– 003; ER20–1220–003; ER20–1879–004; 4111–002. 008; ER19–2382–005; ER19–2495–005; Applicants: Macquarie Energy LLC, ER19–2513–005; ER19–774–007; ER20– ER20–1985–003; ER20–1988–004; ER20–1991–003; ER20–2012–003; Macquarie Energy Trading LLC, Cleco 2069–002; ER20–2070–003; ER20–2237– Cajun LLC, Hudson Ranch Power I LLC. 003; ER20–2597–003; ER20–2603–003; ER20–2153–004; ER20–2380–003; ER20–2648–003; ER20–792–003; ER21– Description: Supplement to November ER20–637–003; ER20–780–003; ER21– 30, 2020, February 2, 2021, and March 255–004; ER21–744–001. 183–001. Applicants: Montauk Energy Storage 1, 2021 Notice of Non-Material Change Applicants: Sky River LLC, White Oak Center, LLC, Mountain View Solar, LLC, in Status of Macquarie Energy LLC, et Energy LLC, Vasco Winds, LLC, NEPM II, LLC, New Mexico Wind, LLC, al. Windpower Partners 1993, Tuscola Bay NextEra Blythe Solar Energy Center, Filed Date: 5/4/21. Wind, LLC, Tuscola Wind II, LLC, LLC, NextEra Energy Bluff Point, LLC, Accession Number: 20210504–5184. Steele Flats Wind Project, LLC, Shafter NextEra Energy Duane Arnold, LLC, Comments Due: 5 p.m. ET 5/25/21. Solar, LLC, White Pine Solar, LLC, NextEra Energy Montezuma II Wind, Docket Numbers: ER20–1150–002. White Oak Solar, LLC, Westside Solar, LLC, NextEra Energy Point Beach, LLC, Applicants: The Dayton Power and LLC, Whitney Point Solar, LLC, NextEra Energy Marketing, LLC, Light Company, PJM Interconnection, Stuttgart Solar, LLC, Wildcat Ranch NextEra Energy Seabrook, LLC, NextEra L.L.C. Wind Project, LLC, Titan Solar, LLC, Energy Services Massachusetts, LLC, Description: Compliance filing: Stanton Clean Energy, LLC, Story Northeast Energy Associates, A Limited Dayton submits Compliance Filing re: County Wind, LLC, Wessington Springs Partnership, Ninnescah Wind Energy, Refund Report in ER20–1150–001 to be Wind, LLC, Wilton Wind Energy II, LLC, LLC, North Sky River Energy, LLC, effective 5/3/2020. Wilton Wind Energy I, LLC, Sooner Northern Colorado Wind Energy Center Filed Date: 5/5/21. Wind, LLC, Wheatridge Wind Energy, II, LLC, Northern Colorado Wind Energy Accession Number: 20210505–5129. LLC, Wheatridge Wind II, LLC, Center, LLC, Northern Divide Wind, Comments Due: 5 p.m. ET 5/26/21. Weatherford Wind, LLC, Soldier Creek LLC, Nutmeg Solar, LLC, Oklahoma Docket Numbers: ER21–1225–001. Wind, LLC, Skeleton Creek Wind, LLC, Wind, LLC, Oleander Power Project, Applicants: Long Ridge Energy Taylor Creek Solar, LLC, Wallingford Limited Partnership, Oliver Wind Generation LLC. Renewable Energy LLC. Energy Center II, LLC, Oliver Wind I, Description: Tariff Amendment: LLC, Oliver Wind III, LLC, Orbit Bloom Deficiency Response to MBR 6 The total number of respondents in the currently approved OMB inventory for FERC–576 is Energy, LLC, Osborn Wind Energy, LLC, Application-Docket ER21–1225 to be 147. Changes to the estimate were based on average Palo Duro Wind Energy, LLC, Palo Duro effective 4/29/2021. number of respondents over the past three years. Wind Interconnection Services, LLC, Filed Date: 5/5/21.
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Accession Number: 20210505–5108. permit does not authorize the permit link of Commission’s website at http:// Comments Due: 5 p.m. ET 5/26/21. holder to perform any land-disturbing www.ferc.gov/docs-filing/elibrary.asp. Docket Numbers: ER21–1832–000. activities or otherwise enter upon lands Enter the docket number (P–15116) in Applicants: SunEnergy1, LLC. or waters owned by others without the the docket number field to access the Description: Petition for Limited owners’ express permission. document. For assistance, contact FERC Waiver and Request for Shortened The proposed project would consist of Online Support. the following: (1) A series of proprietary Comment Period and Expedited Dated: May 5, 2021. turbine-generator units with a combined Commission Approval of SunEnergy1, Kimberly D. Bose, LLC. capacity of no more than 5 megawatts; Secretary. Filed Date: 5/3/21. (2) a 1- to 5-mile-long, 12.5- to 25-kV Accession Number: 20210503–5144. submarine transmission cable from the [FR Doc. 2021–09927 Filed 5–10–21; 8:45 am] Comments Due: 5 p.m. ET 5/24/21. module site to an onshore location on BILLING CODE 6717–01–P The filings are accessible in the the west coast of the Kenai Peninsula; (3) an approximately 0.75-mile-long, Commission’s eLibrary system (https:// DEPARTMENT OF ENERGY elibrary.ferc.gov/idmws/search/ 12.5- to 25-kV above-ground transmission line leading to a substation fercgensearch.asp) by querying the Federal Energy Regulatory owned by Homer Electric Association; docket number. Commission Any person desiring to intervene or and (4) appurtenant facilities. The protest in any of the above proceedings estimated annual generation of the East Combined Notice of Filings must file in accordance with Rules 211 Foreland project would be up to 13.5 and 214 of the Commission’s gigawatt-hours. Take notice that the Commission has Regulations (18 CFR 385.211 and Applicant Contact: Nathan Johnson, received the following Natural Gas 254 Commercial Street, Suite 119B, 385.214) on or before 5:00 p.m. Eastern Pipeline Rate and Refund Report filings: Portland, Maine 04101; phone: (207) time on the specified comment date. 772–7707; email: [email protected]. Docket Numbers: RP21–720–002. Protests may be considered, but FERC Contact: Kristen Sinclair; Applicants: WBI Energy intervention is necessary to become a phone: (202) 502–6587; email: Transmission, Inc. party to the proceeding. [email protected]. Description: Tariff Amendment: 2021 eFiling is encouraged. More detailed Deadline for filing comments, motions information relating to filing Second Amendment Filing to New to intervene, competing applications GMS—Uncommitted Capacity to be requirements, interventions, protests, (without notices of intent), or notices of service, and qualifying facilities filings effective 5/7/2021. intent to file competing applications: 60 Filed Date: 5/4/21. can be found at: http://www.ferc.gov/ days from the issuance of this notice. docs-filing/efiling/filing-req.pdf. For Competing applications and notices of Accession Number: 20210504–5053. other information, call (866) 208–3676 intent must meet the requirements of 18 Comments Due: 5 p.m. ET 5/17/21. (toll free). For TTY, call (202) 502–8659. CFR 4.36. Docket Numbers: RP21–814–000. The Commission strongly encourages Dated: May 5, 2021. Applicants: Stingray Pipeline electronic filing. Please file comments, Kimberly D. Bose, Company, L.L.C. motions to intervene, notices of intent, Secretary. Description: § 4(d) Rate Filing: [FR Doc. 2021–09934 Filed 5–10–21; 8:45 am] and competing applications using the Commission’s eFiling system at http:// Housekeeping Tariff Filing to be BILLING CODE 6717–01–P www.ferc.gov/docs-filing/efiling.asp. effective 6/4/2021. Commenters can submit brief comments Filed Date: 5/4/21. DEPARTMENT OF ENERGY up to 6,000 characters, without prior Accession Number: 20210504–5072. registration, using the eComment system Comments Due: 5 p.m. ET 5/17/21. Federal Energy Regulatory at http://www.ferc.gov/docs-filing/ The filings are accessible in the Commission ecomment.asp. You must include your name and contact information at the end Commission’s eLibrary system (https:// [Project No. 15116–000] of your comments. For assistance, elibrary.ferc.gov/idmws/search/ fercgensearch.asp) by querying the Ocean Renewable Power Company, please contact FERC Online Support at [email protected], (866) docket number. Inc.; Notice of Preliminary Permit Any person desiring to intervene or Application Accepted for Filing and 208–3676 (toll free), or (202) 502–8659 (TTY). In lieu of electronic filing, you protest in any of the above proceedings Soliciting Comments, Motions To must file in accordance with Rules 211 Intervene, and Competing Applications may submit a paper copy. Submissions sent via the U.S. Postal Service must be and 214 of the Commission’s On April 29, 2021, Ocean Renewable addressed to: Kimberly D. Bose, Regulations (18 CFR 385.211 and Power Company, Inc. filed an Secretary, Federal Energy Regulatory 385.214) on or before 5:00 p.m. Eastern application for a preliminary permit, Commission, 888 First Street NE, Room time on the specified comment date. pursuant to section 4(f) of the Federal 1A, Washington, DC 20426. Protests may be considered, but Power Act, proposing to study the Submissions sent via any other carrier intervention is necessary to become a feasibility of the proposed East Foreland must be addressed to: Kimberly D. Bose, party to the proceeding. Tidal Energy Project No. 15116–000, to Secretary, Federal Energy Regulatory eFiling is encouraged. More detailed be located on Cook Inlet near Nikiski Commission, 12225 Wilkins Avenue, information relating to filing and adjacent lands of the Kenai Rockville, Maryland 20852. The first requirements, interventions, protests, Peninsula Borough, Alaska. The sole page of any filing should include docket service, and qualifying facilities filings purpose of a preliminary permit, if number P–15116–000. can be found at: http://www.ferc.gov/ issued, is to grant the permit holder More information about this project, docs-filing/efiling/filing-req.pdf. For priority to file a license application including a copy of the application, can other information, call (866) 208–3676 during the permit term. A preliminary be viewed or printed on the ‘‘eLibrary’’ (toll free). For TTY, call (202) 502–8659.
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Dated: May 5, 2021. docketed proceedings should be application is available upon request Kimberly D. Bose, delivered to Health and Human from EPA (at the email address below). Secretary. Services, 12225 Wilkins Avenue, DATES: This approval is effective upon [FR Doc. 2021–09929 Filed 5–10–21; 8:45 am] Rockville, Maryland 20852. the date of publication in the Federal In addition to publishing the full text BILLING CODE 6717–01–P Register on May 11, 2021. of this document in the Federal Register, the Commission provides all FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF ENERGY interested persons an opportunity to Ferry Akbar Buchanan, U.S. view and/or print the contents of this Environmental Protection Agency— Federal Energy Regulatory document via the internet through the Region III. Telephone: (215) 814–2570; Commission Commission’s Home Page (http:// email address: AkbarBuchanan.Ferry@ epa.gov. [Docket No. ER21–1814–000] www.ferc.gov) using the ‘‘eLibrary’’ link. Enter the docket number excluding the SUPPLEMENTARY INFORMATION: Pursuant Yellow Pine Energy Center II, LLC; last three digits in the docket number to Clean Water Act section 312(f)(3), if Supplemental Notice That Initial field to access the document. At this any state determines that the protection Market-Based Rate Filing Includes time, the Commission has suspended and enhancement of the quality of some Request for Blanket Section 204 access to the Commission’s Public or all of the state’s waters require greater Authorization Reference Room, due to the environmental protection, the state may proclamation declaring a National This is a supplemental notice in the designate the waters as a vessel sewage Emergency concerning the Novel no-discharge zone. However, the state above-referenced proceeding of Yellow Coronavirus Disease (COVID–19), issued Pine Energy Center II, LLC’s application may not establish the no-discharge zone by the President on March 13, 2020. For until EPA has determined that adequate for market-based rate authority, with an assistance, contact the Federal Energy accompanying rate tariff, noting that pumpout facilities for the safe and Regulatory Commission at sanitary removal and treatment of such application includes a request for [email protected] or call blanket authorization, under 18 CFR sewage from all vessels are reasonably toll-free, (886) 208–3676 or TYY, (202) available for the proposed waters. EPA’s part 34, of future issuances of securities 502–8659. and assumptions of liability. implementing regulations, 40 CFR part Any person desiring to intervene or to Dated: May 5, 2021. 140, require that the state apply to EPA protest should file with the Federal Kimberly D. Bose, to obtain such a determination, and Energy Regulatory Commission, 888 Secretary. identify the types of information that First Street NE, Washington, DC 20426, [FR Doc. 2021–09928 Filed 5–10–21; 8:45 am] must be included in the application. This includes a certification of need for in accordance with Rules 211 and 214 BILLING CODE 6717–01–P of the Commission’s Rules of Practice the no-discharge zone and information and Procedure (18 CFR 385.211 and regarding the vessel population and pumpout facilities. 385.214). Anyone filing a motion to ENVIRONMENTAL PROTECTION intervene or protest must serve a copy AGENCY The proposed no-discharge zone of that document on the Applicant. includes thirteen water bodies wholly Notice is hereby given that the [FRL 10021–74–Region 3] within Anne Arundel County, Maryland: Stoney Creek, Rock Creek, deadline for filing protests with regard Clean Water Act: No-Discharge Zones to the applicant’s request for blanket Bodkin Creek, the Atlantic Marina for Vessel Sewage in Maryland and Resort, Magothy and Little Magothy authorization, under 18 CFR part 34, of Virginia future issuances of securities and Rivers, Severn River, South River, West assumptions of liability, is May 25, AGENCY: Environmental Protection and Rhode Rivers, Podickory Creek, 2021. Agency (EPA). Sandy Point/Mezick Ponds, Whitehall The Commission encourages ACTION: Notice—final determination. Bay, Oyster Cove and Fishing Creek. electronic submission of protests and While these waterbodies constitute interventions in lieu of paper, using the SUMMARY: On behalf of the State of nearly all of the county’s waters, a few FERC Online links at http:// Maryland, the Secretary of the Maryland water bodies have not been proposed for www.ferc.gov. To facilitate electronic Department of Natural Resources the no-discharge zone designation. service, persons with internet access requested that the Regional These include two inter-jurisdictional who will eFile a document and/or be Administrator, U.S. Environmental rivers that border the county, the listed as a contact for an intervenor Protection Agency, Region 3 approve a Patapsco River and Patuxent River, as must create and validate an no-discharge zone for thirteen water well as Curtis Creek. The proposed no- eRegistration account using the bodies in Anne Arundel County, discharge zone encompasses a total area eRegistration link. Select the eFiling Maryland pursuant to the Clean Water of 27,379 acres, expanding upon an link to log on and submit the Act. After review of Maryland’s existing 3,500 acre no-discharge zone intervention or protests. application, EPA determined that for Herring Bay that was approved in Persons unable to file electronically adequate facilities for the safe and 2002 (67 FR 1352, January 10, 2002). may mail similar pleadings to the sanitary removal and treatment of The table below provides the Federal Energy Regulatory Commission, sewage from all vessels are reasonable coordinates delineating the proposed 888 First Street NE, Washington, DC available for all thirteen waterbodies no-discharge zone boundaries for each 20426. Hand delivered submissions in within Anne Arundel County. The of the thirteen waterbodies.
Area Waterbody Waterbody limits (acres)
Stony Creek ...... 39.1723 °N, 76.5171 °W to 39.1725 °N, 76.5126 °W ...... 677 Rock Creek ...... 39.1614 °N, 76.5004 °W to 39.1625 °N, 76.4862 °W ...... 524
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Area Waterbody Waterbody limits (acres)
South Shore, Patapsco River ...... 39.1472 °N, 76.4589 °W to 39.1471 °N, 76.4588 °W ...... 2 Bodkin Creek ...... 39.1346 °N, 76.4398 °W to 39.1321 °N, 76.4378 °W ...... 609 Magothy and Little Magothy Rivers ...... 39.0597 °N, 76.4332 °W to 39.0527 °N, 76.4382 °W ...... 5,879 Podickory Creek ...... 39.0328 °N, 76.4040 °W to 39.0317 °N, 76.4048 °W ...... 9 Sandy Point/Mezick Ponds ...... 39.0082 °N, 76.4031 °W to 39.0081 °N, 76.4033 °W ...... 47 Whitehall Bay ...... 38.9748 °N, 76.4547 °W to 38.9871 °N, 76.4268 °W ...... 1,599 Severn River ...... 38.9748 °N, 76.4547 °W to 38.9411 °N, 76.4502 °W ...... 7,497 Oyster Creek ...... 38.9274 °N, 76.4638 °W to 38.9273 °N, 76.4634 °W ...... 34 Fishing Creek ...... 38.9147 °N, 76.4590 °W to 38.9073 °N, 76.4600 °W ...... 228 South River ...... 38.9073 °N, 76.4600 °W to 38.8877 °N, 76.4898 °W ...... 5,904 West and Rhode Rivers ...... 38.8877 °N, 76.4898 °W To 38.8531 °N, 76.4959 °W ...... 4,370
Total Area ...... 27,379
In the application, Maryland certified Naval Academy, has hosted the U.S. Coastal Waters from Vessel and Marina that the waters of the City of Annapolis Sailboat and Powerboat Shows annually Discharges: A Guide for State and Local and Anne Arundel County require since 1970, and is known as the ‘‘The Officials, Volume 1. Establishing No- greater environmental protection than Nation’s Sailing Capital.’’ According to Discharge Areas under section 312 of provided by currently applicable the application’s sources, there are the Clean Water Act’’ (EPA 842–B–94– Federal standards for vessel sewage approximately 96 recreational boating 004, August 1994)), the estimated discharges. The Magothy River, businesses in Anne Arundel County, number of vessels requiring pumpout Whitehall Bay/Meredith River, Severn plus additional businesses that support facilities in the City of Annapolis and River, South River, Rhode River and and depend on recreational crabbing Anne Arundel County during peak West River have been listed on current and fishing. occupancy is 2,924 vessels. or previous Clean Water Act 303(d) lists The State of Maryland provided of impaired waters by Maryland as documentation indicating that the Based on Maryland’s vessel impaired for shellfish harvesting due to maximum total vessel population is population estimates and EPA guidance, fecal coliform. As such, many shellfish estimated to be 29,789 vessels, the approximately 46 pumpout facilities are beds are restricted or closed. All except majority of which are recreational. The needed to adequately service the vessel Whitehall Bay/Meredith Creek are also most conservative vessel population population. Maryland identified 61 impaired for nutrients (nitrogen and estimates provided by Maryland suggest marinas offering public pumpout phosphorus) and all except the that there are 7,182 vessels less than 16 service, including 59 stationary units, Whitehall Bay/Meredith Creek and West feet in length, 10,307 vessels between 16 nine portable units and three mobile River for total suspended solids. The feet and 26 feet in length, 9,072 vessels pumpout boats. The application state anticipates that a no-discharge between 26 feet and 40 feet in length, provides additional information zone designation would help reduce and 3,228 vessels greater than 40 feet in regarding height and draft limitations levels of nutrients, total suspended length. Commercial traffic on these for accessing pumpout facilities. EPA solids, and fecal coliform within these waterways is limited to boat rental has determined that vessels using the impaired waters. companies, public charter vessels and proposed waters will not be excluded The application also highlights the several small cruise ships. Based on the due to any such limitations. A list of the importance of boating in Anne Arundel number and size of vessels and EPA facilities, phone numbers, locations and County. The county is home to the U.S. guidance on the subject (‘‘Protecting hours of operation follows.
Off Station Location Phone Hours Depth season Limited Address operation overhead
AREA: PATAPSCO RIVER (11)
Atlantic Marina Re- Patapsco River 410–437–6926 9–5 Daily...... 4′ No ...... NA ...... 2010 Knollview Ave, Pasadena, MD sort. (mouth). 21122. Blake’s Bar Harbor ... Patapsco River 410–255–5500 8–6 Daily...... 4′ No ...... NA ...... 208 Bar Harbor Rd, Pasadena, MD Rock Creek. 21122. Fairview Marina ...... Patapsco River 410–437–3400 Mon–Fri 8–4; Sat- 5′ No ...... NA ...... 1575 Fairview Beach Rd, Pasadena, MD Rock Creek. Sun 8–3. 21122. Hammock Island Ma- Patapsco River 410–437–1870 10–4 daily...... 7′ No ...... NA ...... 8083 Ventnor Rd, Pasadena, MD 21122. rina. Bodkin Creek. Maryland Yacht Club Patapsco River 410–255–4444 8–4 daily...... 17′ Yes ...... NA ...... 1500 Fairview Beach Rd, Pasadena, MD Rock Creek. 21122. Nabbs Creek Marina Patapsco River 410–437–0402 8:30–5 daily...... 6′ No ...... Yes ...... 864 Nabbs Creek Rd, Glen Burnie, MD Stoney Creek. 21060. Oak Harbor Marina ... Patapsco River 410–255–4070 24–7 ...... 15′ No ...... NA ...... 1343 Old Water Oak Point Rd, Pasa- Rock Creek. dena, MD 21122. Pasadena Yacht Yard Patapsco River 410–255–1771 9–5 daily...... 4′ No ...... NA ...... 8631 Fort Smallwood Road Pasadena, Rock Creek. MD 21122. Pleasure Cove Ma- Patapsco River 410–437–6600 Mon–Thur 9–6; Fri- 8′ Yes ...... NA ...... 1701 Poplar Ridge Rd, Pasadena, MD rina. Bodkin Creek. Sun 9–8. 21122. Ventnor Marina ...... Patapsco River 410–255–4100 9–5 daily...... 10′ Yes ...... NA ...... 8070 Ventnor Rd, Pasadena, MD 21122. Bodkin Creek. White Rocks Marina Patapsco River 410–255–3800 Mon–Fri 9–3; Sat 14′ No ...... NA ...... 1402 Colony Rd, Pasadena, MD 21122. & Boatyard. Rock Creek. 11–2.
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Off Station Location Phone Hours Depth season Limited Address operation overhead
AREA: MAGOTHY RIVER (7)
Atlantic Marina on the Magothy River/ 410–360–2500 9–5 daily...... 6′ No ...... NA ...... 487 New York Ave, Pasadena, MD Magothy. Grays Creek. 21122. Fairwinds Marina ...... Magothy Marina ..... 410–974–0758 8–5 daily ...... 6′ No ...... NA ...... 1000 Fairwinds Dr, Annapolis, MD 21409. Ferry Point Marina .... Magothy River/Mill 410–544–6368 7am–8pm daily...... 14′ Yes ...... NA ...... 1606 Marina Dr, Trappe, MD 21673. Creek. Hamilton Harbour Magothy River ...... 410–647–0733 Thurs–Tues 9–5 ..... 12′ No ...... NA ...... 368 North Dr, Severna Park, MD 21146. Marina. Magothy Marina ...... Magothy River ...... 410–647–2356 Mon–Thur 8–6, Fri– 16′ No ...... NA ...... 360 Magothy Rd, Severna Park, MD Sun 8–8. 21146. Podickory Point Yacht Chesapeake Bay .... 410–757–8000 9–5 daily ...... 5′ No ...... NA ...... 2116 Bay Front Terrace, Annapolis, MD Club. 21409. Sandy Point State Chesapeake Bay .... 410–974–2149 24–7 ...... 6′ No ...... NA ...... 1100 E College Pkwy, Annapolis, MD Park. 21409.
AREA: SEVERN RIVER (17)
Annapolis City Marina Severn River Spa 410–268–0660 8–8 daily...... 14′ Upon Re- NA ...... 410 Severn Ave, Annapolis, MD 21403. Creek. quest. Annapolis Landing Severn River Back 410–263–0090 10–5 daily...... 6′ No ...... NA ...... 980 Awald Rd, Annapolis, MD 21403. Marina. Creek. Annapolis Maryland Severn River Back 410–269–5219 9–5 daily...... 8′ No ...... NA ...... 16 Chesapeake Landing, Annapolis, MD Capital Yacht Club. Creek. 21403 Bert Jabin’s Yacht Severn River Back 410–268–9667 8–4:30 daily...... 8′ No ...... NA ...... 7310 Edgewood Rd, Annapolis, MD Yard. Creek. 21403. Chesapeake Harbour Chesapeake Bay .... 410–268–1969 9–5 daily ...... 8′ No ...... NA ...... 2030 Chesapeake Harbour Dr E, Annap- Marina. olis, MD 21403. City of Annapolis Severn River Spa 410–320–6852 Mon–Sat 8–4:30..... NA NA ...... NA ...... NA. Pumpout Boat. Creek. Eastport Yacht Cen- Severn River Back 410–280–9988 8–4 daily...... 8′ No ...... NA ...... 726 2nd St, Annapolis, MD 21403. ter. Creek. Horn Point Harbour Severn River Back 410–263–0550 9–5 daily...... 8′ No ...... NA ...... 105 Eastern Ave, Annapolis, MD 21403. Marina. Creek. JPort Marina ...... Severn River Back 410–280–8692 9–5 daily...... 9′ No ...... NA ...... 7074 Bembe Beach Rd, Annapolis, MD Creek. 21403. Little John Marina ..... Severn River Brew- 410–841–6491 9–5 daily...... 15′ No ...... NA ...... 134 Sherwood Forest Road, Sherwood er Creek. Forest, MD 21405. Mears Marina ...... Severn River Back 410–268–8282 24–7 ...... 10′ No ...... NA ...... 519 Chester Ave, Annapolis, MD 21403. Creek. Pines on the Severn Severn River/Chase 410–370–2948 24–7 ...... 10′ No ...... NA ...... 21012, Arnold, MD 21012. Creek. Port Annapolis Ma- Severn River Back 410–269–1990 8–4:30 daily...... 10′ Yes ...... NA ...... 7074 Bembe Beach Rd, Annapolis, MD rina. Creek. 21403. Smith’s Marina ...... Severn River Little 410–923–3444 8–8 daily...... 7′ No ...... Yes ...... 529 Ridgley Rd, Crownsville, MD 21032. Round Bay. The President Point .. Severn River Spa 410–991–9381 7–7 daily...... 5′ No ...... NA. Creek. Watergate Pointe Ma- Severn River/Back 443–926–1303 24–7 ...... 7′ No ...... NA ...... 655 Americana Dr, Annapolis, MD rina. Creek. 21403. Yacht Haven of An- Severn River Spa 410–267–7654 Mon–Fri 7:30–4:30 11′ No ...... NA ...... 326 First St, Annapolis, MD 21403. napolis. Creek.
AREA: SOUTH RIVER (13)
Anchor Yacht Basin .. South River Selby 410–798–1431 8–5 daily...... 5′ No ...... NA ...... 1048 Turkey Point Rd, Edgewater, MD Bay. 21037. Arundel on the Bay ... South River/Fishing 443–253–0596 Dawn to dusk ...... 4–6′ Yes ...... NA ...... P.O. Box 4665, Annapolis. Creek. Fishing Creek ...... South River Duvall ...... 24–7 ...... 7′ No ...... NA ...... 122 Cherry Lane, Annapolis 21403. Creek. Holiday Point Marina South River Selby 410–956–2208 Mon–Fri 7:30–4; Sat 6′ Yes ...... NA ...... 3774 Beach Dr, Blvd # C, Edgewater, Bay. by appointment. MD 21037. Liberty Marina ...... South River ...... 410–266–5633 8–4:30 daily ...... 15′ Yes ...... Yes ...... 64 Old South River Rd, Edgewater, MD 21037. Mayo Ridge Marina .. South River 410–798–1952 9–7 daily...... 5′ Yes ...... NA ...... 1293 Mayo Ridge Rd, Edgewater, MD Ramsey Lake. 21037. Norris Marina ...... South River 410–798–0275 8–4 daily...... 8′ No ...... Yes ...... 1111 Turkey Point Rd, Edgewater, MD Ramsey Lake. 21037. Oak Grove Marine South River ...... 410–266–6696 Mon–Fri 10–6; Sat- 9′ No ...... NA ...... 2820 Solomons Island Rd, Edgewater, Center. Sun 8–7. MD 21037. Oyster Harbor ...... South River/Oyster 410–280–8999 24–7 ...... 6′ No ...... NA ...... P.O. Box 3174, Annapolis. Creek. Pier 7 Marina ...... South River ...... 410–956–2288 9–5 daily ...... 12′ No ...... Yes ...... 48 S River Road South, Edgewater, MD 21037. Pocahontas Marina ... South River/Poca- 410–533–8752 24–7 ...... 10′ Yes ...... NA ...... 3365 Pocahontas Drive, Edgewater, MD hontas Creek. 21037. Selby Bay Marina ..... South River Selby 410–798–0232 9–5 daily...... 8′ Yes ...... NA ...... 931 Selby Blvd, Edgewater, MD 21037. Bay.
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Off Station Location Phone Hours Depth season Limited Address operation overhead
Turkey Point Marina South River 410–798–1369 Tues–Sat 9–5...... 4′ No ...... No ...... 1107 Turkey Point Rd, Edgewater, MD Ramsey Lake. I I I I 21037. AREA: RHODE RIVER (5)
Blue Water Marina .... Rhode River, Bear 410–798–6968 10–5 daily...... 10′ No ...... NA ...... 1024 Carrs Wharf Rd., Edgewater, MD Neck Creek. 21037. Cadle Creek Marina .. Rhode River Cadle 410–798–1915 9–5 daily...... 6′ No ...... NA ...... 4159 Cadle Creek Rd, Edgewater, MD Creek. 21037. Casa Rio Marina ...... Rhode River Cadle 410–798–4731 Mon–Fri 8–4...... 5′ Yes ...... NA ...... 4079 Cadle Creek Rd, Mayo, MD Creek. 21106. Rhode River Marina .. Rhode River Back 410–798–1658 8–5 daily...... 9′ No ...... NA ...... 3932 Germantown Rd, Edgewater, MD Neck Creek. 21037. West/Rhode Rhode River ...... 443–221–5104 Fri–Mon 8–6...... No ...... NA ...... 4800 Atwell Road, Edgewater, MD Riverkeeper or VHF 21037. Pumpout Boat. channel 71
AREA: WEST RIVER (7)
Backyard Boats ...... West River/Parrish 301–261–5115 8–4 daily...... 10′ Yes ...... NA ...... 4819 Woods Wharf Rd Shady Side, MD Creek. 20764. Chesapeake Yacht West River ...... 410–867–1500 Wed-Mon 9–4 ...... 8′ No ...... NA ...... 4943 Hine Dr, Shady Side, MD 20764. Club. Hartge Yacht Harbor West River ...... 443–607–6306 Mon–Fri 8–5; Sat– 10′ No ...... NA ...... 4883 Church Ln, Galesville, MD 20765. Sun 9–5. Shady Oaks Marina .. West River ...... 410–267–1808 8–8 daily ...... 5′ No ...... NA ...... 846 Shady Oaks Rd, West River, MD 20778. West/Rhode River West River ...... 443–221–5104 Fri–Mon 8–6...... No ...... NA ...... 4800 Atwell Road, Edgewater, MD Keeper Pump out. or VHF 21037. channel 71 West River Fuel Dock West River ...... 410–867–1444 M–Th 9–5, S/S 8–6, 8′ No ...... NA ...... 4801 Riverside Dr. Galesville, MD Fri 9–6. 20765. West River Yacht West River ...... 301–672–3473 8–6 daily ...... 7′ Yes ...... NA ...... 4801 Riverside Dr, Galesville, MD Harbor Condo. 20765.
AREA: WHITEHALL BAY (1)
Hinkley Yacht Club ... Whitehall Creek ...... 443–951–4380 M–F 8–9, Week- 12′ Yes ...... NA ...... 1656 Homewood Landing Road White- ends by appoint- hall, Annapolis, MD 21409. ment.
As part of the determination, EPA In order to solicit input on Maryland’s sewage onsite in a holding tank for later considered the costs associated with the application, EPA published a tentative pumpout by a septic hauler that adequacy and availability of pumpout affirmative determination in the Federal ultimately transports the sewage to a facilities and determined that costs are Register on September 23, 2020, thereby wastewater treatment plant licensed to minimal. As shown in the table below, opening a 30-day public comment operate in the state of Maryland. The pumpout facilities located within the period (85 FR 59788). EPA received remaining facilities are directly served proposed no-discharge zone charge fees comments from five individuals by the public sewer, where sewage is that range from $3 to $50, with 52 of 61 regarding establishment of a no- directly deposited into the public sewer available facilities charging $5 or less, discharge zone in Anne Arundel County systems. Maryland confirms that these including 15 facilities that are free to and its tributaries. Of those, one systems comply all applicable use. According to Maryland’s supported and three opposed the effort. regulations. Treatment facilities are application, the majority of commercial The other commenter neither supported regulated by Maryland through NPDES vessels operating in the proposed no- nor opposed the no-discharge zone, and permits under CWA section 402 and discharge zone are already equipped instead inquired whether the addressed in the Code of Maryland with holding tank capacity and commenter could receive a temporary Regulations. Any specific overflows or therefore are not expected to experience exemption from enforcement of this no- spills from such facilities may further be incremental cost increases as a result of discharge zone. Since EPA does not addressed further through enforcement the designation. enforce this requirement once approved, and/or compliance efforts. EPA that comment is outside the scope of reviewed recent data pertaining to Number of Proportion of EPA’s authority to respond. Comments overflows and found no significant pumpout critical of establishing a no-discharge violations of such permit requirements. Fee pumpout facilities facilities (percent) zone focused on three primary issues. Additionally, there are no Combined Issue 1: Nearby municipalities lack Sewer Systems in the proposed waters. Free ...... 15 24 the proper waste treatment system that EPA does not believe the closest CSO $3 ...... 1 1.5 often overflow and result in spilling communities have any significant $5 ...... 37 62 sewage to nearby waters. impact on these waters; furthermore, $10 ...... 5 8 Response 1: In Maryland’s those programs are being adequately $15 ...... 2 3 application, the state identifies how addressed through ongoing separation $50 ...... 1 1.5 collected waste is handled by each projects and/or in accordance with the Total ...... 61 100 individual pumpout facility. Some schedule for approved long term control pumpout facilities temporarily store plans.
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Issue 2: The number of available published in the Federal Register on School Site, U.S. EPA Docket No: pumpouts is sufficient for the resident September 23, 2020, incorrectly CERCLA 01–2021–0058. vessel population but not for the identified one of the coordinates FOR FURTHER INFORMATION CONTACT: A transient vessel population in Whitehall delineating the no-discharge zone copy of the proposed settlement may be Bay. boundary at the mouth of the Perrin obtained from Stacy Greendlinger, Response 2: In addition to the River as 37°15′47.18″ N, 76°25′20.73″ W Superfund and Emergency Management stationary pumpout facility open for (85 FR 59796). This notification hereby Division, U.S. Environmental Protection public use in Whitehall Bay, nearby corrects this coordinate to 37°15′43.52″ Agency, Region I, 5 Post Office Square, facilities are available to the southwest N, 76°25′25.71″ W (NAD 83). Suite 100 (02–2), Boston, MA 02109– in Severn River (16 facilities) and to the Diana Esher, 3912, telephone number: (617) 918– northeast in Sandy Point/Mezick’s Pond 1403, email address: (one facility). As such, transient vessel Acting Regional Administrator, EPA Region III. [email protected]. Direct operators have an option available to technical questions to Stacy [FR Doc. 2021–09957 Filed 5–10–21; 8:45 am] them while operating within Whitehall Greendlinger and legal questions to BILLING CODE 6560–50–P Bay, as well as before or after transiting Michelle Lauterback, Office of Regional through the area. Counsel, U.S. Environmental Protection Issue 3: Most pumpout facilities are Agency, Region I, 5 Post Office Square, not open after dark and very few are ENVIRONMENTAL PROTECTION AGENCY Suite 100 (04–2), Boston, MA 02109– open during winter. 3912, telephone number: (617) 918– Response 3: The commenter is correct [CERCLA 01–2021–0058; FRL–10023–44– 1774, email address: that few pumpout facilities offer Region 1] [email protected]. around-the-clock service. However, numerous facilities across the proposed Proposed CERCLA Administrative SUPPLEMENTARY INFORMATION: This no-discharge zone are available to Cost Recovery Settlement: Former proposed administrative settlement for service vessels into the late afternoon Healy School Site, Fall River, recovery of response costs concerning and evening. It is reasonable to expect Massachusetts the Former Healy School Site, located in that vessel operators can identify Fall River, Bristol County, AGENCY: Environmental Protection suitable times and locations to pumpout Massachusetts, is made in accordance Agency (EPA). during facility operating hours. During with Section 122(h)(l) of the the off-season (winter) months, vessels ACTION: Notice of proposed settlement; Comprehensive Environmental can be pumped out at the six different request for public comments. Response, Compensation, and Liability Act (CERCLA). EPA covenants not to pumpout facilities across the proposed SUMMARY: Notice is hereby given of a no-discharge zone that continue to sue or take administrative action against proposed administrative cost settlement the Settling Party, Spindle City Homes, operate. The Annapolis City pumpout for recovery of response costs boat also remains in service during this Inc., pursuant to Section 107(a) of concerning the Former Healy School CERCLA, 42 U.S.C. 9607(a), for time. While most pumpout facilities are Site, located in Fall River, Bristol closed, Maryland estimates that only a Response Costs. In exchange, the County, Massachusetts, with the Settling Party agrees to pay to EPA an small percentage of vessels operate Settling Party, Spindle City Homes, Inc. during the off-season, and typically only amount equal to the Net Sale Proceeds To settle EPA’s claim for recovery of minus $5,000 for attorney fees and do so for short day trips. As such, EPA response costs, which amount to has determined that, because the expenses. ‘‘Net Sale Proceeds’’ shall approximately $1,577,000, the proposed mean the $450,000 sales price set forth reduction in pumpout service capacity settlement requires the Settling Party to coincides with a reduction in demand in the Purchase and Sale Agreement pay EPA an amount equal to the sale minus the sum of: (i) Any reasonable for pumpout services, the available price of the property of $450,000 minus facilities during the off-season months closing costs paid regarding the sale; (ii) $5,000 for attorney fees, reasonable any reasonable. broker’s fees regarding remain adequate and reasonably closing costs, reasonable broker’s fees available to the small number of vessels the sale; and (iii) any outstanding real and any outstanding real estate taxes or estate taxes or other municipal charges requiring pumpouts. other municipal liens owed to the City Based on the information provided by owed to the City of Fall River with of Fall River at the time of the closing. the State of Maryland and after respect to the Property that are paid to In exchange, EPA will release its lien consideration of the comments received, the City of Fall River at the time of and provide the Settling Party with a as well as information otherwise closing. Payment of such amount shall covenant not to sue for the Site. For 30 available to EPA, EPA hereby issues a be due within 48 hours of the closing of days following the date of publication of final affirmative determination that the sale of the property and within 14 this notice, the Agency will receive adequate facilities for the safe and days of receiving payment, EPA will written comments relating to the sanitary removal and treatment of provide Settling Party with a release of settlement for recovery of response sewage from all vessels are reasonably lien. The Agency will consider all costs. available for the thirteen identified comments received and may modify or waterbodies located in the City of DATES: Comments must be submitted by withdraw its consent to this cost Annapolis and Anne Arundel County June 10, 2021. recovery settlement if comments and its tributaries such that the State of ADDRESSES: Comments should be received disclose facts or considerations Maryland may establish a vessel sewage addressed to Michelle Lauterback, which indicate that the settlement is no-discharge zone. Senior Enforcement Counsel, Office of inappropriate, improper, or inadequate. Through this notification, EPA also Regional Counsel, U.S. Environmental The Agency’s response to any comments amends one of the geographic Protection Agency, 5 Post Office Square, received will be available for public coordinates from an existing no- Suite 100 (04–2), Boston, MA 02109– inspection at the Environmental discharge zone for Perrin River. EPA’s 3912, (617) 918–1774, Protection Agency—Region I, 5 Post final affirmative determination for Sarah lauterback.michelle@epagov, and Office Square, Suite 100, Boston, MA Creek and Perrin River, Virginia, should reference the Former Healy 02109–3912. The Effective Date of the
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Agreement is the date upon which EPA distribution, or use is consistent with wide range of stakeholders including notifies Spindle City Homes, Inc. that the terms as described in the final order. environmental, human health, and the public comment period has closed DATES: Comments must be received on agricultural advocates; the chemical and that such comments, if any, do not or before June 10, 2021. industry; pesticide users; and members require that EPA modify or withdraw ADDRESSES: Submit your comments, of the public interested in the sale, from the Agreement. If the closing of the identified by docket identification (ID) distribution, or use of pesticides. sale of the Property pursuant to the number EPA–HQ–OPP–2021–0015, by B. What should I consider as I prepare Purchase and Sale Agreement does not one of the following methods: my comments for EPA? take place on or before November 1, • Federal eRulemaking Portal: http:// 2021, this Agreement is voidable at the www.regulations.gov. Follow the online 1. Submitting CBI. Do not submit this discretion of EPA. The proposed instructions for submitting comments. information to EPA through settlement has been approved by the Do not submit electronically any regulations.gov or email. Clearly mark Environmental and Natural Resources information you consider to be the part or all of the information that Division of the United States Confidential Business Information (CBI) you claim to be CBI. For CBI Department of Justice. or other information whose disclosure is information in a disk or CD–ROM that you mail to EPA, mark the outside of the Bryan Olson, restricted by statute. • Mail: OPP Docket, Environmental disk or CD–ROM as CBI and then Director, Superfund and Emergency identify electronically within the disk or Management Division. Protection Agency Docket Center (EPA/ DC), (28221T), 1200 Pennsylvania Ave. CD–ROM the specific information that [FR Doc. 2021–09917 Filed 5–10–21; 8:45 am] is claimed as CBI. In addition to one BILLING CODE 6560–50–P NW, Washington, DC 20460–0001. Submit written withdrawal request by complete version of the comment that mail to: Registration Division (7502P), includes information claimed as CBI, a copy of the comment that does not ENVIRONMENTAL PROTECTION Office of Pesticide Programs, contain the information claimed as CBI AGENCY Environmental Protection Agency, 1200 Pennsylvania Ave. NW, Washington, DC must be submitted for inclusion in the [EPA–HQ–OPP–2021–0015; FRL–10023–30] 20460–0001. ATTN: Christopher Green. public docket. Information so marked • will not be disclosed except in Notice of Receipts of Requests to Hand Delivery: To make special arrangements for hand delivery or accordance with procedures set forth in Voluntarily Cancel Certain Pesticide 40 CFR part 2. Registrations delivery of boxed information, please follow the instructions at http:// 2. Tips for preparing your comments. AGENCY: Environmental Protection www.epa.gov/dockets/contacts.html. When preparing and submitting your Agency (EPA). Additional instructions on comments, see the commenting tips at ACTION: Notice. commenting or visiting the docket, http://www.epa.gov/dockets/ along with more information about comments.html. SUMMARY: In accordance with the dockets generally, is available at http:// II. What action is the Agency taking? Federal Insecticide, Fungicide, and www.epa.gov/dockets. Rodenticide Act (FIFRA), EPA is issuing This notice announces receipt by the FOR FURTHER INFORMATION CONTACT: Agency of requests from registrants to a notice of receipt of requests by Christopher Green, Registration Division cancel certain pesticide products registrants to voluntarily cancel certain (7502P), Office of Pesticide Programs, registered under FIFRA section 3 (7 pesticide registrations. EPA intends to Environmental Protection Agency, 1200 U.S.C. 136a) or 24(c) (7 U.S.C. 136v(c)). grant these requests at the close of the Pennsylvania Ave. NW, Washington, DC These registrations are listed in comment period for this announcement 20460–0001; telephone number: (703) sequence by registration number in unless the Agency receives substantive 347–0367; email address: Table 1 and Table 1A of this unit. comments within the comment period [email protected]. that would merit its further review of Unless the Agency determines that the requests, or unless the registrants SUPPLEMENTARY INFORMATION: there are substantive comments that withdraw its requests. If these requests I. General Information warrant further review of the requests or are granted, any sale, distribution, or the registrants withdraw their requests, use of products listed in this notice will A. Does this action apply to me? EPA intends to issue an order in the be permitted after the registration has This action is directed to the public Federal Register canceling all the been cancelled only if such sale, in general and may be of interest to a affected registrations.
TABLE 1—REGISTRATIONS WITH PENDING REQUESTS FOR CANCELLATION
Company Registration No. No. Product name Active ingredients
100–886 ...... 100 Bicep Magnum ...... Atrazine & S-Metolachlor. 239–2661 ...... 239 Homedefense Indoor & Outdoor Insect Killer 3 ...... Bifenthrin. 239–2687 ...... 239 0.3% Bifenthrin Liquid I&O Concentrate ...... Bifenthrin. 239–2698 ...... 239 Home Defense Max Perimeter Insect Killer RTS ...... Bifenthrin. 239–2705 ...... 239 Ortho Home Defense Max Outdoor Perimeter Insect Bifenthrin. Killer Ready-Spray II. 279–3056 ...... 279 Talstar 2EC Insecticide/Miticide ...... Bifenthrin. 279–3086 ...... 279 Talstar 9.8 WSB Insecticide/Miticide ...... Bifenthrin. 279–3087 ...... 279 Talstar 9.9 WSB Insecticide/Miticide ...... Bifenthrin. 279–3121 ...... 279 Biflex TCC Insecticide ...... Bifenthrin. 279–3122 ...... 279 Biflex FTC Termiticide ...... Bifenthrin. 279–3152 ...... 279 Biflex Residential Flowable Insecticide/Miticide ...... Bifenthrin. 279–3156 ...... 279 Talstar GC Flowable Insecticide/Miticide ...... Bifenthrin.
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TABLE 1—REGISTRATIONS WITH PENDING REQUESTS FOR CANCELLATION—Continued
Company Registration No. No. Product name Active ingredients
279–3157 ...... 279 Talstar ME Insecticide/Miticide ...... Bifenthrin. 279–3161 ...... 279 Talstar RTU Insecticide/Miticide ...... Bifenthrin. 279–3162 ...... 279 Talstar Lawn & Tree Flowable Insecticide/Miticide ...... Bifenthrin. 279–3163 ...... 279 Talstar 0.2 G Lawn Granular Insecticide ...... Bifenthrin. 279–3166 ...... 279 Talstar Fire Ant Destroyer ...... Bifenthrin. 279–3172 ...... 279 Talstar 0.05 Lawn Granular Insecticide ...... Bifenthrin. 279–3173 ...... 279 Talstar 0.1 Lawn Granular Insecticide ...... Bifenthrin. 279–3193 ...... 279 Talstar GH Flowable Insecticide/Miticide ...... Bifenthrin. 279–3197 ...... 279 Talstar 0.073 GU Granular Insecticide with Fertilizer .. Bifenthrin. 279–3198 ...... 279 Talstar 0.087 GL Granular Insecticide with Fertilizer ... Bifenthrin. 279–3199 ...... 279 Talstar 0.069 GU Granular Insecticide with Fertilizer .. Bifenthrin. 279–3200 ...... 279 Talstar 0.083 GU Granular Insecticide with Fertilizer .. Bifenthrin. 279–3205 ...... 279 Talstar FT Flowable Termiticide/Insecticide ...... Bifenthrin. 279–3212 ...... 279 Talstar 0.069 GCGU Granular Insecticide ...... Bifenthrin. 279–3213 ...... 279 Talstar 0.069 GUPT1 Granular Insecticide with 19–0– Bifenthrin. 19 Fertilizer. 279–3224 ...... 279 Talstar 0.073 GCGU Granular Insecticide with 19–0– Bifenthrin. 19 Fertilizer. 279–3225 ...... 279 Talstar 0.073 GCGUPT1 Granular Insecticide with Bifenthrin. 19–0–19 Fertilizer. 279–3226 ...... 279 Talstar 0.073 GUPT1 Granular Insecticide with 19–0– Bifenthrin. 19 Fertilizer. 279–3235 ...... 279 Talstar 0.057 GURR Granular Insecticide with 19–0– Bifenthrin. 19 Fertilizer. 279–3239 ...... 279 Talstar 0.03% Granular Insecticide with 18–0–12 Fer- Bifenthrin. tilizer. 279–3252 ...... 279 FMC 01–0004 Insecticide ...... Bifenthrin. 279–3253 ...... 279 FMC 01–0004–2 Insecticide ...... Bifenthrin. 279–3264 ...... 279 F1785 GH 50 WG Insecticide ...... Flonicamid. 279–3277 ...... 279 F1785 N 50 WG Insecticide ...... Flonicamid. 279–3311 ...... 279 Bifenthrin 8% ME Termiticide/Insecticide ...... Bifenthrin. 279–3314 ...... 279 F5997 ME Insecticide/Miticide ...... Pyriproxyfen & Bifenthrin. 279–3333 ...... 279 F6305 WDG Insecticide ...... Flonicamid & Zeta-Cypermethrin. 279–3335 ...... 279 F6320 Granular Insecticide ...... Bifenthrin. 279–3364 ...... 279 F8028–1 Aerosol...... Bifenthrin. 279–3367 ...... 279 F6288 SC Liquid Insecticide ...... Bifenthrin & Imidacloprid. 279–9553 ...... 279 Intruder Residual with Cyfluthrin ...... Piperonyl butoxide; Pyrethrins & Cyfluthrin. 279–9604 ...... 279 Finesse Grass & Broadleaf Herbicide ...... Flucarbazone-sodium & Chlorsulfuron. 352–778 ...... 352 Dupont Require Q Herbicide ...... Dicamba & Rimsulfuron. 352–831 ...... 352 Dupont DPX–B2856 4.5 Herbicide ...... Glycine, N-(phosphonomethyl)- potassium salt & Glyphosate-isopropylammonium. 400–600 ...... 400 Flupro-EC ...... Flumetralin. 432–1407 ...... 432 Allectus G Insecticide ...... Bifenthrin & Imidacloprid. 432–1416 ...... 432 Allectus GC Granular Insecticide ...... Bifenthrin & Imidacloprid. 432–1418 ...... 432 Allectus 0.18 G Plus Turf Fertilizer Insecticide ...... Bifenthrin & Imidacloprid. 432–1419 ...... 432 Allectus 0.15 G Plus Turf Fertilizer Insecticide ...... Bifenthrin & Imidacloprid. 432–1421 ...... 432 Allectus GC SC Insecticide ...... Bifenthrin & Imidacloprid. 432–1426 ...... 432 Allectus 0.18 GC Plus Turf Fertilizer Insecticide ...... Bifenthrin & Imidacloprid. 432–1428 ...... 432 Allectus 0.15 GC Plus Turf Fertilizer Insecticide ...... Bifenthrin & Imidacloprid. 499–529 ...... 499 TC–251A ...... Permethrin. 499–551 ...... 499 TC 251C...... Permethrin. 2693–60 ...... 2693 Fiberglass Bottom Kote 449 Red ...... Cuprous oxide. 3862–158 ...... 3862 Weedzout ...... Bromacil, lithium salt. 4959–23 ...... 4959 Iosan ...... Nonylphenoxypolyethoxyethanol—iodine complex & Phosphoric acid. 8329–73 ...... 8329 ULV Mosquito Master 2+6 ...... Permethrin & Chlorpyrifos. 8329–115 ...... 8329 Phoenix ...... Prallethrin; Phenothrin & Piperonyl butoxide. 9688–227 ...... 9688 Chemsico Herbicide Granules AN ...... Atrazine. 9688–274 ...... 9688 Chemsico Granules LAH ...... lambda-Cyhalothrin & Atrazine. 10324–89 ...... 10324 Maquat MC5814–80% ...... Alkyl* dimethyl benzyl ammonium chloride *(58%C14, 28%C16, 14%C12). 10324–139 ...... 10324 Maquat TC76–40% ...... Dialkyl* methyl benzyl ammonium chloride *(60% C14, 30% C16, 5% C18, 5% C12) & Alkyl* dimethyl benzyl ammonium chloride *(60%C14, 30%C16, 5%C18, 5%C12). 10324–140 ...... 10324 Maquat MQ2525M–CPV ...... Alkyl* dimethyl benzyl ammonium chloride *(60%C14, 30%C16, 5%C18, 5%C12) & Alkyl* dimethyl ethyl- benzyl ammonium chloride *(68%C12, 32%C14).
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TABLE 1—REGISTRATIONS WITH PENDING REQUESTS FOR CANCELLATION—Continued
Company Registration No. No. Product name Active ingredients
10324–149 ...... 10324 Maquat TC76–80% ...... Dialkyl* methyl benzyl ammonium chloride *(60% C14, 30% C16, 5% C18, 5% C12) & Alkyl* dimethyl benzyl ammonium chloride *(60%C14, 30%C16, 5%C18, 5%C12). 10324–187 ...... 10324 Maquat-1010N–10% ...... 1-Decanaminium, N-decyl-N,N-dimethyl-, chloride. 26883–10 ...... 26883 High Performance Chem Copp ...... Cuprous oxide. 34704–920 ...... 34704 Quinclorac 75DF Herbicide ...... Quinclorac. 42750–41 ...... 42750 Dicambazine ...... Atrazine & Dicamba, potassium salt. 42750–44 ...... 42750 Atrazine 4L...... Atrazine. 42750–45 ...... 42750 Weed Pro Atrazine 4L Herbicide ...... Atrazine. 42750–50 ...... 42750 Brox-AT Herbicide ...... Bromoxynil octanoate & Atrazine. 42750–53 ...... 42750 Albaugh Atrazine 90 DF ...... Atrazine. 45168–1 ...... 45168 VC 17M Antifouling ...... Copper as elemental. 55467–6 ...... 55467 Volley ATZ Lite Tenkoz Herbicide ...... Atrazine & Acetochlor. 55467–7 ...... 55467 Volley ATZ Tenkoz Herbicide ...... Atrazine & Acetochlor. 55467–8 ...... 55467 Volley Tenkoz Herbicide ...... Acetochlor. 59639–106 ...... 59639 Atrazine 90 DF Herbicide ...... Atrazine. 66222–163 ...... 66222 N-Lock Nitrogen Stabilizer ...... Nitrapyrin. 70506–214 ...... 70506 Super Tin 80WP ...... Fentin hydroxide. 70506–228 ...... 70506 Trike ...... Triclopyr, triethylamine salt. 70506–292 ...... 70506 UPI Captan 50 WP ...... Captan. 70506–293 ...... 70506 UPI Captan 80 WDG ...... Captan. 71368–119 ...... 71368 Nufarm Leopard Herbicide ...... Glufosinate. 84009–33 ...... 84009 RM43 RTU ...... Imazapyr, isopropylamine salt & Glyphosate- isopropylammonium. 85063–1 ...... 85063 Ethylene Release Canister ERC ...... Ethylene. 93923–1 ...... 93923 Dicamba Technical...... Dicamba. 93923–2 ...... 93923 Dicamba Diglycolamine Salt SL ...... Dicamba, diglycolamine salt. 93923–3 ...... 93923 Dicamba Dimethylamine Salt SL ...... Dicamba, dimethylamine salt. DE–120005 ...... 69969 Avipel (Dry) Corn Seed Treatment ...... Anthraquinone. ID–150010 ...... 70506 Hydrothol 191 Aquatic Algicide and Herbicide ...... Endothall, mono(N,N,-dimethyl alkyl amine) salt. ID–180008 ...... 69969 Avipel Hopper Box (Dry) Corn Seed Treatment ...... Anthraquinone. MN–120002 ...... 69969 Avipel (Dry) Corn Seed Treatment ...... Anthraquinone. OK–100003 ...... 279 Transport Termiticide-Insecticide ...... Bifenthrin & Acetamiprid. SD–130004 ...... 69969 Avipel (Dry) Corn Seed Treatment ...... Anthraquinone. SD–150007 ...... 69969 Avipel (Dry) Corn Seed Treatment ...... Anthraquinone. WI–130003 ...... 69969 Avipel (Dry) Corn Seed Treatment ...... Anthraquinone. WI–150005 ...... 69969 Avipel (Dry) Corn Seed Treatment ...... Anthraquinone. WY–140002 ...... 69969 Avipel (Dry) Corn Seed Treatment ...... Anthraquinone.
TABLE 1A—REGISTRATION WITH PENDING REQUEST FOR CANCELLATION
Company Registration No. No. Product name Active ingredients
1021–2600 ...... 1021 Veratran D ...... Sabadilla alkaloids.
The registrant for the pesticide Table 2 of this unit includes the corresponds to the first part of the EPA product registration listed in Table 1A names and addresses of record for all registration numbers of the products has requested to the Agency via letter registrants of the products in Table 1 listed in this unit. that the cancellation becomes effective and Table 1A of this unit, in sequence September 30, 2022. by EPA company number. This number
TABLE 2—REGISTRANTS REQUESTING VOLUNTARY CANCELLATION
EPA company No. Company name and address
100 ...... Syngenta Crop Protection, LLC, 410 Swing Road, P.O. Box 18300, Greensboro, NC 27419–8300. 239 ...... The Scotts Company, d/b/a The Ortho Group, 14111 Scottslawn Road, Marysville, OH 43041. 279 ...... FMC Corporation, 2929 Walnut Street, Philadelphia, PA 19104. 352 ...... E.I. Du Pont De Nemours and Company, 9330 Zionsville Road, Indianapolis, IN 46268. 400 ...... MacDermid Agricultural Solutions, Inc., Agent Name: UPL NA, Inc., 630 Freedom Business Center, Suite 402, King of Prus- sia, PA 19406. 432 ...... Bayer Environmental Science, A Division of Bayer CropScience, LP, 700 Chesterfield Parkway West, Chesterfield, MO 63017. 499 ...... BASF Corporation, 26 Davis Drive, P.O. Box 13528, Research Triangle Park, NC 27709–3528.
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TABLE 2—REGISTRANTS REQUESTING VOLUNTARY CANCELLATION—Continued
EPA company No. Company name and address
1021 ...... McLaughlin Gormley King Company, d/b/a MGK, 7325 Aspen Lane N, Minneapolis, MN 55428. 2693 ...... International Paint, LLC, 6001 Antoine Drive, Houston, TX 77091. 3862 ...... ABC Compounding Co., Inc., P.O. Box 16247, Atlanta, GA 30321. 4959 ...... West Agro, Inc., 11100 N Congress Ave., Kansas City, MO 64153. 8329 ...... Clarke Mosquito Control Products, Inc., 675 Sidwell Court, St. Charles, IL 60174. 9688 ...... Chemsico, A Division of United Industries Corp., P.O. Box 142642, St. Louis, MO 63114–0642. 10324 ...... Mason Chemical Company, 9075 Centre Pointe Dr., Suite 400, West Chester, OH 45069. 26883 ...... American Chemet Corporation, Agent Name: TSG Consulting, 1150 18th Street NW, Suite 1000, Washington, DC 20036. 34704 ...... Loveland Products, Inc., P.O. Box 1286, Greeley, CO 80632–1286. 42750 ...... Albaugh, LLC, 1525 NE 36th Street, Ankeny, IA 50021. 45168 ...... Extensor AB, Agent Name: International Paint, LLC, 6001 Antoine Drive, Houston, TX 77091. 55467 ...... Tenkoz, Inc., 1725 Windward Concourse, Suite 410, Alpharetta, GA 30005. 59639 ...... Valent U.S.A. LLC, 4600 Norris Canyon Road, P.O. Box 5075, San Ramon, CA 94583. 66222 ...... Makhteshim Agan of North America, Inc., d/b/a Adama, 3120 Highwoods Blvd., Suite 100, Raleigh, NC 27604. 69969 ...... Arkion Life Sciences, LLC, Agent Name: Landis International, Inc., 3815 Madison Highway, P.O. Box 5126, Valdosta, GA 31603–5126. 70506 ...... UPL NA, Inc., 630 Freedom Business Center, Suite 402, King of Prussia, PA 19406. 71368 ...... NuFarm, Inc., Agent Name: NuFarm Americas, Inc., 4020 Aerial Center Pkwy., Suite 101, Morrisville, NC 27560. 84009 ...... Ragan and Massey, Inc., Agent Name: Pyxis Regulatory Consulting, Inc., 4110 136th St. Ct. NW, Gig Harbor, WA 98332. 85063 ...... Balchem Corporation, 52 Sunrise Park Road, New Hampton, NY 10958. 93923 ...... Hy-Green, LLC, Agent Name: Wagner Regulatory Associates, Inc., P.O. Box 640, Hockessin, DE 19707.
III. What is the Agency’s authority for INFORMATION CONTACT. If the products registrants will be prohibited from taking this action? have been subject to a previous selling or distributing these products Section 6(f)(1) of FIFRA (7 U.S.C. cancellation action, the effective date of identified in Table 1 of Unit II, except for export consistent with FIFRA section 136d(f)(1)) provides that a registrant of cancellation and all other provisions of any earlier cancellation action are 17 (7 U.S.C. 136o) or for proper a pesticide product may at any time controlling. disposal. request that any of its pesticide registrations be canceled. FIFRA further V. Provisions for Disposition of Existing B. For Product 1021–2600 provides that, before acting on the Stocks For product 1021–2600, the registrant request, EPA must publish a notice of Existing stocks are those stocks of has requested that the cancellation receipt of any such request in the registered pesticide products that are becomes effective September 30, 2022. Federal Register. currently in the United States and that Because the Agency has identified no Section 6(f)(1)(B) of FIFRA (7 U.S.C. were packaged, labeled, and released for significant potential risk concerns 136d(f)(1)(B)) requires that before acting shipment prior to the effective date of associated with this pesticide product, on a request for voluntary cancellation, the cancellation action. In any order upon cancellation of this product EPA must provide a 30-day public issued in response to these requests for cancellation, identified in Table 1A of comment period on the request for cancellation of product registrations Unit II, EPA anticipates allowing voluntary cancellation or use EPA proposes to include the following registrants to sell and distribute existing termination. In addition, FIFRA section provisions for the treatment of any stocks of these voluntarily canceled 6(f)(1)(C) (7 U.S.C. 136d(f)(1)(C)) existing stocks of the products listed in products for 1 year after the effective requires that EPA provide a 180-day Table 1 of Unit II. date of the product cancellation, which comment period on a request for will be September 30, 2023. Thereafter, A. For Products 400–600, 10324–89, voluntary cancellation or termination of registrants will be prohibited from 10324–139, 10324–140, 10324–149, any minor agricultural use before selling or distributing these products 10324–187, 34704–920, 70506–214, granting the request, unless: identified in Table 1A of Unit II, except 70506–292 & 70506–293 1. The registrants request a waiver of for export consistent with FIFRA section the comment period, or For products 400–600, 10324–89, 17 (7 U.S.C. 136o) or for proper 2. The EPA Administrator determines 10324–139, 10324–140, 10324–149, disposal. that continued use of the pesticide 10324–187, 34704–920, 70506–214, Because the Agency has identified no would pose an unreasonable adverse 70506–292 & 70506–293, the registrants significant potential risk concerns effect on the environment. have requested 18-months to sell associated with all the other pesticide The registrants in Table 2 of Unit II existing stocks. Because the Agency has products, identified in Table 1 of Unit have requested that EPA waive the 180- identified no significant potential risk II, upon cancellation of these product day comment period. Accordingly, EPA concerns associated with these pesticide cancellations, EPA anticipates allowing will provide a 30-day comment period products, upon cancellation of these registrants to sell and distribute existing on the proposed requests. product cancellations, identified in stocks of these voluntarily canceled Table 1of Unit II, EPA anticipates products for 1 year after publication of IV. Procedures for Withdrawal of allowing registrants to sell and the Cancellation Order in the Federal Request distribute existing stocks of these Register. Thereafter, registrants will be Registrants who choose to withdraw a voluntarily canceled products for 18- prohibited from selling or distributing request for cancellation should submit months after the effective date of the the pesticides identified in Table 1 of such withdrawal in writing to the publication of the Cancellation Order in Unit II, except for export consistent with person listed under FOR FURTHER the Federal Register. Thereafter, FIFRA section 17 (7 U.S.C. 136o) or for
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proper disposal. Persons other than accounts that are sponsored, managed, FEDERAL RESERVE SYSTEM registrants will generally be allowed to or advised by Vanguard; to acquire sell, distribute, or use existing stocks additional voting shares of First [Docket No. OP–1747] Midwest Bancorp, Inc., and thereby until such stocks are exhausted, Proposed Guidelines for Evaluating indirectly acquire additional voting provided that such sale, distribution, or Account and Services Requests use is consistent with the terms of the shares of First Midwest Bank, both of previously approved labeling on, or that Chicago, Illinois. AGENCY: Board of Governors of the accompanied, the canceled products. 2. The Cheryl Foote Groenendyke Federal Reserve System. Trust No. 1, Cheryl Foote Groenendyke, Authority: 7 U.S.C. 136 et seq. ACTION: Notice; request for comment. as trustee, Inky Investments, L.C., Cheryl Dated: May 4, 2021. Foote Groenendyke, as manager, the SUMMARY: The Board of Governors of the Marietta Echeverria, Richard A. Groenendyke, Jr. Revocable Federal Reserve System (Board) is Acting Director, Registration Division, Office Trust, and Richard A. Groenendyke Jr., requesting comment on proposed of Pesticide Programs. as trustee, all of Tulsa, Oklahoma; the guidelines (Account Access Guidelines) [FR Doc. 2021–09938 Filed 5–10–21; 8:45 am] Shingleton Family Limited Partnership, to evaluate requests for accounts and BILLING CODE 6560–50–P Bradford Shingleton and Barbara Foote services at Federal Reserve Banks Shingleton, as general partners, and (Reserve Banks). Rebecca Shingleton, all of Boston, DATES: Comments on the proposed Massachusetts; the Donkersloot-Foote FEDERAL RESERVE SYSTEM changes must be received on or before Family Trust, Darci Foote and John July 12, 2021. Change in Bank Control Notices; Donkersloot, as co-trustees, all of Acquisitions of Shares of a Bank or Brighton, Michigan; the Foote ADDRESSES: You may submit comments, Bank Holding Company Shingleton 2004 Irrevocable Trust, identified by Docket No. OP–1747, by Kenneth J. Foote, as trustee, the Kenneth any of the following methods: • The notificants listed below have J. Foote Trust No. 1, Kenneth J. Foote, Agency Website: http://www.federal applied under the Change in Bank as trustee, Alexander Kirby Foote, Lark reserve.gov. Follow the instructions for Control Act (Act) (12 U.S.C. 1817(j)) and Allison Foote, Juliet Ann Foote, and submitting comments at http:// § 225.41 of the Board’s Regulation Y (12 Blythe Esther Foote, all of Okemos, www.federalreserve.gov/generalinfo/ CFR 225.41) to acquire shares of a bank Michigan; Foote Capital, LLC, Susan foia/ProposedRegs.cfm. • or bank holding company. The factors Foote and Stephen L. Feinberg, as co- Email: regs.comments@ that are considered in acting on the managers, all of El Paso, Texas, and federalreserve.gov. Include docket applications are set forth in paragraph 7 Kenneth J. Foote, also a co-manager, number in the subject line of the of the Act (12 U.S.C. 1817(j)(7)). Okemos, Michigan; the Kenneth J. Foote message. • The public portions of the Trust No. 2, Amy A. Payne, as co- Fax: (202) 452–3819 or (202) 452– applications listed below, as well as trustee, both of Okemos, Michigan, and 3102. • other related filings required by the Iris Foote, Howell, Michigan, and Mail: Ann E. Misback, Secretary, Board, if any, are available for Charlotte Fitzpatrick, Souderton, Board of Governors of the Federal immediate inspection at the Federal Pennsylvania, both co-trustees of the Reserve System, 20th Street and Reserve Bank(s) indicated below and at aforementioned trust; the BFS 2020 Constitution Avenue NW, Washington, the offices of the Board of Governors. Delaware Trust, First Republic Bank of DC 20551. This information may also be obtained Delaware, as trustee, both of All public comments are available on an expedited basis, upon request, by Wilmington, Delaware, and Barbara from the Board’s website at contacting the appropriate Federal Foote Shingleton, Investment Direction www.federalreserve.gov/generalinfo/ Reserve Bank and from the Board’s Adviser, Boston, Massachusetts; the foia/ProposedRegs.cfm as submitted, Freedom of Information Office at Rhonda Foote Judy Michigan Asset unless modified for technical reasons or https://www.federalreserve.gov/foia/ Trust, Rhonda Foote Judy, as trustee, to remove personally identifiable request.htm. Interested persons may both of Houston, Texas; the Mamie M. information at the commenter’s request. express their views in writing on the Foote Trust No. 1, Mamie M. Foote, as Accordingly, comments will not be standards enumerated in paragraph 7 of trustee, both of Golden Oaks, Florida; edited to remove any identifying or the Act. Charlotte Lynne Fitzpatrick, Souderton, contact information. Public comments Comments regarding each of these Pennsylvania; Benjamin Aaron Foote, may also be viewed electronically or in applications must be received at the Chicago, Illinois; Jennifer Ewing, paper in Room 146, 1709 New York Reserve Bank indicated or the offices of Chestnut Hill, Massachusetts; Iris Foote, Avenue NW, Washington, DC 20006, the Board of Governors, Ann E. Howell, Michigan, and Elizabeth between 9:00 a.m. and 5:00 p.m. on Misback, Secretary of the Board, 20th Glomsrud, Rancho Santa Fe, California; weekdays. Street and Constitution Avenue NW, all to become members of the Foote FOR FURTHER INFORMATION CONTACT: Washington DC 20551–0001, not later Family Control Group, a group acting in Jason Hinkle, Assistant Director (202– than May 26, 2021. concert, to retain the voting shares of A. Federal Reserve Bank of Chicago 912–7805), Division of Reserve Bank First National Bancshares, Inc., and (Colette A. Fried, Assistant Vice Operations and Payment Systems, or thereby indirectly retain voting shares of President) 230 South LaSalle Street, Sophia Allison, Senior Special Counsel First National Bank of America, both Chicago, Illinois 60690–1414: (202–452–3565) or Gavin Smith, Senior East Lansing, Michigan. 1. The Vanguard Group, Inc., Counsel (202–872–7578), Legal Malvern, Pennsylvania; on behalf of Board of Governors of the Federal Reserve Division, Board of Governors of the itself, its subsidiaries and affiliates, System, May 6, 2021. Federal Reserve System. For users of including investment companies Michele Taylor Fennell, Telecommunications Device for the Deaf registered under the Investment Deputy Associate Secretary of the Board. (TDD) only, please contact 202–263– Company Act of 1940, other pooled [FR Doc. 2021–09944 Filed 5–10–21; 8:45 am] 4869. investment vehicles, and institutional BILLING CODE P SUPPLEMENTARY INFORMATION:
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I. Background discretionary authority to grant or deny be useful to clarify the interpretation of The Board of Governors of the Federal requests. Accordingly, the proposed legal eligibility under the Federal Reserve System (Board) is considering guidelines would reduce the potential Reserve Act for a Federal Reserve adopting guidelines (Account Access for forum shopping across Reserve account and services. For each of these principles, the Guidelines) to be used by Federal Banks and mitigate the risk that proposed guidelines identify factors that Reserve Banks (Reserve Banks) in individual decisions by Reserve Banks Reserve Banks should consider when evaluating requests for master accounts could create de facto System policy for evaluating an institution against the and/or access to Federal Reserve Bank a particular business model or risk specific risk targeted by the pringciple financial services (accounts and profile. These risk-focused guidelines (several factors are pertinent to more services). The Board’s approach to this would also promote more consistent implementation for eligible institutions than one principle). The identified proposal reflects its analysis of the with similar risk profiles. factors are commonly used in the Board’s policy goals of (1) ensuring the The proposed account access regulation and supervision of federally- safety and soundness of the banking guidelines are centered on a foundation insured institutions. When applying the system, (2) effectively implementing of risk management and mitigation. In account access guidelines the Reserve monetary policy, (3) promoting financial developing the proposed guidelines, the Bank should incorporate, to the extent stability, (4) protecting consumers, and Board considered the risks that may possible, the assessments of an (5) promoting a safe, efficient, inclusive, arise when an institution gains access to institution by state and/or federal and innovative payment system. The accounts and services. These risks supervisors into its independent Board’s proposed guidelines are also include, among others, risks to the assessment of the institution’s risk intended to ensure that Reserve Banks Reserve Banks, to the payment system, profile. Given that the proposed evaluate a transparent and consistent set to the financial system, and to the guidelines utilize factors broadly of factors when reviewing requests for effective implementation of monetary applied to federally-insured institutions, accounts and services (access requests). policy. the Board anticipates the application of The payments landscape is evolving The introduction to the proposed the guidelines to access requests by rapidly as technological progress and guidelines discusses the Federal federally-insured institutions would be other factors are leading to both the Reserve’s broad policy goals when fairly straightforward in most cases. introduction of new financial products providing accounts and services as well Reserve Bank assessments of access and services and to different ways of as the reasons for proposing to issue the requests from non-federally-insured providing traditional banking services account access guidelines. In addition, institutions, however, may require more (i.e., payments, deposit-taking, and the introduction provides that while the extensive due diligence. lending). Relatedly, there has been a guidelines are designed primarily for Currently, Reserve Bank risk recent uptick in novel charter types new access requests, Reserve Banks management practices include being authorized or considered across should also apply the guidelines to monitoring the condition of institutions the country and, as a result, the Reserve existing account and services with accounts and services on an Banks are receiving an increasing relationships when a Reserve Bank ongoing basis using supervisory ratings, number of inquiries and requests for becomes aware of a significant change capitalization data, and other access to accounts and services from in the risks that the account holder supplementary information. Reserve novel institutions. presents due to changes in the nature of Banks use this process to determine Although the Reserve Banks have its principal business activities, whether risk controls or other received such inquiries on an condition, etc. restrictions should be placed on an exceptional basis in the past, the Board The proposed account access institution’s account. For example, the now believes, given the increase in the guidelines identify potential risks and process is used to determine if an number and novelty of such inquiries, prompt the Reserve Bank to identify risk institution continues to remain eligible that a more transparent and consistent mitigation strategies adopted by the for primary credit. The Board approach to such requests should be institution (including capital, risk anticipates that, if the proposed adopted by the Reserve Banks. Given frameworks, compliance with guidelines are adopted, Reserve Banks that access decisions made by regulations, and supervision) and by the would use the guidelines to re-evaluate individual Reserve Banks can have Reserve Bank (including account the risks posed by an institution in cases implications for a wide array of Federal agreement provisions, restrictions on where these condition-monitoring Reserve System (Federal Reserve) financial services accessed, account risk activities indicate potential changes in policies and objectives, a structured, controls, and denial of access requests). the institution’s risk profile. transparent, and detailed framework for The first principle specifies that only II. Proposed Guidelines evaluating access requests would benefit institutions that are legally eligible for the financial system broadly. Such a accounts and services are in scope, and Guidelines Covering Access to Accounts framework would also help foster the remaining five principles are and Services at Federal Reserve Banks consistent evaluation of access requests, designed to address specific risks (Account Access Guidelines) from both risk and policy perspectives, ranging from narrow risks (such as risk The Board of Governors of the Federal across all twelve Reserve Banks. to an individual Reserve Bank) to Reserve System (Board) has adopted To help achieve the goal of applying broader risks (such as risk to the U.S. account access guidelines comprised of a transparent and consistent process for 1 financial system). The Board is six principles to be used by Federal all access requests, the Board is considering whether it may in the future Reserve Banks (Reserve Banks) in proposing guidelines for the Reserve evaluating requests for master accounts Banks to evaluate such requests. The 1 The proposed guidelines are designed as a risk and access to Federal Reserve Bank proposed account access guidelines management framework and, as such, the principles financial services (access requests).23 contain six principles that would focus on risks an institution’s access could pose. The Board notes, however, that an institution’s support consistency in approach and access could have net benefits to the financial 2 As discussed in the Federal Reserve’s Operating decision-making across Reserve Banks system that are not a focus of the risk management Circular No. 1, an institution has the option to settle while maintaining Reserve Bank framework. its Federal Reserve financial services transactions in
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The account access guidelines apply to supervisors into its independent requests by federally-insured requests from all institutions that are analysis of the institution’s risk profile. institutions will be fairly legally eligible to receive an account or The evaluation of an institution’s access straightforward in most cases. However, services, as discussed in more detail in request should also consider whether Reserve Bank assessments of access the first principle.4 the request has the potential to set a requests from non-federally insured The Federal Reserve System’s precedent that could affect the Federal institutions may require more extensive (Federal Reserve) approach to providing Reserve’s ability to achieve its policy due diligence. institutions with accounts and services goals now or in the future. Reserve Banks monitor and analyze depends on, among other things, If the Reserve Bank decides to grant the condition of institutions with whether the institution is legally eligible an access request, it may impose (at the accounts and services on an ongoing to obtain an account and on the Federal time of account opening, granting access basis. Reserve Banks should use the Reserve’s policy goals of ensuring the to service, or any time thereafter) guidelines to re-evaluate the risks posed safety and soundness of the banking obligations relating to, or conditions or by an institution in cases where its system, effectively implementing limitations on, use of the account or condition monitoring and analysis monetary policy, promoting financial services as necessary to limit indicate potential changes in the risk stability, protecting consumers, and operational, credit, legal, or other risks profile of an institution, including a promoting a safe, effective, efficient, posed to the Reserve Banks, the significant change to the institution’s accessible and innovative payment payment system, financial stability or business model. system. The Board believes it is the implementation of monetary policy 1. Each institution requesting an important to make clear that legal or to address other considerations.5 The account or services must be eligible eligibility does not bestow a right to account-holding Reserve Bank may, at under the Federal Reserve Act or other obtain an account and services. While its discretion, decide to place additional federal statute to maintain an account at decisions regarding individual access risk management controls on the a Federal Reserve Bank (Reserve Bank) requests remain at the discretion of the account and services, such as real-time and receive Federal Reserve services individual Reserve Banks, the Board monitoring of account balances, as it and should have a well-founded, clear, believes it is important that the Reserve may deem necessary to mitigate risks. If transparent, and enforceable legal basis Banks apply a consistent set of the obligations, limitations, or controls for its operations.7 guidelines when reviewing such access are ineffective in mitigating the risks a. Unless otherwise specified by requests to promote consistent outcomes identified or if the obligations, federal statute, only those entities that across Reserve Banks and to facilitate limitations, or controls are breached, the are member banks or meet the definition equitable treatment across institutions. account-holding Reserve Bank may of a depository institution under section These account access guidelines also further restrict the institution’s use of 19(b) of the Federal Reserve Act are serve to inform requestors of the factors accounts and services or may close the legally eligible to obtain Federal Reserve that a Reserve Bank will review in any account. Establishment of an account accounts and financial services.8 access request and thereby allow and provision of services by a Reserve b. The Reserve Bank should assess the requestors to make any enhancements to Bank under these guidelines is not an consistency of the institution’s activities its risk management, documentation, or endorsement or approval by the Federal and services with applicable laws and other practices, as the case may be, to Reserve of the institution. Nothing in regulations, such as Article 4A of the attempt to demonstrate how it meets the Board’s guidelines relieves any Uniform Commercial Code and the each of these factors for review. institution from compliance with Electronic Fund Transfer Act. The These guidelines broadly outline obligations imposed by the institution’s Reserve Bank should also consider considerations for evaluating access supervisors and regulators. whether the design of the institution’s requests but are not intended to provide Accordingly, Reserve Banks should services would impede compliance by assurance that any specific institution evaluate how each institution requesting the institution’s customers with U.S. will be granted an account and services. an account and services will meet the sanction programs, Bank Secrecy Act The individual Reserve Bank will following principles.6 Each principle (BSA) and anti-money-laundering evaluate each access request on a case- identifies factors that Reserve Banks (AML) requirements or regulations, or by-case basis. When applying these should consider when evaluating an consumer protection laws and account access guidelines, the Reserve institution against the specific risk regulations. Bank should incorporate to the extent targeted by the principle (several factors 2. Provision of an account and possible the assessments of an are pertinent to more than one services to an institution should not institution by state and/or federal principle). The identified factors are present or create undue credit, commonly used in the regulation and operational, settlement, cyber or other its master account with a Reserve Bank or in the supervision of federally-insured risks to the Reserve Bank. master account of another institution that has institutions. As a result, the Board agreed to act as its Correspondent. These principles anticipates the application of the 7 These principles do not apply to accounts apply to requests for either arrangement. provided by a Reserve Bank as depository and fiscal 3 Reserve Bank financial services mean all account access guidelines to access agent for the Treasury and for certain government- services subject to Federal Reserve Act, section 11A sponsored entities (12 U.S.C. 391, 393–95, 1823, (‘‘priced services’’) and Reserve Bank cash services. 5 The conditions imposed could include, but are 1435) as well as to accounts provided to certain Financial services do not include transactions not limited to, paying a different rate of interest on international organizations (22 U.S.C. 285d, 286d, conducted as part of the Federal Reserve’s open balances held in the account, limiting the amount 290o-3, 290i-5, 290l-3), to designated financial market operations or administration of the Reserve of balances on which interest is paid, or market utilities (12 U.S.C. 5465), pursuant to the Banks’ Discount Window. establishing a cap on the amount of balances held Board’s Regulation N (12 CFR 214), or to the 4 These principles would not apply to accounts in the account. Board’s Guidelines for Evaluating Joint Account provided under fiscal agency authority or to 6 The principles are designed to address risks Requests. accounts authorized pursuant to the Board’s posed by an institution having access to an account 8 These principles apply to account requests from Regulation N (12 CFR 214), joint account requests, and services, ranging from narrow risks (e.g., to an member banks or other entities that meet the or account requests from designated financial individual Reserve Bank) to broader risks (e.g., to definition of a depository institution under section market utilities, since existing rules or policies the overall economy). Review activities performed 19(b), as well as Edge and Agreement corporations already set out the considerations involved in by the Reserve Bank may address several principles (12 U.S.C. 601–604a, 611–631), and branches and granting these types of accounts. at once. agencies of foreign banks (12 U.S.C. 347d).
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a. The Reserve Bank should B. The operational capacity to ensure b. The Reserve Bank should confirm incorporate, to the extent possible, the that such liquid resources are available that the institution has an effective risk assessments of an institution by state to satisfy all such obligations to the management framework and governance and/or federal supervisors into its Reserve Bank on a timely basis; and arrangements to limit the impact that independent assessment of the C. Settlement processes designed to idiosyncratic stress, disruptions, institution’s risk profile. appropriately monitor balances in its outages, cyber incidents or other b. The Reserve Bank should confirm Reserve Bank account on an intraday incidents at the institution might have that the institution has an effective risk basis, to process transactions through its on other institutions and the payment management framework and governance account in an orderly manner and system broadly. The framework should arrangements to ensure that the maintain/achieve a positive account include: institution operates in a safe and sound balance before the end of the business i. Clearly defined operational manner, during both normal conditions day. reliability objectives and policies and and periods of idiosyncratic and market iv. Have in place an operational risk procedures in place to achieve those stress. framework designed to ensure objectives. i. For these purposes, effective risk operational resiliency against events ii. A business continuity plan that management includes having a robust associated with processes, people, and addresses events that have the potential framework, including policies, systems that may impair the to disrupt operations and a resiliency procedures, systems, and qualified staff, institution’s use and settlement of objective to ensure the institution can to manage applicable risks. The Reserve Bank services. This framework resume services in a reasonable framework should at a minimum should consider internal and external timeframe. identify, measure, and control the factors, including operational risks iii. Policies and procedures for particular risks posed by the inherent in the institution’s business identifying risks that external parties institution’s business lines, products model, risks that might arise in may pose to sound operations, and services. The effectiveness of the connection with its use of any Reserve including interdependencies with framework should be further supported Bank account and services, and cyber- affiliates, service providers, and others. by internal testing and internal audit related risks. At a minimum, the c. The Reserve Bank should identify reviews. operational risk framework should: actual and potential interactions ii. The framework should be subject to A. Identify the range of operational between the institution’s use of a oversight by a board of directors (or risks presented by the institution’s Reserve Bank account and services and similar body) as well as oversight by business model (e.g., cyber (other parts of) the payment system. state and/or federal banking vulnerability, operational failure, i. The extent to which the institution’s supervisor(s). resiliency of service providers), and use of a Reserve Bank account and iii. The framework should clearly establish sound operational risk services might restrict funds from being identify all risks that may arise related management objectives to address such available to support the liquidity needs to the institution’s business (e.g., legal, risks; of other institutions should also be considered. credit, liquidity, operational, custody, B. Establish sound governance d. The institution must, in the Reserve investment) as well as objectives arrangements, rules, and procedures to regarding the risk tolerances for the Bank’s judgment: oversee and implement the operational i. Be in sound financial condition, management of such risks. risk management framework; c. The Reserve Bank should confirm including maintaining adequate capital C. Establish clear and appropriate that the institution is in substantial to continue as a going concern and to rules and procedures to carry out the compliance with its supervisory meet its current and projected operating risk management objectives; agency’s regulatory and supervisory expenses under a range of scenarios. D. Employ the resources necessary to requirements. ii. Demonstrate the ability, on an d. The institution must, in the Reserve achieve its risk management objectives ongoing basis (including during periods Bank’s judgment: and implement effectively its rules and of idiosyncratic or market stress), to i. Demonstrate an ability to comply, procedures, including, but not limited meet all of its obligations in order to were it to obtain a master account, with to, sound processes for physical and remain a going concern and comply Board orders and policies, Reserve Bank information security, internal controls, with its agreement for a Reserve Bank agreements and operating circulars, and compliance, program management, account and services, including by other applicable Federal Reserve incident management, business maintaining: requirements. continuity, audit, and well-qualified A. Sufficient liquid resources to meet ii. Be in sound financial condition, personnel; and its obligations to the Reserve Bank including maintaining adequate capital E. Support compliance with the under applicable agreements, Operating to continue as a going concern and to electronic access requirements, Circulars, and Board policies; meet its current and projected operating including security measures, outlined in B. The operational capacity to ensure expenses under a range of scenarios. the Reserve Banks’ Operating Circular 5 that such liquid resources are available iii. Demonstrate the ability, on an and its supporting documentation. to satisfy all such obligations to the ongoing basis (including during periods 3. Provision of an account and Reserve Bank on a timely basis; and of idiosyncratic or market stress), to services to an institution should not C. Settlement processes designed to meet all of its obligations in order to present or create undue credit, liquidity, appropriately monitor balances in its remain a going concern and comply operational, settlement, cyber or other Reserve Bank account on an intraday with its agreement for a Reserve Bank risks to the overall payment system. basis, to process transactions through its account and services, including by a. The Reserve Bank should account in an orderly manner and maintaining: incorporate, to the extent possible, the maintain/achieve a positive account A. Sufficient liquid resources to meet assessments of an institution by state balance before the end of the business its obligations to the Reserve Bank and/or federal supervisors into its day. under applicable agreements, operating independent assessment of the iii. Have in place an operational risk circulars, and Board policies; institution’s risk profile. framework designed to ensure
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operational resiliency against events access to an account and services by an AML and OFAC compliance officer; (b) associated with processes, people, and institution itself (or a group of like senior management review and approval systems that may impair the institutions) could affect deposit of the institution’s BSA/AML and OFAC institution’s payment system activities. balances across U.S. financial compliance programs; (c) the This framework should consider institutions more broadly and whether institution’s compliance staff has internal and external factors, including any resulting movements in deposit sufficient authority and autonomy to operational risk inherent in the balances could have a deleterious effect deploy policies and procedures in a institution’s business model, risk that on U.S. financial stability. manner that effectively controls the might arise in connection with its use of i. Balances held in Reserve Bank institution’s BSA/AML and OFAC risk; the payment system, and cyber-related accounts are high-quality liquid assets, and (d) senior management taking, and risks. At a minimum, the framework making them very attractive in times of demonstrating that it will continue to should: financial or economic stress. For take, steps to ensure that the A. Identify the range of operational example, in times of stress, investors institution’s compliance unit receives risks presented by the institution’s that would otherwise provide short-term adequate resources; business model (e.g., cyber funding to nonfinancial firms, financial D. Ongoing training for appropriate vulnerability, operational failure, firms, and state and local governments personnel with a scope that is resiliency of service providers), and could rapidly withdraw that funding appropriate for the products and establish sound operational risk- and instead deposit their funds with an services the institution offers; and management objectives; institution holding mostly central bank E. Processes that allow for a risk- B. Establish sound governance balances. If the institution is not subject based classification of its customer base, arrangements, rules, and procedures to to capital requirements similar to a including risk-based procedures for oversee the operational risk federally-insured institution, the conducting ongoing customer due management framework; potential for sudden and significant diligence. C. Establish clear and appropriate deposit inflows into that institution is 6. Provision of an account and rules and procedures to carry out the particularly large, which could services to an institution should not risk management objectives; disintermediate other parts of the adversely affect the Federal Reserve’s D. Employ the resources necessary to financial system, greatly amplifying ability to implement monetary policy. achieve its risk management objectives stress. a. The Reserve Bank should and implement effectively its rules and 5. Provision of an account and incorporate, to the extent possible, the procedures, including, but not limited services to an institution should not assessments of an institution by state to, sound processes for physical and create undue risk to the overall and/or federal supervisors into its information security, internal controls, economy by facilitating activities such independent assessment of the compliance, program management, as money laundering, terrorism institution’s risk profile. incident management, business financing, fraud, cybercrimes, or other b. The Reserve Bank should continuity, audit, and well-qualified illicit activity. determine, in coordination with the personnel. a. The Reserve Bank should other Reserve Banks and the Board, 4. Provision of an account and incorporate, to the extent possible, the whether access to an account and services to an institution should not assessments of an institution by state services by an institution itself or a create undue risk to the stability of the and/or federal supervisors into its group of like institutions could have an U.S. financial system. independent assessment of the effect on the implementation of a. The Reserve Bank should institution’s risk profile. monetary policy. incorporate, to the extent possible, the b. The Reserve Bank should confirm c. The Reserve Bank should consider, assessments of an institution by state that the institution has an anti-money- among other things, whether access to a and/or federal supervisors into its laundering program consistent with the Reserve Bank account and services by independent assessment of the requirements in 31 CFR 1020.210(b) and the institution could affect the level and institution’s risk profile. complies with the Office of Foreign variability of the demand for and supply b. The Reserve Bank should Asset Control (OFAC) regulations at 31 of reserves, the level and volatility of determine, in coordination with the CFR Chapter V. key policy interest rates, the structure of other Reserve Banks and Board, whether i. For these purposes, the Reserve key short-term funding markets, and on the access to an account and services by Bank should confirm that these the overall size of the consolidated an institution itself or a group of like compliance programs contain the balance sheet of the Reserve Banks. The institutions could introduce financial following elements: Reserve Bank should consider the stability risk to the U.S. financial A. A system of internal controls, implications of providing an account to system. including policies and procedures, to the institution in normal times as well c. The Reserve Bank should confirm ensure ongoing BSA/AML and OFAC as in times of stress. This consideration that the institution has an effective risk compliance, including regular written should occur regardless of the current management framework and governance risk assessments to identify, analyze and monetary policy implementation arrangements for managing liquidity, address the risks the institution faces, framework in place. credit, and other risks that may arise in policies, procedures, and an effective III. Request for Comment times of financial or economic stress. transaction-monitoring system; d. The Reserve Bank should consider B. Independent audit and testing of The Board requests comment on all the extent to which, especially in times BSA/AML and OFAC compliance; aspects of the proposed account access of financial or economic stress, liquidity C. Senior management commitment to guidelines, including: (1) Whether the or other strains at the institution may be BSA/AML and OFAC compliance, scope and application of the proposed transmitted to other segments of the including, at a minimum: (a) The guidance are sufficiently clear and financial system. designation of a specific person or appropriate to achieve their intended e. The Reserve Bank should consider persons responsible for managing BSA/ purpose; and (2) suggesting/identifying the extent to which, especially during AML and OFAC compliance, including other criteria or information that times of financial or economic stress, the employment of an experienced BSA/ commenters believe may be relevant to
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evaluate accounts and services requests Washington DC 20551–0001, not later as co-trustee, both of Bruning, Nebraska; under the proposed guidance. The than May 26, 2021. to retain voting shares of Bruning Board further seeks comment A. Federal Reserve Bank of Dallas Bancshares, Inc., and indirectly retain specifically on the following aspects of (Karen Smith, Director, Applications) voting shares of Bruning Bank, both of the proposed guidance: 2200 North Pearl Street, Dallas, Texas Bruning, Nebraska. Additionally, the 1. Do the proposed account access 75201–2272: Jane A. Tonniges Revocable Trust, Jane guidelines address all the risks that 1. The Vanguard Group, Inc., A Tonniges, as trustee, and Christopher would be relevant to the Federal Malvern, Pennsylvania; on behalf of Tonniges, all of Omaha, Nebraska; the Reserve’s policy goals? itself, its subsidiaries and affiliates, Fred D. Bruning 2020 Irrevocable Trust, 2. Does the level of specificity in each including investment companies Penni J. Bruning, trustee, both of principle provide sufficient clarity and registered under the Investment Bruning, Nebraska, and Dennis C. Stara, transparency about how the Reserve Company Act of 1940, other pooled special purpose trustee, Lincoln, Banks will evaluate requests? investment vehicles, and institutional Nebraska; Adam F. Bruning, Hebron, 3. Do the proposed account access accounts that are sponsored, managed, Nebraska; Reiss L. Bruning, Bruning, or advised by Vanguard; to acquire guidelines support responsible financial Nebraska; and Dennis C. Stara, Lincoln, additional voting shares of Prosperity innovation? Nebraska; with the FL Bruning Trust Bancshares, Inc., Houston, Texas, and Finally, the Board also seeks comment and the MB Bruning Trust, to join the thereby indirectly acquire additional on whether the Board or the Reserve Bruning Family Group, a group acting in voting shares of Prosperity Bank, El Banks should consider other steps or concert, to retain voting shares of Campo, Texas. actions to facilitate the review of Bruning Bancshares, Inc., and indirectly B. Federal Reserve Bank of New York retain voting shares of Bruning Bank. requests for accounts and services in a (Ivan Hurwitz, Senior Vice President) 33 consistent and equitable manner. Liberty Street, New York, New York Board of Governors of the Federal Reserve By order of the Board of Governors of the 10045–0001. Comments can also be sent System, May 5, 2021. Federal Reserve System. electronically to Michele Taylor Fennell, Ann Misback, [email protected]: Deputy Associate Secretary of the Board. Secretary of the Board. 1. The Vanguard Group, Inc., [FR Doc. 2021–09880 Filed 5–10–21; 8:45 am] [FR Doc. 2021–09873 Filed 5–10–21; 8:45 am] Malvern, Pennsylvania; on behalf of BILLING CODE P BILLING CODE P itself, its subsidiaries and affiliates, including investment companies registered under the Investment FEDERAL TRADE COMMISSION FEDERAL RESERVE SYSTEM Company Act of 1940, other pooled investment vehicles, and institutional Agency Information Collection Change in Bank Control Notices; accounts that are sponsored, managed, Activities; Submission for OMB Acquisitions of Shares of a Bank or or advised by Vanguard; to acquire Review; Comment Request Bank Holding Company additional voting shares of Community AGENCY: Federal Trade Commission Bank System, Inc., DeWitt, New York, (FTC). The notificants listed below have and thereby indirectly acquire applied under the Change in Bank additional voting shares of Community ACTION: Notice and request for comment. Control Act (Act) (12 U.S.C. 1817(j)) and Bank, National Association, Canton, § 225.41 of the Board’s Regulation Y (12 SUMMARY: The FTC requests that the New York. Office of Management and Budget CFR 225.41) to acquire shares of a bank C. Federal Reserve Bank of San or bank holding company. The factors (OMB) extend for three years the current Francisco (Sebastian Astrada, Director, Paperwork Reduction Act (PRA) that are considered in acting on the Applications) 101 Market Street, San applications are set forth in paragraph 7 clearance for information collection Francisco, California 94105–1579: requirements contained in the of the Act (12 U.S.C. 1817(j)(7)). 1. The Vanguard Group, Inc., Commission’s rules and regulations The public portions of the Malvern, Pennsylvania; on behalf of under the Textile Fiber Products applications listed below, as well as itself, its subsidiaries and affiliates, Identification Act (Textile Rules). That other related filings required by the including investment companies clearance expires on May 31, 2021. Board, if any, are available for registered under the Investment immediate inspection at the Federal Company Act of 1940, other pooled DATES: Comments must be received by Reserve Bank(s) indicated below and at investment vehicles, and institutional June 10, 2021. the offices of the Board of Governors. accounts that are sponsored, managed, ADDRESSES: Written comments and This information may also be obtained or advised by Vanguard; to acquire recommendations for the proposed on an expedited basis, upon request, by additional voting shares of Westamerica information collection should be sent contacting the appropriate Federal Bancorporation, and thereby indirectly within 30 days of publication of this Reserve Bank and from the Board’s acquire voting shares of Westamerica notice to www.reginfo.gov/public/do/ Freedom of Information Office at Bank, both of San Rafael, California. PRAMain. Find this particular https://www.federalreserve.gov/foia/ D. Federal Reserve Bank of Kansas information collection by selecting request.htm. Interested persons may City (Jeffrey Imgarten, Assistant Vice ‘‘Currently under 30-day Review—Open express their views in writing on the President) 1 Memorial Drive, Kansas for Public Comments’’ or by using the standards enumerated in paragraph 7 of City, Missouri 64198–0001: search function. The reginfo.gov web the Act. 1. The Frank L. Bruning link is a United States Government Comments regarding each of these Nonqualifying Trust Share (‘‘FL Bruning website produced by OMB and the applications must be received at the Trust’’), Fred D. Bruning, Bruning, General Services Administration (GSA). Reserve Bank indicated or the offices of Nebraska, and Jane A. Tonniges, Under PRA requirements, OMB’s Office the Board of Governors, Ann E. Omaha, Nebraska, as co-trustees, and of Information and Regulatory Affairs Misback, Secretary of the Board, 20th the Mary B. Bruning Revocable Trust (OIRA) reviews Federal information Street and Constitution Avenue NW, (‘‘MB Bruning Trust’’), Mary B. Bruning, collections.
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FOR FURTHER INFORMATION CONTACT: Jock Your comment—including your name DATES: Nominations should be received K. Chung, Attorney, Division of and your state—will be placed on the on or before June 1, 2021. Enforcement, Bureau of Consumer public record of this proceeding. ADDRESSES: Nominations should be Protection, Federal Trade Commission, Because your comment will be made submitted by email to: Priti Mehrotra, Mail Code CC–9528, 600 Pennsylvania public, you are solely responsible for M.Sc., Ph.D., Director, Division of Ave. NW, Washington, DC 20580, (202) making sure that your comment does Scientific Review, AHRQ. Email: 326–2984. not include any sensitive personal [email protected]. SUPPLEMENTARY INFORMATION: information, such as anyone’s Social FOR FURTHER INFORMATION CONTACT: Priti Title: Rules and Regulations under the Security number; date of birth; driver’s Mehrotra, M.Sc., Ph.D., AHRQ, (301) Textile Fiber Products Identification license number or other state 427–1556 or by email at priti.mehrotra@ Act, 16 CFR part 303. identification number, or foreign ahrq.hhs.gov. country equivalent; passport number; OMB Control Number: 3084–0101. SUPPLEMENTARY INFORMATION: This is to Type of Review: Extension of a financial account number; or credit or invite the public to nominate members currently approved collection. debit card number. You are also solely to the Agency for Healthcare Research Likely Respondents: Manufacturers, responsible for making sure that your and Quality (AHRQ) Initial Review importers, processors and marketers of comment does not include any sensitive Group (IRG) responsible for the textile fiber products. health information, such as medical scientific peer review of AHRQ grant Frequency of Response: Third party records or other individually applications. AHRQ is required to disclosure; recordkeeping requirement. identifiable health information. In conduct appropriate scientific peer Estimated annual hours burden: addition, your comment should not 37,234,317 hours (1,180,725 review of grant applications pursuant to include any ‘‘trade secret or any 42 U.S.C. 299c–1. The AHRQ IRG recordkeeping hours + 36,053,592 commercial or financial information disclosure hours). conducts scientific and technical review which . . . is privileged or for health services research grant Recordkeeping: 1,180,725 hours confidential’’—as provided by Section applications and is comprised of five (approximately 18,165 textile firms 6(f) of the FTC Act, 15 U.S.C. 46(f), and subcommittees or study sections, each incur average burden of 65 hours per FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2)— with a particular research focus. AHRQ firm) including in particular competitively is seeking nominations for scientific Disclosure: 36,053,592 hours (621,725 sensitive information such as costs, reviewers in specific competency hours to determine label content + sales statistics, inventories, formulas, domains to evaluate grant applications. 765,200 hours to draft and order patterns, devices, manufacturing AHRQ’s mission is to produce labels + 34,666,667 hours to attach processes, or customer names. evidence to make health care safer, labels) Josephine Liu, higher quality, more accessible, Estimated annual cost burden: Assistant General Counsel for Legal Counsel. equitable, and affordable, and to work $243,170,994 (solely relating to labor [FR Doc. 2021–09925 Filed 5–10–21; 8:45 am] within the U.S. Department of Health costs).1 and Human Services (DHHS) and with BILLING CODE 6750–01–P Abstract: The Textile Fiber Products other partners to make sure that the Identification Act (Textile Act) 2 evidence is understood and used. AHRQ prohibits the misbranding and false works to fulfill its mission by advertising of textile fiber products. The DEPARTMENT OF HEALTH AND supporting health services research, Textile Rules establish disclosure HUMAN SERVICES evaluation, demonstration, requirements that assist consumers in dissemination, and training grants. Agency for Healthcare Research and making informed purchasing decisions, The peer review of AHRQ grant Quality and recordkeeping requirements that applications involves an assessment assist the Commission in enforcing the Solicitation for Nominations for conducted by panels of qualified experts Rules. The Rules also contain a petition Membership To Serve on Initial Review established according to scientific procedure for requesting the Group for Scientific Peer Review disciplines or medical specialty areas. establishment of generic names for Members of the IRG will be selected textile fibers. AGENCY: Agency for Healthcare Research based upon their training and and Quality (AHRQ), HHS. experience in relevant scientific and Request for Comment ACTION: Request for nominations for technical fields, taking in account, On February 23, 2021, the FTC sought membership to serve on initial review among other factors: (1) The level of public comment on the information group for scientific peer review. formal education and pertinent collection requirements associated with expertise and experience; (2) extent of the Rule. 86 FR 10967. The Commission SUMMARY: This is to invite the public to engagement in relevant research; (3) received no germane comments. nominate members to the Agency for extent of professional recognition; (4) Pursuant to the OMB regulations, 5 CFR Healthcare Research and Quality need for specialization in relevant field; part 1320, that implement the PRA, 44 (AHRQ) Initial Review Group (IRG) and (5) appropriate representation based U.S.C. 3501 et seq., the FTC is providing responsible for the scientific peer on gender, racial/ethnic origin, and this second opportunity for public review of AHRQ grant applications. The geography. See 42 CFR 67.15(a)(2). comment while seeking OMB approval AHRQ IRG conducts scientific and The IRG is comprised of five to renew the pre-existing clearance for technical review for health services subcommittees, or study sections, each the Rule. research grant applications and is with a particular emphasis around comprised of five subcommittees or which peer reviewer expertise is 1 Due to newly available information on hourly study sections, each with a particular assembled. AHRQ seeks nominations for wage rates, the estimated annual labor costs were research focus. AHRQ is seeking each of the subcommittee competency adjusted downward from $280,335,935 in the 60- Day FR Notice to $243,170,994 in the 30-Day FR nominations for scientific reviewers in domains described below: Notice. specific competency domains to Health Care Effectiveness and 2 15 U.S.C. 70 et seq. evaluate grant applications. Outcomes Research: End-stage renal
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disease; cardiovascular disease; 1. A copy of the nominee’s current Submission’’ or ‘‘More Search Options’’ pediatrics; pharmacologist in opioid curriculum vitae and contact to find the information collection management; biostatisticians in health information, including mailing address, document(s) that are accepting services research; health disparities and phone number, and email address. comments. social determinants of health. 2. Preferred study section assignment. 2. By regular mail. You may mail Healthcare Safety and Quality Dated: May 5, 2021. written comments to the following Improvement Research: Pharmacists Marquita Cullom, address: CMS, Office of Strategic with expertise in informatics; infectious Associate Director. Operations and Regulatory Affairs, diseases specialists; geriatricians; Division of Regulations Development, [FR Doc. 2021–09879 Filed 5–10–21; 8:45 am] surgeons with a specialty in diagnostic Attention: Document Identifier/OMB BILLING CODE 4160–90–P error; health disparities and social Control Number: CMS–P–0015A, Room determinants of health. C4–26–05, 7500 Security Boulevard, Healthcare Information Technology DEPARTMENT OF HEALTH AND Baltimore, Maryland 21244–1850. Research: Biomedical and consumer HUMAN SERVICES To obtain copies of a supporting health informatics; family medicine; statement and any related forms for the health care data analysis; health Centers for Medicare & Medicaid proposed collection(s) summarized in information technology; health services Services this notice, you may make your request research in patient-oriented research; using one of following: electronic health record and data for [Document Identifier: CMS–10774 & CMS– 10008] 1. Access CMS’ website address at research; population-based studies in https://www.cms.gov/Regulations-and- medicine; epidemiology; telehealth/ Agency Information Collection Guidance/Legislation/Paperwork telemedicine; emergency medicine; Activities: Proposed Collection; ReductionActof1995/PRA-Listing.html. insurance benefit design; chronic Comment Request condition care; natural language FOR FURTHER INFORMATION CONTACT: processing and machine learning; social AGENCY: Centers for Medicare & William N. Parham at (410) 786–4669. networking and its determinants of Medicaid Services, Health and Human SUPPLEMENTARY INFORMATION: health; health disparities and social Services (HHS). Contents determinants of health. ACTION: Notice. Healthcare Systems and Value This notice sets out a summary of the SUMMARY: Research: Health statistics; health care The Centers for Medicare & use and burden associated with the outcome research; evaluation and Medicaid Services (CMS) is announcing following information collections. More survey methods; health system and an opportunity for the public to detailed information can be found in service research; health care policy comment on CMS’ intention to collect each collection’s supporting statement research; health economics research; information from the public. Under the and associated materials (see Paperwork Reduction Act of 1995 (the large database analysis; private health ADDRESSES). insurance/Medicaid and Medicare; PRA), federal agencies are required to learning laboratory development; health publish notice in the Federal Register CMS–10744—The International disparities and social determinants of concerning each proposed collection of Classification of Diseases, 10th health. information (including each proposed Revision, Procedure Coding System Health Care Research Training: extension or reinstatement of an existing (ICD–10–PCS) Clinician with knowledge of health collection of information) and to allow CMS–10008—Transitional Pass through policy; Medicare and Medicaid; 60 days for public comment on the payments related to Drugs, addiction medicine; health disparities proposed action. Interested persons are Biologicals, and and social determinants of health. invited to send comments regarding our Radiopharmaceuticals to determine Additional study section descriptive burden estimates or any other aspect of eligibility under the Outpatient information can be found here: this collection of information, including Prospective Payment System Study Section Rosters: http:// the necessity and utility of the proposed Under the PRA (44 U.S.C. 3501– www.ahrq.gov/funding/process/study- information collection for the proper 3520), federal agencies must obtain section/peerrev. performance of the agency’s functions, approval from the Office of Management Study Section Descriptions: http:// the accuracy of the estimated burden, and Budget (OMB) for each collection of www.ahrq.gov/funding/process/study- ways to enhance the quality, utility, and information they conduct or sponsor. section/peerdesc. clarity of the information to be The term ‘‘collection of information’’ is Study Section Research Foci: http:// collected, and the use of automated defined in 44 U.S.C. 3502(3) and 5 CFR www.ahrq.gov/funding/process/study- collection techniques or other forms of 1320.3(c) and includes agency requests section/resfoci. information technology to minimize the or requirements that members of the Interested individuals may nominate information collection burden. public submit reports, keep records, or themselves, and organizations and DATES: Comments must be received by provide information to a third party. individuals may nominate one or more July 12, 2021. Section 3506(c)(2)(A) of the PRA qualified persons for study section ADDRESSES: When commenting, please requires federal agencies to publish a membership. A diversity of perspectives reference the document identifier or 60-day notice in the Federal Register is valuable to AHRQ’s work. To help OMB control number. To be assured concerning each proposed collection of obtain a diversity of perspectives among consideration, comments and information, including each proposed nominees, AHRQ encourages recommendations must be submitted in extension or reinstatement of an existing nominations of women and members of any one of the following ways: collection of information, before minority populations. AHRQ also seeks 1. Electronically. You may send your submitting the collection to OMB for broad geographic representation. All comments electronically to http:// approval. To comply with this nominations must be submitted www.regulations.gov. Follow the requirement, CMS is publishing this electronically, and should include: instructions for ‘‘Comment or notice.
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Information Collection rationale for why the procedure code or applicants. Form Number: CMS–10008 1. Type of Information Collection change is needed. Supporting references (OMB control number: 0938–0802); Request: New collection (Request for a and literature may also be submitted. Frequency: Yearly; Affected Public: new control number); Title of Interested parties submit these ICD–10– Private Sector; Number of Respondents: Information Collection: The PCS modification requests three months 30; Total Annual Responses: 30; Total International Classification of Diseases, prior to a scheduled Spring or Fall C&M Annual Hours: 480. (For policy 10th Revision, Procedure Coding meeting via email to the following email questions regarding this collection System (ICD–10–PCS); Use: The HIPAA address: ICDProcedureCodeRequest@ contact Raymond A. Bulls at 410–786- Act of 1996 required CMS to adopt cms.hhs.gov. Form Number: CMS– 7267.) standards for coding systems that are 10744 (OMB control number: 0938– Dated: May 5, 2021. New); Frequency: Yearly; Affected used for reporting health care William N. Parham, III, transactions. The Transactions and Code Public: Business or other for-profits and Not-for-profit institutions and Private Director, Paperwork Reduction Staff, Office Sets final rule (65 FR 50312) published Sector; Number of Respondents: 80; of Strategic Operations and Regulatory in the Federal Register on August 17, Affairs. Total Annual Responses: 80; Total 2000 adopted the International Annual Hours: 800. (For policy [FR Doc. 2021–09908 Filed 5–10–21; 8:45 am] Classification of Diseases, 9th Revision, questions regarding this collection BILLING CODE 4120–01–P Clinical Modification (ICD–9–CM) contact Marilu Hue at 410–786–4510.) Volumes 1 and 2 for diagnosis codes 2. Type of Information Collection and ICD–9–CM Volume 3 for inpatient Request: Revision of a currently DEPARTMENT OF HEALTH AND hospital services procedures as standard approved collection; Title of HUMAN SERVICES code sets for use by covered entities Information Collection: Transitional (health plans, health care Health Resources and Services Pass through payments related to Drugs, Administration clearinghouses, and those health care Biologicals, and Radiopharmaceuticals providers who transmit any health to determine eligibility under the information in electronic form in Agency Information Collection Outpatient Prospective Payment Activities: Submission to OMB for connection with a transaction for which System; Use: Section 201(b) of the the Secretary has adopted a standard). Review and Approval; Public Comment BBRA 1999 amended section 1833(t) of Request; The Maternal, Infant, and The ICD–10–PCS code set has been the Act by adding new section maintained, enhanced and expanded as Early Childhood Home Visiting 1833(t)(6). This provision requires the Program Pay for Outcomes a direct result of recommendations for Secretary to make additional payments updates (e.g., adding new codes, Supplemental Information Request, to hospitals for a period of 2 to 3 years OMB NO. 0906–XXXX NEW deleting codes, and editing descriptive for certain drugs, radiopharmaceuticals, material related to existing codes) biological agents, medical devices and AGENCY: Health Resources and Services received from interested stakeholders brachytherapy devices. Section Administration (HRSA), Department of from both the public and private sectors. 1833(t)(6)(A)(iv) establishes the criteria Health and Human Services. Thus, information collected in the for determining the application of this ACTION: Notice. application is significant to code set provision to new items. Section maintenance. The ICD–10–PCS code set 1833(t)(6)(C)(i) provides that the SUMMARY: In compliance with of the maintenance is an ongoing process, as additional payment for drugs and Paperwork Reduction Act of 1995, changes are implemented and updated; biologicals be the amount by which the HRSA has submitted a Supplemental therefore, the process requires continual amount determined under section Information Request (SIR) to the Office collection of information from 1842(o) of the Act exceeds the portion of Management and Budget (OMB) for applicants on a bi-annual basis. As new of the otherwise applicable hospital review and approval. Comments technology evolves and new complex outpatient department fee schedule submitted during the first public review medical procedures are developed, amount that the Secretary determines to of this SIR will be provided to OMB. requests are submitted to CMS be associated with the drug or OMB will accept further comments from requesting modifications to the ICD–10– biological. the public during the review and PCS code set. Requests have been Interested parties such as hospitals, approval period. received prior to HIPAA pharmaceutical companies, and DATES: Comments on this SIR should be implementation and must continue to physicians will apply for transitional received no later than June 10, 2021. be collected to facilitate quality pass-through payment for drugs, ADDRESSES: Submit your comments, decision-making. biologicals, and radiopharmaceuticals including the SIR Title, to the desk The Committee provides two used with services covered under the officer for HRSA, either by email to meetings each year as a public forum to hospital OPPS. After we receive all [email protected] or by discuss proposed changes to ICD–10. requested information, we will evaluate fax to (202) 395–5806. Suggestions to CMS for ICD–10–PCS the information to determine if the procedure code modifications come criteria for making a transitional pass- FOR FURTHER INFORMATION CONTACT: To from both the public and private sectors. through payment are met and if an request a copy of the clearance requests ICD–10–PCS modification requests can interim healthcare common procedure submitted to OMB for review, email Lisa be proposals for new or revised coding system (HCPCS) code for a new Wright-Solomon, the HRSA Information procedure codes or requests for drug, biological, or radiopharmaceutical Collection Clearance Officer at technical coding updates including but is necessary. We will advise the [email protected] or call (301) 443– not limited to, enhancements to existing applicant of our decision, and update 1984. procedure code concepts, such as the hospital OPPS during its next SUPPLEMENTARY INFORMATION: When adding a new body part value or a new scheduled quarterly update to reflect submitting comments or requesting approach value. Requestors are asked to any newly approved drug, biological, or information, please include the include a description of the procedure radiopharmaceutical. We list below the Information Collection Request title for code or change being requested, and information that we will require from all reference.
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Information Collection Request Title: • Revising the SIR to further describe parents with young children up to Maternal, Infant, and Early Childhood expectations and best practices kindergarten entry. States, territories, Home Visiting Program Pay for associated with conducting feasibility tribal entities, and in certain Outcomes Supplemental Information studies and ensuring independence and circumstances, nonprofit organizations Request, OMB NO. 0906–XXXX, NEW accountability in the process. HRSA are eligible to receive funding through Abstract: HRSA is requesting will not specify credentials or level of MIECHV and have the flexibility, within approval to collect information in experience of evaluators or researchers, the parameters of the authorizing response to a SIR which will include allowing recipients to have flexibility to statute, to tailor the program to serve the eligible entities’ plans for determine what will work best for their specific needs of their communities. implementation and evaluation of Pay context. Section 50605 of the Bipartisan for Outcomes (PFO) initiatives to be • Revising the SIR to further clarify Budget Act (BBA) of 2018 (Pub. L. 115– applied for through the Maternal, Infant, that applicants are to select outcome 123) added new Section 511(c)(3), and Early Childhood Home Visiting measure(s) that will have meaningful which authorizes MIECHV recipients (MIECHV) Program. The Bipartisan impacts for the children and families the option to use up to 25 percent of Budget Act of 2018 (Pub. L. 115–123) served. MIECHV funding for ‘‘outcomes or added subsection (c)(3) to Section 511 of • Editing the SIR to broaden the success payments related to a PFO the Social Security Act, 42 U.S.C. 711. requirements around obtaining signed initiative that will not result in The new provision authorizes MIECHV partnership agreements so that a draft reduction of funding for home visiting Program funding recipients to use up to agreement or letter of intent, as well as services. The new authority establishes 25 percent of the funds awarded under a signed partnership agreement, would new requirements, including that the subsection 511(c)(1) ‘‘to enable eligible be acceptable. PFO initiative ‘‘will not result in a entities to deliver services under early • Revising the SIR to clarify that reduction of funding for services childhood home visitation programs’’ recipients can set aside funds awarded delivered by the entity under a for ‘‘outcomes or success payments in multiple years as part of its PFO childhood home visitation program related to a pay for outcomes initiative initiative. Recipients must propose a under this section while the eligible that will not result in a reduction of PFO project extending over the project entity develops or operates such an funding for services delivered by the period of the entire initiative, and must initiative.’’ Under Section 511(j)(3)(A), entity under a childhood home work closely with HRSA to ensure funds used by recipients for a PFO visitation program under this section appropriate monitoring of use of funds initiative remain available for while the eligible entity develops or for this purpose over the 10-year period expenditure by the eligible entity for not operates such an initiative.’’ Subsection of availability. more than 10 years after the funds are 511(j)(3)(B) further requires that ‘‘funds • Revising the SIR to clarify that the made available. made available to an eligible entity required annual reports must be made In response to the forthcoming SIR, under this section for a fiscal year (or available to the public and removing MIECHV recipients planning to use portion of a fiscal year) for a pay for language that may suggest that the MIECHV grant funds for outcomes or outcomes initiative shall remain annual reports will include outcomes success payments related to a PFO available for expenditure by the eligible that have been achieved and/or initiative will be required to submit a entity for not more than 10 years after payments made. PFO SIR Response outlining how their • the funds are so made available.’’ Revising the SIR to clarify the plans will meet all of the applicable Eligible entities may propose to use expectation that recipients must statutory requirements and identifying MIECHV funds for outcomes or success continue to meet program and model what specific MIECHV funds (e.g., fiscal payments related to a PFO initiative in fidelity requirements with no reduction year 2021 formula funding) they response to the fiscal year 2021 of funding for services. HRSA will propose to use to (1) develop and MIECHV Notice of Funding Opportunity further develop and apply criteria as implement their PFO initiative and (2) and in succeeding fiscal years pending part of the review and approval process make PFO outcomes or success availability of future funds, the recipient of any proposed PFO initiatives to payments based on the planned PFO must submit a detailed application that ensure PFO initiatives have no negative initiative. responds to the forthcoming SIR impact on high-quality service delivery. Regarding a PFO initiative, the (henceforth this application is referred Need and Proposed Use of the MIECHV authorizing statute requires the to as a PFO SIR Response). Information: Congress, through following: A 60-day notice was published in the enactment of the Social Security Act, (1) A PFO initiative may not result in a Federal Register on July 8, 2020. HRSA Title V, Section 511 (42 U.S.C. 711), as reduction of funding for services delivered by received four comments. Comments amended, established the MIECHV the entity under a childhood home visitation sought clarification on guidance related Program. The MIECHV Program is program under this section while the eligible to third-party evaluation, selection of designed to (1) strengthen and improve entity develops or operates such an initiative outcome measures, partnership the programs and activities carried out (section 711(c)(3)); and agreements, budgeting PFO funds, under Title V of the Social Security Act, (2) The PFO initiative for which outcome (2) improve coordination of services for or success payments may be made must annual reports, and maintenance of include: service delivery. Other comments at risk communities, and (3) identify (a) A feasibility study that describes how highlighted topics that would benefit and provide comprehensive services to the proposed intervention is based on from specific technical assistance, improve outcomes for families who evidence of effectiveness; indicated support for various aspects of reside in at risk communities. The (b) A rigorous, third-party evaluation that the guidance, or offered suggestions that MIECHV Program, authorized by section uses experimental or quasi-experimental were outside the intended scope of the 511 of the Social Security Act, 42 U.S.C. design or other research methodologies that guidance. After taking the public 711, and administered by HRSA, in allow for the strongest possible causal inferences to determine whether the comments into consideration, HRSA is partnership with the Administration for initiative has met its proposed outcomes as proposing final revisions to the PFO SIR Children and Families, supports a result of implementation; Guidance by making the following voluntary, evidence-based home visiting (c) An annual, publicly available report on changes: services during pregnancy and to the progress of the initiative; and
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(d) A requirement that payments are made through the PFO SIR Response to ensure Burden Statement: Burden in this to the recipient of the grant, contract, or that MIECHV recipients’ proposals to context means the time expended by cooperative agreement only when agreed use grant funds for PFO initiatives meet persons to generate, maintain, retain, upon outcomes are achieved, excluding payments made to a third party conducting statutory requirements and to provide disclose, or provide the information the evaluation. technical assistance to recipients. The requested. This includes the time implementation of a PFO initiative is See 42 U.S.C. 711(k)(4). needed to review instructions and not intended to disrupt current services The forthcoming SIR will provide supporting materials; to collect and further instructions to recipients in or negatively impact communities that analyze data and information to develop proposing a PFO initiative and have benefited from home visiting the PFO SIR Response; engage with submitting the required information to programs and must not result in a stakeholders and coordinate with state HRSA. Recipients are not required to reduction of funding for home visiting level partners; and to draft and submit propose or implement a PFO initiative, services. the PFO SIR Response. The table below but if they wish to do so, they must Likely Respondents: MIECHV Program summarizes the total annual burden submit a PFO SIR Response describing recipients that are states, territories, hours estimated for this SIR. how their PFO initiative will meet all of and, where applicable, nonprofit Total Estimated Annualized Burden the applicable statutory requirements. organizations providing home visiting Hours: HRSA will use the information collected services within states.
Number of Average Instrument Number of responses per Total burden hours Total burden respondents respondent responses per response hours
MIECHV PAY FOR OUTCOMES SIR ...... 15 1 15 92 1,380
Total ...... 15 ...... 15 ...... 1,380
HRSA specifically requests comments would constitute a clearly unwarranted DEPARTMENT OF HEALTH AND on (1) the necessity and utility of the invasion of personal privacy. HUMAN SERVICES proposed information collection for the Name of Committee: National Institute of proper performance of the agency’s National Institutes of Health Allergy and Infectious Diseases Special functions, (2) the accuracy of the Emphasis Panel; NIAID Investigator Initiated estimated burden, (3) ways to enhance Center for Scientific Review; Notice of Program Project Applications (P01 Clinical Closed Meetings the quality, utility, and clarity of the Trial Not Allowed). information to be collected, and (4) the Date: May 17, 2021. Pursuant to section 10(d) of the use of automated collection techniques Time: 10:00 a.m. to 1:30 p.m. Federal Advisory Committee Act, as or other forms of information Agenda: To review and evaluate grant amended, notice is hereby given of the technology to minimize the information applications. following meetings. collection burden. Place: National Institute of Allergy and The meetings will be closed to the Maria G. Button, Infectious Diseases, National Institutes of public in accordance with the Director, Executive Secretariat. Health, 5601 Fisher Lane, Room 3G45, provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., [FR Doc. 2021–09910 Filed 5–10–21; 8:45 am] Rockville, MD 20892 (Virtual Meeting). Contact Person: Vanitha Sundaresa Raman, as amended. The grant applications and BILLING CODE 4165–15–P Ph.D., Scientific Review Officer, Scientific the discussions could disclose Review Program, Division of Extramural confidential trade secrets or commercial DEPARTMENT OF HEALTH AND Activities, National Institute of Allergy and property such as patentable material, HUMAN SERVICES Infectious Diseases, National Institutes of and personal information concerning Health, 5601 Fishers Lane, Room 3G45, individuals associated with the grant National Institutes of Health Rockville, MD 20852, 301–761–7949, applications, the disclosure of which [email protected]. would constitute a clearly unwarranted National Institute of Allergy and This notice is being published less than 15 invasion of personal privacy. Infectious Diseases; Notice of Closed days prior to the meeting due to the timing Name of Committee: Center for Scientific Meeting limitations imposed by the review and Review Special Emphasis Panel; PAR–20– Pursuant to section 10(d) of the funding cycle. 131: Mammalian Models for Translational (Catalogue of Federal Domestic Assistance Research. Federal Advisory Committee Act, as Date: June 7, 2021. Program Nos. 93.855, Allergy, Immunology, amended, notice is hereby given of the Time: 9:00 a.m. to 7:00 p.m. following meeting. and Transplantation Research; 93.856, Agenda: To review and evaluate grant The meeting will be closed to the Microbiology and Infectious Diseases applications. public in accordance with the Research, National Institutes of Health, HHS) Place: National Institutes of Health, provisions set forth in sections Dated: May 5, 2021. Rockledge II, 6701 Rockledge Drive, Bethesda, MD 20892 (Virtual Meeting). 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Tyeshia M. Roberson, as amended. The grant applications and Contact Person: Jeffrey Smiley, Ph.D., Scientific Review Officer, Center for the discussions could disclose Program Analyst, Office of Federal Advisory Committee Policy. Scientific Review, National Institutes of confidential trade secrets or commercial [FR Doc. 2021–09913 Filed 5–10–21; 8:45 am] Health, 6701 Rockledge Drive, Room 6194, property such as patentable material, MSC 7804, Bethesda, MD 20892, (301) 272– and personal information concerning BILLING CODE 4140–01–P 4596, [email protected]. individuals associated with the grant Name of Committee: Vascular and applications, the disclosure of which Hematology Integrated Review Group; Basic
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Biology of Blood, Heart and Vasculature Scientific Review, National Institutes of 93.846–93.878, 93.892, 93.893, National Study Section. Health, 6701 Rockledge Drive, Bethesda, MD Institutes of Health, HHS) Date: June 8–9, 2021. 20892, (301) 435–0000, czaplinskik2@ Dated: May 6, 2021. Time: 9:00 a.m. to 9:00 p.m. csr.nih.gov. Miguelina Perez, Agenda: To review and evaluate grant Name of Committee: Center for Scientific applications. Review Special Emphasis Panel; Member Program Analyst, Office of Federal Advisory Place: National Institutes of Health, Conflict: Chemistry, Biochemistry and Committee Policy. Rockledge II, 6701 Rockledge Drive, Macromolecular Biophysics. [FR Doc. 2021–09923 Filed 5–10–21; 8:45 am] Bethesda, MD 20892 (Virtual Meeting). Date: June 14–15, 2021. BILLING CODE 4140–01–P Contact Person: Ashlee Tipton, Ph.D., Time: 11:00 a.m. to 5:00 p.m. Scientific Review Officer, Center for Agenda: To review and evaluate grant Scientific Review, National Institutes of applications. Health, 6701 Rockledge Drive, Bethesda, MD DEPARTMENT OF HEALTH AND Place: National Institutes of Health, HUMAN SERVICES 20817, (301) 451–3849, ashlee.tipton@ Rockledge II, 6701 Rockledge Drive, nih.gov. Bethesda, MD 20892 (Virtual Meeting). National Institutes of Health Name of Committee: Center for Scientific Contact Person: Sergei Ruvinov, Ph.D., Review Special Emphasis Panel; Immuno- Scientific Review Officer, Center for Oncology Research. Scientific Review, National Institutes of National Institute on Drug Abuse; Date: June 10–11, 2021. Health, 6701 Rockledge Drive, Room 4158, Notice of Closed Meetings Time: 9:00 a.m. to 8:00 p.m. MSC 7806, Bethesda, MD 20892, (301) 435– Pursuant to section 10(d) of the Agenda: To review and evaluate grant 1180, [email protected]. applications. Federal Advisory Committee Act, as Name of Committee: Integrative, amended, notice is hereby given of the Place: National Institutes of Health, Functional and Cognitive Neuroscience Rockledge II, 6701 Rockledge Drive, Integrated Review; Group Learning, Memory following meetings. Bethesda, MD 20892 (Virtual Meeting). and Decision Neuroscience Study Section. The meetings will be closed to the Contact Person: Mehrdad Mohseni, MD, Date: June 17–18, 2021. public in accordance with the Scientific Review Officer, Center for Time: 9:00 a.m. to 8:00 p.m. provisions set forth in sections Scientific Review, National Institutes of Agenda: To review and evaluate grant 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Health, 6701 Rockledge Drive, Room 5211, applications. MSC 7854, Bethesda, MD 20892, (301) 435– as amended. The grant applications and Place: National Institutes of Health, 0484, [email protected]. the discussions could disclose Rockledge II, 6701 Rockledge Drive, Name of Committee: Brain Disorders and confidential trade secrets or commercial Bethesda, MD 20892 (Virtual Meeting). property such as patentable material, Clinical Neuroscience Integrated Review Contact Person: Roger Janz, Ph.D., Group; Chronic Dysfunction and Integrative Scientific Review Officer, Center for and personal information concerning Neurodegeneration Study Section. Scientific Review, National Institutes of individuals associated with the grant Date: June 10–11, 2021. Health, 6701 Rockledge Drive, Bethesda, MD applications, the disclosure of which Time: 9:00 a.m. to 7:00 p.m. 20892, [email protected]. would constitute a clearly unwarranted Agenda: To review and evaluate grant invasion of personal privacy. applications. Name of Committee: Healthcare Delivery Place: National Institutes of Health, 6701 and Methodologies Integrated Review Group; Name of Committee: National Institute on Rockledge Drive, Bethesda, MD 20892 Clinical Data Management and Analysis Drug Abuse Special Emphasis Panel, Genetic (Virtual Meeting). Study Section. Analysis of Non-Human Animal Models to Contact Person: Jenny R Browning, Ph.D., Date: June 17–18, 2021. Understand the Genomic Architecture of Scientific Review Officer, Center for Time: 9:00 a.m. to 6:00 p.m. Substance Use Disorders and Addictive Scientific Review, National Institutes of Agenda: To review and evaluate grant Behaviors (U01 Clinical Trial Not Allowed). Health, 6701 Rockledge Drive, Rm. 5207, applications. Date: June 10, 2021. Bethesda, MD 20892, (301) 402–8197, Place: National Institutes of Health, Time: 12:00 p.m. to 4:00 p.m. [email protected]. Rockledge II, 6701 Rockledge Drive, Agenda: To review and evaluate grant Bethesda, MD 20892 (Virtual Meeting). Name of Committee: Center for Scientific applications. Contact Person: Chittari V Shivakumar, Review Special Emphasis Panel; RFA Panel: Place: National Institutes of Health, Ph.D., Scientific Review Officer, National Tobacco Regulatory Science B. National Institute on Drug Abuse, 301 North Institutes of Health, Center for Scientific Date: June 11, 2021. Stonestreet Avenue, Bethesda, MD 20892 Review, 6701 Rockledge Drive, Bethesda, MD Time: 9:00 a.m. to 8:00 p.m. (Virtual Meeting). 20892, (301) 408–9098, chittari.shivakumar@ Agenda: To review and evaluate grant Contact Person: Ipolia R. Ramadan, Ph.D., nih.gov. applications. Scientific Review Officer, Office of Place: National Institutes of Health, Name of Committee: Infectious Diseases Extramural Policy and Review, Division of Rockledge II, 6701 Rockledge Drive, and Immunology B Integrated Review Group; Extramural Research, National Institute on Bethesda, MD 20892 (Virtual Meeting). Transplantation, Tolerance, and Tumor Drug Abuse, NIH, 301 North Stonestreet Contact Person: Pamela Jeter, Ph.D., Immunology Study Section. Avenue, MSC 6021, Bethesda, MD 20892, Scientific Review Officer, Center for Date: June 17–18, 2021. (301) 827–4471, [email protected]. Scientific Review, National Institutes of Time: 9:30 a.m. to 9:00 p.m. Name of Committee: National Institute on Health, 6701 Rockledge Drive, Room 10J08, Agenda: To review and evaluate grant Drug Abuse Special Emphasis Panel; Cutting- Bethesda, MD 20892, (301) 435–2591, applications. Edge Basic Research Awards (CEBRA) (R21). [email protected]. Place: National Institutes of Health, Date: June 11, 2021. Name of Committee: Cell Biology Rockledge II, 6701 Rockledge Drive, Time: 10:00 a.m. to 5:30 p.m. Integrated Review Group; Membrane Biology Bethesda, MD 20892 (Virtual Meeting). Agenda: To review and evaluate grant and Protein Processing Study Section. Contact Person: Alok Mulky, Ph.D., applications. Date: June 14–15, 2021. Scientific Review Officer, Center for Place: National Institutes of Health, Time: 10:00 a.m. to 7:00 p.m. Scientific Review, National Institutes of National Institute on Drug Abuse, 301 North Agenda: To review and evaluate grant Health, 6701 Rockledge Drive, Room 4203, Stonestreet Avenue, Bethesda, MD 20892 applications. Bethesda, MD 20892, (301) 435–3566, (Virtual Meeting). Place: National Institutes of Health, [email protected]. Contact Person: Sheila Pirooznia, Ph.D., Rockledge II, 6701 Rockledge Drive, (Catalogue of Federal Domestic Assistance Scientific Review Officer, Division of Bethesda, MD 20892 (Virtual Meeting). Program Nos. 93.306, Comparative Medicine; Extramural Review, Scientific Review Contact Person: Kevin Czaplinski, Ph.D., 93.333, Clinical Research, 93.306, 93.333, Branch, National Institute on Drug Abuse, Scientific Review Officer, Center for 93.337, 93.393–93.396, 93.837–93.844, NIH, 301 North Stonestreet Avenue, MSC
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6021, Bethesda, MD 20892, (301) 496–9350, Place: National Institute of Allergy and Agenda: Update and discussion of current [email protected]. Infectious Diseases, National Institutes of and planned Fogarty International Center Name of Committee: National Institute on Health, 5601 Fishers Lane, Room 3G22, activities. Drug Abuse Initial Review Group; Rockville, MD 20892 (Virtual Meeting). Place: Fogarty International Center, Medication Development Research Study Contact Person: Inka I Sastalla, Ph.D., National Institutes of Health, 31 Center Drive, Section. Scientific Review Officer, Scientific Review Bethesda, MD 20892 (Virtual Meeting). Date: July 21, 2021. Program, Division of Extramural Activities, Meeting Access: https://www.fic.nih.gov/ Time: 10:00 a.m. to 5:00 p.m. National Institute of Allergy and Infectious About/Advisory/Pages/default.aspx. Agenda: To review and evaluate grant Diseases, National Institutes of Health, 5601 Contact Person: Kristen Weymouth, applications. Fishers Lane, Room 3G22, Rockville, MD Executive Secretary, Fogarty International Place: National Institutes of Health, 20852, 301–761–6431, [email protected]. Center, National Institutes of Health, 31 National Institute on Drug Abuse, 301 North (Catalogue of Federal Domestic Assistance Center Drive, Room B2C02, Bethesda, MD Stonestreet Avenue, Bethesda, MD 20892 Program Nos. 93.855, Allergy, Immunology, 20892–7952, 301–496–1415, (Virtual Meeting). and Transplantation Research; 93.856, [email protected]. Contact Person: Preethy Nayar, Ph.D., Microbiology and Infectious Diseases Any interested person may file written M.B.B.S., Scientific Review Officer, Scientific Review Branch, National Institute on Drug Research, National Institutes of Health, HHS) comments with the committee by forwarding Abuse, NIH, 301 North Stonestreet Avenue, Dated: May 5, 2021. the statement to the Contact Person listed on this notice. The statement should include the MSC 6021, Bethesda, MD 20892, 301–443– Tyeshia M. Roberson, 4577, [email protected]. name, address, telephone number and when Program Analyst, Office of Federal Advisory applicable, the business or professional (Catalogue of Federal Domestic Assistance Committee Policy. affiliation of the interested person. Program Nos. 93.277, Drug Abuse Scientist Information is also available on the Development Award for Clinicians, Scientist [FR Doc. 2021–09914 Filed 5–10–21; 8:45 am] Institute’s/Center’s home page: http:// Development Awards, and Research Scientist BILLING CODE 4140–01–P www.fic.nih.gov/About/Advisory/Pages/ Awards; 93.278, Drug Abuse National default.aspx, where an agenda and any Research Service Awards for Research Training; 93.279, Drug Abuse and Addiction DEPARTMENT OF HEALTH AND additional information for the meeting will be posted when available. Research Programs, National Institutes of HUMAN SERVICES Health, HHS) (Catalogue of Federal Domestic Assistance National Institutes of Health Program Nos. 93.106, Minority International Dated: May 5, 2021. Research Training Grant in the Biomedical Tyeshia M. Roberson, Fogarty International Center; Notice of and Behavioral Sciences; 93.154, Special Program Analyst, Office of Federal Advisory Meeting International Postdoctoral Research Program Committee Policy. in Acquired Immunodeficiency Syndrome; 93.168, International Cooperative [FR Doc. 2021–09915 Filed 5–10–21; 8:45 am] Pursuant to section 10(d) of the BILLING CODE 4140–01–P Biodiversity Groups Program; 93.934, Fogarty Federal Advisory Committee Act, as International Research Collaboration Award; amended, notice is hereby given of a 93.989, Senior International Fellowship meeting of the Fogarty International DEPARTMENT OF HEALTH AND Awards Program, National Institutes of Center Advisory Board. Health, HHS) HUMAN SERVICES The meeting will be open to the Dated: May 5, 2021. National Institutes of Health public via online meeting. Individuals Tyeshia M. Roberson, who plan to attend and need special Program Analyst, Office of Federal Advisory National Institute of Allergy and assistance, such as sign language Committee Policy. Infectious Diseases; Notice of Closed interpretation or other reasonable [FR Doc. 2021–09912 Filed 5–10–21; 8:45 am] Meeting accommodations should notify the BILLING CODE 4140–01–P Pursuant to section 10(d) of the Contact Person listed below in advance Federal Advisory Committee Act, as of the virtual meeting. amended, notice is hereby given of the The meeting will be closed to the DEPARTMENT OF HOMELAND following meeting. public in accordance with the SECURITY The meeting will be closed to the provisions set forth in sections public in accordance with the 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., [Docket No. DHS–2020–0051] provisions set forth in sections as amended. The grant applications and 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., the discussions could disclose Privacy Act of 1974; System of as amended. The grant applications and confidential trade secrets or commercial Records the discussions could disclose property such as patentable material, AGENCY: Science and Technology confidential trade secrets or commercial and personal information concerning Directorate, U.S. Department of property such as patentable material, individuals associated with the grant Homeland Security. and personal information concerning applications, the disclosure of which ACTION: Notice of a new system of individuals associated with the grant would constitute a clearly unwarranted records. applications, the disclosure of which invasion of personal privacy. would constitute a clearly unwarranted Name of Committee: Fogarty International SUMMARY: In accordance with the invasion of personal privacy. Center Advisory Board. Privacy Act of 1974, the U.S. Name of Committee: National Institute of Date: June 7–8, 2021. Department of Homeland Security Allergy and Infectious Diseases Special Closed: June 07, 2021, 12:00 p.m. to 3:30 (DHS) proposes to establish a new DHS Emphasis Panel; A multidisciplinary p.m. system of records titled, ‘‘DHS/Science approach to study vaccine-elicited immunity Agenda: To review and evaluate the & Technology Directorate (S&T)-003 second level of grant applications. and efficacy against malaria (U01 Clinical National Bioforensic Analysis Center Trial Not Allowed), Place: Fogarty International Center, Date: June 2–3, 2021, National Institutes of Health, 31 Center Drive, Laboratory Elimination Database System Time: 9:30 a.m. to 2:00 p.m. Bethesda, MD 20892 (Virtual Meeting). of Records.’’ This system of records Agenda: To review and evaluate grant Open: June 08, 2021, 12:00 p.m. to 3:00 describes DHS/S&T’s collection, use, applications. p.m. and maintenance of records on
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individuals who come into contact with LD) collaborate on NBACC operations development, demonstration, testing, or are in proximity to the National and management, including NBFAC. and evaluation activities that are Bioforensic Analysis Center (NBFAC), a DHS designated NBFAC to be the lead relevant to any or all elements of DHS, center within one of DHS’s National federal facility to conduct and facilitate through intramural and extramural Laboratories, or NBFAC biological the technical forensic analysis and programs. In addition, National Security samples or material. This newly interpretation of materials recovered Presidential Memorandum 14, Support established system will be included in following a biological attack. NBFAC for National Biodefense, and the DHS’s inventory of record systems. performs research, development, testing, National Biodefense Strategy serve as DATES: Submit comments on or before and evaluation (RDT&E) activities to the primary authorities for the June 10, 2021. This new system will be develop bioforensic capabilities and bioforensic work NBFAC performs in its effective upon publication. Routine uses casework analysis in support of FBI law laboratories. NBFAC uses the will be effective June 10, 2021. enforcement investigations requiring elimination database to ensure the ADDRESSES: You may submit comments, bioforensic analytic capabilities. accuracy of analytic results and improve DHS/S&T uses the NBFAC Laboratory identified by docket number DHS– laboratory procedures, as warranted, by Elimination Database for contamination 2020–0051 by one of the following evaluating and remediating any detection and prevention. The NBFAC methods: nonconformities that may have resulted • Federal e-Rulemaking Portal: http:// Laboratory Elimination Database in contamination. www.regulations.gov. Follow the provides the capability to ensure that NBFAC has taken steps to minimize instructions for submitting comments. human deoxyribonucleic acid (DNA) the potential risks posed by the loss • Fax: 202–343–4010. sequences identified and reported in and/or unauthorized access, use, • Mail: Lynn Parker Dupree, Chief NBFAC’s operational casework or modification, destruction, or disclosure Privacy Officer, Privacy Office, U.S. RDT&E activities are not the result of of individuals’ information by adopting Department of Homeland Security, accidental contamination by a person administrative, technical, and physical Washington, DC 20528–0655. who has been in contact with or in controls. NBFAC also takes steps to Instructions: All submissions received proximity to NBFAC or its evidence, or ensure the quality of the data NBFAC must include the agency name and RDT&E samples or biological material collects by collecting the information docket number DHS–2020–0051. All derived from the samples. directly from the individual. The data comments received will be posted DHS/S&T establishes the database to S&T collects is the minimum relevant without change to http:// collect, organize, store, maintain, and data needed for the contamination www.regulations.gov, including any query information about laboratory- detection and prevention purposes of personal information provided. based or specimen-processing this system of records. Docket: For access to the docket to individuals to determine whether a NBFAC limits access to the read background documents or contamination event may have occurred information by segregating the data into comments received, go to http:// and which individual or individuals a core function and a tracing function. www.regulations.gov. may be the source of an unintended The core function is the data maintained contaminant present within a controlled and used to monitor and control for FOR FURTHER INFORMATION CONTACT: For environment, experiment, or scientific contamination purposes. NBFAC cannot general questions, please contact: Maria process. DHS/S&T also will use the identify an individual based on the core Petrakis, (202) 254–7748, STPrivacy@ database for contamination prevention function data only. NBFAC would need hq.dhs.gov, S&T Privacy Officer, the purposes to identify, correct, and the tracing function biographic Science and Technology Directorate, prevent the recurrence of the information to be able to identify an Mail Stop: 0205, U.S. Department of nonconformity that led to the individual, when necessary. NBFAC Homeland Security, 245 Murray Lane contamination event. NBFAC compares stores the tracing function data SW, Washington, DC 20528. For privacy individuals’ information from the separately. For example, if a match is questions, please contact: Lynn Parker database to identify the possible source made between a DNA record from the Dupree, (202) 343–1717, Privacy@ of a contaminant that may affect core function data and a suspected hq.dhs.gov, Chief Privacy Officer, NBFAC’s analytic results. NBFAC contaminant, if needed, NBFAC may Privacy Office, U.S. Department of collects information from individuals, retrieve additional information on the Homeland Security, Washington, DC on a voluntary basis, who NBFAC has individual (e.g., name, institution, 20528–0655. determined may be in a position to position, contact information, biological SUPPLEMENTARY INFORMATION: inadvertently contaminate samples or sex, or physical sample location) from a the biological materials derived from separate tracing function area in the I. Background samples. database, in accordance with NBFAC In accordance with the Privacy Act of The database segregates data by core the database standard operating 1974, 5 U.S.C. 552a, the U.S. function and tracing function. Core procedure. Department of Homeland Security function data consists of unique Consistent with DHS’s information (DHS) Science & Technology Directorate NBFAC-assigned identifiers and sharing mission, information stored in (S&T) proposes to establish a new DHS associated DNA. Tracing function data the DHS/S&T–003 National Bioforensic system of records titled, ‘‘DHS/S&T–003 includes biographic information on the Analysis Center Laboratory Elimination National Bioforensic Analysis Center individual (e.g., name, institution, Database System of Records may be Laboratory Elimination Database System position, contact information, biological shared with other DHS Components that of Records.’’ The National Bioforensic sex, or physical sample location), have a need to know the information to Analysis Center (NBFAC) is a laboratory enabling NBFAC to link core data to an carry out their national security, law within one of DHS’s National individual, as needed, pursuant to enforcement, immigration, intelligence, Laboratories, the National Biodefense NBFAC standard operating procedures. or other homeland security functions. In Analysis and Countermeasures Center DHS S&T creates this system of addition, DHS/S&T may share (NBACC). DHS/S&T and the Department records in accordance with the information with appropriate federal, of Justice (DOJ) Federal Bureau of authorities granted by 6 U.S.C. 182 for state, local, tribal, territorial, foreign, or Investigation Laboratory Division (FBI– conducting basic and applied research, international government agencies
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consistent with the routine uses set AUTHORITY FOR MAINTENANCE OF THE SYSTEM: • Unique NBFAC identifier for the forth in this system of records notice. The Homeland Security Act of 2002, individual; This newly established system will be Public Law 107–296, Sec. 302 (codified • An external partner’s personal included in DHS’s inventory of record at 6 U.S.C. 182); National Security identifier for information about an systems. Presidential Memorandum 14, Support individual, other than a name, (e.g., employee identification number or II. Privacy Act for National Biodefense, and the National Biodefense Strategy; the badge number); The Privacy Act embodies fair Intelligence Reform and Terrorism • Institutional or organizational information practice principles in a Prevention Act of 2004, Public Law affiliation; statutory framework governing the 108–458, 118 Stat. 3638, sec. 8306 (Dec. • Institutional or organizational means by which Federal Government 2004), 6 U.S.C. 112 note, 6 CFR part 46, position; agencies collect, maintain, use, and and 42 U.S.C. 300v–1, and 45 CFR part • Contact information including, disseminate individuals’ records. The 46, subpart A, to the extent an activity phone numbers, email addresses, Privacy Act applies to information that meets the definition of research on physical addresses; is maintained in a ‘‘system of records.’’ human subjects. • Individual’s biological sex; A ‘‘system of records’’ is a group of any • Individual’s collected DNA sample PURPOSE(S) OF THE SYSTEM: records under the control of an agency and the sample’s physical location from which information is retrieved by The purpose of this system is to information (stored and maintained in the name of an individual or by some determine whether a contamination the database); and identifying number, symbol, or other event may have occurred related to • Individual’s DNA sequence data, identifying particular assigned to the NBFAC’s operational casework or but not the full genome sequence. RDT&E activities; and if so, which individual. In the Privacy Act, an RECORD SOURCE CATEGORIES: individual is defined to encompass U.S. individual or individuals may be the citizens and lawful permanent source of an unintended contaminant Records are obtained from NBFAC residents. Additionally, the Judicial present within a controlled and non-NBFAC personnel. External Redress Act (JRA) provides covered environment, experiment, or scientific partner agencies may provide persons with a statutory right to make process, and to prevent the recurrence information about their personnel who requests for access and amendment to of the nonconformity that led to have been in contact or proximity to covered records, as defined by the JRA, contamination event. NBFAC DNA-sensitive laboratories or its biological samples or material. along with judicial review for denials of CATEGORIES OF INDIVIDUALS COVERED BY THE such requests. In addition, the JRA SYSTEM: ROUTINE USES OF RECORDS MAINTAINED IN THE prohibits disclosures of covered records, NBFAC personnel and non-NBFAC SYSTEM, INCLUDING CATEGORIES OF USERS AND except as otherwise permitted by the personnel that have access to the PURPOSES OF SUCH USES: Privacy Act. laboratory, including maintenance, In addition to those disclosures Below is the description of the DHS/ instrument service personnel and generally permitted under 5 U.S.C. S&T–003 National Bioforensic Analysis visitors, and non-NBFAC personnel that 552a(b) of the Privacy Act, all or a Center Laboratory Elimination Database may have had contact with items prior portion of the records or information System of Records. to the commencement of the controlled contained in this system may be In accordance with 5 U.S.C. 552a(r), activities. disclosed outside DHS as a routine use DHS has provided a report of this The NBFAC individuals include: (1) pursuant to 5 U.S.C. 552a(b)(3) as system of records to the Office of NBFAC evidence handlers, chain of follows: Management and Budget and to custody staff, technicians, principal A. To the Department of Justice (DOJ), Congress. investigators, engineers, safety staff, including the U.S. Attorneys Offices, or security staff, maintenance staff, and other federal agencies conducting SYSTEM NAME AND NUMBER: internal auditors that handle evidence litigation or proceedings before any U.S. Department of Homeland items, or biological material derived court, adjudicative, or administrative Security (DHS)/Science & Technology from evidence items, or access DNA- body, when it is relevant or necessary to Directorate (S&T)-003 National sensitive NBFAC laboratories; and (2) the litigation and one of the following Bioforensic Analysis Center Laboratory FBI staff that handle evidence items, or is a party to the litigation or has an Elimination Database System of biological material derived from interest in such litigation: Records. evidence items, or access DNA-sensitive 1. DHS or any component thereof; NBFAC laboratories. 2. Any employee or former employee SECURITY CLASSIFICATION: Individuals external to NBFAC of DHS in his/her official capacity; 3. Any employee or former employee Unclassified and Classified. include non-NBFAC personnel who are evidence collectors and handlers and of DHS in his/her individual capacity, SYSTEM LOCATION: casework technicians who handle only when DOJ or DHS has agreed to evidence or derived biological materials represent the employee; or Records are maintained at NBFAC prior to their arrival at NBFAC, 4. The United States or any agency within NBACC at Ft. Detrick, MD. engineers and technicians that access thereof. B. To a congressional office from the SYSTEM MANAGER(S): DNA-sensitive NBFAC laboratories to install or maintain equipment, auditors/ record of an individual in response to Director, Office of National inspectors that access DNA-sensitive an inquiry from that congressional office Laboratories, Science & Technology NBFAC laboratories, and visitors made at the request of the individual to Directorate, U.S. Department of granted access to DNA-sensitive NBFAC whom the record pertains. Homeland Security, Room #10–027, laboratories. C. To the National Archives and S&T Division, Mail Stop: 0205, 245 Records Administration (NARA) or Murray Lane SW, Washington, DC CATEGORIES OF RECORDS IN THE SYSTEM: General Services Administration 20528–0205, (202)-254–8227. • Individual’s full name; pursuant to records management
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inspections being conducted under the development of methods or resources to POLICIES AND PRACTICES FOR RETRIEVAL OF authority of 44 U.S.C. secs. 2904 and support statistical or research activities, RECORDS: 2906. provided that the records support DHS DHS/S&T may retrieve records by D. To an agency or organization for programs and activities that relate to the name, NBFAC identifier, or other the purpose of performing audit or purpose(s) stated in this SORN, and will personal identifier. oversight operations as authorized by not be used in whole or in part in law, but only such information as is POLICIES AND PRACTICES FOR RETENTION AND making any determination regarding an DISPOSAL OF RECORDS: necessary and relevant to such audit or individual’s rights, benefits, or oversight function. DHS/S&T has proposed a records privileges under federal programs, or E. To appropriate agencies, entities, retention schedule to NARA. DHS/S&T and persons when (1) DHS suspects or published in any manner that identifies proposes a 20-year retention period for has confirmed that there has been a an individual. (1) records generated for use in law breach of the system of records; (2) DHS J. To an appropriate federal, state, enforcement cases, with the potential has determined that as a result of the tribal, local, international, or foreign law for appeal; and (2) records in research suspected or confirmed breach there is enforcement agency or other appropriate and development files or projects, not a risk of harm to individuals, DHS authority charged with investigating or used in law enforcement cases, to allow (including its information systems, prosecuting a violation or enforcing or time to evaluate their historic programs, and operations), the federal implementing a law, when (1) the significance. government, or national security; and NBACC has entered into an agreement In some instances, DHS/S&T seeks (3) the disclosure made to such with such agency to process samples on permanent retention for records in agencies, entities, and persons is behalf of the agency, (2) either NBACC significant law enforcement cases or reasonably necessary to assist in or the partner agency has reason to projects involving novel or complex connection with DHS’s efforts to believe a contamination event has issues, public interest, media attention, respond to the suspected or confirmed or congressional scrutiny and a five-year occurred, and (3) the partner agency breach or to prevent, minimize, or retention period for records that demonstrates to NBACC that the remedy such harm. document compliance with contamination event relates to or affects F. To another federal agency or International Organization for federal entity, when DHS determines a law enforcement investigation, and (4) Standardization (ISO) 17025 that information from this system of NBACC determines that release of the requirements to carry out tests and/or records is reasonably necessary to assist records would assist in identifying and calibrations, including sampling. the recipient agency or entity in (1) resolving a contamination event. responding to a suspected or confirmed K. To appropriate federal, state, local, ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS: breach or (2) preventing, minimizing, or tribal, or foreign governmental agencies remedying the risk of harm to or multilateral governmental DHS/S&T safeguards records in this individuals, the recipient agency or organizations, with the approval of the system according to applicable rules and policies, including all applicable entity (including its information Chief Privacy Officer, when DHS is systems, programs, and operations), the DHS automated systems security and aware of a need to use relevant data, Federal Government, or national access policies. DHS/S&T has imposed that relate to the purpose(s) stated in security, resulting from a suspected or strict controls to minimize the risk of confirmed breach. this SORN, for purposes of testing new compromising the information that is G. To an appropriate federal, state, technology. being stored. Access to the computer tribal, local, international, or foreign law L. To the news media and the public, system containing the records in this enforcement agency or other appropriate with the approval of the Chief Privacy system is limited to those individuals authority charged with investigating or Officer in consultation with counsel, who have a need to know the prosecuting a violation or enforcing or when there exists a legitimate public information for the performance of their implementing a law, rule, regulation, or interest in the disclosure of the official duties and who have appropriate order, when a record, either on its face information, when disclosure is clearances or permissions. or in conjunction with other necessary to preserve confidence in the RECORD ACCESS PROCEDURES: information, indicates a violation or integrity of DHS, or when disclosure is Individuals seeking access to and potential violation of law, which necessary to demonstrate the notification of any record contained in includes criminal, civil, or regulatory accountability of DHS’s officers, violations and such disclosure is proper this system of records, or seeking to employees, or individuals covered by contest its content, may submit a and consistent with the official duties of the system, except to the extent the the person making the disclosure. request in writing to the Component H. To contractors and their agents, Chief Privacy Officer determines that Privacy Officer or Component Freedom grantees, experts, consultants, and release of the specific information in the of Information Act Officer, whose others performing or working on a context of a particular case would contact information can be found at contract, service, grant, cooperative constitute a clearly unwarranted http://www.dhs.gov/foia under ‘‘Contact agreement, or other assignment for DHS, invasion of personal privacy. Information.’’ If an individual believes when necessary to accomplish an more than one component maintains agency function related to this system of POLICIES AND PRACTICES FOR STORAGE OF Privacy Act records concerning him or records. Individuals provided RECORDS: her, or if the request is for records information under this routine use are DHS/S&T typically stores records in maintained at a DHS Headquarters subject to the same Privacy Act this system electronically or on paper in office, the individual may submit the requirements and limitations on secure facilities in a locked drawer request to the Chief Privacy Officer and disclosure as are applicable to DHS behind a locked door. The records may Chief Freedom of Information Act officers and employees. be stored on magnetic disc, tape, and Officer, U.S. Department of Homeland I. To a federal agency for a statistical digital media. Security, Washington, DC 20528–0655, or research purpose, including the or electronically at https://
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www.dhs.gov/dhs-foia-privacy-act- correction. The request should identify Paperwork Reduction Act, HUD is request-submission-form. Even if neither each particular record in question, state requesting comment from all interested the Privacy Act nor the Judicial Redress the amendment or correction desired, parties on the proposed collection of Act provide a right of access, certain and state why the individual believes information. The purpose of this notice records about you may be available that the record is not accurate, relevant, is to allow for 60 days of public under the Freedom of Information Act. timely, or complete. The individual may comment. When an individual is seeking records submit any documentation that would DATES: Comments Due Date: July 12, about himself or herself from this be helpful. If the individual believes 2021. system of records or any other that the same record is in more than one Departmental system of records, the system of records, the request should ADDRESSES: Interested persons are individual’s request must conform with state that and be addressed to each invited to submit comments regarding the Privacy Act regulations set forth in component that maintains a system of this proposal. Comments should refer to 6 CFR part 5. The individual must first records containing the record. Even if the proposal by name and/or OMB verify his/her identity, meaning that the neither the Privacy Act nor the Judicial Control Number and should be sent to: individual must provide his/her full Redress Act provide a right of access, Colette Pollard, Reports Management name, current address, and date and individuals may seek to amend records Officer, QDAM, Department of Housing place of birth. The individual must sign following the ‘‘access procedures’’ and Urban Development, 451 7th Street the request, and the individual’s above. DHS/S&T, in its discretion, may SW, Room 4176, Washington, DC signature must either be notarized or choose to make the requested 20410–5000; telephone 202–402–3400 submitted under 28 U.S.C. 1746, a law amendment. However, neither this (this is not a toll-free number) or email that permits statements to be made system of records notice, nor DHS/S&T’s at [email protected] for a copy of under penalty of perjury as a substitute making a requested amendment, confers the proposed forms or other available for notarization. An individual may to individuals any right to access, information. Persons with hearing or obtain more information about this contest, or amend records not covered speech impairments may access this process at http://www.dhs.gov/foia. In by the Privacy Act or Judicial Redress number through TTY by calling the toll- addition, the individual should, Act. free Federal Relay Service at (800) 877– whenever possible: 8339. • Describe the records sought, NOTIFICATION PROCEDURES: FOR FURTHER INFORMATION CONTACT: including any circumstances or reasons See ‘‘Record Access Procedures’’ Colette Pollard, Reports Management why the Department would have above. Officer, QDAM, Department of Housing information being requested; and Urban Development, 451 7th Street • Identify which component(s) of the EXEMPTIONS PROMULGATED FOR THE SYSTEM: SW, Washington, DC 20410; email Department or Department Headquarters None. When this system receives a Colette Pollard at Colette.Pollard@ Office he or she believes may have the record from another system exempted in hud.gov or telephone 202–402–3400. information; that source system under 5 U.S.C. This is not a toll-free number. Persons • Specify the timeline when the 552a(j)(2), DHS will claim the same with hearing or speech impairments individual believes the records would exemptions for those records that are may access this number through TTY by have been created; and claimed for the original primary systems calling the toll-free Federal Relay • Provide any other information that of records from which they originated. Service at (800) 877–8339. will help the FOIA staff determine Copies of available documents HISTORY: which DHS Headquarters Office or submitted to OMB may be obtained component agency may have responsive N/A. from Ms. Pollard. records; * * * * * SUPPLEMENTARY INFORMATION: This If the request is seeking records Lynn Parker Dupree, notice informs the public that HUD is pertaining to another living individual, seeking approval from OMB for the the request must include a statement Chief Privacy Officer, U.S. Department of Homeland Security. information collection described in from the living individual verifying the Section A. identity of the individual, as described [FR Doc. 2021–09937 Filed 5–10–21; 8:45 am] in the verification steps above, and BILLING CODE 9110–9F–P A. Overview of Information Collection provide a statement from the living Title of Information Collection: individual certifying the individual’s Multifamily Insurance Benefits Claims agreement that records concerning the DEPARTMENT OF HOUSING AND Package. individual may be released to you. URBAN DEVELOPMENT OMB Approval Number: 2502–0418. Without the above information, the [Docket No. FR–7038–N–05] OMB Expiration Date: 06/30/2021. component(s) may not be able to Type of Request: Revision of a conduct an effective search, and the 60-Day Notice of Proposed Information currently approved collection. individual’s request may be denied due Collection: Multifamily Insurance Form Numbers: HUD–2741; HUD– to lack of specificity or lack of Benefits Claims Package; OMB Control 2742; HUD–2744–A; HUD–2744–B; compliance with applicable regulations. No.: 2502–0418 HUD–2744–C; HUD–2744–D; HUD– 2744–E; HUD–434; HUD–1044–D. CONTESTING RECORD PROCEDURES: AGENCY: Office of the Assistant Description of the need for the For records covered by the Privacy Secretary for Housing—Federal Housing information and proposed use: A lender Act or covered JRA records, individuals Commissioner, HUD. with an insured multifamily mortgage may make a request for amendment or ACTION: Notice. pays an annual insurance premium to correction of a record of the Department the Department. When and if the about the individual by writing directly SUMMARY: HUD is seeking approval from mortgage goes into default, the lender to the Department component that the Office of Management and Budget may elect to file a claim for FHA maintains the record, unless the record (OMB) for the information collection Multifamily insurance benefits with the is not subject to amendment or described below. In accordance with the Department. HUD needs this
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information to determine if FHA SUMMARY: In accordance with the cannot guarantee that we will be able to multifamily insurance claims submitted Paperwork Reduction Act of 1995, we, do so. to HUD are accurate, valid and support the U.S. Geological Survey (USGS) are Abstract: This notice concerns the payment of an FHA multifamily proposing to renew an information collection of information that is insurance claim. collection. sufficient and relevant to evaluate and Respondents: Business or other for- select proposals for funding under the DATES: profit; State, Local, or Tribal Interested persons are invited to NGGDPP. We will accept proposals Government. submit comments on or before July 12, from state geological surveys requesting Estimated Number of Respondents: 2021. funds to inventory and assess the 110. ADDRESSES: Send your comments on condition of current collections and Estimated Number of Responses: 110. this information collection request (ICR) data preservation needs. Financial Frequency of Response: Occasion. by mail to U.S. Geological Survey, assistance will be awarded annually on Average Hours per Response: 6.25. Information Collections Officer, 12201 a competitive basis following the Total Estimated Burden: 688 hours. Sunrise Valley Drive, MS 159, Reston, evaluation and ranking of state _ B. Solicitation of Public Comment VA 20192; or by email to gs-info proposals by a review panel composed [email protected]. Please reference This notice is soliciting comments of representatives from the U.S. OMB Control Number 1028–0087 in the Department of the Interior, state from members of the public and affected subject line of your comments. parties concerning the collection of geological surveys, and academic information described in Section A on FOR FURTHER INFORMATION CONTACT: To institutions. To submit a proposal, the following: request additional information about respondents must complete a project (1) Whether the proposed collection this ICR, contact Michaela Johnson by narrative and submit the application via of information is necessary for the email at [email protected], or by www.grants.gov. Grant recipients must proper performance of the functions of telephone at (720) 250–8763. complete a final technical report at the the agency, including whether the SUPPLEMENTARY INFORMATION: In end of the project period. Narrative and information will have practical utility; accordance with the Paperwork report guidance is available at https:// (2) The accuracy of the agency’s Reduction Act of 1995, we provide the datapreservation.usgs.gov, https:// estimate of the burden of the proposed general public and other Federal grants.gov, and https:// collection of information; agencies with an opportunity to grantsolutions.gov. (3) Ways to enhance the quality, comment on new, proposed, revised, Annual data preservation priorities utility, and clarity of the information to and continuing collections of are provided in the Program be collected; and information. This helps us assess the Announcement as guidance for (4) Ways to minimize the burden of impact of our information collection applicants to consider when submitting the collection of information on those requirements and minimize the public’s proposals. Since its inception in 2007, who are to respond; including through reporting burden. It also helps the NGGDPP has awarded 46 states with the use of appropriate automated public understand our information $12 million, which, when matched or collection techniques or other forms of collection requirements and provide the exceeded by the states, amounts to over information technology, e.g., permitting requested data in the desired format. $24 million invested in the rescue and electronic submission of responses. We are soliciting comments on the preservation efforts. This notice HUD encourages interested parties to proposed ICR that is described below. concerns the collection of information submit comment in response to these We are especially interested in public that is sufficient and relevant to questions. comment addressing the following evaluate and select proposals for C. Authority issues: (1) Is the collection necessary to funding. We will protect information from respondents considered Section 3507 of the Paperwork the proper functions of the USGS; (2) will this information be processed and proprietary under the Freedom of Reduction Act of 1995, 44 U.S.C. Information Act (5 U.S.C. 552) and Chapter 35. used in a timely manner; (3) is the estimate of burden accurate; (4) how implementing regulations (43 CFR part Janet Golrick, might the USGS enhance the quality, 2), and under regulations at 30 CFR Acting, Chief of Staff for the Office of utility, and clarity of the information to 250.197, ‘‘Data and information to be Housing—Federal Housing Administration. be collected; and (5) how might the made available to the public or for [FR Doc. 2021–09958 Filed 5–10–21; 8:45 am] USGS minimize the burden of this limited inspection.’’ Responses are voluntary. No questions of a ‘‘sensitive’’ BILLING CODE 4210–67–P collection on the respondents, including through the use of information nature are asked. We intend to release technology. the project abstracts and identify states DEPARTMENT OF THE INTERIOR Comments that you submit in for awarded/funded projects only. Title of Collection: National response to this notice are a matter of Geological and Geophysical Data Geological Survey public record. We will include or Preservation Program (NGGDPP). [GX21GL00DT7ST00; OMB Control Number summarize each comment in our request OMB Control Number: 1028–0087. 1028–0087] to OMB to approve this ICR. Before Form Number: None. including your address, phone number, Type of Review: Extension of a Agency Information Collection email address, or other personal currently approved collection. Activities; National Geological and identifying information in your Respondents/Affected Public: All Geophysical Data Preservation comment, you should be aware that state geological surveys may apply for Program (NGGDPP) Grant Opportunity your entire comment—including your NGGDPP grants. AGENCY: U.S. Geological Survey, personal identifying information—may Total Estimated Number of Annual Interior. be made publicly available at any time. Respondents: 35. While you can ask us in your comment Total Estimated Number of Annual ACTION: Notice of information collection; to withhold your personal identifying Responses: 70 (35 applications, 35 final request for comment. information from public review, we technical report submissions).
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Estimated Completion Time per accepted concerning the significance of Lyons, Sidney and Mary, House and Response: Grant application time the nominated properties under the Commercial Historic District, 300–304 NE estimate is 80 hours; final technical National Register criteria for evaluation. 3rd St., 316 North Central Ave., Oklahoma report completion time estimate is 10 Before including your address, phone City, SG100006628 Whittier School, 1900 NW 10th St., hours. number, email address, or other Oklahoma City, SG100006629 Total Estimated Number of Annual personal identifying information in your Burden Hours: 3,150. comment, you should be aware that Payne County Respondent’s Obligation: Required to your entire comment—including your Lytton Building-Masonic Hall, 907–909 Obtain a Benefit. personal identifying information—may South Main St., Stillwater, SG100006630 Frequency of Collection: Annually. be made publicly available at any time. Tulsa County Total Estimated Annual Non-hour While you can ask us in your comment Burden Cost: None. to withhold your personal identifying 100 Block North Greenwood Avenue Historic An agency may not conduct or information from public review, we District, 100 Block of North Greenwood sponsor and a person is not required to cannot guarantee that we will be able to Ave., Tulsa, SG100006631 respond to a collection of information do so. Daniel Webster High School Historic District, unless it displays a currently valid OMB 1919 West 40th St., Tulsa, SG100006632 control number. Nominations submitted by State or Holland Hall Upper School, 5666 East 81st The authority for this action is the Tribal Historic Preservation Officers: St., Tulsa, SG100006633 Paperwork Reduction Act of 1995 (44 CALIFORNIA RHODE ISLAND U.S.C. 3501 et seq.). Riverside County Providence County Michaela Johnson, Palm Springs Municipal Airport Terminal, Stedman & Fuller Manufacturing Company NGGDPP Associate Program Coordinator. 3400 East Tahquitz Canyon Way, Palm Complex, 49 Westfield St., Providence, [FR Doc. 2021–09909 Filed 5–10–21; 8:45 am] Springs, SG100006618 SG100006644 BILLING CODE 4338–11–P CONNECTICUT TEXAS Fairfield County Travis County DEPARTMENT OF THE INTERIOR Whistleville Historic District, Ely and Lexington Aves, Hemlock and Lubrano Wells, Willie, House, 1705 Newton St., National Park Service Pls., Knapp, Kossuth, Laura, Olean, Oxford Austin, SG100006621 and Snowden Sts., Norwalk, SG100006641 VERMONT [NPS–WASO–NRNHL–DTS#-31877; PPWOCRADI0, PCU00RP14.R50000] OHIO Addison County Fairfield County Vergennes Station House, 572 VT 22A, National Register of Historic Places; Ferrisburgh, SG100006640 Notification of Pending Nominations Dairy Barn-Boys’ Industrial School, (Federal and Related Actions and State Correctional Institutions in Ohio A request for removal has been made for MPS), 5900 B.I.S. Rd., Lancaster vicinity, the following resources: AGENCY: National Park Service, Interior. MP100006636 Drill Hall-Boys’ Industrial School, (Federal MICHIGAN ACTION: Notice. and State Correctional Institutions in Ohio Berrien County MPS), 5900 B.I.S. Rd., Lancaster vicinity, SUMMARY: The National Park Service is MP100006637 Snow Flake Motel, 3822 Red Arrow Hwy., soliciting electronic comments on the Lincoln Township, OT98000270 significance of properties nominated Ross County before May 1, 2021, for listing or related Administration Building-United States NORTH DAKOTA actions in the National Register of Industrial Reformatory, (Federal and State Grand Forks County Historic Places. Correctional Institutions in Ohio MPS), Northwood Bridge, (Historic Roadway DATES: Comments should be submitted 15802 OH 104 North, Chillicothe vicinity, MP100006638 Bridges of North Dakota MPS), Across the electronically by May 26, 2021. Goose R., unnamed Cty. Rd., 1.5 mi. SW of ADDRESSES: Comments are encouraged Union County Northwood, Northwood vicinity, to be submitted electronically to Harmon Building-Ohio Reformatory for OT97000175 National_Register_Submissions@ Women, (Federal and State Correctional Additional documentation has been nps.gov with the subject line ‘‘Public Institutions in Ohio MPS), 1479 Collins received for the following resource: Comment on
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NORTH DAKOTA reporting burden. It also helps the Total Estimated Number of Annual Cass County public understand our information Respondents: 173. collection requirements and provide the Total Estimated Number of Annual Federal Building and U.S. Post Office, 657 Responses: 173. 2nd Ave. North, Fargo, SG100006635 requested data in the desired format. We are soliciting comments on the Estimated Completion Time per (Authority: Section 60.13 of 36 CFR part 60) proposed ICR that is described below. Response: Varies from 30 minutes to1 Dated: May 4, 2021. We are especially interested in public hour, depending on activity. Sherry A. Frear, comment addressing the following Total Estimated Number of Annual issues: (1) Is the collection necessary to Burden Hours: 91. Chief, National Register of Historic Places/ Respondent’s Obligation: Required to National Historic Landmarks Program. the proper functions of the agency; (2) obtain or retain a benefit. [FR Doc. 2021–09948 Filed 5–10–21; 8:45 am] will this information be processed and used in a timely manner; (3) is the Frequency of Collection: One time. BILLING CODE 4312–52–P Total Estimated Annual Nonhour estimate of burden accurate; (4) how Burden Cost: $0. might the agency enhance the quality, An agency may not conduct or DEPARTMENT OF THE INTERIOR utility, and clarity of the information to sponsor and a person is not required to be collected; and (5) how might the respond to a collection of information Office of Surface Mining Reclamation agency minimize the burden of this unless it displays a currently valid OMB and Enforcement collection on the respondents, including control number. [S1D1S SS08011000 SX064A000 through the use of information The authority for this action is the 211S180110; S2D2S SS08011000 technology. Paperwork Reduction Act of 1995 (44 SX064A000 21XS501520; OMB Control Comments that you submit in U.S.C. 3501 et seq.). Number 1029–0119] response to this notice are a matter of public record. We will include or Mark J. Gehlhar, Agency Information Collection summarize each comment in our request Information Collection Clearance Officer, Activities; Contractor Eligibility and to OMB to approve this ICR. Before Division of Regulatory Support. the Abandoned Mine Land Contractor including your address, phone number, [FR Doc. 2021–09921 Filed 5–10–21; 8:45 am] Information Form email address, or other personal BILLING CODE 4310–05–P AGENCY: Office of Surface Mining identifying information in your Reclamation and Enforcement, Interior. comment, you should be aware that your entire comment—including your DEPARTMENT OF THE INTERIOR ACTION: Notice of information collection; personal identifying information—may request for comment. be made publicly available at any time. Office of Surface Mining Reclamation and Enforcement SUMMARY: In accordance with the While you can ask us in your comment Paperwork Reduction Act of 1995, we, to withhold your personal identifying [S1D1S SS08011000 SX064A000 the Office of Surface Mining information from public review, we 211S180110; S2D2S SS08011000 Reclamation and Enforcement (OSMRE), cannot guarantee that we will be able to SX064A000 21XS501520; OMB Control Number 1029–0025] are proposing to renew an information do so. Abstract: 30 CFR 874.16 requires that collection. Agency Information Collection every successful bidder for an AML DATES: Interested persons are invited to Activities; Maintenance of State contract must be eligible under 30 CFR submit comments on or before July 12, Programs and Procedures for 773.15(b)(1) at the time of contract 2021. Substituting Federal Enforcement of award to receive a permit or conditional ADDRESSES: State Programs and Withdrawing Send your comments on permit to conduct surface coal mining Approval of State Programs this information collection request (ICR) operations. Further, the regulation by mail to Mark Gehlhar, Office of requires the eligibility to be confirmed AGENCY: Office of Surface Mining Surface Mining Reclamation and by OSMRE’s automated Applicant/ Reclamation and Enforcement, Interior. Enforcement, 1849 C Street NW, Room Violator System (AVS) and the 4556–MIB, Washington, DC 20240, or by ACTION: Notice of information collection; contractor must be eligible under the request for comment. email to [email protected]. Please regulations implementing Section 510(c) reference OMB Control Number 1029– of the Surface Mining Control and SUMMARY: In accordance with the 0119 in the subject line of your Reclamation Act to receive permits to Paperwork Reduction Act of 1995, we, comments. conduct mining operations. This form the Office of Surface Mining FOR FURTHER INFORMATION CONTACT: To provides a tool for OSMRE and the Reclamation and Enforcement (OSMRE), request additional information about States/Indian tribes to help them are proposing to renew an information this ICR, contact Mark Gehlhar by email prevent persons with outstanding collection. at [email protected], or by telephone violations from conducting further DATES: Interested persons are invited to at 202–208–2716. mining or AML reclamation activities in submit comments on or before July 12, SUPPLEMENTARY INFORMATION: In the State. 2021. accordance with the Paperwork Title of Collection: Contractor ADDRESSES: Send your comments on Reduction Act of 1995 (44 U.S.C. 3501 Eligibility and the Abandoned Mine this information collection request (ICR) et seq.) and 5 CFR 1320.8(d)(1), we Land Contractor Information Form. by mail to Mark Gehlhar, Office of provide the general public and other OMB Control Number: 1029–0119. Surface Mining Reclamation and Federal agencies with an opportunity to Form Number: AML Contractor Enforcement, 1849 C Street NW, Room comment on new, proposed, revised, Information Form (No form number). 4556–MIB, Washington, DC 20240, or by and continuing collections of Type of Review: Extension of a email to [email protected]. Please information. This helps us assess the currently approved collection. reference OMB Control Number 1029– impact of our information collection Respondents/Affected Public: State 0025 in the subject line of your requirements and minimize the public’s governments and businesses. comments.
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FOR FURTHER INFORMATION CONTACT: To Respondents/Affected Public: Ohio. The final phase of the request additional information about Individuals and organizations. investigations was scheduled by the this ICR, contact Mark Gehlhar by email Total Estimated Number of Annual Commission following notification of at [email protected], or by telephone Respondents: 1. preliminary determinations by at 202–208–2716. Total Estimated Number of Annual Commerce that imports of non-refillable SUPPLEMENTARY INFORMATION: In Responses: 1. steel cylinders from China were accordance with the Paperwork Estimated Completion Time per subsidized within the meaning of Reduction Act of 1995 (44 U.S.C. 3501 Response: Varies from 20 hours to 100 section 703(b) of the Act (19 U.S.C. et seq.) and 5 CFR 1320.8(d)(1), we hours, depending on activity. 1671b(b)) and sold at LTFV within the provide the general public and other Total Estimated Number of Annual meaning of 733(b) of the Act (19 U.S.C. Federal agencies with an opportunity to Burden Hours: 50. 1673b(b)). Notice of the scheduling of comment on new, proposed, revised, Respondent’s Obligation: Required to the final phase of the Commission’s and continuing collections of obtain or retain a benefit. investigations and of a public hearing to information. This helps us assess the Frequency of Collection: One time. be held in connection therewith was impact of our information collection Total Estimated Annual Nonhour given by posting copies of the notice in requirements and minimize the public’s Burden Cost: $0. the Office of the Secretary, U.S. reporting burden. It also helps the An agency may not conduct or International Trade Commission, public understand our information sponsor and a person is not required to Washington, DC, and by publishing the collection requirements and provide the respond to a collection of information notice in the Federal Register on requested data in the desired format. unless it displays a currently valid OMB December 28, 2020 (85 FR 84367). In We are soliciting comments on the control number. light of the restrictions on access to the proposed ICR that is described below. The authority for this action is the Commission building due to the We are especially interested in public Paperwork Reduction Act of 1995 (44 COVID–19 pandemic, the Commission comment addressing the following U.S.C. 3501 et seq.). conducted its hearing through written issues: (1) Is the collection necessary to testimony and video conference on the proper functions of the agency; (2) Mark J. Gehlhar, March 11, 2021. All persons who will this information be processed and Information Collection Clearance Officer, requested the opportunity were used in a timely manner; (3) is the Division of Regulatory Support. permitted to participate. estimate of burden accurate; (4) how [FR Doc. 2021–09922 Filed 5–10–21; 8:45 am] The Commission made these might the agency enhance the quality, BILLING CODE 4310–05–P determinations pursuant to §§ 705(b) utility, and clarity of the information to and 735(b) of the Act (19 U.S.C. be collected; and (5) how might the 1671d(b) and 19 U.S.C. 1673d(b)). It agency minimize the burden of this INTERNATIONAL TRADE completed and filed its determinations collection on the respondents, including COMMISSION in these investigations on May 5, 2021. The views of the Commission are through the use of information [Investigation Nos. 701–TA–644 and 731– technology. TA–1494 (Final)] contained in USITC Publication 5188 Comments that you submit in (May 2021), entitled Non-Refillable response to this notice are a matter of Non-Refillable Steel Cylinders From Steel Cylinders from China: public record. We will include or China Investigation Nos. 701–TA–644 and summarize each comment in our request 731–TA–1494 (Final). Determinations to OMB to approve this ICR. Before By order of the Commission. including your address, phone number, On the basis of the record 1 developed Issued: May 5, 2021. email address, or other personal in the subject investigations, the United Lisa Barton, identifying information in your States International Trade Commission Secretary to the Commission. comment, you should be aware that (‘‘Commission’’) determines, pursuant [FR Doc. 2021–09906 Filed 5–10–21; 8:45 am] your entire comment—including your to the Tariff Act of 1930 (‘‘the Act’’), BILLING CODE 7020–02–P personal identifying information—may that an industry in the United States is be made publicly available at any time. materially injured by reason of imports While you can ask us in your comment of non-refillable steel cylinders from DEPARTMENT OF JUSTICE to withhold your personal identifying China, provided for in subheadings information from public review, we 7310.29.00 and 7311.00.00 of the Antitrust Division cannot guarantee that we will be able to Harmonized Tariff Schedule of the do so. United States, that have been found by Notice Pursuant to the National Abstract: The regulation allows any the U.S. Department of Commerce Cooperative Research and Production interested person to request the Director (‘‘Commerce’’) to be sold in the United Act of 1993—OPENJS Foundation of OSMRE evaluate a state program by States at less than fair value (‘‘LTFV’’), setting forth in the request a concise Notice is hereby given that, on April and to be subsidized by the government 21, 2021, pursuant to Section 6(a) of the statement of facts that the person of China. believes establishes the need for the National Cooperative Research and evaluation Background Production Act of 1993, 15 U.S.C. 4301 Title of Collection: Maintenance of The Commission instituted these et seq. (‘‘the Act’’), OpenJS Foundation State Programs and Procedures for investigations effective March 27, 2020, has filed written notifications Substituting Federal Enforcement of following receipt of petitions filed with simultaneously with the Attorney State Programs and Withdrawing the Commission and Commerce by General and the Federal Trade Approval of State Programs. Worthington Industries, Columbus, Commission disclosing changes in its OMB Control Number: 1029–0025. membership. The notifications were Form Number: None. 1 The record is defined in § 207.2(f) of the filed for the purpose of extending the Type of Review: Extension of a Commission’s Rules of Practice and Procedure (19 Act’s provisions limiting the recovery of currently approved collection. CFR 207.2(f)). antitrust plaintiffs to actual damages
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under specified circumstances. Also, ROHVA is including its (Plymouth, MN), Kawasaki Motors Specifically, Successive Technologies, members, American Honda Motor Co., Corp., U.S.A. (Irvine, CA); KYMCO Raleigh, NC, has been added as a party Inc. (Torrance, CA); BRP, Inc. (Valcourt, USA, Inc. (Spartanburg, SC); Polaris Inc. to this venture. Quebec); Kawasaki Motors Corp., U.S.A. (Medina, MN); Suzuki Motor USA, LLC No other changes have been made in (Irvine, CA); Mahindra Vehicle Sales (Brea, CA); Textron Specialized either the membership or planned and Services, Inc. (Auburn Hills, MI); Vehicles (Augusta, GA); and Yamaha activity of the group research project. Polaris Inc. (Medina, MN); Textron Motor Corporation, U.S.A. (Cypress, Membership in this group research Specialized Vehicles (Augusta, GA); and CA), in this notice. project remains open, and OpenJS Yamaha Motor Corporation, U.S.A. On October 14, 2005, SVIA filed its Foundation intends to file additional (Cypress, CA), in this notice. original notification pursuant to Section written notifications disclosing all On June 23, 2008, ROHVA filed its 6(a) of the Act. The Department of changes in membership. original notification pursuant to Section Justice published a notice in the Federal On August 17, 2015, OpenJS 6(a) of the Act. The Department of Register pursuant to Section 6(b) of the Foundation filed its original notification Justice published a notice in the Federal Act on November 25, 2005 (70 FR pursuant to Section 6(a) of the Act. The Register pursuant to Section 6(b) of the 71172). Department of Justice published a notice Act on July 29, 2008 (73 FR 43952). The last notification was filed with in the Federal Register pursuant to The last notification was filed with the Department on February 5, 2016. A Section 6(b) of the Act on September 28, the Department on December 5, 2013. A notice was published in the Federal 2015 (80 FR 58297). notice was published in the Federal Register pursuant to Section 6(b) of the Register pursuant to Section 6(b) of the The last notification was filed with Act March 9, 2016 (81 FR 12524). Act on January 17, 2014 (79 FR 3253). the Department on February 12, 2021. A Suzanne Morris, notice was published in the Federal Suzanne Morris, Chief, Premerger and Division Statistics, Register pursuant to Section 6(b) of the Chief, Premerger and Division Statistics, Antitrust Division. Act on March 10, 2021 (86 FR 13752). Antitrust Division. [FR Doc. 2021–09897 Filed 5–10–21; 8:45 am] [FR Doc. 2021–09899 Filed 5–10–21; 8:45 am] Suzanne Morris, BILLING CODE P BILLING CODE 4410–11–P Chief, Premerger and Division Statistics, Antitrust Division. DEPARTMENT OF JUSTICE [FR Doc. 2021–09905 Filed 5–10–21; 8:45 am] DEPARTMENT OF JUSTICE BILLING CODE P Antitrust Division Antitrust Division Notice Pursuant to the National DEPARTMENT OF JUSTICE Notice Pursuant to the National Cooperative Research and Production Cooperative Research and Production Act of 1993—Z-Wave Alliance, Inc. Antitrust Division Act of 1993—Specialty Vehicle Institute of America Notice Pursuant to the National Notice is hereby given that, on April Cooperative Research and Production Notice is hereby given that, on March 21, 2021, pursuant to Section 6(a) of the Act of 1993—Recreational Off-Highway 26, 2021, pursuant to Section 6(a) of the National Cooperative Research and Vehicle Association National Cooperative Research and Production Act of 1993, 15 U.S.C. 4301 Production Act of 1993, 15 U.S.C. 4301 et seq. (the ‘‘Act’’), Z-Wave Alliance, Notice is hereby given that, on March et seq. (‘‘the Act’’), Specialty Vehicle Inc. filed written notifications 26, 2021, pursuant to Section 6(a) of the Institute of America (‘‘SVIA’’) has filed simultaneously with the Attorney National Cooperative Research and written notifications simultaneously General and the Federal Trade Production Act of 1993, 15 U.S.C. 4301 with the Attorney General and the Commission disclosing changes in its et seq. (‘‘the Act’’), Recreational Off- Federal Trade Commission disclosing membership. The notifications were Highway Vehicle Association additions or changes to its standards filed for the purpose of extending the (‘‘ROHVA’’) has filed written development activities. The Act’s provisions limiting the recovery of notifications simultaneously with the notifications were filed for the purpose antitrust plaintiffs to actual damages Attorney General and the Federal Trade of extending the Act’s provisions under specified circumstances. Commission disclosing changes in its limiting the recovery of antitrust Specifically, Anhui Geniatech Inc., nature and objective. The notifications plaintiffs to actual damages under Ltd., Hefei, PEOPLE’S REPUBLIC OF were filed for the purpose of extending specified circumstances. CHINA; Hank Smart Tech Co. Ltd., the Act’s provisions limiting the Pursuant to the Act, the name and Shenzhen, PEOPLE’S REPUBLIC OF recovery of antitrust plaintiffs to actual principal place of business of the CHINA; FireAvert, LLC, Springville, UT; damages under specified circumstances. standards development organization is: MY CLIMA GREEN ENERGIE SRLS, Pursuant to the Act, the name and Specialty Vehicle Institute of America, 2 Milano, ITALY; Sengled, Shanghai City, principal place of business of the Jenner, Suite 150, Irvine, CA 92618. The PEOPLE’S REPUBLIC OF CHINA; Black standards development organization is: nature and scope of SVIA’s standards Watch Systems, LLC, Snyder, TX; Recreational Off-Highway Vehicle development activities are: Maintenance Pamex Inc., Chino, CA; Telus Association, 2 Jenner, Suite 150, Irvine, to and revision of a voluntary standard Communications Inc., Edmonton, CA 92618. The nature and scope of (ANSI/SVIA 1–2017) addressing design, CANADA; Kaonbrand Broadband Co., ROHVA’s standards development configuration and performance aspects Ltd., Gyeonggi-do, SOUTH KOREA; activities are: Maintenance to and of Four Wheel All-Terrain Vehicles Somfy Systems, Inc., Dayton, NJ; revision of a voluntary standard (ANSI/ (ATVs). Comfortability B.V., Ijssel, THE ROHVA 1–2016) addressing design, In addition, SVIA is including its NETHERLANDS; i feel, Tikva, ISRAEL; configuration and performance aspects members, American Honda Motor Co., Thermo-Floor AS, Hunndalen, of Recreational Off-Highway Vehicles Inc. (Torrance, CA); BRP, Inc. (Valcourt, NORWAY; Masonite Corporation, (ROVs). Quebec); CFMOTO Powersports, Inc. Tampa, FL; and U-tec Group Inc.,
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Freemont, CA have joined as parties to changes to its standards development Defense, Inc., Black Creek, GA; Dynasafe this venture. activities. The notifications were filed US LLC, Talladega, AL; FLIR Unmanned Also, Gullitech, Savigny-sur-Orge, for the purpose of extending the Act’s Ground Systems, Inc., Chelmsford, MA; FRANCE; Perenio IOT spol s.r.o., provisions limiting the recovery of Innoflight, LLC, San Diego, CA; Knight Ricany-Jazlovice, CZECH REPUBLIC; antitrust plaintiffs to actual damages Technical Solutions, LLC, Huntsville, MERCURY Corporation, Incheon, under specified circumstances. AL; Loukus Technologies, Inc., Calumet, SOUTH KOREA; FireAngel Safety Specifically, 19 new standards have MI; Lyn Aerospace, LLC, Rockledge, FL; Technology, Coventry, UNITED been initiated and 8 existing standards Materion Brush, Inc., Elmore, OH; KINGDOM; Shenzhen Sunricher are being revised. More detail regarding MetalTek International Wisconsin Technology Limited, Shenzhen, these changes can be found at: https:// Investcast Division, Watertown, WI; PEOPLE’S REPUBLIC OF CHINA; standards.ieee.org/about/sasb/sba/ Michael R. Limotta & Co., Inc., DBA Fermax Asia Pacific Pte Ltd, Singapore, mar2021.html. Proximai.com, Solvang, CA; Microsoft SINGAPORE; Switchee Limited, The following pre-standards activities Corporation, Redmond, WA; Netwerx, London, UNITED KINGDOM; associated with IEEE Industry LLC, Colts Neck, NJ; Optimum Parts Guangdong Daming Laffey Electric Co., Connections Activities were launched Company Inc., Agawam, MA; PECO or renewed: https://standards.ieee.org/ Ltd., Guangdong, PEOPLE’S REPUBLIC INC, Clackamas, OR; Photon Flux, LLC, about/bog/smdca/march2021.html. OF CHINA; Connected Object, Paris, Huntsville, AL; R3 Strategic Support FRANCE; AVX Integrated Technologies, On September 17, 2004, IEEE filed its original notification pursuant to Section Group, Inc., Coronado, CA; Ravyn West Nyack, NY; Radio Thermostat Technology Corporation, El Segundo, Company of America, Modesto, CA; 6(a) of the Act. The Department of CA; RE2, Inc., Pittsburgh, PA; Redpoint KEYless Entry Systems, New South Justice published a notice in the Federal Engineering Inc., Beavercreek, OH; Wales, AUSTRALIA; and SmartEzy Pte Register pursuant to Section 6(b) of the Rhein Tech Laboratories, Inc., Herndon, Ltd., Singapore, SINGAPORE have Act on November 3, 2004 (69 FR 64105). VA; Stratolaunch, LLC, Mojave, CA; withdrawn from this venture. The last notification was filed with No other changes have been made in the Department on February 24, 2021. A Telesat U.S. Services, LLC, Arlington, the membership or the planned activity notice was published in the Federal VA; Terma North America Warner, of this venture. Membership in this Register pursuant to Section 6(b) of the Robins, GA; Tomahawk Robotics, venture remains open, and Z-Wave Act on April 8, 2021 (86 FR 18326). Melbourne, FL; Trident Solutions Group, LLC, Monmouth Beach, NJ; Alliance, Inc. intends to file additional Suzanne Morris, written notifications disclosing all Voxel Innovations Inc., Raleigh, NC; Chief, Premerger and Division Statistics, VTMB, LLC, Clearwater, FL; Wescam changes in membership. Antitrust Division. On November 19, 2020, Z-Wave USA, Inc., Santa Rosa, CA; and York [FR Doc. 2021–09902 Filed 5–10–21; 8:45 am] Alliance, Inc. filed its original Space Systems LLC, Denver, CO, have notification pursuant to Section 6(a) of BILLING CODE 4410–11–P been added as parties to this venture. the Act. The Department of Justice Also, Exact Solution Scientific published a notice in the Federal DEPARTMENT OF JUSTICE Consulting, LLC, Morristown, NJ; Register pursuant to Section 6(b) of the Kennley Corporation, North Act on December 1, 2020 (85 FR 77241). Antitrust Division Chesterfield, VA; Lithium Battery The last notification was filed with Engineering LLC, Randolph, NJ; the Department on February 3, 2021. A Notice Pursuant to the National McConnell Jones Lanier & Murphy LLP notice was published in the Federal Cooperative Research and Production d.b.a. MJLM Engineering & Technical Register pursuant to Section 6(b) of the Act of 1993—National Armaments Services, Huntsville, AL; Military Act on March 10, 2021 (86 FR 13733). Consortium Battery Systems, Inc. Denver, CO; Suzanne Morris, Notice is hereby given that, on April Polaris Contract Manufacturing, Inc, Chief, Premerger and Division Statistics, 9, 2021, pursuant to Section 6(a) of the Marion, MA; QinetiQ North America, Antitrust Division. National Cooperative Research and Waltham, MA; Rite-Solutions, Inc. [FR Doc. 2021–09904 Filed 5–10–21; 8:45 am] Production Act of 1993, 15 U.S.C. 4301 Pawcatuck, CT; Stark Aerospace, Inc., BILLING CODE 4410–11–P et seq. (‘‘the Act’’), National Armaments Columbus, MS; University of Delaware, Consortium (‘‘NAC’’) has filed written Newark, DE; and W R Systems, Ltd. notifications simultaneously with the (WR), Fairfax, VA, have withdrawn as DEPARTMENT OF JUSTICE Attorney General and the Federal Trade parties to this venture. Commission disclosing changes in its Antitrust Division No other changes have been made in membership. The notifications were either the membership or planned Notice Pursuant to the National filed for the purpose of extending the activity of the group research project. Cooperative Research and Production Act’s provisions limiting the recovery of Membership in this group research Act of 1993—The Institute of Electrical antitrust plaintiffs to actual damages project remains open, and NAC intends and Electronics Engineers, Inc. under specified circumstances. to file additional written notifications Specifically, AI Strategy Corporation, disclosing all changes in membership. Notice is hereby given that, on April Babylon, NY; Alpine Advanced 5, 2021, pursuant to Section 6(a) of the Materials, Dallas, TX; Analytical Space, On May 2, 2000, NAC filed its original National Cooperative Research and Inc., Cambridge, MA; Bangham notification pursuant to Section 6(a) of Production Act of 1993, 15 U.S.C. 4301 Engineering Inc., Huntsville, AL; Boston the Act. The Department of Justice et seq. (‘‘the Act’’), The Institute of Materials, Inc., Billerica, MA; Calspan published a notice in the Federal Electrical and Electronics Engineers, Corporation, Buffalo, NY; Cambrian Register pursuant to Section 6(b) of the Inc. (‘‘IEEE’’) has filed written Works, Inc., Fairfax, VA; Concurrent Act on June 30, 2000 (65 FR 40693). notifications simultaneously with the Real-Time, Pompano Beach, FL; The last notification was filed with Attorney General and the Federal Trade Consolidated Resource Imaging LLC the Department on January 12, 2021. A Commission disclosing additions or (CRI), Grand Rapids, MI; Daniel notice was published in the Federal
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Register pursuant to Section 6(b) of the CA; Teletronics Technology DEPARTMENT OF JUSTICE Act on January 19, 2021 (86 FR 5251). Corporation, Newtown, PA; UI Labs dba Drug Enforcement Administration Suzanne Morris, MxD USA, Chicago, IL; USCC Services, LLC, Chicago, IL; and Zin Solutions, Chief, Premerger and Division Statistics, Rosa A. Fuentes, M.D.; Decision and Inc. DBA Axiom Towers, Tulsa, OK Antitrust Division. Order [FR Doc. 2021–09901 Filed 5–10–21; 8:45 am] have been added as parties to this BILLING CODE P venture. On March 1, 2021, the Assistant Also, GreenSight Agronomics, Inc., Administrator, Diversion Control Boston, MA; MixComm, Inc., Chatham, Division, Drug Enforcement DEPARTMENT OF JUSTICE NJ; NTS Technical Systems, Calabasas, Administration (hereinafter, CA; Ultra Communications, Inc., Vista, Government), issued an Order to Show Antitrust Division CA; Veritech, LLC, Glendale, AZ; MW Cause (hereinafter, OSC) to Rosa A. Fuentes, M.D. (hereinafter, Registrant) of Ventures LLC, DBA Social Mobile, Notice Pursuant to the National San Antonio, Texas. OSC, at 1. The OSC Miami, FL; Paul Christoforou dba Cooperative Research and Production proposed the revocation of Registrant’s Lociva, Haymarket, VA; Rodriguez, Act of 1993—National Spectrum Certificate of Registration No. Consortium Jonathan, La Habra, CA; James River FF5063172. It alleged that Registrant is Design & MFG LLC DBA Avcom of Notice is hereby given that, on April without ‘‘authority to handle controlled Virginia, North Chesterfield, VA; Garou 6, 2021, pursuant to Section 6(a) of the substances in Texas, the state in which Inc., New York, NY; CIPHIR–TM, LLC, National Cooperative Research and [Registrant is] registered with DEA.’’ Id. Production Act of 1993, 15 U.S.C. 4301 Albany, OR; Corner Alliance, Inc., at 2 (citing 21 U.S.C. 824(a)(3)). et seq. (‘‘the Act’’), National Spectrum Washington, DC; Erebus Solutions Inc., Specifically, the OSC alleged that the Consortium (‘‘NSC’’) has filed written Rochester, NY; IAI, LLC, Chantilly, VA; Texas Medical Board issued an order of notifications simultaneously with the InCadence Strategic Solutions, Temporary Suspension with Notice of Attorney General and the Federal Trade Manassas, VA; NetApp, Inc., Sunnyvale, Hearing on December 18, 2020. Id. This Commission disclosing changes in its CA; Peregrine Technical Solutions, LLC, Order, according to the OSC, membership. The notifications were Yorktown, VA; University of immediately suspended Registrant’s filed for the purpose of extending the Washington, Seattle, WA; W5 Texas state medical license following Act’s provisions limiting the recovery of Technologies, Inc., Scottsdale, AZ; the Texas Medical Board’s finding that antitrust plaintiffs to actual damages AuresTech Inc., Tewksbury, MA; Registrant ‘‘prescribed controlled under specified circumstances. Electronic Design and Development substances in violation of the Specifically, AirV Labs, Inc, Champaign, Corp (ED2), Tucson, AZ; Fenix Group, restrictions that the Board had imposed IL; Altagrove, LLC, Herndon,VA; Inc., Chantilly, VA; HawkEye 360, Inc., on [Registrant’s] prescribing authority.’’ Applied Technology, Inc., King George, Herndon, VA; Mavenir Systems, Inc., Id. VA; Artesion, Inc., Tacoma WA; Aurora Richardson, TX; MegaWave The OSC notified Registrant of the Insight Inc., Denver, CO; B23 LLC, Corporation, Worcester, MA; NorthWest right to request a hearing on the Tysons, VA; BTAS, Inc., Beavercreek, Research Associates, Inc., Redmond, allegations or to submit a written OH; Cable Television Laboratories, Inc., WA; Pi Radio Inc., Brooklyn, NY; statement, while waiving the right to a Louisville, CO; Capgemini Government QuayChain, Inc., San Pedro, CA; Sentar, hearing, the procedures for electing each Solutions, LLC, McLean, VA; Capstone option, and the consequences for failing Inc., Huntsville, AL; and TrustComm, Partners, Inc., Lancaster, PA; CNF to elect either option. Id. at 2 (citing 21 Inc., Stafford, VA have withdrawn from Technologies, San Antonio, TX; Echo CFR 1301.43). The OSC also notified this venture. Ridge, LLC., Sterling, VA; Encryptor, Registrant of the opportunity to submit Inc., Plano, TX; Engineering & Computer No other changes have been made in a corrective action plan. OSC, at 3 Simulations, Inc., Orlando, FL; either the membership or planned (citing 21 U.S.C. 824(c)(2)(C)). Envistacom, LLC., Atlanta, GA; Epirus, activity of the group research project. Inc., Hawthorne, CA; Exyn Membership in this group research Adequacy of Service Technologies, Philadelphia, PA; General project remains open, and NSC intends In a Declaration dated April 20, 2021, Radar Corporation, Belmont, CA; IFS to file additional written notifications a Diversion Investigator (hereinafter, DI) North America, Inc., Chicago, IL; M3 disclosing all changes in membership. assigned to the San Antonio District Office, Houston Field Division, stated Defense Consulting, LLC, Sterling On September 24, 2014, NSC filed its Heights, MI; Metawave Corporation, that on March 5, 2021, she, another DI, original notification pursuant to Section Carlsbad, CA; Mobile Frontiers, LLC., and a DEA Task Force Officer traveled 6(a) of the Act. The Department of Vienna, VA; NanoVMs, Inc., San to Registrant’s last known residential Justice published a notice in the Federal Francisco, CA; Naval Systems, Inc., address on her 2018-issued driver’s Lexington Park, MD; NeuComm Register pursuant to Section 6(b) of the license. Request for Final Agency Solutions, LLC, Aurora, CO; Act on November 4, 2014 (79 FR 65424). Action, dated April 20, 2021 NineTwelve Institute, Indianapolis, IN; The last notification was filed with (hereinafter, RFAA), Exhibit Noblis Inc., Reston, VA; Northeast UAS the Department on January 15, 2021. A (hereinafter, RFAAX) 3 (DI’s Airspace Integration Research Alliance, notice was published in the Federal Declaration), at 2. The DI stated that Inc.(NUAIR), Syracuse, MA; Opto- Register pursuant to Section 6(b) of the they met and spoke with Registrant’s Knowledge Systems, Inc., Torrance, CA; Act on February 12, 2021 (86 FR 9376). mother who told them that Registrant Radiall USA, Inc, Tempe, AZ; Robotic was not there. Id. While at the same Research, LLC, Clarksburg, MD; RVJ Suzanne Morris, address, the DI then called Registrant at Institute, Inc., Milford, NH; Shield AI Chief, Premerger and Division Statistics, the contact number indicated on her Inc., San Diego, CA; SIEGE Antitrust Division. DEA registration and spoke with Technologies, Chantilly, VA; SimX, Inc., [FR Doc. 2021–09898 Filed 5–10–21; 8:45 am] Registrant, and asked if the DI could Los Altos, CA; Swim.ai, Inc., Campbell, BILLING CODE P leave the OSC with her mother. Id.
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Registrant confirmed that the DI could Findings of Fact Administrative Hearings. Id. at 2. The leave the OSC with her mother and said action was based on Registrant ‘‘being Registrant’s DEA Registration that she would come to the address later placed on deferred adjudication to retrieve it. Id. The DI stated that she Registrant is the holder of DEA following a guilty plea for violating then personally handed Registrant’s Certificate of Registration No. provisions of the Medical Practice Act.’’ mother a copy of the OSC and asked FF5063172 at the registered address of Id. at 3. Texas Low T & Weight Loss Clinic Registrant’s mother to sign DEA Form On December 6, 2019, the Board PLLC, 7551 Callaghan Road, Suite 120, 12, ‘‘Receipt for Cash or Other Items’’ entered an Agreed Order on Formal San Antonio, Texas 78229. RFAAX 1 Filling (2019 Order) after determining (hereinafter, DEA 12) to indicate that (DEA Certificate of Registration). that Registrant was in violation of the she had received the OSC. Id. On March Pursuant to this registration, Registrant prescribing restrictions in the 2018 10, 2021, the DI, along with another DI, is authorized to dispense controlled Final Order. Id. The 2019 Order first visited Registrant’s place of business. Id. substances in schedules IV and V as a required that Registrant ‘‘request The DI verified Registrant’s identity at practitioner. Id. modification of her DEA Controlled her place of business by observing The Status of Registrant’s State License Substances Registration Certificates to Registrant’s State of Texas driver’s eliminate Schedules II and III within license. Id. at 2–3. The DI stated that she On December 18, 2020, the Texas seven days of entry of the [2019 Order].’’ then personally handed Registrant an Medical Board (hereinafter, Board) Id. The 2019 Order also required that additional copy of the OSC and issued an Order of Temporary Registrant ‘‘could only prescribe explained that the 30-day timeline to Suspension with Notice of Hearing controlled substances in accordance respond to the OSC began on March 5, (hereinafter, Suspension Order). RFAAX with the conditions set forth in the 2021, the date when Registrant’s mother 3, App. A (Suspension Order), at 1. [2018 Final Order]’’ and that Registrant had been served with the OSC. Id. at 3. According to the Suspension Order, was ‘‘prohibited from re-registering with Registrant has a ‘‘lengthy disciplinary the DEA for Schedules II and III The Government forwarded its RFAA, history with the Board.’’ Id. at 2. controlled substances without written along with the evidentiary record, to On or around August 31, 2012, the authorization from the Board after a this office on April 20, 2021. In its Board publicly reprimanded Registrant personal appearance.’’ Id. Additionally, RFAA, the Government represents that through an Agreed Order (hereinafter, the 2019 Order prohibited Registrant ‘‘[Registrant] has not submitted a timely 2012 Order) and imposed certain terms from ‘‘possessing, administering, or request for a hearing in this matter.’’ 1 and conditions on her medical license prescribing controlled substances in RFAA, at 1. The Government requests based on her ‘‘failure to adequately Texas other than prescriptions written that the Administrator revoke supervise mid-level practitioners, to her by a licensed provider for Registrant’s DEA registration on the prescribing controlled substances legitimate personal use’’ and required, ground that Registrant is ‘‘presently not without valid controlled substance effective February 1, 2020, that authorized to handle controlled registration certificates, and providing Registrant ‘‘limit her practice to a pre- substances in the State of Texas.’’ Id. at false information to the Board.’’ Id. The approved group or institutional setting.’’ 2 and 6. 2012 Order also required that Registrant Id. Further, the 2019 Order required that take and pass the JP Exam, complete Registrant undergo eight consecutive Based on the DI’s Declaration, the eight hours of continuing medical Government’s written representations, cycles of chart monitoring and education in risk management, complete prohibited Registrant from supervising and my review of the record, I find that sixteen hours of continuing medical or delegating prescriptive authority to the Government accomplished service education in supervision of mid-level mid-level providers. Id. Finally, the of the OSC on Registrant on March 5, providers, and pay an administrative 2019 Order required Registrant to 2021. I also find that more than thirty penalty of $5,000. Id. On or about June ‘‘provide a copy of the [2019 Order] to days have now passed since the 12, 2015, the 2012 Order was terminated all healthcare entities where privileged Government accomplished service of by the Board based on Registrant’s or practicing and to provide proof of the OSC. Further, based on the representation that she ‘‘no longer such delivery within 30 days.’’ Id. Government’s written representations, I employed mid-level practitioners and According to the Suspension Order, find that neither Registrant, nor anyone had no plans to employ mid-level Registrant violated multiple conditions purporting to represent the Registrant, practitioners in the future.’’ Id. set forth in the 2018 and 2019 orders. requested a hearing, submitted a written On March 2, 2018, the Board entered First, Registrant ‘‘failed to surrender her statement while waiving Registrant’s a Final Order (2018 Final Order) that controlled substances registrations with right to a hearing, or submitted a ‘‘prohibited [Registrant] from the DEA to eliminate Schedules II and corrective action plan. Accordingly, I possessing, administering, dispensing, III by the December 13, 2019 deadline find that Registrant has waived the right or prescribing Schedules II and III in the 2019 Order. In fact, [Registrant] to a hearing and the right to submit a controlled substances with the sole did not surrender these registrations exception of testosterone therapy and written statement and corrective action until on or around October 20, 2020.’’ that only allowed her to prescribe plan. 21 CFR 1301.43(d) and 21 U.S.C. Id. Additionally, Registrant ‘‘prescribed Schedules IV and V controlled controlled substances in violation of the 824(c)(2)(C). I, therefore, issue this substances to patients for periods of less 2018 and 2019 [orders], as evidenced by Decision and Order based on the record than 30 days with refills prohibited.’’ Id. controlled substance refills that were submitted by the Government, which at 2–3. Registrant was also prohibited written between March 16, 2019 and constitutes the entire record before me. from issuing any refills for controlled March 16, 2020 in violation of . . . the 21 CFR 1301.43(e). substances for a minimum of five years, 2018 Order.’’ Id. Furthermore, although as well as prohibited from ‘‘delegating Registrant was prohibited, effective 1 The Government also represents that as of the to or supervising the activities of mid- February 1, 2020, from practicing date of the RFAA, ‘‘neither [Registrant] nor any attorney representing her has requested a hearing’’ level practitioners.’’ Id. at 3. The 2018 medicine in any setting other than a pre- and ‘‘[neither Registrant] nor any attorney for her Final Order followed a contested case approved group or institutional setting, [has] submitted a written statement.’’ RFAA, at 2. proceeding at the State Office of Registrant failed to request approval for
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a group/institutional setting by the Texas Medical Board, https://www.tmb. Sheran Arden Yeates, M.D., 71 FR February 1, 2020 deadline and ‘‘instead, state.tx.us/page/look-up-a-license (last 39,130, 39,131 (2006); Dominick A. [Registrant] has continued to practice visited date of signature of this Order). Ricci, M.D., 58 FR 51,104, 51,105 (1993); medicine at Texas Low T clinic in Texas’s online records show that Bobby Watts, M.D., 53 FR 11,919, 11,920 violation of . . . the 2019 Order to Registrant’s medical license remains (1988); Frederick Marsh Blanton, 43 FR date.’’ Id. The Suspension Order went suspended and that Registrant is not at 27,617. on to list how Registrant had also authorized in Texas to practice Under the Texas Controlled ‘‘failed to initiate chart monitoring in medicine. Id. Substances Act, a practitioner in Texas violation of . . . the 2019 Order’’ as Accordingly, I find that Registrant is ‘‘may not prescribe, dispense, deliver, or well as ‘‘failed to cooperate with Board not currently licensed to engage in the administer a controlled substance or Staff by failing to timely respond to practice of medicine in Texas, the State cause a controlled substance to be communications from her Compliance in which Registrant is registered with administered under the practitioner’s Officer, by failing to return compliance- the DEA. direction and supervision except for a valid medical purpose and in the course related documentation including but not Discussion limited to evidence that she has of medical practice.’’ Tex. Health and surrendered her Schedule II and III Pursuant to 21 U.S.C. 824(a)(3), the Safety Code Ann. § 481.071 (West 2019). controlled substances registrations, by Attorney General is authorized to The Texas Controlled Substances Act failing to file quarterly compliance suspend or revoke a registration issued defines ‘‘practitioner,’’ in relevant part, reports, and by mispresenting the nature under section 823 of the Controlled as ‘‘a physician . . . licensed, and scope of her current practice Substances Act (hereinafter, CSA) registered, or otherwise permitted to setting.’’ Id. ‘‘upon a finding that the registrant . . . distribute, dispense, analyze, conduct The Suspension Order concluded that has had his State license or registration research with respect to, or administer Registrant ‘‘has engaged in suspended . . . [or] revoked . . . by a controlled substance in the course of unprofessional conduct by violating the competent State authority and is no professional practice or research in this terms and conditions set forth in the longer authorized by State law to engage state.’’ Id. at § 481.002 (39)(A). Further, 2018 [Final] Order and the 2019 Order.’’ in the . . . dispensing of controlled under the Texas Medical Practice Act, a Id. at 5. The Suspension Order stated substances.’’ With respect to a person must hold a license to practice that despite the ‘‘significant restrictions practitioner, the DEA has also long held medicine in Texas, Tex. Occupations and requirements imposed on that the possession of authority to Code Ann. § 155.001 (West 2019) (‘‘A [Registrant’s] medical practice as the dispense controlled substances under person may not practice medicine in the laws of the state in which a result of two separate Board orders, this state unless the person holds a practitioner engages in professional [Registrant’s] practice has continued license issued under [the Medical practice is a fundamental condition for almost unchanged since March 2018’’ Practice Act].’’); see also id. at § 151.002 obtaining and maintaining a and that ‘‘[Registrant’s] willingness to (‘‘‘Physician’ means a person licensed to practitioner’s registration. See, e.g., defy the Board through repeated, practice medicine in this state.’’), and James L. Hooper, M.D., 76 FR 71,371 flagrant, and ongoing violations of ‘‘[a] person commits an offense if the (2011), pet. for rev. denied, 481 F. App’x previous Board Orders intended to person practices medicine in [Texas] in 826 (4th Cir. 2012); Frederick Marsh restrict her practice and protect the violation of’’ the Act, id. at § 165.152(a). Blanton, M.D., 43 FR 27,616, 27,617 public—including one order that Here, the undisputed evidence in the (1978). record is that Registrant currently lacks [Registrant] explicitly agreed to— This rule derives from the text of two demonstrates that her continuation in authority to practice medicine in Texas. provisions of the CSA. First, Congress I, therefore, find that Registrant is the practice of medicine poses a defined the term ‘‘practitioner’’ to mean continuing threat to public health and currently without authority to dispense ‘‘a physician . . . or other person controlled substances in Texas, the state welfare.’’ Id. Based on its findings and licensed, registered, or otherwise conclusions, the Board ordered that in which she is registered with DEA. permitted, by . . . the jurisdiction in Accordingly, I will order that Registrant’s medical license be which he practices ..., to distribute, temporarily suspended ‘‘effective on the Registrant’s DEA registration be dispense, . . . [or] administer . . . a revoked. date rendered’’ until superseded by a controlled substance in the course of subsequent Board order. Id. at 6. professional practice.’’ 21 U.S.C. Order According to Texas’s online records, 802(21). Second, in setting the Pursuant to 28 CFR 0.100(b) and the of which I take official notice, requirements for obtaining a Registrant’s license is still suspended.2 authority vested in me by 21 U.S.C. practitioner’s registration, Congress 824(a), I hereby revoke DEA Certificate directed that ‘‘[t]he Attorney General 2 Under the Administrative Procedure Act, an of Registration No. FF5063172 issued to agency ‘‘may take official notice of facts at any stage shall register practitioners . . . if the Rosa A. Fuentes, M.D. Further, pursuant in a proceeding—even in the final decision.’’ applicant is authorized to dispense . . . to 28 CFR 0.100(b) and the authority United States Department of Justice, Attorney controlled substances under the laws of vested in me by 21 U.S.C. 823(f), I General’s Manual on the Administrative Procedure the State in which he practices.’’ 21 Act 80 (1947) (Wm. W. Gaunt & Sons, Inc., Reprint hereby deny any pending application of 1979). Pursuant to 5 U.S.C. 556(e), ‘‘[w]hen an U.S.C. 823(f). Because Congress has Rosa A. Fuentes, M.D. to renew or agency decision rests on official notice of a material clearly mandated that a practitioner modify this registration, as well as any fact not appearing in the evidence in the record, a possess state authority in order to be other pending application of Rosa A. party is entitled, on timely request, to an deemed a practitioner under the CSA, opportunity to show the contrary.’’ Accordingly, Fuentes, M.D., for additional Registrant may dispute my finding by filing a the DEA has held repeatedly that registration in Texas. This Order is properly supported motion for reconsideration of revocation of a practitioner’s registration effective June 10, 2021. finding of fact within fifteen calendar days of the is the appropriate sanction whenever he date of this Order. Any such motion and response is no longer authorized to dispense D. Christopher Evans, shall be filed and served by email to the other party Acting Administrator. and to Office of the Administrator, Drug controlled substances under the laws of Enforcement Administration at the state in which he practices. See, e.g., [FR Doc. 2021–09907 Filed 5–10–21; 8:45 am] [email protected]. James L. Hooper, 76 FR at 71,371–72; BILLING CODE 4410–09–P
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DEPARTMENT OF LABOR Appendix A, 29 CFR 1910.7. This TABLE 1—LIST OF APPROPRIATE TEST appendix requires that the agency STANDARDS FOR INCLUSION IN Occupational Safety and Health publish two notices in the Federal CSA’S NRTL SCOPE OF RECOGNI- Administration Register in processing an application. In TION [Docket No. OSHA–2006–0042] the first notice, OSHA announces the application and provides the Test Test standard title CSA Group Testing & Certification Inc.: preliminary finding. In the second standard Grant of Expansion of Recognition notice, the agency provides the final decision on the application. These UL 2271 Standard for Batteries for Use in AGENCY: Occupational Safety and Health notices set forth the NRTL’s scope of Light Electric Vehicle (LEV) Ap- Administration (OSHA), Labor. recognition or modifications of that plications. UL 9540 Standard for Energy Storage Sys- ACTION: Notice. scope. OSHA maintains an tems and Equipment. informational web page for each NRTL, UL 2054 Standard for Household and Com- SUMMARY: In this notice, OSHA including CSA, which details the mercial Batteries. announces the final decision to expand NRTL’s scope of recognition. These UL 1973 Standard for Batteries for Use in the scope of recognition for CSA Group pages are available from the OSHA Stationary, Vehicle Auxiliary Testing & Certification Inc. for website at http://www.osha.gov/dts/ Power and Light Electric Rail expansion of recognition as a Nationally otpca/nrtl/index.html. (LER) Applications. Recognized Testing Laboratory (NRTL). CSA submitted an application, dated DATES: The expansion of the scope of July 17, 2019 (OSHA–2006–0042–0018), OSHA’s recognition of any NRTL for recognition becomes effective on May to expand their recognition to include a particular test standard is limited to 11, 2021. four additional test standards. OSHA equipment or materials for which OSHA FOR FURTHER INFORMATION CONTACT: staff performed a detailed analysis of the standards require third-party testing and Information regarding this notice is application packet and reviewed other certification before using them in the available from the following sources: pertinent information. OSHA did not workplace. Consequently, if a test Press inquiries: Contact Mr. Frank perform any on-site reviews in relation standard also covers any products for Meilinger, Director, OSHA Office of to this application. which OSHA does not require such Communications, U.S. Department of OSHA published the preliminary testing and certification, a NRTL’s scope Labor by phone (202) 693–1999 or email notice announcing CSA’s expansion of recognition does not include these [email protected]. application in the Federal Register on products. General and technical information: February 23, 2021 (86 FR 11004). The The American National Standards Contact Mr. Kevin Robinson, Director, agency requested comments by March Institute (ANSI) may approve the test Office of Technical Programs and 10, 2021, but it received no comments standards listed above as American Coordination Activities, Directorate of in response to this notice. OSHA is now National Standards. However, for Technical Support and Emergency proceeding with this final notice to convenience, we may use the Management, Occupational Safety and grant expansion of CSA’s scope of designation of the standards-developing Health Administration, U.S. Department recognition. organization for the standard as opposed of Labor by phone (202) 693–2110 or To obtain or review copies of all to the ANSI designation. Under the email [email protected]. public documents pertaining to the NRTL Program’s policy (see OSHA SUPPLEMENTARY INFORMATION: CSA’s application, go to http:// Instruction CPL 1–0.3, Appendix C, www.regulations.gov or contact the paragraph XIV), any NRTL recognized I. Notice of Final Decision Docket Office, Occupational Safety and for a particular test standard may use OSHA hereby gives notice of the Health Administration, Docket No. either the proprietary version of the test expansion of the scope of recognition of OSHA–2006–0042 contains all materials standard or the ANSI version of that CSA Group Testing & Certification Inc. in the record concerning CSA’s standard. Contact ANSI to determine (CSA) as a NRTL. CSA’s expansion recognition. Please note: Due to the whether a test standard is currently covers the addition of four test COVID–19 pandemic, the Docket Office ANSI-approved. standards to the NRTL scope of is closed to the public at this time but A. Conditions recognition. can be contacted at (202) 693–2350. OSHA recognition of a NRTL signifies In addition to those conditions II. Final Decision and Order that the organization meets the already required by 29 CFR 1910.7, CSA requirements specified in 29 CFR OSHA staff examined CSA’s must abide by the following conditions 1910.7. Recognition is an expansion application, its capability to of the recognition: acknowledgment that the organization meet the requirements of the test 1. CSA must inform OSHA as soon as can perform independent safety testing standards, and other pertinent possible, in writing, of any change of and certification of the specific products information. Based on its review of this ownership, facilities, or key personnel, covered within its scope of recognition evidence, OSHA finds that CSA meets and of any major change in its and is not a delegation or grant of the requirements of 29 CFR 1910.7 for operations as a NRTL, and provide government authority. As a result of expansion of its recognition, subject to details of the change(s); recognition, employers may use the limitations and conditions listed in 2. CSA must meet all the terms of its products properly approved by the this notice. OSHA, therefore, is recognition and comply with all OSHA NRTL to meet OSHA standards that proceeding with this final notice to policies pertaining to this recognition; require testing and certification of the grant CSA’s scope of recognition. OSHA and products. limits the expansion of CSA’s 3. CSA must continue to meet the The agency processes an application recognition to testing and certification requirements for recognition, including by a NRTL for initial recognition and for of products for demonstration of all previously published conditions on an expansion or renewal of this conformance to the test standards listed CSA’s scope of recognition, in all areas recognition, following requirements in below in Table 1. for which it has recognition.
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Pursuant to the authority in 29 CFR David C. Connolly, Chief, nara.gov. For information about records 1910.7, OSHA hereby expands the scope Transportation and Services Branch, schedules, contact Records Management of recognition of CSA as a NRTL, subject General Government Programs Operations by email at to the limitations and conditions Alexander T. Hunt, Chief, Information [email protected], by mail at specified above. Policy Branch, Office of Information the address above, or by phone at 301– and Regulatory Affairs 837–1799. III. Authority and Signature Adrienne E. Lucas, Deputy Associate SUPPLEMENTARY INFORMATION: James S. Frederick, Principal Deputy Director for Natural Resources Assistant Secretary of Labor for David J. Rowe, Deputy Assistant Public Comment Procedures Occupational Safety and Health, 200 Director for Budget We are publishing notice of records Constitution Avenue NW, Washington, Sarah Whittle Spooner, Assistant schedules in which agencies propose to DC 20210, authorized the preparation of Director for Management and dispose of records they no longer need this notice. Accordingly, the agency is Operations to conduct agency business. We invite public comments on these records issuing this notice pursuant to Section Sarah Whittle Spooner, 29 U.S.C. 655(6)(d), Secretary of Labor’s schedules, as required by 44 U.S.C. Assistant Director for Management and 3303a(a), and list the schedules at the Order No. 8–2020 (85 FR 58393; Sept. Operations. 18, 2020), and 29 CFR 1905.11. end of this notice by agency and [FR Doc. 2021–09896 Filed 5–10–21; 8:45 am] subdivision requesting disposition Signed at Washington, DC, on April 8, BILLING CODE 3110–01–P 2021. authority. In addition, this notice lists the James S. Frederick, organizational unit(s) accumulating the Principal Deputy Assistant Secretary of Labor NATIONAL ARCHIVES AND RECORDS records or states that the schedule has for Occupational Safety and Health. ADMINISTRATION agency-wide applicability. It also [FR Doc. 2021–09950 Filed 5–10–21; 8:45 am] [NARA–21–0006; NARA–2021–024] provides the control number assigned to BILLING CODE 4510–26–P each schedule, which you will need if Records Schedules; Availability and you submit comments on that schedule. Request for Comments We have uploaded the records schedules and accompanying appraisal OFFICE OF MANAGEMENT AND AGENCY: National Archives and Records memoranda to the regulations.gov BUDGET Administration (NARA). docket for this notice as ‘‘other’’ ACTION: Notice of availability of documents. Each records schedule Senior Executive Service Performance proposed records schedules; request for contains a full description of the records Review Board Membership comments. at the file unit level as well as their AGENCY: Office of Management and proposed disposition. The appraisal SUMMARY: The National Archives and Budget. memorandum for the schedule includes Records Administration (NARA) information about the records. ACTION: Notice. publishes notice of certain Federal We will post comments, including agency requests for records disposition any personal information and SUMMARY: The Office of Management authority (records schedules). We attachments, to the public docket and Budget (OMB) publishes the names publish notice in the Federal Register unchanged. Because comments are of the members selected to serve on its and on regulations.gov for records public, you are responsible for ensuring Senior Executive Service (SES) schedules in which agencies propose to that you do not include any confidential Performance Review Board (PRB). This dispose of records they no longer need or other information that you or a third notice supersedes all previous notices of to conduct agency business. We invite party may not wish to be publicly the PRB membership. public comments on such records posted. If you want to submit a DATES: Applicable: May 1, 2021 schedules. comment with confidential information FOR FURTHER INFORMATION CONTACT: DATES: NARA must receive comments or cannot otherwise use the Sarah Whittle Spooner, Assistant by June 25, 2021. regulations.gov portal, you may contact [email protected] for Director for Management and ADDRESSES: You may submit comments Operations, Office of Management and instructions on submitting your by the following method. You must cite comment. Budget, 725 17th Street NW, the control number, which appears on Washington, DC 20503, 202–395–7402. We will consider all comments the records schedule in parentheses submitted by the posted deadline and SUPPLEMENTARY INFORMATION: Section after the name of the agency that consult as needed with the Federal 4314(c) of Title 5, U.S.C. requires each submitted the schedule. • agency seeking the disposition agency to establish, in accordance with Federal eRulemaking Portal: http:// authority. After considering comments, regulations prescribed by the Office of www.regulations.gov. we will post on regulations.gov a Personnel Management, one or more Due to COVID–19 building closures, ‘‘Consolidated Reply’’ summarizing the PRBs. The PRB shall review and we are currently temporarily not comments, responding to them, and evaluate the initial appraisal of a senior accepting comments by mail. However, noting any changes we have made to the executive’s performance by the if you are unable to comment via proposed records schedule. We will supervisor, along with any response by regulations.gov, you may contact then send the schedule for final the senior executive, and make [email protected] for approval by the Archivist of the United recommendations to the final rating instructions on submitting your States. You may elect at regulations.gov authority relative to the performance of comment. to receive updates on the docket, the senior executive. FOR FURTHER INFORMATION CONTACT: including an alert when we post the The persons named below have been Kimberly Keravuori, Regulatory and Consolidated Reply, whether or not you selected to serve on OMB’s PRB. External Policy Program Manager, by submit a comment. If you have a Nicole Budzinski, Chief of Staff email at regulation_comments@ question, you can submit it as a
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comment, and can also submit any 4. Department of the Treasury, Section II identifies the docket concerns or comments you would have Internal Revenue Service, Affordable number(s) associated with each Postal to a possible response to the question. Care Act (ACA) Hospital Review Cases Service request, the title of each Postal We will address these items in (DAA–0058–2021–0001). Service request, the request’s acceptance consolidated replies along with any 5. Department of the Treasury, date, and the authority cited by the other comments submitted on that Internal Revenue Service, Affordable Postal Service for each request. For each schedule. Care Act (ACA) Insurance Provider Fee request, the Commission appoints an We will post schedules on our Records (DAA–0058–2021–0002). officer of the Commission to represent website in the Records Control Schedule 6. Federal Communications the interests of the general public in the (RCS) Repository, at https:// Commission, Agency-Wide, Connected proceeding, pursuant to 39 U.S.C. 505 www.archives.gov/records-mgmt/rcs, Care Pilot and Covid-19 Telehealth after the Archivist approves them. The Program Records (DAA–0173–2020– (Public Representative). Section II also RCS contains all schedules approved 0006). establishes comment deadline(s) pertaining to each request. since 1973. Laurence Brewer, The public portions of the Postal Background Chief Records Officer for the U.S. Government. Service’s request(s) can be accessed via Each year, Federal agencies create the Commission’s website (http:// [FR Doc. 2021–09892 Filed 5–10–21; 8:45 am] billions of records. To control this www.prc.gov). Non-public portions of BILLING CODE 7515–01–P accumulation, agency records managers the Postal Service’s request(s), if any, prepare schedules proposing retention can be accessed through compliance periods for records and submit these POSTAL REGULATORY COMMISSION with the requirements of 39 CFR schedules for NARA’s approval. Once 3011.301.1 approved by NARA, records schedules [Docket Nos. MC2021–87 and CP2021–90] provide mandatory instructions on what The Commission invites comments on happens to records when no longer New Postal Products whether the Postal Service’s request(s) needed for current Government in the captioned docket(s) are consistent AGENCY: Postal Regulatory Commission. business. The records schedules with the policies of title 39. For authorize agencies to preserve records of ACTION: Notice. request(s) that the Postal Service states continuing value in the National SUMMARY: The Commission is noticing a concern market dominant product(s), Archives or to destroy, after a specified recent Postal Service filing for the applicable statutory and regulatory period, records lacking continuing Commission’s consideration concerning requirements include 39 U.S.C. 3622, 39 administrative, legal, research, or other a negotiated service agreement. This U.S.C. 3642, 39 CFR part 3030, and 39 value. Some schedules are notice informs the public of the filing, CFR part 3040, subpart B. For request(s) comprehensive and cover all the records invites public comment, and takes other that the Postal Service states concern of an agency or one of its major administrative steps. competitive product(s), applicable subdivisions. Most schedules, however, DATES: Comments are due: May 13, statutory and regulatory requirements cover records of only one office or 2021. include 39 U.S.C. 3632, 39 U.S.C. 3633, program or a few series of records. Many 39 U.S.C. 3642, 39 CFR part 3035, and of these update previously approved ADDRESSES: Submit comments electronically via the Commission’s 39 CFR part 3040, subpart B. Comment schedules, and some include records deadline(s) for each request appear in proposed as permanent. Filing Online system at http:// section II. Agencies may not destroy Federal www.prc.gov. Those who cannot submit records without the approval of the comments electronically should contact II. Docketed Proceeding(s) Archivist of the United States. The the person identified in the FOR FURTHER Archivist grants this approval only after INFORMATION CONTACT section by 1. Docket No(s).: MC2021–87 and thorough consideration of the records’ telephone for advice on filing CP2021–90; Filing Title: USPS Request administrative use by the agency of alternatives. to Add Priority Mail Contract 697 to origin, the rights of the Government and FOR FURTHER INFORMATION CONTACT: Competitive Product List and Notice of of private people directly affected by the David A. Trissell, General Counsel, at Filing Materials Under Seal; Filing Government’s activities, and whether or 202–789–6820. Acceptance Date: May 5, 2021; Filing not the records have historical or other SUPPLEMENTARY INFORMATION: Authority: 39 U.S.C. 3642, 39 CFR value. Public review and comment on 3040.130 through 3040.135, and 39 CFR Table of Contents these records schedules is part of the 3035.105; Public Representative: Archivist’s consideration process. I. Introduction Kenneth R. Moeller; Comments Due: II. Docketed Proceeding(s) Schedules Pending May 13, 2021. I. Introduction 1. Department of Health and Human This Notice will be published in the Services, Office of the Assistant The Commission gives notice that the Federal Register. Postal Service filed request(s) for the Secretary for Health, Office of Research Erica A. Barker, Integrity Records (DAA–0514–2020– Commission to consider matters related 0001). to negotiated service agreement(s). The Secretary. 2. Department of Justice, Federal request(s) may propose the addition or [FR Doc. 2021–09931 Filed 5–10–21; 8:45 am] Bureau of Investigation, IntelPlus removal of a negotiated service BILLING CODE 7710–FW–P Analytical Database (DAA–0065–2020– agreement from the market dominant or 0001). the competitive product list, or the 3. Department of State, Bureau of modification of an existing product 1 See Docket No. RM2018–3, Order Adopting Counterterrorism and Countering currently appearing on the market Final Rules Relating to Non-Public Information, Violent Extremism, Consolidated dominant or the competitive product June 27, 2018, Attachment A at 19–22 (Order No. Schedule (DAA–0059–2019–0003). list. 4679).
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POSTAL SERVICE have somewhat higher fees. In May The Postal Service used WebBATS and 2011, the Postal Service filed a request geospatial data to identify and confirm Transfer of Post Office Box Service in with the Postal Regulatory Commission that each post office location is within Selected Locations to the Competitive (PRC) to transfer approximately 6,800 five miles of a private sector competitor. Product List PO Box locations from market-dominant The Postal Service excluded locations AGENCY: Postal ServiceTM. to competitive fee groups, based on a with less than 250 boxes due to the showing that sufficient competition ‘‘small customer base’’ and locations ACTION: Notice. exists when a private sector alternative with access constraints. SUMMARY: The Postal Service hereby exists within five miles or less. PRC Communications are being sent to the provides notice that Post Office BoxTM Docket No. MC2011–25. Documents identified Postmasters of the locations; service for approximately 237 locations pertinent to that proceeding are and PO Box customers in the identified will be reassigned from their market- available at www.prc.gov, Docket No. 237 Post Office locations will receive an dominant fee groups to competitive fee MC2011–25. At that time, the Postal email and/or letter notifying them that groups. Service advised the PRC that a Federal their PO Boxes are now competitive DATES: Comments must be received on Register notice would be filed whenever locations and will include the or before June 10, 2021. the Postal Service subsequently updates additional services. Additional internal ADDRESSES: Mail or deliver written the list of competitive locations by and external communications are comments to: Sheila Marano, Manager applying the criteria approved in that planned as well. A list of affected Product Management, Special Services, docket. Since the original filing, the locations, with the associated ZIP 475 L’Enfant Plaza SW, Room 2P836, Postal Service updated the list of Codes, is provided in the Appendix to Washington, DC 20260. Emailed and competitive locations in 2013 to add an this notice. faxed comments will not be accepted. additional location, see 79 FR 60928– Joshua Hofer, 60929 (Oct. 2, 2013), and subsequently You may inspect and photocopy all Attorney, Ethics & Legal Compliance. written comments, by appointment updated it again to add 1625 locations only, at the USPS Headquarter Library, effective Aug. 27, 2014, see 79 FR Appendix 475 L’Enfant Plaza SW, 11th Floor 38972–38998 (July 9, 2014). Competitive Transfer of Additional Post Office Box North, Washington, DC 20260. These Post Office Box service includes several Locations to Competitive Fee Group—ZIP records are available for review on enhancements such as: Electronic Code Listing Monday through Friday, 9 a.m. to 4 notification of the receipt of mail, use of The following is a list of the locations p.m., by calling (202)268–2904. All an alternate street address format, which are described in the Notice above as submitted comments and attachments signature on file for delivery of certain qualifying for reassignment from market are part of the public record and subject accountable mail, and additional hours dominant to competitive fee groups. The list to disclosure. Do not enclose any of access and/or earlier availability of is sorted by ZIP Code in ascending numerical material in your comments that you mail in some locations. Recently, the order with geographical breaks and headers. consider to be confidential or Postal Service re-applied the Docket No. As indicated by the column headings, this inappropriate for public disclosure. MC2011–25 criteria to its PO Box list provides the ZIP Code of the affected PO FOR FURTHER INFORMATION CONTACT: locations and determined that an Boxes (ZIP), the office name of the location Valerie Pelton, 202–487–4341. additional 237 locations (out of a total (OFFICE NAME), the city where the PO Boxes are located (CITY), the current market SUPPLEMENTARY INFORMATION: Locations of approximately 32,788 locations) providing Post Office Box service are would properly be classified as dominant fee group (CFG), and the new competitive fee group (NFG). Please note that classified as competitive or market competitive, based on their proximity to there are more ZIP Codes than locations dominant and assigned to fee groups a private sector competitor within five being moved to competitive fee groups, based upon proximity to private sector miles. The Postal Service confirms that because some locations serve more than one competitors and other criteria. the 237 locations being reclassified meet ZIP Code. These locations can be identified Competitive locations provide more all of the criteria that the Commission whenever multiple ZIP Codes are listed for services than market dominant ones and considered in Docket No. MC2011–25. a single office name.
ZIP Facilities name City St CFG NFG
ALABAMA
35011 ...... ALEXANDER CITY ...... ALEXANDER CITY ...... AL 4 34 35044 ...... CHILDERSBURG ...... CHILDERSBURG ...... AL 4 34 35453 ...... COTTONDALE ...... COTTONDALE ...... AL 5 35 35068 ...... FULTONDALE ...... FULTONDALE ...... AL 5 35 35071 ...... GARDENDALE ...... GARDENDALE ...... AL 5 35 35094 ...... LEEDS ...... LEEDS ...... AL 4 34 36303 ...... NORTHSIDE ...... DOTHAN ...... AL 4 34 35179 ...... VINEMONT ...... VINEMONT ...... AL 5 35
ARKANSAS
72501 ...... BATESVILLE ...... BATESVILLE ...... AR 5 35 72543 ...... HEBER SPRINGS ...... HEBER SPRINGS ...... AR 5 35
ARIZONA
85321 ...... AJO ...... AJO ...... AZ 3 33 86323 ...... CHINO VALLEY ...... CHINO VALLEY ...... AZ 5 35 85028 ...... CPU KARENS HALLMARK CACTUS ..... PHOENIX ...... AZ 5 35
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ZIP Facilities name City St CFG NFG
85356 ...... WELLTON ...... WELLTON ...... AZ 4 34
CALIFORNIA
95225 ...... BURSON ...... BURSON ...... CA 4 34 93210 ...... COALINGA ...... COALINGA ...... CA 5 35 95426 ...... COBB ...... COBB ...... CA 5 35 92242 ...... EARP ...... EARP ...... CA 3 33 92548 ...... HOMELAND ...... HOMELAND ...... CA 4 34 92251 ...... IMPERIAL ...... IMPERIAL ...... CA 3 33 95454 ...... LAYTONVILLE ...... LAYTONVILLE ...... CA 5 35 94305 ...... STANFORD ...... STANFORD ...... CA 3 33 92277 ...... TWENTYNINE PALMS ...... TWENTYNINE PALMS ...... CA 2 32 96093 ...... WEAVERVILLE ...... WEAVERVILLE ...... CA 5 35
COLORADO
80102 ...... BENNETT ...... BENNETT ...... CO 6 36 81211 ...... BUENA VISTA ...... BUENA VISTA ...... CO 4 34 80701 ...... FORT MORGAN ...... FORT MORGAN ...... CO 4 34
CONNECTICUT
06268 ...... STORRS MANSFIELD ...... STORRS MANSFIELD ...... CT 3 33
FLORIDA
32615 ...... ALACHUA ...... ALACHUA ...... FL 4 34 34420 ...... BELLEVIEW ...... BELLEVIEW ...... FL 5 35 33043 ...... BIG PINE KEY ...... BIG PINE KEY ...... FL 5 35 32131 ...... EAST PALATKA ...... EAST PALATKA ...... FL 4 34 32439 ...... FREEPORT ...... FREEPORT ...... FL 3 33 32040 ...... GLEN SAINT MARY ...... GLEN SAINT MARY ...... FL 5 35 34736 ...... GROVELAND ...... GROVELAND ...... FL 4 34 32063 ...... MACCLENNY ...... MACCLENNY ...... FL 3 33 34753 ...... MASCOTTE ...... MASCOTTE ...... FL 7 37 34762 ...... OKAHUMPKA ...... OKAHUMPKA ...... FL 7 37 32177 ...... PALATKA ...... PALATKA ...... FL 4 34 34219 ...... PARRISH ...... PARRISH ...... FL 4 34 33946 ...... PLACIDA ...... PLACIDA ...... FL 5 35 33570 ...... RUSKIN ...... RUSKIN ...... FL 4 34 33957 ...... SANIBEL ...... SANIBEL ...... FL 5 35 32959 ...... SHARPES ...... SHARPES ...... FL 5 35 33873 ...... WAUCHULA ...... WAUCHULA ...... FL 5 35 32362 ...... WOODVILLE ...... WOODVILLE ...... FL 4 34 33890 ...... ZOLFO SPRINGS ...... ZOLFO SPRINGS ...... FL 5 35
GEORGIA
30553 ...... LAVONIA ...... LAVONIA ...... GA 4 34 31757 ...... TALL TIMBERS VLG ...... THOMASVILLE ...... GA 4 34 30474 ...... VIDALIA ...... VIDALIA ...... GA 4 34 30680 ...... WINDER ...... WINDER ...... GA 4 34
GUAM
96929 ...... ANDERSEN AFB ...... YIGO ...... GU 1 31 96913 ...... BARRIGADA ...... BARRIGADA ...... GU 1 31 96928 ...... CPU DEDEDO ...... DEDEDO ...... GU 2 32 96912A ...... CPU DEDEDO ...... DEDEDO ...... GU 2 32 96929 ...... CPU YIGO ...... YIGO ...... GU 1 31 96910 ...... HAGATNA ...... HAGATNA ...... GU 1 31
HAWAII
96719 ...... HAWI ...... HAWI ...... HI 3 33
IOWA
50125 ...... INDIANOLA ...... INDIANOLA ...... IA 5 35 52501 ...... OTTUMWA ...... OTTUMWA ...... IA 5 35
IDAHO
83853 ...... PORTHILL ...... PORTHILL ...... ID 5 35
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ZIP Facilities name City St CFG NFG
83467 ...... SALMON ...... SALMON ...... ID 3 33
ILLINOIS
60115 ...... DEKALB ...... DEKALB ...... IL 5 35 61801 ...... DOWNTOWN URBANA ...... URBANA ...... IL 3 33 60099 ...... ZION ...... ZION ...... IL 4 34
INDIANA
46312 ...... EAST CHICAGO ...... EAST CHICAGO ...... IN 4 34 46140 ...... GREENFIELD ...... GREENFIELD ...... IN 3 33 46320 ...... HAMMOND ...... HAMMOND ...... IN 2 32
KANSAS
67601 ...... HAYS ...... HAYS ...... KS 4 34 66618 ...... NORTHPARK ...... TOPEKA ...... KS 4 34
KENTUCKY
42330 ...... CENTRAL CITY ...... CENTRAL CITY ...... KY 4 34 41635 ...... HAROLD ...... HAROLD ...... KY 5 35 42431 ...... MADISONVILLE ...... MADISONVILLE ...... KY 4 34 40165 ...... SHEPHERDSVILLE ...... SHEPHERDSVILLE ...... KY 7 37
LOUISIANA
71405 ...... BALL ...... BALL ...... LA 5 35 70427 ...... BOGALUSA ...... BOGALUSA ...... LA 4 34 70043 ...... CHALMETTE ...... CHALMETTE ...... LA 6 36 70359 ...... GRAY ...... GRAY ...... LA 5 35 71360 ...... PINEVILLE ...... PINEVILLE ...... LA 3 33 70663 ...... SULPHUR ...... SULPHUR ...... LA 4 34 71477 ...... TIOGA ...... TIOGA ...... LA 5 35
MARYLAND
20613 ...... BRANDYWINE ...... BRANDYWINE ...... MD 4 34 20755 ...... FORT GEORGE G MEADE ...... FORT GEORGE G MEADE ...... MD 3 33
MAINE
04619 ...... CALAIS ...... CALAIS ...... ME 2 32 04543 ...... DAMARISCOTTA ...... DAMARISCOTTA ...... ME 4 34 04043 ...... KENNEBUNK ...... KENNEBUNK ...... ME 1 31 04046 ...... KENNEBUNKPORT ...... KENNEBUNKPORT ...... ME 4 34 04758 ...... MARS HILL ...... MARS HILL ...... ME 3 33 04553 ...... NEWCASTLE ...... NEWCASTLE ...... ME 4 34 04094 ...... WEST KENNEBUNK ...... WEST KENNEBUNK ...... ME 4 34
MICHIGAN
49401 ...... ALLENDALE ...... ALLENDALE ...... MI 5 35 48111 ...... BELLEVILLE ...... BELLEVILLE ...... MI 5 35 49306 ...... BELMONT ...... BELMONT ...... MI 5 35
MINNESOTA
56537 ...... FERGUS FALLS ...... FERGUS FALLS ...... MN 4 34 56001 ...... MANKATO ...... MANKATO ...... MN 3 33
MISSOURI
63841 ...... DEXTER ...... DEXTER ...... MO 5 35 64083 ...... RAYMORE ...... RAYMORE ...... MO 3 33 63117 ...... RICHMOND HEIGHTS ...... SAINT LOUIS ...... MO 2 32 63080 ...... SULLIVAN ...... SULLIVAN ...... MO 3 33
MISSISSIPPI
39342 ...... MARION ...... MARION ...... MS 6 36 39305 ...... NORTH MERIDIAN ...... MERIDIAN ...... MS 4 34 39307 ...... WEST MERIDIAN ...... MERIDIAN ...... MS 4 34
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ZIP Facilities name City St CFG NFG
MONTANA
59917 ...... EUREKA ...... EUREKA ...... MT 4 34 59752 ...... THREE FORKS ...... THREE FORKS ...... MT 4 34
NORTH CAROLINA
28725 ...... DILLSBORO ...... DILLSBORO ...... NC 5 35 27244 ...... ELON ...... ELON ...... NC 5 35 28307 ...... FORT BRAGG ...... FORT BRAGG ...... NC 2 32 28741 ...... HIGHLANDS ...... HIGHLANDS ...... NC 5 35 28348 ...... HOPE MILLS ...... HOPE MILLS ...... NC 2 32 27021 ...... KING ...... KING ...... NC 5 35 28645 ...... LENOIR ...... LENOIR ...... NC 3 33 27557 ...... MIDDLESEX ...... MIDDLESEX ...... NC 5 35 27030 ...... MOUNT AIRY ...... MOUNT AIRY ...... NC 3 33 28372 ...... PEMBROKE ...... PEMBROKE ...... NC 5 35 27045 ...... RURAL HALL ...... RURAL HALL ...... NC 5 35 28779 ...... SYLVA ...... SYLVA ...... NC 3 33 27049 ...... TOAST ...... TOAST ...... NC 5 35 28788 ...... WEBSTER ...... WEBSTER ...... NC 5 35
NORTH DAKOTA
58784 ...... STANLEY ...... STANLEY ...... ND 5 35
NEBRASKA
69341 ...... GERING ...... GERING ...... NE 4 34 69361 ...... SCOTTSBLUFF ...... SCOTTSBLUFF ...... NE 4 34
NEW HAMPSHIRE
03253 ...... MEREDITH ...... MEREDITH ...... NH 5 35
NEW JERSEY
07001 ...... AVENEL ...... AVENEL ...... NJ 1 31 08002 ...... ELLISBURG ...... CHERRY HILL ...... NJ 3 33 07630 ...... EMERSON ...... EMERSON ...... NJ 1 31
NEW MEXICO
87301 ...... CPU T AND R MARKET ...... GALLUP ...... NM 4 34 87015 ...... EDGEWOOD ...... EDGEWOOD ...... NM 5 35 88047 ...... MESILLA PARK ...... MESILLA PARK ...... NM 4 34
NEVADA
89883 ...... WEST WENDOVER ...... WEST WENDOVER ...... NV 5 35 89445 ...... WINNEMUCCA ...... WINNEMUCCA ...... NV 3 33
NEW YORK
13502 ...... BUTTERFIELD ...... UTICA ...... NY 4 34 12919 ...... CHAMPLAIN ...... CHAMPLAIN ...... NY 5 35 12920 ...... CHATEAUGAY ...... CHATEAUGAY ...... NY 5 35 13640 ...... FINEVIEW ...... WELLESLEY ISLAND ...... NY 4 34 13602 ...... FORT DRUM ...... FORT DRUM ...... NY 3 33 13655 ...... HOGANSBURG ...... HOGANSBURG ...... NY 5 35 14843 ...... HORNELL ...... HORNELL ...... NY 3 33 14845 ...... HORSEHEADS ...... HORSEHEADS ...... NY 3 33 13501 ...... KERNAN ...... UTICA ...... NY 4 34 13403 ...... MARCY ...... MARCY ...... NY 5 35 13662 ...... MASSENA ...... MASSENA ...... NY 4 34 13413 ...... NEW HARTFORD ...... NEW HARTFORD ...... NY 3 33 13440 ...... ROME ...... ROME ...... NY 4 34 13683 ...... ROOSEVELTOWN ...... ROOSEVELTOWN ...... NY 5 35 13504 ...... UTICA ...... UTICA ...... NY 4 34
OHIO
43062 ...... PATASKALA ...... PATASKALA ...... OH 4 34 44907 ...... SOUTHWEST ...... MANSFIELD ...... OH 4 34 44281 ...... WADSWORTH ...... WADSWORTH ...... OH 3 33
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ZIP Facilities name City St CFG NFG
OKLAHOMA
74429 ...... COWETA ...... COWETA ...... OK 3 33 73533 ...... DUNCAN ...... DUNCAN ...... OK 4 34 74554 ...... KREBS ...... KREBS ...... OK 5 35 74501 ...... MCALESTER ...... MCALESTER ...... OK 4 34 73801 ...... WOODWARD ...... WOODWARD ...... I OK I 4 34 OREGON
97325 ...... AUMSVILLE ...... AUMSVILLE ...... OR 5 35 97814 ...... BAKER CITY ...... BAKER CITY ...... OR 3 33 97523 ...... CAVE JUNCTION ...... CAVE JUNCTION ...... OR 4 34 97351 ...... INDEPENDENCE ...... INDEPENDENCE ...... OR 3 33 97361 ...... MONMOUTH ...... MONMOUTH ...... OR 3 33 97381 ...... SILVERTON ...... SILVERTON ...... OR 4 34 97385 ...... SUBLIMITY ...... SUBLIMITY ...... OR 4 34
PENNSYLVANIA
19023 ...... DARBY ...... DARBY ...... PA 3 33 19348 ...... KENNETT SQUARE ...... KENNETT SQUARE ...... PA 3 33 17044 ...... LEWISTOWN ...... LEWISTOWN ...... PA 4 34 17850 ...... MONTANDON ...... MONTANDON ...... PA 5 35 18015 ...... SOUTHSIDE ...... BETHLEHEM ...... PA 3 33 19372 ...... THORNDALE ...... THORNDALE ...... PA 3 33 18657 ...... TUNKHANNOCK ...... TUNKHANNOCK ...... PA 3 33 19375 ...... UNIONVILLE ...... UNIONVILLE ...... PA 5 35
PUERTO RICO
00965 ...... CPU AMELIA CONTRACT ...... GUAYNABO ...... PR 3 33 00907 ...... CPU CONDADO CONTRACT STA ...... SAN JUAN ...... PR 2 32 00685 ...... CPU HATO ARRIBA CONTRACT ...... SAN SEBASTIAN ...... PR 2 32 00979 ...... CPU ISLA VERDE CONTRACT ...... CAROLINA ...... PR 2 32 00936 ...... SAN JUAN ...... SAN JUAN ...... PR 2 32 00976 ...... TRUJILLO ALTO ...... TRUJILLO ALTO ...... PR 2 32
RHODE ISLAND
02882 ...... NARRAGANSETT ...... NARRAGANSETT ...... RI 2 32
SOUTH CAROLINA
29822 ...... CLEARWATER ...... CLEARWATER ...... SC 5 35 29569 ...... LORIS ...... LORIS ...... SC 3 33
SOUTH DAKOTA
57532 ...... FORT PIERRE ...... FORT PIERRE ...... SD 6 36 57501 ...... PIERRE ...... PIERRE ...... SD 5 35 57069 ...... VERMILLION ...... VERMILLION ...... SD 4 34 57078 ...... YANKTON ...... YANKTON ...... SD 4 34
TENNESSEE
37643 ...... ELIZABETHTON ...... ELIZABETHTON ...... TN 3 33 37062 ...... FAIRVIEW ...... FAIRVIEW ...... TN 5 35 37743 ...... GREENEVILLE ...... GREENEVILLE ...... TN 3 33
TEXAS
75751 ...... ATHENS ...... ATHENS ...... TX 3 33 75551 ...... ATLANTA ...... ATLANTA ...... TX 5 35 78133 ...... CANYON LAKE ...... CANYON LAKE ...... TX 5 35 78834 ...... CARRIZO SPRINGS ...... CARRIZO SPRINGS ...... TX 7 37 78234 ...... FORT SAM HOUSTON ...... JBSA FT SAM HOUSTON ...... TX 5 35 78358 ...... FULTON ...... FULTON ...... TX 6 36 78026 ...... JOURDANTON ...... JOURDANTON ...... TX 4 34 75142 ...... KAUFMAN ...... KAUFMAN ...... TX 3 33 79331 ...... LAMESA ...... LAMESA ...... TX 5 35 78642 ...... LIBERTY HILL ...... LIBERTY HILL ...... TX 7 37 77864 ...... MADISONVILLE ...... MADISONVILLE ...... TX 4 34 77357 ...... NEW CANEY ...... NEW CANEY ...... TX 6 36 77630 ...... ORANGE ...... ORANGE ...... TX 5 35
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ZIP Facilities name City St CFG NFG
77446 ...... PRAIRIE VIEW ...... PRAIRIE VIEW ...... TX 7 37 75572 ...... QUEEN CITY ...... QUEEN CITY ...... TX 6 36 77510 ...... SANTA FE ...... SANTA FE ...... TX 7 37 79556 ...... SWEETWATER ...... SWEETWATER ...... TX 5 35 76692 ...... WHITNEY ...... WHITNEY ...... TX 7 37 75169 ...... WILLS POINT ...... WILLS POINT ...... TX 4 34
UTAH
84651 ...... PAYSON ...... PAYSON ...... UT 4 34
VIRGINIA
20143 ...... CATHARPIN ...... CATHARPIN ...... VA 5 35 24504 ...... COURTHOUSE LYNCHBURG ...... LYNCHBURG ...... VA 3 33 23801 ...... FORT LEE ...... FORT LEE ...... VA 3 33 22630 ...... FRONT ROYAL ...... FRONT ROYAL ...... VA 3 33 24572 ...... MADISON HEIGHTS ...... MADISON HEIGHTS ...... I VA I 5 35 VIRGIN ISLANDS
00802 ...... CHARLOTTE AMALIE ...... ST THOMAS ...... VI 2 32 00830 ...... CRUZ BAY ...... ST JOHN ...... VI 5 35 00802 ...... EMANCIPATION GARDENS ...... ST THOMAS ...... VI 2 32 00802 ...... VETERANS ANNEX ...... ST THOMAS ...... VI 3 33
VERMONT
05440 ...... ALBURGH ...... ALBURGH ...... VT 4 34 05033 ...... BRADFORD ...... BRADFORD ...... VT 4 34 05830 ...... DERBY LINE ...... DERBY LINE ...... VT 5 35 05855 ...... NEWPORT ...... NEWPORT ...... VT 3 33 05478 ...... SAINT ALBANS ...... SAINT ALBANS ...... VT 3 33 05676 ...... WATERBURY ...... WATERBURY ...... VT 2 32 05777 ...... WEST RUTLAND ...... WEST RUTLAND ...... VT 4 34
WASHINGTON
99109 ...... CHEWELAH ...... CHEWELAH ...... WA 5 35 98501 ...... CPU SAFEWAY 7 ...... TUMWATER ...... WA 2 32 99006 ...... DEER PARK ...... DEER PARK ...... WA 5 35 98257 ...... LA CONNER ...... LA CONNER ...... WA 5 35 98045 ...... NORTH BEND ...... NORTH BEND ...... WA 4 34 98844 ...... OROVILLE ...... OROVILLE ...... WA 5 35 98394 ...... VAUGHN ...... VAUGHN ...... WA 3 33
WISCONSIN
53029 ...... HARTLAND ...... HARTLAND ...... WI 4 34 54476 ...... SCHOFIELD ...... SCHOFIELD ...... WI 3 33 54880 ...... SUPERIOR ...... SUPERIOR ...... WI 4 34
WEST VIRGINIA
26330 ...... BRIDGEPORT ...... BRIDGEPORT ...... WV 4 34 25625 ...... HOLDEN ...... HOLDEN ...... WV 5 35 24901 ...... LEWISBURG ...... LEWISBURG ...... WV 4 34 25560 ...... SCOTT DEPOT ...... SCOTT DEPOT ...... WV 5 35 25652 ...... WHITMAN ...... WHITMAN ...... I WV I 5 35 WYOMING
82716 ...... GILLETTE ...... GILLETTE ...... WY 5 35 82072 ...... LARAMIE ...... LARAMIE ...... WY 5 35
[FR Doc. 2021–09100 Filed 5–10–21; 8:45 am] POSTAL SERVICE SUMMARY: The United States Postal TM BILLING CODE 7710–12–P Service (USPS ) is proposing to create Privacy Act System of Records a new General Privacy Act System of AGENCY: Postal ServiceTM. Records. ACTION: Notice of a new system of DATES: These revisions will become records. effective without further notice on June
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10, 2021, unless comments received on fulfill its service obligations. This will references a transformative use of that or before that date result in a contrary also provide transparency into the element. determination. collection of records relating to This System of Records may overlap ADDRESSES: Comments may be commercial IT, allowing Postal with elements appearing in other submitted via email to the Privacy and employees, contractors, and the public Systems of Records, as indicated in the Records Management Office, United to more easily identify what we do with Rationale for Changes to USPS System States Postal Service Headquarters their information. of Records section. This new System of ([email protected]). Arrangements to Records will encompass commercially Rationale for the Creation of a New developed or commercially assisted IT view copies of any written comments USPS System of Records received, to facilitate public inspection, resources. Applications developed in- will be made upon request. Currently, records relating to the house or by the Postal Service, such as Informed Delivery® FOR FURTHER INFORMATION CONTACT: implementation of IT resources are , will still be Janine Castorina, Chief Privacy and housed primarily in USPS 500.000, represented in their own SOR. Property Management Records, with Records Management Officer, Privacy SYSTEM NAME AND NUMBER: other IT-related components appearing and Records Management Office, 202– 550.100 Commercial Information 268–3069 or [email protected]. in 890.000, Sales, Marketing, Events, and Publications, and other SORs. SOR Technology Resources—Applications. SUPPLEMENTARY INFORMATION: 500.000 reflects not only IT access SECURITY CLASSIFICATION: Background records, but also building access and None. related records. This results in a mixture The world of commercial information SYSTEM LOCATION: technology resources (‘‘IT’’) is of uses within SOR 500.000, which All USPS facilities and contractor constantly changing and innovating to reduces optimization and can result in sites. improve the daily lives of businesses, confusion. their employees, and their customers. The creation of a new SOR to SYSTEM MANAGER(S) AND ADDRESS: encompass commercial IT resources, This pace can often result in Chief Information Officer and therefore, provides a platform which is unanticipated obsolescence, Executive Vice President, United States easy to understand and allows for necessitating review of an organization’s Postal Service, 475 L’Enfant Plaza SW, greater flexibility in use and already implemented solutions. For the Washington, DC 20260. Postal Service, legal processes and maintenance. Since the new SOR will notice required by the Privacy Act house only IT resources, the public can AUTHORITY FOR MAINTENANCE OF THE SYSTEM: present additional challenges, as new more easily understand what 39 U.S.C. 401, 403, and 404. information is collected and how it is technologies will require further review PURPOSE(S) OF THE SYSTEM: for possible compliance issues to meet used. 1. To provide event registration statutory and regulatory requirements. Further, documenting IT records services to USPS customers, contractors, To better meet the changing within one SOR provides for greater and other third parties. technology world, the Postal Service flexibility in adding new resources as well as maintaining existing resources. 2. To allow task allocation and will consolidate existing Systems of tracking among team members. Records (‘‘SOR’’s) covering IT into three For example, one application may already collect and store, for the same 3. To allow users to communicate by new, comprehensive Systems of telephone, instant-messaging, and email Records. These SORs will work in purpose, data elements that a new application will use. With a record through local machine and web-based tandem, with each individual SOR applications on desktop and mobile covering a specific group of related already documented, the implementation process of the new operating systems. functions, and all three SORs working 4. To share your personal image via technology will be streamlined while together to support a seamless your device camera during meetings and also meeting statutory and regulatory technology experience. web conferences, if you voluntarily mandates. These SORs, generally, will cover the choose to turn the camera on, enabling following three areas: • Description of New or Modified System virtual face-to-face conversations. Infrastructure, covering records of Records 5. To provide for the creation and created for use throughout the entirety storage of media files, including video of a particular IT resource in addition to This new System of Records is being recordings, audio recordings, desktop covering the records created from the developed to support the recording, and web-based meeting usage of those records by users and implementation of various commercial recordings. applications. IT resources and to provide support for 6. To provide a collaborative platform • Applications, covering records future implementations. for viewing video and audio recordings. created through the regular use of an This system specifically will cover 7. To create limited use applications application. categories of records referred to using standard database formats. • Administrative, covering records collectively as ‘‘Applications.’’ 8. To review distance driven by created for monitoring and Categories of Records in this system approved individuals for accurate administration of users and applications reference data elements created through logging and compensation. within an IT resource. normal use and interactions in a 9. To develop, maintain, and share In addition to covering these three software application. Applications computer code. areas generally, the Postal Service will covered in this SOR reference or 10. To comply with Security look ahead in an effort to include incorporate data elements otherwise Executive Agent Directive (SEAD) 3 possible future technology solutions documented in USPS 550.000 requirements for self-reporting of within this System of Records. This will Commercial Information Technology unofficial foreign travel pertaining to give the Postal Service flexibility to Resources- Infrastructure; therefore, covered individuals who have access to more easily adapt to the advancing pace they will not be specifically classified information or who hold a of information technology and to better documented here unless this system sensitive position.
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CATEGORIES OF INDIVIDUALS COVERED BY THE User, Number Of Guest Users In A Data Repository Profile Picture, Data SYSTEM: Group, Event Name, Event Description, Repository Profile Biography, Data 1. Individuals with authorized access Event Start Date, Event End Date, Video Repository Profile Location, Data to USPS computers, information Platform Group Name, Video Platform Repository User Company, Data resources, and facilities, including Group Email Alias, Video Platform Repository User Preferences, Data employees, contractors, business Group Description, Video Platform Repository User Preference Analytics, partners, suppliers, and third parties. Group Classification, Video Platform Data Repository Transaction Date, Data 2. Individuals participating in web- Group Access Level, Video Platform Repository Transaction Time, Data based meetings, web-based video Channel Name, Video Platform Channel Repository Transaction Amount conferencing, web-based Description, Video Platform Channel Charged, Data Repository web pages communication applications, and web- Access, Video Platform Live Event Viewed, Data Repository Referring based collaboration applications. Recording. website, Data Repository Date Of web 3. Multimedia records: Records CATEGORIES OF RECORDS IN THE SYSTEM: page Request, Data Repository Time Of relating to media associated with or web page Request, Data Repository User 1. Third-party Information records: originating from an information system, Commits, Data Repository User Commit Records relating to non-Postal, third- including; Video Platform User ID, Comment Body Text, Data Repository party individuals utilizing an Video Name, Videos Uploaded By User, Pull Request Comment Body Text, Data information system, application, or Videos Accessed By User, Channels Repository Issue Comment Body Text, piece of software, including: Third-Party Created By User, User Group Data Repository User Comment Body Name, Third Party Date Request, Third Membership, Comments Left By User Text, Data Repository User Party Free Text, Guest User Information. On Videos, Screen Recordings, Video 2. Collaboration and Communication Authentication, Language Of Device Transcript, Deep Search Captions, Video records: Records relating to web- Accessing Data Repository, Operating Metadata, Audio Metadata, Phone conferencing, web-collaboration, and System Of Device Accessing Data Number, Time Phone Call Started, User web-communication applications, Repository, Application Version Of Name, Call Type, Phone Number Called including; Email Body Text, Email Device Accessing Data Repository, To, Phone Number Called From, Called Metadata, Poll Responses, Survey Device Type Of Device Accessing Data To Location, Called From Location, Responses, Message Reactions, Group Repository, Device ID Of Device Telephone Minutes Used, Telephone Accessing Data Repository, Device Names, Group IDs, Action Name, Minutes Available, Charges For Use Of Number Of Actions Sent, Number Of Model Of Device Accessing Data Telephone Services, Currency Of Repository, Device Manufacturer Of Action Responses, Employee Phone Charged Telephone Services, Call Number, Group Chat History, Profile Device Accessing Data Repository, Duration, Call ID, Conference ID, Phone Browser Version Of Device Accessing Information, Group Membership, Number Type, Blocked Phone Numbers, Contacts, Enterprise Social Network Data Repository, Client Application Blocking Action, Reason For Blocking Information Of Device Accessing Data User Name, Enterprise Social Network Action, Blocked Phone Number Display User State, Enterprise Social Network Repository, Data Repository User Usage Name, Date And Time Of Blocking, Call Information, Data Repository User State Change Date, Enterprise Start Time, User Display Name, SIP Social Network User Last Activity Date, Transactional Information, Data Address, Caller Number, Called To Repository API Notification Status, Data Number Of Messages Posted By An Number, Call Type, Call Invite Time, Enterprise Social Network User In Repository API Issue Status, Data Call Failure Time, Call End Time, Call Repository API Pull Status, Data Specified Time Period, Number Of Duration, Number Type, Media Bypass, Messages Viewed By An Enterprise Repository API Commit Status, Data SBC FQDN, Data Center Media Path, Repository API Review Status, Data Social Network User, Number Of Liked Data Center Signaling Path, Event Type, Messages By An Enterprise Social Repository API Label, Data Repository Final SIP, Final Vendor Subcode, Final API User Account Signin Status, Data Network User, Products Assigned To An SIP Phrase, Unique Customer Support Enterprise Social Network User, Home Repository API Schedule Status, Data ID. Repository API Schedule List. Network Information, External Network 4. Limited Use Application records: Information, External Network Name, 6. Unofficial Foreign Travel Records relating to applications with a Monitoring: Records relating to covered External Network Description, External specific, limited use, including; Network Image, Network Creation Date, individuals for the administration of the Application Authoring Application SEAD 3 program, including: Title, Name Network Usage Policy, External Name, Application Authoring Network User Name, External Network Of Traveler, Information Type: Pre- Application Author, Voice Search Text Travel And Post-Travel, Start Date Of User Email Address, External Group Strings, Miles Driven, Mileage Rates, Travel, End Date Of Travel, Carrier Of Name, Number Of Users On A Network, Country Currency, Destination, Transportation, Countries You Are Network ID, Live Event Video Links, Destination Classification, Car Make, Visiting, Passport Number, Passport Files Added Or Modified In Enterprise Car Model, Working Hours, Total Expiration Date, Names And Social Network, Message ID, Thread ID, Number Of Monthly Drives, Total Association Of Foreign National Travel Message Privacy Status, Full Body Of Number Of Monthly Miles, Total Companions, Planned Foreign Contacts, Message, Project Owner, Project Creator, Number Of Personal Drives, Total Emergency Contact Name, Emergency Event Start Time, Event Status, Event Number Of Personal Drives. Organizer, Event Presenter, Event 5. Development Records: Records Contact Phone Number, Emergency Producer, Event Production Type, Event relating to applications used for the Contact Relationship, Post-Travel Recording Setting, Total Number Of creation, sharing, or modification of Questions Relating To Activity, Events, Event Media Viewings, Number Of software code, including: Data And Interactions. Active Users, Number Of Active Users Repository User ID, Data Repository ROUTINE USES OF RECORDS MAINTAINED IN THE In Groups, Number Of Active Group Password, Data Repository User SYSTEM, INCLUDING CATEGORIES OF USERS AND Communication Channels, Number Of Address, Data Repository Payment THE PURPOSES OF SUCH USES: Messages Sent, Number Of Calls Information, Data Repository User First Standard routine uses 1. through 9. Participated In, Last Activity Date Of A Name, Data Repository User Last Name, apply. In addition:
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(a) Disclosure of records to authorized personnel with a current SECURITIES AND EXCHANGE appropriate agencies, entities, and security clearance, and physical access COMMISSION persons when (1) the Postal Service is limited to authorized personnel who suspects or has confirmed that there has must be identified with a badge. [Release No. 34–91778; File No. SR–NYSE– 2021–29] been a breach of the system of records; Access to records is limited to (2) the Postal Service has determined individuals whose official duties require that as a result of the suspected or Self-Regulatory Organizations; New such access. Contractors and licensees confirmed breach there is a risk of harm York Stock Exchange LLC; Notice of to individuals, the Postal Service are subject to contract controls and Filing and Immediate Effectiveness of (including its information systems, unannounced on-site audits and Proposed Rule Change To Extend the programs, and operations), the Federal inspections. Temporary Period for Specified Government, or national security; and Computers are protected by Commentaries to Rules 7.35, 7.35A, (3) the disclosure made to such encryption, mechanical locks, card key 7.35B, and 7.35C and Temporary Rule agencies, entities, and persons is systems, or other physical access control Relief in Rule 36.30 reasonably necessary to assist in methods. The use of computer systems May 5, 2021. connection with the Postal Service’s is regulated with installed security Pursuant to Section 19(b)(1) 1 of the efforts to respond to the suspected or software, computer logon Securities Exchange Act of 1934 (the confirmed breach or to prevent, identifications, and operating system ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 minimize, or remedy such harm. controls including access controls, notice is hereby given that on April 26, RECORD SOURCE CATEGORIES: terminal and transaction logging, and 2021, New York Stock Exchange LLC Employees; contractors; suppliers; file management software. (‘‘NYSE’’ or the ‘‘Exchange’’) filed with customers. the Securities and Exchange RECORD ACCESS PROCEDURES: Commission (the ‘‘Commission’’) the POLICIES AND PRACTICES FOR STORAGE OF Requests for access must be made in proposed rule change as described in RECORDS: accordance with the Notification Items I, II, and III below, which Items Automated database, computer Procedure above and USPS Privacy Act have been prepared by the self- storage media, and paper. regulations regarding access to records regulatory organization. The Commission is publishing this notice to POLICIES AND PRACTICES FOR RETRIEVAL OF and verification of identity under 39 solicit comments on the proposed rule RECORDS: CFR 266.5. change from interested persons. 1. Records relating to third-parties are retrievable by name and email address. CONTESTING RECORD PROCEDURES: I. Self-Regulatory Organization’s 2. Records relating to communication See Notification Procedure and Statement of the Terms of Substance of and collaboration are retrievable by Record Access Procedures above. the Proposed Rule Change name, email address, and user ID. The Exchange proposes to extend the 3. Records pertaining to multimedia NOTIFICATION PROCEDURE: temporary period for specified are retrievable by user name and media Commentaries to Rules 7.35, 7.35A, Customers wanting to know if other title. 7.35B, and 7.35C and temporary rule information about them is maintained in 4. Records relating to application relief in Rule 36.30, to end on the earlier development are retrievable by user ID this system of records must address of a full reopening of the Trading Floor and application name. inquiries in writing to the Chief facilities to DMMs or after the Exchange 5. Records relating to Unofficial Information Officer and Executive Vice closes on August 31, 2021. The Foreign Travel Monitoring for covered President and include their name and proposed rule change is available on the individuals are retrievable by name. address. Exchange’s website at www.nyse.com, at POLICIES AND PRACTICES FOR RETENTION AND the principal office of the Exchange, and EXEMPTION(S) PROMULGATED FROM THIS DISPOSAL OF RECORDS: at the Commission’s Public Reference SYSTEM: 1. Records relating to third-parties are Room. retained for twenty-four months. None. II. Self-Regulatory Organization’s 2. Records relating to communication Statement of the Purpose of, and and collaboration are retained for HISTORY: Statutory Basis for, the Proposed Rule twenty-four months. None. Change 3. Multimedia recordings are retained for twenty-four months. Joshua J. Hofer, In its filing with the Commission, the self-regulatory organization included 4. Records relating to application Attorney, Ethics & Legal Compliance. statements concerning the purpose of, development are retained for twenty- [FR Doc. 2021–09754 Filed 5–10–21; 8:45 am] four months. and basis for, the proposed rule change BILLING CODE P 5. Records relating to Unofficial and discussed any comments it received Foreign Travel Monitoring for covered on the proposed rule change. The text individuals are retained for twenty-five of those statements may be examined at years. the places specified in Item IV below. The Exchange has prepared summaries, ADMINISTRATIVE, TECHNICAL, AND PHYSICAL set forth in sections A, B, and C below, SAFEGUARDS: of the most significant parts of such Paper records, computers, and statements. computer storage media are located in controlled-access areas under 1 15 U.S.C. 78s(b)(1). supervision of program personnel. 2 15 U.S.C. 78a. Computer access is limited to 3 17 CFR 240.19b–4.
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A. Self-Regulatory Organization’s 7.35A, 7.35B, and 7.35C and rule relief subject to safety measures designed to Statement of the Purpose of, and the in Rule 36.30 7 that are in effect until the prevent the spread of COVID–19. To Statutory Basis for, the Proposed Rule earlier of a full reopening of the Trading meet these safety measures, Floor Change Floor facilities to DMMs or after the brokers and DMM units that have Exchange closes on April 30, 2021.8 chosen to return to the Trading Floor are 1. Purpose The first and second phases of the operating with reduced staff. The The Exchange proposes to extend the reopening of the Trading Floor are Exchange is therefore proposing to temporary period for specified extend the following temporary rules Commentaries to Rules 7.35, 7.35A, 7 See Securities Exchange Act Release Nos. 88413 until such time that there is a full 7.35B, and 7.35C and temporary rule (March 18, 2020), 85 FR 16713 (March 24, 2020) reopening of the Trading Floor facilities relief to Rule 36.30, to end on the earlier (SR–NYSE–2020–19) (amending Rule 7.35C to add Commentary .01); 88444 (March 20, 2020), 85 FR to DMMs: of a full reopening of the Trading Floor 17141 (March 26, 2020) (SR–NYSE–2020–22) • Commentaries .01 and .02 to Rule facilities to DMMs or after the Exchange (amending Rules 7.35A to add Commentary .01, 7.35; 9 closes on August 31, 2021. The current 7.35B to add Commentary .01, and 7.35C to add • Commentaries .01, .02, .03, .04, .05, temporary period that these Rules are in Commentary .02); 88488 (March 26, 2020), 85 FR 18286 (April 1, 2020) (SR–NYSE–2020–23) .06, and .07 to Rule 7.35A; effect ends on the earlier of a full (amending Rule 7.35A to add Commentary .02); • Commentaries .01 and .03 to Rule reopening of the Trading Floor facilities 88546 (April 2, 2020), 85 FR 19782 (April 8, 2020) 7.35B; to DMMs or after the Exchange closes on (SR–NYSE–2020–28) (amending Rule 7.35A to add • Commentaries .01, .02, .03, and .04 April 30, 2021. Commentary .03); 88562 (April 3, 2020), 85 FR to Rule 7.35C; and 20002 (April 9, 2020) (SR–NYSE–2020–29) • Amendments to Rule 36.30. Background (amending Rule 7.35C to add Commentary .03); 88705 (April 21, 2020), 85 FR 23413 (April 27, The Exchange is not proposing any To slow the spread of COVID–19 2020) (SR–NYSE–2020–35) (amending Rule 7.35A substantive changes to these Rules. through social-distancing measures, on to add Commentary .04); 88725 (April 22, 2020), 85 FR 23583 (April 28, 2020) (SR–NYSE–2020–37) 2. Statutory Basis March 18, 2020, the CEO of the (amending Rule 7.35 to add Commentary .01); Exchange made a determination under 88950 (May 26, 2020), 85 FR 33252 (June 1, 2020) The proposed rule change is Rule 7.1(c)(3) that, beginning March 23, (SR–NYSE–2020–48) (amending Rule 7.35A to add consistent with Section 6(b) of the 2020, the Trading Floor facilities located Commentary .05); 89059 (June 12, 2020), 85 FR Act,10 in general, and furthers the 36911 (June 18, 2020) (SR–NYSE–2020–50) objectives of Section 6(b)(5) of the Act,11 at 11 Wall Street in New York City (amending Rule 7.35C to add Commentary .04); would close and the Exchange would 89086 (June 17, 2020), 85 FR 37712 (SR–NYSE– in particular, in that it is designed to move, on a temporary basis, to fully 2020–52) (amending Rules 7.35A to add prevent fraudulent and manipulative electronic trading.4 On May 14, 2020, Commentary .06, 7.35B to add Commentary .03, 76 acts and practices, to promote just and to add Supplementary Material 20, and the CEO of the Exchange made a Supplementary Material .30 to Rule 36); 89925 equitable principles of trade, to foster determination under Rule 7.1(c)(3) to (September 18, 2020) (SR–NYSE–2020–75) cooperation and coordination with reopen the Trading Floor on a limited (amending Rule 7.35 to add Commentary .02); and persons engaged in facilitating basis on May 26, 2020 to a subset of 90810 (December 29, 2020), 86 FR 335 (January 5, transactions in securities, and to remove 2021) (SR–NYSE–2020–109) (amending Rule 7.35A Floor brokers, subject to safety measures to add Commentary .07). impediments to and perfect the designed to prevent the spread of 8 See Securities Exchange Act Release No. 90795 mechanism of a free and open market COVID–19.5 On June 15, 2020, the CEO (December 23, 2020), 85 FR 86608 (December 30, and a national market system. of the Exchange made a determination 2020) (SR–NYSE–2020–106) (Notice of filing and To reduce the spread of COVID–19, under Rule 7.1(c)(3) to begin the second immediate effectiveness of proposed rule change to the CEO of the Exchange made a extend the temporary period for specified phase of the Trading Floor reopening by Commentaries to Rules 7.35, 7.35A, 7.35B, and determination under Rule 7.1(c)(3) that allowing DMMs to return on June 17, 7.35C and temporary rule relief in Rule 36.30 to end beginning March 23, 2020, the Trading 2020, subject to safety measures on the earlier of a full reopening of the Trading Floor facilities located at 11 Wall Street designed to prevent the spread of Floor facilities to DMMs or after the Exchange in New York City would close and the 6 closes on April 30, 2021). See also Securities COVID–19. Consistent with these Exchange Act Release Nos. 90005 (September 25, Exchange would move, on a temporary safety measures, both DMMs and Floor 2020), 85 FR 61999 (October 2020) (SR–NYSE– basis, to fully electronic trading. On broker firms continue to operate with 2020–78) (Notice of filing and immediate May 14, 2020, the CEO made a reduced staff on the Trading Floor. effectiveness of proposed rule change to extend the temporary period for specified Commentaries to determination under Rule 7.1(c)(3) that, Proposed Rule Change Rules 7.35, 7.35A, 7.35B, and 7.35C and temporary beginning May 26, 2020, the Trading rule relief in Rule 36.30 to end on the earlier of a Floor would be partially reopened to The Exchange has modified its rules full reopening of the Trading Floor facilities to allow a subset of Floor brokers to return to add Commentaries to Rules 7.35, DMMs or after the Exchange closes on December 31, 2020); 89425 (July 30, 2020), 85 FR 47446 (August to the Trading Floor. On June 15, 2020, 5, 2020) (SR–NYSE–2020–63) (Notice of filing and the CEO made a determination under 4 Pursuant to Rule 7.1(e), the CEO notified the immediate effectiveness of proposed rule change to Rule 7.1(c)(3) that, beginning June 17, Board of Directors of the Exchange of this extend the temporary period for Commentaries to determination. The Exchange’s current rules Rules 7.35, 7.35A, 7.35B, and 7.35C and temporary 9 establish how the Exchange will function fully- rule relief in Rule 36.30 to end on the earlier of a Because DMMs are not obligated to return to a electronically. The CEO also closed the NYSE full reopening of the Trading Floor facilities to Floor, an IPO Auction may still be conducted by a American Options Trading Floor, which is located DMMs or after the Exchange closes on September DMM remotely as provided for in Commentary .04 at the same 11 Wall Street facilities, and the NYSE 30, 2020); 89199 (June 30, 2020), 85 FR 40718 (July to Rule 7.35A. If a DMM chooses to conduct an IPO Arca Options Trading Floor, which is located in 7, 2020) (SR–NYSE–2020–56) (Notice of filing and Auction remotely, Floor brokers on the Trading San Francisco, CA. See Press Release, dated March immediate effectiveness of proposed rule change to Floor will not have access to IPO Auction 18, 2020, available here: https://ir.theice.com/press/ extend the temporary period for Commentaries to imbalance information. The Exchange proposed a press-releases/all-categories/2020/03-18-2020- Rules 7.35, 7.35A, 7.35B, and 7.35C; Supplementary non-substantive change to Commentary .02 to Rule 204202110. Material .20 to Rule 76; and temporary rule relief 7.35 to change the start date of that Commentary 5 See Securities Exchange Act Release No. 88933 in Rule 36.30 to end on the earlier of a full from September 20, 2020 to September 4, 2020, (May 22, 2020), 85 FR 32059 (May 28, 2020) (SR– reopening of the Trading Floor facilities to DMMs which is consistent with the date represented in the NYSE–2020–47) (Notice of filing and immediate or after the Exchange closes on July 31, 2020); and proposed rule change adopting that Commentary. effectiveness of proposed rule change). 89368 (July 21, 2020), 85 FR 45272 (July 27, 2020) See Securities Exchange Act Release No. 89925 6 See Securities Exchange Act Release No. 89086 (SR–NYSE–2020–61) (Notice of filing and (September 18, 2020) (SR–NYSE–2020–75) (June 17, 2020) (SR–NYSE–2020–52) (Notice of immediate effectiveness of proposed rule change to (amending Rule 7.35 to add Commentary .02). filing and immediate effectiveness of proposed rule lift the temporary suspension to Rule 76 and delete 10 15 U.S.C. 78f(b). change). Supplementary Material .20 to Rule 76). 11 15 U.S.C. 78f(b)(5).
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2020, DMM units may choose to return C. Self-Regulatory Organization’s At any time within 60 days of the a subset of staff to the Trading Floor. Statement on Comments on the filing of such proposed rule change, the The Exchange believes that the Proposed Rule Change Received From Commission summarily may proposed rule change would remove Members, Participants, or Others temporarily suspend such rule change if impediments to and perfect the No written comments were solicited it appears to the Commission that such action is necessary or appropriate in the mechanism of a free and open market or received with respect to the proposed public interest, for the protection of and a national market system because rule change. investors, or otherwise in furtherance of the Trading Floor has not yet reopened III. Date of Effectiveness of the the purposes of the Act. If the in full to DMMs or Floor brokers. Proposed Rule Change and Timing for Commission takes such action, the Accordingly, the Exchange believes that Commission Action Commission shall institute proceedings the temporary rule changes in effect The Exchange has filed the proposed under Section 19(b)(2)(B) 19 of the Act to pursuant to the Commentaries to Rules rule change pursuant to Section determine whether the proposed rule 7.35, 7.35A, 7.35B, and 7.35C and 19(b)(3)(A)(iii) of the Act 12 and Rule change should be approved or amendments to Rule 36.30, which are 19b–4(f)(6) thereunder.13 Because the disapproved. intended to be in effect during the proposed rule change does not (i) IV. Solicitation of Comments temporary period while the Trading significantly affect the protection of Floor has not yet opened in full to investors or the public interest; (ii) Interested persons are invited to DMMs, should be extended until such impose any significant burden on submit written data, views, and time that there is a full reopening of the competition; and (iii) become operative arguments concerning the foregoing, Trading Floor facilities to DMMs. The prior to 30 days from the date on which including whether the proposed rule Exchange is not proposing any it was filed, or such shorter time as the change is consistent with the Act. substantive changes to these Rules. Commission may designate, if Comments may be submitted by any of consistent with the protection of the following methods: The Exchange believes that, by clearly investors and the public interest, the Electronic Comments stating that this relief will be in effect proposed rule change has become through the earlier of a full reopening of effective pursuant to Section • Use the Commission’s internet the Trading Floor facilities to DMMs or 19(b)(3)(A)(iii) of the Act 14 and Rule comment form (http://www.sec.gov/ the close of the Exchange on August 31, 19b–4(f)(6)(iii) thereunder.15 rules/sro.shtml); or 2021, market participants will have A proposed rule change filed under • Send an email to rule-comments@ advance notice of the temporary period Rule 19b–4(f)(6) 16 normally does not sec.gov. Please include File Number SR– during which the Commentaries to become operative prior to 30 days after NYSE–2021–29 on the subject line. Rules 7.35, 7.35A, 7.35B, and 7.35C and the date of the filing. However, pursuant Paper Comments amendments to Rule 36.30 will be in to Rule 19b4(f)(6)(iii),17 the Commission • effect. may designate a shorter time if such Send paper comments in triplicate action is consistent with the protection to: Secretary, Securities and Exchange B. Self-Regulatory Organization’s of investors and the public interest. The Commission, 100 F Street NE, Statement on Burden on Competition Exchange has asked the Commission to Washington, DC 20549–1090. waive the 30-day operative delay so that The Exchange does not believe that All submissions should refer to File the proposal may take effect Number SR–NYSE–2021–29. This file the proposed rule change would impose immediately. The Commission believes number should be included on the any burden on competition that is not that waiver of the operative delay is subject line if email is used. To help the necessary or appropriate in furtherance consistent with the protection of Commission process and review your of the purposes of the Act. The investors and the public interest comments more efficiently, please use proposed rule change is not designed to because it will allow the rules discussed only one method. The Commission will address any competitive issues but above to remain in effect during the post all comments on the Commission’s rather would extend the period during temporary period during which the internet website (http://www.sec.gov/ which Commentaries .01 and .02 to Rule Trading Floor has not yet been reopened rules/sro.shtml). Copies of the 7.35; Commentaries .01, .02, .03, .04, 05, in full to DMMs because of health submission, all subsequent .06, and .07 to Rule 7.35A; precautions related to the Covid-19 amendments, all written statements Commentaries .01 and .03 to Rule 7.35B; pandemic. Accordingly, the with respect to the proposed rule Commentaries .01, .02, .03, and .04 to Commission hereby waives the 30-day change that are filed with the Rule 7.35C; and amendments to Rule operative delay and designates the Commission, and all written 36.30 will be in effect. These proposal operative upon filing.18 communications relating to the Commentaries are intended to be in proposed rule change between the effect during the temporary period 12 15 U.S.C. 78s(b)(3)(A)(iii). Commission and any person, other than while the Trading Floor has not yet been 13 17 CFR 240.19b–4(f)(6). those that may be withheld from the 14 15 U.S.C. 78s(b)(3)(A)(iii). public in accordance with the opened in full to DMMs and Floor 15 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– brokers and currently expire on April 4(f)(6)(iii) requires a self-regulatory organization to provisions of 5 U.S.C. 552, will be 30, 2021. Because the Trading Floor has give the Commission written notice of its intent to available for website viewing and not been opened in full to DMMs, the file the proposed rule change, along with a brief printing in the Commission’s Public description and text of the proposed rule change, Reference Room, 100 F Street NE, Exchange proposes to extend the at least five business days prior to the date of filing temporary period for these temporary of the proposed rule change, or such shorter time Washington, DC 20549 on official rules to end on the earlier of a full as designated by the Commission. The Exchange business days between the hours of reopening of the Trading Floor facilities has fulfilled this requirement. 16 17 CFR 240.19b–4(f)(6). considered the proposed rule’s impact on to DMMs or after the Exchange closes on 17 17 CFR 240.19b–4(f)(6)(iii). efficiency, competition, and capital formation. 15 August 31, 2021. 18 For purposes only of accelerating the operative U.S.C. 78c(f). date of this proposal, the Commission has 19 15 U.S.C. 78s(b)(2)(B).
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10:00 a.m. and 3:00 p.m. Copies of the 2021, the Exchange filed Amendment quote from a customer in that series.10 filing also will be available for No. 1 to the proposed rule change.6 The Any options series that does not meet inspection and copying at the principal Commission received no comment the definition of an active series is office of the Exchange. All comments letters on the proposal. This order deemed be an inactive or ‘‘dark’’ series. received will be posted without change. approves the proposed rule change, as Consequently, under the Exchange’s Persons submitting comments are modified by Amendment No. 1. current rules, although the Exchange cautioned that we do not redact or edit accepts quotes from ATP Holders in all II. Description of the Proposed Rule personal identifying information from series, the only quote messages the Change, as Modified by Amendment comment submissions. You should Exchange disseminates to the Options No. 1 submit only information that you wish Price Reporting Authority (‘‘OPRA’’) are to make available publicly. All Currently, NYSE American Rule quotes for active series.11 The Exchange submissions should refer to File 970NY (‘‘Firm Quotes’’) requires the proposes to delete NYSE American Rule Number SR–NYSE–2021–29 and should Exchange to collect, process, and make 970.1NY. Therefore, the proposed rule be submitted on or before June 1, 2021. available to quotation vendors the best change would eliminate the distinction bid and best offer for each option series For the Commission, by the Division of between active and dark series, and thus Trading and Markets, pursuant to delegated that is a reported security unless the require quotes in all series to be authority.20 series is subject to an approved quote disseminated to OPRA.12 mitigation plan.7 Pursuant to the quote J. Matthew DeLesDernier, III. Discussion and Commission Assistant Secretary. mitigation plan set forth in NYSE American Rule 970.1NY, the Exchange Findings [FR Doc. 2021–09886 Filed 5–10–21; 8:45 am] only disseminates quotes in ‘‘active’’ The Commission finds that the BILLING CODE 8011–01–P series.8 A series is considered active if proposed rule change, as modified by the series: (i) Has traded on any options Amendment No.1, is consistent with the SECURITIES AND EXCHANGE exchange in the previous 14 calendar requirements of the Act and the rules COMMISSION days; (ii) is solely listed on the and regulations thereunder applicable to Exchange; (iii) has been trading ten days a national securities exchange.13 In [Release No. 34–91779; File No. SR– or less; or (iv) is a series in which the particular, the Commission finds that NYSEAMER–2021–05] Exchange has an order.9 In addition, a the proposed rule change, as modified series may be considered active on an by Amendment No. 1, is consistent with Self-Regulatory Organizations; NYSE intraday basis if: (i) The series trades at Section 6(b)(5) of the Act,14 which American, LLC.; Order Granting any options exchange; (ii) the Exchange requires that the rules of an exchange be Approval of a Proposed Rule Change, receives an order in the series; or (iii) designed, among other things, to as Modified by Amendment No. 1, To the Exchange receives a request for prevent fraudulent and manipulative Amend Rule 970NY and Rule 970.1NY acts and practices, to promote just and To Eliminate the Use of Dark Series on designated May 9, 2021, as the date by which it equitable principles of trade, to foster the Exchange should approve, disapprove, or institute cooperation and coordination with proceedings to determine whether to approve or May 5, 2021. disapprove the proposed rule change. persons engaged in regulating and 6 In Amendment No. 1, the Exchange provided facilitating transactions in securities, to I. Introduction data that showed that during the eighteen (18) remove impediments to and perfect the On January 26, 2021, NYSE American, trading days between March 1, 2021 and March 24, mechanism of a free and open market LLC (‘‘NYSE American’’ or the 2021, quotes in dark series accounted for 2.43% of NYSE Arca, Inc. (‘‘NYSE Arca’’) quotes and 1.99% and a national market system and, in ‘‘Exchange’’) filed with the Securities of NYSE American quotes, and quotes in dark series general, to protect investors and the and Exchange Commission averaged 0.174% on NYSE Arca and 0.190% on public interest. (‘‘Commission’’), pursuant to Section NYSE American when compared to the total OPRA In support of its proposal, the 19(b)(1) of the Securities Exchange Act disseminated quotes during the same period. The Exchange states the proposed rule Exchange also stated that on March 4, 2021 and 1 of 1934 (‘‘Act’’) and Rule 19b–4 March 5, 2021, OPRA processed the most messages change would increase transparency, thereunder,2 a proposed rule change to in its history and provided data that shows that on enhance price discovery, and alleviate amend Rule 970NY (‘‘Firm Quotes’’) March 4th, quotes in dark series from NYSE Arca potential confusion among market and NYSE American combined for 0.5095% and Rule 970.1NY (‘‘Quote Mitigation’’) compared to OPRA message traffic. On March 5th, participants regarding what quotes are to eliminate the use of ‘‘dark’’ series on quotes in dark series from NYSE Arca and NYSE being published in the disseminated the Exchange. The proposed rule change American combined for 0.2562% when compared quote feed and what quotes are being was published for comment in the to OPRA quote volume. The Exchange concluded suppressed.15 According to the 3 that eliminating the suppression of quotes in dark Federal Register on February 8, 2021. series would result in a de minimis increase in On March 18, 2021, pursuant to Section quotes sent by NYSE Arca and NYSE American to 10 See NYSE American Rule 970.1NY. 19(b)(2) of the Act,4 the Commission OPRA and have essentially no impact on messaging 11 See Notice, supra note 3, at 8659. See also designated a longer period within which at an industry level. Because Amendment No. 1 to Amendment No. 1, supra note 6 (providing data to the proposed rule change does not materially alter support the Exchange’s conclusion that eliminating to approve the proposed rule change, the substance of the proposed rule change, the suppression of quotes in dark series would disapprove the proposed rule change, or Amendment No. 1 is not subject to notice and result in a de minimis increase in quotes sent by institute proceedings to determine comment. Amendment No. 1 is available on the NYSE Arca and NYSE American to OPRA and whether to approve or disapprove the Commission’s website at: https://www.sec.gov/ would have essentially no impact on messaging at proposed rule change.5 On April 27, comments/sr-nyseamer-2021-05/srnyseamer202105- an industry level). 8730999-237044.pdf. 12 See Notice, supra note 3, at 8659. 7 See NYSE American Rule 970NY(b)(1). 13 In approving this proposed rule change, as 20 17 CFR 200.30–3(a)(12). 8 The quote mitigation plan set forth in NYSE modified by Amendment No.1, the Commission has 1 15 U.S.C. 78s(b)(1). American Rule 970.1NY was adopted in considered the proposed rule’s impact on 2 17 CFR 240.19b–4. conformance with NYSE Arca’s similar quote efficiency, competition, and capital formation. See 3 See Securities Exchange Act Release No. 91039 mitigation rule, which was adopted in connection 15 U.S.C. 78c(f). (February 2, 2021), 86 FR 8659 (‘‘Notice’’). with the Penny Pilot Program, a program which was 14 15 U.S.C. 78f(b)(5). 4 15 U.S.C. 78s(b)(2). subsequently approved on a permanent basis in 15 See Notice, supra note 3, at 8660 (stating that 5 See Securities Exchange Act Release No. 91355, 2020. See Notice, supra note 3, at 8659. ‘‘over the years, certain market participants have 86 FR 15733 (March 24, 2021). The Commission 9 See NYSE American Rule 970.1NY. Continued
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Exchange, discontinuing the use of the quote mitigation strategies are sufficient SECURITIES AND EXCHANGE quote mitigation plan set forth in NYSE to continue to mitigate quote traffic.22 COMMISSION American 970.1NY would result in all The Commission believes that [Release No. 34–91777; File No. SR– Market Maker quotes (including those eliminating the exclusion of inactive or PEARL–2021–19] currently being suppressed because they dark series from the requirements of are considered inactive) being displayed NYSE American Rule 970NY should Self-Regulatory Organizations; MIAX and reflected in the market, benefitting increase transparency and may enhance PEARL, LLC; Notice of Filing and market participants by providing notice opportunities for price discovery. Immediate Effectiveness of a Proposed of such liquidity and removing the Publishing all quotes (not just those in Rule Change To Amend Exchange element of potential confusion.16 active series) in the disseminated quote Rule 404 To Limit Short Term Options feed may benefit market participants Series Intervals Between Strikes Further, the Exchange states the because it will provide notice of proposed rule change would not change additional liquidity. Further, because May 5, 2021. the amount of capacity needed at OPRA the Exchange currently includes Market Pursuant to the provisions of Section to accommodate the inclusion of quotes Maker quotes in inactive series in its 19(b)(1) of the Securities Exchange Act 1 in dark series because the Exchange capacity planning request to OPRA 23 of 1934 (‘‘Act’’) and Rule 19b–4 2 already includes such quotes in the and because publication of dark quotes thereunder, notice is hereby given that Exchange’s current capacity planning from both the Exchange and NYSE Arca on April 22, 2021, MIAX PEARL, LLC requests to OPRA.17 According to the combined would result in a percentage (‘‘MIAX Pearl)’’ or the ‘‘Exchange’’) filed Exchange, the proposal would not increase in OPRA disseminated quotes with the Securities and Exchange impact market participants or that is de minimis according to the Commission (‘‘Commission’’) a downstream users that consume Exchange’s data,24 the Commission proposed rule change as described in Items I and II below, which Items have Exchange or OPRA data because the believes that dissemination of these been prepared by the Exchange. The quote capacity information OPRA quotes as part of the Exchange’s quote Commission is publishing this notice to feed to OPRA is not likely to negatively currently publishes already reflects solicit comments on the proposed rule impact systems capacity. In addition, quotes in dark series because they are change from interested persons. part of the Exchange’s current capacity the Exchange has existing additional request.18 Thus, according to the quote mitigation strategies that also I. Self-Regulatory Organization’s Exchange, market participants serve to reduce the potential for Statement of the Terms of Substance of 25 (including data vendors and excessive quoting. the Proposed Rule Change subscribers) currently have the Accordingly, for the reasons set forth The Exchange is filing a proposal to opportunity to prepare for and make above, the Commission finds that the amend Exchange Rule 404, Series of necessary accommodations for proposed rule change, as modified by Option Contracts Open for Trading. anticipated quote traffic (including Amendment No.1, is consistent with The text of the proposed rule change 26 quotes in dark series).19 Further, the Section 6(b)(5) of the Act and the is available on the Exchange’s website at Exchange anticipates that the proposed rules and regulations thereunder http://www.miaxoptions.com/rule- applicable to a national securities increase in quote message traffic due to filings/pearl at MIAX Pearl’s principal exchange. office, and at the Commission’s Public the dissemination of quotes in inactive Reference Room. series is likely to be minimal and IV. Conclusion II. Self-Regulatory Organization’s therefore unlikely to impact the flow of It is therefore ordered, pursuant to Statement of the Purpose of, and message traffic and/or harm Section 19(b)(2) of the Act,27 that the 20 Statutory Basis for, the Proposed Rule downstream consumers of OPRA data. proposed rule change (SR–NYSEAMER– Change In support of this assertion, the 2021–05), as modified by Amendment Exchange states that on the two trading No. 1, hereby is approved. In its filing with the Commission, the days that OPRA processed the most Exchange included statements For the Commission, by the Division of messages in its history (March 4, 2021 Trading and Markets, pursuant to delegated concerning the purpose of and basis for and March 5, 2021), quotes in dark authority.28 the proposed rule change and discussed series from NYSE Arca and NYSE J. Matthew DeLesDernier, any comments it received on the proposed rule change. The text of these American combined were only 0.5095% Assistant Secretary. statements may be examined at the and 0.2562%, respectively, compared to [FR Doc. 2021–09887 Filed 5–10–21; 8:45 am] OPRA message traffic.21 Finally, the places specified in Item IV below. The BILLING CODE 8011–01–P Exchange states its additional existing Exchange has prepared summaries, set forth in sections A, B, and C below, of 22 See Notice, supra note 3, at 8660 (discussing the most significant aspects of such expressed confusion regarding what quotes are three quote mitigation strategies the exchange being published and which are being suppressed’’). currently employs to reduce the potential for statements. 16 See Notice, supra note 3, at 8660. excessive quoting and to reduce quote traffic). A. Self-Regulatory Organization’s 17 See Notice, supra note 3, at 8660. The 23 See id. at 8660. Statement of the Purpose of, and Exchange represents that it has always factored the 24 See Amendment No.1, supra note 6. In total quote traffic it receives from Market Makers, addition, the Exchange states that there is sufficient Statutory Basis for, the Proposed Rule including quotes in dark series, when making its capacity at OPRA to accommodate any additional Change capacity requests to OPRA. Specifically, the quote traffic that will result from the elimination of Exchange ‘‘presumes that all series will be active dark series. See Notice, supra note 3, at 8660. The 1. Purpose and therefore requests capacity to accommodate Exchange further notes that it does not believe its The Exchange proposes to amend sending quotes in all series to OPRA.’’ Id. proposal will impact any other exchange’s capacity 18 See Notice, supra note 3, at 8660. at OPRA. See id. at 8660 n.8. Rule 404, Series of Option Contracts 19 See id. 25 See Notice, supra note 3, at 8660. Open for Trading. Specifically, this 20 See id. at 8661. See also Amendment No.1, 26 15 U.S.C. 78f(b)(5). supra note 6. 27 15 U.S.C. 78s(b)(2). 1 15 U.S.C. 78s(b)(1). 21 See Amendment No.1, supra note 6. 28 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4.
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proposal seeks to limit the intervals Program, or the $2.50 Strike Price strike price intervals and are in the between strikes for multiply listed Program. Short Term Option Series Program. If equity options classes within the Short the class does not trade in $1 strike Short Term Options Series Program Term Options Series program that have price intervals, the strike price interval an expiration date more than twenty- Today, Policy .02 of Exchange Rule for Short Term Option Series may be one days from the listing date. 404 permits the Exchange to open for $0.50 or greater where the strike price trading on any Thursday or Friday that is less than $100 and $1.00 or greater Background is a business day (‘‘Short Term Option where the strike price is between $100 Today, Exchange Rule 404 permits the Opening Date’’) series of options on an and $150, and $2.50 or greater for strike Exchange, after a particular class of option class that expires at the close of prices greater than $150.14 A non-Short options (call option contracts or put business on each of the next five Fridays Term Option series that is included in option contracts relating to a specific that are business days and are not a class that has been selected to underlying stock, Exchange-Traded Fridays in which monthly options series participate in the Short Term Option Fund Share,3 or ETNs) has been or Quarterly Options Series expire Series Program is referred to as a approved for listing and trading on the (‘‘Short Term Option Expiration Dates’’), ‘‘Related non-Short Term Option.’’ Exchange, to open for trading series of provided an option class has been Notwithstanding any other provision options therein. The Exchange may list approved for listing and trading on the regarding strike prices in Exchange Rule series of options for trading on a Exchange.11 Today, the Exchange may 404, Related non-Short Term Option weekly,4 monthly,5 or quarterly 6 basis. open up to thirty initial series for each series shall be opened during the month Exchange Rule 404(d) sets forth the option class that participates in the prior to expiration in the same manner intervals between strike prices of series Short Term Options Series Program.12 as permitted in Exchange Rule 404, of options on individual stocks.7 In Further, if the Exchange opens less than Interpretations and Policies .02, and in addition to those intervals, the thirty (30) Short Term Option Series for the same strike price intervals for the Exchange may list series of options a Short Term Option Expiration Date, Short Term Option Series.15 pursuant to the $1 Strike Price Interval additional series may be opened for The Exchange may select up to fifty Program,8 the $0.50 Strike Program,9 trading on the Exchange when the (50) currently listed option classes on and the $2.50 Strike Price Program.10 Exchange deems it necessary to which Short Term Option Series may be The Exchange’s proposal seeks to maintain an orderly market, to meet opened on any Short Term Option amend the listing of weekly series of customer demand or when the market Opening Date. In addition to the 50 options as proposed within Policy .02(f) price of the underlying security moves option class restriction, the Exchange of Exchange Rule 404, by limiting the substantially from the exercise price or may also list Short Term Option Series intervals between strikes in multiply prices of the series already opened.13 on any option classes that are selected listed equity options, excluding The Exchange may open for trading by other securities exchanges that Exchange-Traded Fund Shares and Short Term Option Series on the Short employ a similar program under their ETNs, that have an expiration date more Term Option Opening Date that expire respective rules. For each option class than twenty-one days from the listing on the Short Term Option Expiration eligible for participation in the Short date. This proposal does not amend Date. The strike price interval for Short Term Option Series Program, the monthly or quarterly listing rules nor Term Option Series may be $0.50 or Exchange may open up to thirty (30) does it amend the $1 Strike Price greater for option classes that trade in $1 Short Term Option Series for each 16 Interval Program, the $0.50 Strike expiration date in that class. 11 The Exchange may have no more than a total The Exchange notes that listings in the weekly program comprise a 3 Securities deemed appropriate for options of five Short Term Option Expiration Dates. trading shall include share or other securities Monday and Wednesday SPY Expirations significant part of the standard listing in (‘‘Exchange-Traded Fund Shares’’) that are traded (described in the paragraph below) are not included options markets and that over the five on a national securities exchange and are defined as part of this count. If the Exchange is not open for business on the respective Thursday or Friday, years the industry has observed a as an ‘‘NMS stock’’ under Rule 600 of Regulation notable increase in the compound NMS. See Exchange Rule 402(i). the Short Term Option Opening Date will be the first business day immediately prior to that 4 The weekly listing program is known as the annual growth rate (‘‘CAGR’’) of weekly respective Thursday or Friday. Similarly, if the Short Term Options Series Program and is strikes as compared to CAGR for Exchange is not open for business on a Friday, the described in Policy .02 of Exchange Rule 404. standard third-Friday expirations.17 Short Term Option Expiration Date will be the first 5 Except as other provided in Exchange Rule 404 business day immediately prior to that Friday. The Proposal and Interpretations and Policies hereto, at the Exchange may open for trading on any Tuesday or commencement of trading on the Exchange of a Wednesday that is a business day (‘‘Wednesday The Exchange proposes to limit the particular type of option of a class of options, the SPY Expiration Opening Date’’) series of options on Exchange shall open a minimum of one expiration intervals between strikes in options the SPDR S&P 500 ETF Trust (‘‘SPY’’) that expire listed as part of the Short Term Option month and series for each class of options open for at the close of business on each of the next five trading on the Exchange. See Exchange Rule 404(b). Wednesdays that are business days and are not Series Program that have an expiration 6 The quarterly listing program is known as the Wednesdays on which Quarterly Options Series date more than twenty-one days from Quarterly Options Series Program and is described expire (‘‘Wednesday SPY Expirations’’). The the listing date, by adopting proposed in Policy .03 of Exchange Rule 404. Exchange may have no more than a total of five Policy .11 to Exchange Rule 404, as well 7 Except as otherwise provided in Interpretations Wednesday SPY Expirations. Non-Wednesday SPY and Policies of Exchange Rule 404, the interval Expirations (described in the paragraph above) are as paragraph (f) of Policy .02 to between strike prices of series of options on not included as part of this count. If the Exchange Exchange Rule 404, with respect to individual stocks will be: (1) $2.50 or greater where is not open for business on the respective Tuesday listing Short Term Option Series in the strike price is $25.00 or less; (2) $5.00 or greater or Wednesday, the Wednesday SPY Expiration equity options, (excluding Exchange- where the strike price is greater than $25.00; and Opening Date will be the first business day (3) $10.00 or greater where the strike price is greater immediately prior to that respective Tuesday or Traded Fund Shares and ETNs) than $200.00. Wednesday. Similarly, if the Exchange is not open 8 The $1 Strike Price Interval Program is for business on a Wednesday, the expiration date 14 See Policy .02(e) of Exchange Rule 404. described within Policy .01 of Exchange Rule 404. for a Wednesday SPY Expiration will be the first 15 See Policy .02(e) of Exchange Rule 404. 9 The $0.50 Strike Program is described in Policy business day immediately prior to that Wednesday. 16 See Policy .02(a) of Exchange Rule 404. .04 of Exchange Rule 404. See Policy .02 of Exchange Rule 404. 17 See Securities Exchange Act Release No. 91125 10 The $2.50 Strike Price Program is described in 12 See Policy .02(c) of Exchange Rule 404. (February 12, 2021), 86 FR 10375 (February 19, Exchange Rule 404(f). 13 See Policy .02(d) of Exchange Rule 404. 2021) (SR–BX–2020–032).
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(collectively ‘‘Strike Interval Proposal’’). The Exchange’s Strike Interval dates of option series beyond twenty- The Exchange notes that this proposal is Proposal would limit the intervals one days utilizing the below three-tiered substantively identical to the strike between strikes by utilizing the table table which considers both the share interval proposal recently submitted by proposed within Policy .11 of Exchange price and average daily volume for the the Nasdaq BX exchange (‘‘BX Rule 404. With the Strike Interval option series. proposal’’) and approved by the Proposal, the Exchange would limit Commission.18 intervals between strikes for expiration
Share price Tier Average daily volume $25 to less $75 to less $150 to less $500 or Less than $25 than $75 than $150 than $500 greater
1 ...... Greater than 5,000...... $0.50 $1.00 $1.00 $5.00 $5.00 2 ...... Greater than 1,000 to 5,000 19 ...... 1.00 1.00 1.00 5.00 10.00 3 ...... 0 to 1,000 ...... 2.50 5.00 5.00 5.00 10.00
The table indicates the applicable company would be utilized. These expiries. The Exchange’s Strike Interval strike intervals and supersedes Policy metrics are intended to align Proposal seeks to reduce the number of .02(d) of Rule 404, which currently expectations for determining which strikes in the furthest weeklies, where allows the Exchange to open additional strike intervals will be utilized. Finally, there exist wider markets and therefore series for trading on the Exchange when notwithstanding the limitation imposed lower market quality. the Exchange deems it necessary to by proposed Policy .11 of Exchange The proposal is intended to remove maintain an orderly market, to meet Rule 404, this Strike Interval Proposal repetitive and unnecessary strike customer demand or when the market does not amend the range of strikes that listings across the weekly expiries. price of the underlying security moves may be listed pursuant to Policy .02 of Specifically, the proposal seeks to substantially from the exercise price or Exchange Rule 404, regarding the Short reduce the number of strikes listed in prices of the series already opened. As Term Option Series Program. the furthest weeklies, which generally a result of the proposal, Policy .02(d) By way of example, if the Share Price have wider markets and therefore lower would not permit an additional series of for a symbol was $142 at the end of a market quality. The proposed strike an equity option to have an expiration calendar quarter, with an Average Daily intervals are intended to widen date more than 21 days from the listing Volume greater than 5,000, thereby, permissible strike intervals in multiply date to be opened for trading on the requiring strike intervals to be listed listed equity options (excluding options Exchange despite the noted $1.00 apart, that strike interval would on ETFs and ETNs) where there is less circumstances in Policy .02(d) when apply for the calendar quarter, volume as measured by the Average such additional series may otherwise be regardless of whether the Share Price Daily Volume tiers. Therefore, the lower added. changed to greater than $150 that the Average Daily Volume, the greater The Share Price would be the closing calendar quarter. The proposed table the proposed spread between strike price on the primary market on the last within Policy .11 of Exchange Rule 404 intervals. Options classes with higher day of the calendar quarter. This value takes into account the notional value of volume contain the most liquid symbols would be used to derive the column a security, as well as Average Daily and strikes, which the Exchange from which to apply strike intervals Volume in the underlying stock, in believes makes the finer proposed throughout the next calendar quarter. order to limit the intervals between spread between strike intervals for those The Average Daily Volume would be the strikes in the Short Term Options listing symbols appropriate. Additionally, total number of options contracts traded program. The Exchange will utilize OCC lower-priced shares have finer strike in a given security for the applicable Customer-cleared volume, as customer intervals than higher-priced shares calendar quarter divided by the number volume is an appropriate proxy for when comparing the proposed spread of trading days in the applicable demand. The OCC Customer-cleared between strike intervals. Today, calendar quarter. Beginning on the volume represents the majority of weeklies are available on 16% of second trading day in the first month of options volume executed on the underlying products. The proposal each calendar quarter, the Average Daily Exchange that, in turn, reflects the limits the density of strikes listed in Volume shall be calculated by utilizing demand in the marketplace. The options series of options, without reducing the data from the prior calendar quarter series listed on the Exchange are classes of options available for trading based on Customer-cleared volume at intended to meet customer demand by on the Exchange. Short Term Option OCC. For options listed on the first offering an appropriate number of Series with an expiration date greater trading day of a given calendar quarter, strikes. Non-Customer cleared OCC than 21 days from the listing date the Average Daily Volume shall be volume represents the supply side. currently equate to 7.5% of the total calculated using the calendar quarter The strike intervals for listing strikes number of strikes in the options market, prior to the last trading calendar in certain options are intended to which equals 81,00 strikes.21 The quarter.20 In the event of a corporate remove repetitive and unnecessary Exchange expects this proposal to result action, the Share Price of the surviving strike listings across the weekly in the limitation of approximately
18 See id. 20 For example, options listed as of January 4, strikes. The percentage of underlying products and 19 The Exchange notes that while the term 2021 would be calculated on January 5, 2021 using percentage of and total number of strikes, are ‘‘greater than’’ is not present in this cell in the the Average Daily Volume from July 1, 2020 to approximations and may vary at the time of this corresponding BX rule, the Exchange has inserted September 30, 2020. filing. it for clarity, otherwise an Average Daily Volume 21 The Exchange notes that this proposal is an of 1,000 contracts could be read to fall into two initial attempt at reducing strikes and anticipates categories. filing additional proposals to continue reducing
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20,000 strikes within the Short Term ability to list as many strikes as fashion, so that it may monitor progress Option Series, which is approximately permissible for the Short Term Option and feedback from its membership. 2% of the total strikes in the options Series once the expiry is no more than While limiting the intervals between markets.22 The Exchange understands 21 days. Short Term Option Series that listed strikes is the goal of this rule there has been an inconsistency of have an expiration date no more than 21 change, the Exchange’s Strike Interval demand for series of options beyond 21 days from the listing date are not subject Proposal is intended to balance that goal calendar days.23 The proposal takes into to the proposed strike intervals, which with the needs of market participants. account customer demand for certain allows the Exchange to list additional, The Exchange believes that various option classes, by considering both the and potentially narrower, strikes in the strike intervals continue to offer market Share Price and the Average Daily event of market volatility or other participants the ability to select the Volume, in order to remove certain market events. These metrics are appropriate strike interval to meet the strike intervals where there exist intended to align expectations for market participant’s investment clusters of strikes whose characteristics determining which strike intervals will objective. closely resemble one another and, be utilized. Finally, proposed Policy .11 Implementation therefore, do not serve different trading of Rule 404 provides that the proposal needs,24 rendering these strikes less does not amend the range of strikes that The Exchange will announce the useful. The Exchange also notes that the may be listed pursuant to Policy .02, implementation date of the proposed proposal focuses on strikes in multiply regarding the Short Term Option Series rule change by Regulatory Circular to be listed equity options, and excludes ETFs Program. published no later than 90 days and ETNs, as the majority of strikes While the current listing rules permit following the operative date of the reside within equity options. the Exchange to list a number of weekly proposed rule. The implementation date Additionally, proposed Policy .11 of strikes on its market, in an effort to will be no later than 90 days following Exchange Rule 404 provides that encourage Market Makers 26 to deploy the issuance of the Regulatory Circular. options that are newly eligible for listing capital more efficiently, as well as The Exchange will issue a notice to its pursuant to Exchange Rule 402 and improve displayed market quality, the Members 28 whenever the Exchange is designated to participate in the Short Exchange’s Strike Interval Proposal the first exchange to list an eligible Term Option Series program pursuant to reduces the number of listed weekly Short Term Option Series pursuant to Policy .02 of Rule 404 will not be options. As the Exchange’s Strike Policy .11 of Exchange Rule 404.29 subject to proposed Policy .11 of Interval Proposal seeks to reduce the 2. Statutory Basis Exchange Rule 404 until after the end of number of weekly options that would be the first full calendar quarter following listed on its market in later weeks, The Exchange believes that its the date the option class was first listed Market Makers would be required to proposed rule change is consistent with for trading on any options market.25 As quote in fewer weekly strikes as a result Section 6(b) of the Act 30 in general, and proposed, the Exchange is permitted to of the Strike Interval Proposal. furthers the objectives of Section 6(b)(5) list options on newly eligible listing, Specifically, the Strike Interval Proposal of the Act 31 in particular, in that it is without having to apply the wider strike aims to reduce the density of strike designed to prevent fraudulent and intervals, until the end of the first full intervals that would be listed in later manipulative acts and practices, to calendar after such options were listed. weeks, by creating limitations for promote just and equitable principles of The proposal thereby permits the intervals between strikes which have an trade, to foster cooperation and Exchange to add strikes to meet expiration date more than twenty-one coordination with persons engaged in customer demand in a newly listed days from the listing date. The table regulating, clearing, settling, processing options class. A newly eligible option takes into account customer demand for information with respect to, and class may fluctuate in price after its certain option classes, by considering facilitating transactions in securities, to initial listing; such volatility reflects a both the Share Price and the Average remove impediments to and perfect the natural uncertainty about the security. Daily Volume, to arrive at the manner mechanisms of a free and open market By deferring the application of the which weekly strike intervals may be and a national market system and, in proposed wider strike intervals until listed. The intervals for listing strikes in general, to protect investors and the after the end of the first full calendar equity options is intended to remove public interest. quarter, additional information on the certain strike intervals where there exist The Strike Proposal seeks to limit the underlying security will be available to clusters of strikes whose characteristics intervals between the strikes listed in market participants and public closely resemble one another and, the Short Term Options Series program investors, as the price of the underlying therefore, do not serve different trading that have an expiration date more than has an opportunity to settle based on the needs,27 rendering these strikes less twenty-one days. While the current price discovery that has occurred in the useful. primary market during this deferment The Strike Interval Proposal is 28 The term ‘‘Member’’ means an individual or intended to be the first in a series of organization approved to exercise the trading rights period. Also, the Exchange has the associated with a Trading Permit. Members are proposals to limit the number of listed deemed ‘‘members’’ under the Exchange Act. See 22 From information drawn from the time period options series listed on MIAX Pearl Exchange Rule 100. between January 2020 and May 2020. See BX Options and other affiliated markets. 29 When the Exchange is the first exchange to list proposal, supra note 17. The Exchange intends to decrease the an option class under Policy .11 of Exchange Rule 23 See BX proposal, supra note 17. overall number of strikes listed on 404 the Exchange shall provide a notice to its 24 For example, two strikes that are densely Members regarding the Short Term Option Series to clustered may have the same risk properties and MIAX exchanges in a methodical be listed. Such notice will include for each eligible may also be the same percentage out-of-the money. option class: The closing price of the underlying, 25 For example, if an options class became newly 26 The term ‘‘Market Makers’’ refers to ‘‘Lead the Average Daily Volume of the option class; and eligible for listing pursuant to Exchange Rule 402 Market Makers’’, ‘‘Primary Lead Market Makers’’ the eligible strike category (per the proposed table) on March 1, 2021 (and was actually listed for and ‘‘Registered Market Makers’’ collectively. See in which the eligible option class falls under as a trading that day), the first full quarterly lookback Exchange Rule 100. result of the closing price and the Average Daily would be available on July 1, 2021. This option 27 For example, two strikes that are densely Volume. would become subject to the proposed strike clustered may have the same risk properties and 30 15 U.S.C. 78f(b). intervals on July 2, 2021. may also be the same percentage out-of-the-money. 31 15 U.S.C. 78f(b)(5).
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listing rules permit the Exchange to list market quality. The Exchange’s Strike and perfects the mechanism of a free a number of weekly strikes on its Interval Proposal seeks to reduce the and open market and a national market market, the Exchange’s Strike Interval number of strikes in the furthest system. The Exchange also believes that Proposal removes impediments to and weeklies, where there exist wider this Strike Interval Proposal would perfects the mechanism of a free and markets, and, therefore, lower market improve overall market quality on the open market and a national market quality. The implementation of the Exchange for the protection of investors system by encouraging Market Makers proposed table is intended to spread and the general public by limiting the to deploy capital more efficiently and strike intervals in multiply listed equity intervals between strikes when applying improving market quality overall on the options, where there is less volume that the strike interval table to multiply Exchange through limiting the intervals is measured by the average daily volume listed equity options which have an between the strikes when applying the tiers. Therefore, the lower the average expiration date more than twenty-one strike interval table to multiply listed daily volume, the greater the proposed days from the listing date. equity options that have an expiration spread between strike intervals. Options This Strike Interval Proposal is date more than twenty-one days from classes with higher volume contain the intended to be the first in a series of the listing date. Also, as the Exchange’s most liquid symbols and strikes, proposals to limit the number of listed Strike Interval Proposal seeks to reduce therefore the finer the proposed spread option series listed on the Exchange and the number of weekly options that between strike intervals. Additionally, other affiliated markets. The Exchange would be listed on its market in later lower-priced shares have finer strike intends to decrease the overall number weeks, Market Makers would be intervals than higher-priced shares of strikes listed on the MIAX exchanges required to quote in fewer weekly when comparing the proposed spread in a methodical fashion in order that it strikes as a result of the Strike Interval between strike intervals. may monitor progress and feedback Proposal. Amending the Exchange’s Beginning on the second trading day from its membership. While limiting the listing rules to limit the intervals in the first month of each calendar intervals between strikes listed is the between strikes for multiply listed quarter, the Average Daily Volume shall goal of this rule change, the Exchange’s equity options that have an expiration be calculated by utilizing data from the Strike Interval Proposal is intended to date more than twenty-one days causes prior calendar quarter based on OCC balance that goal with the needs of less disruption in the market as the Customer-cleared volume. Utilizing the market participants. The Exchange majority of the volume traded in weekly second trading day allows the Exchange believes that varied strike intervals options exists in options series which to accumulate data regarding OCC continue to offer market participants the have an expiration date of twenty-one Customer-cleared volume from the ability to select the appropriate strike days or less. The Exchange’s Strike entire prior quarter. Beginning on the interval to meet that market Interval Proposal curtails the number of second trading day would allow trades participant’s investment objective. The Exchange notes that its proposal strike intervals listed in series of options executed on the last day of the previous is substantively identical to the strike without reducing the number of classes calendar quarter to have settled 32 and interval proposal recently submitted by of options available for trading on the be accounted for in the calculation of the Nasdaq BX exchange and approved Exchange. Average Daily Volume. Utilizing the by the Commission.34 The Exchange The Strike Interval Program takes into previous three months is appropriate notes that it has reviewed the data account customer demand for certain because this time period would help presented in the BX proposal and agrees option classes by considering both the reduce the impact of unusual trading Share Price and the Average Daily with the analysis of the data as activity as a result of unique market Volume in the underlying security to presented in the BX proposal. The events, such as a corporate action (i.e., arrive at the manner in which weekly Exchange believes the varied strike it would result in a more reliable strike intervals would be listed in the intervals will continue to offer market measure of average daily trading volume later weeks for each multiply listed participants the ability to select the than would a shorter period). equity options class. The Exchange appropriate strike interval to meet that Today, the Exchange requires Market utilizes OCC Customer-cleared volume, market participants’ investment Makers to quote a certain amount of as customer volume is an appropriate objectives. time in the trading day in their assigned proxy for demand. The OCC Customer- due options series to maintain liquidity B. Self-Regulatory Organization’s cleared volume represents the majority 33 Statement on Burden on Competition of options volume executed on the in the market. With an increasing Exchange that, in turn, reflects the number of strikes due to tighter The Exchange does not believe that demands in the marketplace. The intervals being listed across options the proposed rule change will impose options series listed on the Exchange is exchanges, Market Makers must expend any burden on competition that is not intended to meet customer demand by their capital to ensure that they have the necessary or appropriate in furtherance offering an appropriate number of appropriate infrastructure to meet their of the purposes of the Act. The Strike strikes. Non-Customer cleared OCC quoting obligations on all options Interval Proposal limits the number of volume represents the supply side. markets in which they are assigned in Short Term Options Series strike The Strike Interval Proposal for listing options series. The Exchange believes intervals available for quoting and strikes in certain multiply listed equity that this Strike Interval Proposal would trading on the Exchange for all options is intended to remove certain limit the intervals between strikes listed Exchange participants. While the strikes where there exist clusters of on the Exchange and thereby allow current listing rules permit the strikes whose characteristics closely Market Makers to expend their capital Exchange to list a number of weekly resemble one another and, therefore, do in the options market in a more efficient strikes on its market, in an effort to not serve different trading needs that manner that removes impediments to encourage Market Makers to deploy renders the strikes less useful and capital more efficiently, as well as thereby protects investors and the 32 Options contracts settle one business day after improve displayed market quality, the trade date. Strike listing determinations are made general public by removing an the day prior to the start of trading in each series. Exchange’s Strike Interval Proposal abundance of unnecessary choices for 33 See Exchange Rule 604(e)(1); 604(e)(2); and an options series, while also improving 604(e)(3). 34 See supra note 17.
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seeks to reduce the number of weekly as the Commission may designate, it has available for website viewing and options that would be listed on its become effective pursuant to Section printing in the Commission’s Public market in later weeks, without reducing 19(b)(3)(A)(iii) of the Act and Reference Room, 100 F Street, NE, the number of series or classes of subparagraph (f)(6) of Rule 19b–4 Washington, DC 20549, on official options available for trading on the thereunder.37 business days between the hours of Exchange. As the Exchange’s Strike At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the Interval Proposal seeks to reduce the filing of the proposed rule change, the filing also will be available for number of weekly options that would be Commission summarily may inspection and copying at the principal listed on its market in later weeks, temporarily suspend such rule change if office of the Exchange. All comments Market Makers would be required to it appears to the Commission that such received will be posted without change. quote in fewer weekly strikes as a result action is necessary or appropriate in the Persons submitting comments are of the Strike Interval Proposal. public interest, for the protection of cautioned that we do not redact or edit The Exchange’s Strike Interval investors, or otherwise in furtherance of personal identifying information from Proposal, which is intended to decrease the purposes of the Act. If the comment submissions. You should the overall number of strikes listed on Commission takes such action, the submit only information that you wish the Exchange, does not impose an Commission shall institute proceedings to make available publicly. All undue burden on intra-market to determine whether the proposed rule submissions should refer to File competition as all Participants may only should be approved or disapproved. Number SR–PEARL–2021–19, and transact options in the strike intervals should be submitted on or before June listed for trading on the Exchange. IV. Solicitation of Comments 1, 2021. While limiting the intervals of strikes Interested persons are invited to For the Commission, by the Division of listed on the Exchange is the goal of this submit written data, views, and Trading and Markets, pursuant to delegated Strike Interval Proposal, the goal arguments concerning the foregoing, authority.38 continues to balance the needs of including whether the proposed rule J. Matthew DeLesDernier, market participants by continuing to change is consistent with the Act. Assistant Secretary. offer a number of strikes to meet a Comments may be submitted by any of [FR Doc. 2021–09885 Filed 5–10–21; 8:45 am] the following methods: market participant’s investment BILLING CODE 8011–01–P objective. Electronic Comments The Exchange’s Strike Interval • Proposal does not impose an undue Use the Commission’s internet SECURITIES AND EXCHANGE burden on inter-market competition as comment form (http://www.sec.gov/ COMMISSION this Strike Interval Proposal does not rules/sro.shtml); or • impact the listings available at another Send an email to rule-comments@ [Release No. 34–91773; File No. SR–BX– self-regulatory organization. In fact, the sec.gov. Please include File Number SR– 2021–019] PEARL–2021–19 on the subject line. Exchange is proposing to list a smaller Self-Regulatory Organizations; Nasdaq amount of weekly equity options in an Paper Comments BX, Inc.; Notice of Filing and effort to curtail the increasing number of • Immediate Effectiveness of Proposed strikes that are required to be quoted by Send paper comments in triplicate to Secretary, Securities and Exchange Rule Change To Delay the market makers in the options industry. Implementation of BX’s Rule Other options markets may choose to Commission, 100 F Street NE, Washington, DC 20549–1090. Amendment To Limit Short Term replicate the Exchange’s Strike Interval Options Series Intervals to July 1, 2021 Proposal and, thereby, further decrease All submissions should refer to File the overall number of strikes within the Number SR–PEARL–2021–19. This file May 5, 2021. options industry. number should be included on the Pursuant to Section 19(b)(1) of the subject line if email is used. To help the Securities Exchange Act of 1934 C. Self-Regulatory Organization’s Commission process and review your (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Statement on Comments on the comments more efficiently, please use notice is hereby given that on April 22, Proposed Rule Change Received From only one method. The Commission will 2021, Nasdaq BX, Inc. (‘‘BX’’ or Members, Participants, or Others post all comments on the Commission’s ‘‘Exchange’’) filed with the Securities Written comments were neither internet website (http://www.sec.gov/ and Exchange Commission solicited nor received. rules/sro.shtml). Copies of the (‘‘Commission’’) the proposed rule submission, all subsequent III. Date of Effectiveness of the change as described in Items I and II amendments, all written statements below, which Items have been prepared Proposed Rule Change and Timing for with respect to the proposed rule Commission Action by the Exchange. The Commission is change that are filed with the publishing this notice to solicit The Exchange has filed the proposed Commission, and all written comments on the proposed rule change rule change pursuant to Section communications relating to the from interested persons. 19(b)(3)(A)(iii) 35 of the Act and Rule proposed rule change between the 19b–4(f)(6) thereunder.36 Because the Commission and any person, other than I. Self-Regulatory Organization’s foregoing proposed rule change does those that may be withheld from the Statement of the Terms of Substance of not: (i) Significantly affect the public in accordance with the the Proposed Rule Change protection of investors or the public provisions of 5 U.S.C. 552, will be The Exchange proposes to delay the interest; (ii) impose any significant implementation of BX’s rule burden on competition; and (iii) become 37 In addition, Rule 19b–4(f)(6)(iii) requires the amendment to limit Short Term Options operative for 30 days from the date on Exchange to give the Commission written notice of Series intervals between strikes which which it was filed, or such shorter time its intent to file the proposed rule change at least five business days prior to the date of filing of the proposed rule change, or such shorter time as 38 17 CFR 200.30–3(a)(12). 35 15 U.S.C. 78s(b)(3)(A)(iii). designated by the Commission. The Exchange has 1 15 U.S.C. 78s(b)(1). 36 17 CFR 240.19b–4(f)(6). satisfied this requirement. 2 17 CFR 240.19b–4.
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are available for quoting and trading A. Self-Regulatory Organization’s Series program that have an expiration from ‘‘prior to June 30, 2021’’ to ‘‘July Statement of the Purpose of, and date more than twenty-one days from 1, 2021.’’ Statutory Basis for, the Proposed Rule the listing date. Specifically, BX will The Exchange also proposes a small Change limit the intervals between strikes by amendment to the table within utilizing the table within 1. Purpose Supplementary Material .07 to Options Supplementary Material .07 of Options 4, Section 5 to add a ‘‘greater than’’ to BX received approval 3 to amend the 4, Section 5 for expiration dates of the table. Short Term Options Series program, option series beyond twenty-one days.4 The text of the proposed rule change within Options 4, Section 5, ‘‘Series of Implementation is available on the Exchange’s website at Options Contracts Open for Trading,’’ to https://listingcenter.nasdaq.com/ limit the intervals between strikes for First, the Exchange proposes to rulebook/bx/rules, at the principal office multiply listed equity options classes amend the implementation date to limit of the Exchange, and at the that have an expiration date more than Short Term Options Series intervals Commission’s Public Reference Room. twenty-one days from the listing date. between strikes which was proposed At this time, BX proposes to delay the within its Amendment No. 1 to SR–BX– II. Self-Regulatory Organization’s implementation of BX’s rule 2020–032.5 The Exchange proposes to Statement of the Purpose of, and amendment to limit Short Term Options amend the date from ‘‘prior to June 30, Statutory Basis for, the Proposed Rule Series intervals between strikes which 2021’’ to ‘‘July 1, 2021.’’ The Exchange Change are available for quoting and trading will issue an Options Trader Alert to In its filing with the Commission, the from ‘‘prior to June 30, 2021’’ to ‘‘July Participants with the date of Exchange included statements 1, 2021.’’ The Exchange also proposes a implementation. concerning the purpose of and basis for small amendment to the table within Proposal the proposed rule change and discussed Supplementary Material .07 to Options any comments it received on the 4, Section 5 to add a ‘‘greater than’’ to Second, the Exchange proposes a proposed rule change. The text of these the table. small amendment to the table within statements may be examined at the Supplementary Material .07 to Options Background places specified in Item IV below. The 4, Section 5. The Exchange proposes to Exchange has prepared summaries, set Once implemented, BX’s amendment capitalize the word ‘‘greater’’ in Tier 1 forth in sections A, B, and C below, of to Options 4, Section 5 will limit the and add the words ‘‘Greater than’’ the most significant aspects of such intervals between strikes in options within Tier 2. As proposed the table statements. listed as part of the Short Term Option would appear as follows:
SHARE PRICE
$25 to less $75 to less $150 to less $500 or Tier Average daily volume Less than $25 than $75 than $150 than $500 greater
1 ...... Greater than 5,000...... $0.50 $1.00 $1.00 $5.00 $5.00 2 ...... Greater than 1,000 to 5,000 ...... 1.00 1.00 1.00 5.00 10.00 3 ...... 0 to 1,000 ...... 2.50 5.00 5.00 5.00 10.00
This non-substantive amendment is implement related functionality. The between strikes for multiply listed intended to bring greater clarity to BX’s Exchange notes that the delay is one day equity options classes within the Short rule. after the time period of the initial Term Options Series program does not planned implementation. impose an undue burden on 2. Statutory Basis BX’s proposed amendment to the competition. The delay allows the The Exchange believes that its table within Supplementary Material .07 Exchange additional time to implement proposal is consistent with Section 6(b) to Options 4, Section 5 is consistent related functionality. Also, the delay is of the Act,6 in general, and furthers the with the Act because it clarifies the tiers one day after the time period of the objectives of Section 6(b)(5) of the Act,7 by adding the words ‘‘greater than’’ to initial planned implementation. in particular, in that it is designed to Tier 2. The amendment will bring The proposed amendment to the table promote just and equitable principles of greater clarity to the Exchange’s rule. within Supplementary Material .07 to trade, to remove impediments to and B. Self-Regulatory Organization’s Options 4, Section 5 does not impose an perfect the mechanism of a free and Statement on Burden on Competition undue burden on competition. The open market and a national market amendment will bring greater clarity to system, and, in general to protect The Exchange does not believe that the Exchange’s rule. investors and the public interest, by the proposed rule change will impose delaying the implementation to limit the any burden on competition not intervals between strikes for multiply necessary or appropriate in furtherance listed equity options classes within the of the purposes of the Act. The Short Term Options Series program to Exchange’s proposal to delay the allow the Exchange additional time to implementation to limit the intervals
3 See Securities Exchange Act Release No. 91125 Amendment No. 1, To Amend Options 4, Section 4 The table considers both the share price and (February 12, 2021), 86 FR 10375 (February 19, 5, To Limit Short Term Options Series Intervals average daily volume for the option series. 2021) (SR–BX–2020–032) (Notice of Filing of Between Strikes That Are Available for Quoting and 5 See supra note 3. Amendment No. 1 and Order Granting Accelerated Trading on BX). 6 15 U.S.C. 78f(b). Approval of Proposed Rule Change, as Modified by 7 15 U.S.C. 78f(b)(5).
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C. Self-Regulatory Organization’s Commission, 100 F Street NE, SECURITIES AND EXCHANGE Statement on Comments on the Washington, DC 20549–1090. COMMISSION Proposed Rule Change Received From Members, Participants, or Others All submissions should refer to File [Release No. 34–91780; File No. SR– Number SR–BX–2021–019. This file NYSEArca-2021–09] No written comments were either number should be included on the solicited or received. subject line if email is used. To help the Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Commission process and review your III. Date of Effectiveness of the a Proposed Rule Change, as Modified comments more efficiently, please use Proposed Rule Change and Timing for by Amendment No. 1, To Amend NYSE only one method. The Commission will Commission Action Arca Rule 6.86–O To Eliminate the Use The Exchange has filed the proposed post all comments on the Commission’s of Dark Series on the Exchange rule change pursuant to Section internet website (http://www.sec.gov/ 19(b)(3)(A)(iii) 8 of the Act and Rule rules/sro.shtml). Copies of the May 5, 2021. 19b–4(f)(6) thereunder.9 Because the submission, all subsequent I. Introduction foregoing proposed rule change does amendments, all written statements not: (i) Significantly affect the with respect to the proposed rule On January 26, 2021, NYSE Arca, Inc. protection of investors or the public change that are filed with the (‘‘NYSE Arca’’ or the ‘‘Exchange’’) filed interest; (ii) impose any significant Commission, and all written with the Securities and Exchange burden on competition; and (iii) become communications relating to the Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities operative for 30 days from the date on proposed rule change between the 1 which it was filed, or such shorter time Commission and any person, other than Exchange Act of 1934 (‘‘Act’’) and Rule 19b–4 thereunder,2 a proposed rule as the Commission may designate, it has those that may be withheld from the change to amend NYSE Arca Rule 6.86– become effective pursuant to Section public in accordance with the O to eliminate the use of ‘‘dark’’ series 19(b)(3)(A)(iii) of the Act and provisions of 5 U.S.C. 552, will be subparagraph (f)(6) of Rule 19b–4 on the Exchange. The proposed rule available for website viewing and change was published for comment in thereunder.10 printing in the Commission’s Public At any time within 60 days of the the Federal Register on February 5, Reference Room, 100 F Street NE, 3 filing of the proposed rule change, the 2021. On March 18, 2021, pursuant to Washington, DC 20549, on official 4 Commission summarily may Section 19(b)(2) of the Act, the business days between the hours of Commission designated a longer period temporarily suspend such rule change if 10:00 a.m. and 3:00 p.m. Copies of the it appears to the Commission that such within which to approve the proposed filing also will be available for action is necessary or appropriate in the rule change, disapprove the proposed inspection and copying at the principal public interest, for the protection of rule change, or institute proceedings to investors, or otherwise in furtherance of office of the Exchange. All comments determine whether to approve or 5 the purposes of the Act. If the received will be posted without change. disapprove the proposed rule change. Commission takes such action, the Persons submitting comments are On April 27, 2021, the Exchange filed Commission shall institute proceedings cautioned that we do not redact or edit Amendment No. 1 to the proposed rule 6 to determine whether the proposed rule personal identifying information from change. The Commission received no should be approved or disapproved. comment submissions. You should submit only information that you wish 1 15 U.S.C. 78s(b)(1). 2 IV. Solicitation of Comments to make available publicly. All 17 CFR 240.19b–4. 3 See Securities Exchange Act Release No. 91038 Interested persons are invited to submissions should refer to File (February 1, 2021), 86 FR 8416 (‘‘Notice’’). submit written data, views, and Number SR–BX–2021–019, and should 4 15 U.S.C. 78s(b)(2). arguments concerning the foregoing, be submitted on or before June 1, 2021. 5 See Securities Exchange Act Release No. 91354, including whether the proposed rule 86 FR 15764 (March 24, 2021). The Commission For the Commission, by the Division of change is consistent with the Act. designated May 6, 2021, as the date by which it Trading and Markets, pursuant to delegated should approve, disapprove, or institute Comments may be submitted by any of authority.11 proceedings to determine whether to approve or the following methods: disapprove the proposed rule change. J. Matthew DeLesDernier, 6 In Amendment No. 1, the Exchange provided Electronic Comments Assistant Secretary. data that showed that during the eighteen (18) • Use the Commission’s internet [FR Doc. 2021–09882 Filed 5–10–21; 8:45 am] trading days between March 1, 2021 and March 24, 2021, quotes in dark series accounted for 2.43% of comment form (http://www.sec.gov/ BILLING CODE 8011–01–P NYSE Arca quotes and 1.99% of NYSE American, rules/sro.shtml); or LLC (‘‘NYSE American’’) quotes, and quotes in dark • Send an email to rule-comments@ series averaged 0.174% on NYSE Arca and 0.190% sec.gov. Please include File Number SR– on NYSE American when compared to the total OPRA disseminated quotes during the same period. BX–2021–019 on the subject line. The Exchange also stated that on March 4, 2021 and Paper Comments March 5, 2021, OPRA processed the most messages in its history and provided data that shows that on • Send paper comments in triplicate March 4th, quotes in dark series from NYSE Arca to Secretary, Securities and Exchange and NYSE American combined for 0.5095% compared to OPRA message traffic. On March 5th, quotes in dark series from NYSE Arca and NYSE 8 15 U.S.C. 78s(b)(3)(A)(iii). American combined for 0.2562% when compared 9 17 CFR 240.19b–4(f)(6). to OPRA quote volume. The Exchange concluded 10 In addition, Rule 19b–4(f)(6)(iii) requires the that eliminating the suppression of quotes in dark Exchange to give the Commission written notice of series would result in a de minimis increase in its intent to file the proposed rule change at least quotes sent by NYSE Arca and NYSE American to five business days prior to the date of filing of the OPRA and have essentially no impact on messaging proposed rule change, or such shorter time as at an industry level. Because Amendment No. 1 to designated by the Commission. The Exchange has the proposed rule change does not materially alter satisfied this requirement. 11 17 CFR 200.30–3(a)(12). Continued
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comment letters on the proposal. This series, and thus require quotes in all Exchange, the proposal would not order approves the proposed rule series to be disseminated to OPRA.12 impact market participants or downstream users that consume change, as modified by Amendment No. III. Discussion and Commission Exchange or OPRA data because the 1. Findings quote capacity information OPRA II. Description of the Proposed Rule The Commission finds that the currently publishes already reflects Change, as Modified by Amendment proposed rule change, as modified by quotes in dark series because they are No. 1 Amendment No.1, is consistent with the part of the Exchange’s current capacity requirements of the Act and the rules request.18 Thus, according to the Currently, NYSE Arca Rule 6.86–O and regulations thereunder applicable to Exchange, market participants (‘‘Firm Quotes’’) requires the Exchange a national securities exchange.13 In (including data vendors and to collect, process, and make available particular, the Commission finds that subscribers) currently have the to quotation vendors the best bid and the proposed rule change, as modified opportunity to prepare for and make best offer for each option series that is by Amendment No. 1, is consistent with necessary accommodations for a reported security unless the series is Section 6(b)(5) of the Act,14 which anticipated quote traffic (including subject to an approved quote mitigation requires that the rules of an exchange be quotes in dark series).19 Further, the plan.7 Pursuant to the quote mitigation designed, among other things, to Exchange anticipates that the proposed plan set forth in Commentary .03 to prevent fraudulent and manipulative increase in quote message traffic due to NYSE Arca Rule 6.86–O, the Exchange acts and practices, to promote just and the dissemination of quotes in inactive only disseminates quotes in ‘‘active’’ equitable principles of trade, to foster series is likely to be minimal and series.8 A series is considered active if cooperation and coordination with therefore unlikely to impact the flow of the series: (i) Has traded on any options persons engaged in regulating and message traffic and/or harm exchange in the previous 14 calendar facilitating transactions in securities, to downstream consumers of OPRA data.20 days; (ii) is solely listed on the remove impediments to and perfect the In support of this assertion, the Exchange; (iii) has been trading ten days mechanism of a free and open market Exchange states that on the two trading or less; or (iv) is a series in which the and a national market system and, in days that OPRA processed the most Exchange has an order.9 In addition, a general, to protect investors and the messages in its history (March 4, 2021 series may be considered active on an public interest. and March 5, 2021), quotes in dark intraday basis if: (i) The series trades at In support of its proposal, the series from NYSE Arca and NYSE any options exchange; (ii) the Exchange Exchange states the proposed rule American combined were only 0.5095% receives an order in the series; or (iii) change would increase transparency, and 0.2562%, respectively, compared to the Exchange receives a request for enhance price discovery, and alleviate OPRA message traffic.21 Finally, the quote from a customer in that series.10 potential confusion among market Exchange states its additional existing participants regarding what quotes are Any options series that does not meet quote mitigation strategies are sufficient being published in the disseminated 22 the definition of an active series is to continue to mitigate quote traffic. quote feed and what quotes are being deemed be an inactive or ‘‘dark’’ series. The Commission believes that suppressed.15 According to the Consequently, under the Exchange’s eliminating the exclusion of inactive or Exchange, discontinuing the use of the current rules, although the Exchange dark series from the requirements of quote mitigation plan set forth in NYSE Arca Rule 6.86–O should increase accepts quotes from OTP Holders in all Commentary .03 to NYSE Arca Rule series, the only quote messages the transparency and may enhance 6.86–O would result in all Market opportunities for price discovery. Exchange disseminates to the Options Maker quotes (including those currently Price Reporting Authority (‘‘OPRA’’) are Publishing all quotes (not just those in being suppressed because they are active series) in the disseminated quote quotes for active series.11 The Exchange considered inactive) being displayed feed may benefit market participants proposes to delete Commentary .03 to and reflected in the market, benefitting because it will provide notice of Rule 6.86–O. Therefore, the proposed market participants by providing notice additional liquidity. Further, because rule change would eliminate the of such liquidity and removing the the Exchange currently includes Market distinction between active and dark element of potential confusion.16 Maker quotes in inactive series in its Further, the Exchange states the capacity planning request to OPRA 23 the substance of the proposed rule change, proposed rule change would not change and because publication of dark quotes Amendment No. 1 is not subject to notice and the amount of capacity needed at OPRA comment. Amendment No. 1 is available at: https:// from both the Exchange and NYSE www.sec.gov/comments/sr-nysearca-2021-09/ to accommodate the inclusion of quotes American combined would result in a srnysearca202109.htm. in dark series because the Exchange percentage increase in OPRA 7 See NYSE Arca Rule 6.86–O(b)(1). already includes such quotes in the disseminated quotes that is de minimis 8 The quote mitigation plan set forth in Exchange’s current capacity planning Commentary .03 to NYSE Arca Rule 6.86 was requests to OPRA.17 According to the adopted in 2006 in connection with the Penny Pilot total quote traffic it receives from Market Makers, Program, a program which was subsequently including quotes in dark series, when making its approved on a permanent basis in 2020. See Notice, 12 See Notice, supra note 3, at 8416. capacity requests to OPRA. Specifically, the supra note 3, at 8416. 13 In approving this proposed rule change, as Exchange ‘‘presumes that all series will be active and therefore requests capacity to accommodate 9 See Commentary, .03 to NYSE Arca Rule modified by Amendment No.1, the Commission has sending quotes in all series to OPRA.’’ Id. at 8416. 6.86–O. considered the proposed rule’s impact on 18 See Notice, supra note 3, at 8417. 10 See Commentary .03 to NYSE Arca Rule efficiency, competition, and capital formation. See 19 6.86–O. 15 U.S.C. 78c(f). See id. 14 20 11 See Notice, supra note 3, at 8416. See also 15 U.S.C. 78f(b)(5). See id. at 8418. See also Amendment No.1, Amendment No. 1, supra note 6 (providing data to 15 See Notice, supra note 3, at 8417 (stating that supra note 6. support the Exchange’s conclusion that eliminating ‘‘over the years, certain market participants have 21 See Amendment No.1, supra note 6. the suppression of quotes in dark series would expressed confusion regarding what quotes are 22 See Notice, supra note 3, at 8417–18 result in a de minimis increase in quotes sent by being published and which are being suppressed’’). (discussing three quote mitigation strategies the NYSE Arca and NYSE American to OPRA and 16 See Notice, supra note 3, at 8417. exchange currently employs to reduce the potential would have essentially no impact on messaging at 17 See Notice, supra note 3, at 8416–17. The for excessive quoting and to reduce quote traffic). an industry level). Exchange represents that it has always factored the 23 See id. at 8418.
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according to the Exchange’s data,24 the Commission (the ‘‘Commission’’) the Home.aspx), at the Exchange’s Office of Commission believes that dissemination proposed rule change as described in the Secretary, and at the Commission’s of these quotes as part of the Exchange’s Items I and II below, which Items have Public Reference Room. quote feed to OPRA is not likely to been prepared by the Exchange. The II. Self-Regulatory Organization’s negatively impact systems capacity. In Exchange filed the proposal as a ‘‘non- Statement of the Purpose of, and addition, the Exchange has existing controversial’’ proposed rule change Statutory Basis for, the Proposed Rule additional quote mitigation strategies pursuant to Section 19(b)(3)(A)(iii) of Change that also serve to reduce the potential the Act 3 and Rule 19b–4(f)(6) for excessive quoting.25 thereunder.4 The Commission is In its filing with the Commission, the Accordingly, for the reasons set forth publishing this notice to solicit Exchange included statements above, the Commission finds that the comments on the proposed rule change concerning the purpose of and basis for proposed rule change, as modified by from interested persons. the proposed rule change and discussed Amendment No.1, is consistent with any comments it received on the Section 6(b)(5) of the Act 26 and the I. Self-Regulatory Organization’s proposed rule change. The text of these rules and regulations thereunder Statement of the Terms of Substance of statements may be examined at the applicable to a national securities the Proposed Rule Change places specified in Item IV below. The exchange. Cboe Exchange, Inc. (the ‘‘Exchange’’ Exchange has prepared summaries, set forth in sections A, B, and C below, of IV. Conclusion or ‘‘Cboe Options’’) proposes to extend the operation of its Flexible Exchange the most significant aspects of such It is therefore ordered, pursuant to Options (‘‘FLEX Options’’) pilot statements. Section 19(b)(2) of the Act,27 that the program regarding permissible exercise proposed rule change (SR–NYSEArca- A. Self-Regulatory Organization’s settlement values for FLEX Index Statement of the Purpose of, and 2021–09), as modified by Amendment Options. The text of the proposed rule No. 1, hereby is approved. Statutory Basis for, the Proposed Rule change is provided below. Change For the Commission, by the Division of (additions are italicized; deletions are Trading and Markets, pursuant to delegated [bracketed]) 1. Purpose authority.28 * * * * * On January 28, 2010, the Securities J. Matthew DeLesDernier, and Exchange Commission (the Assistant Secretary. Rules of Cboe Exchange, Inc. ‘‘Commission’’) approved a Cboe [FR Doc. 2021–09888 Filed 5–10–21; 8:45 am] * * * * * Options rule change that, among other BILLING CODE 8011–01–P Rule 4.21. Series of FLEX Options things, established a pilot program (a) No change. regarding permissible exercise settlement values for FLEX Index SECURITIES AND EXCHANGE (b) Terms. When submitting a FLEX Order for a FLEX Option series to the System, the Options.5 The Exchange has extended COMMISSION submitting FLEX Trader must include one of the pilot period numerous times, which [Release No. 34–91782; File No. SR–CBOE– each of the following terms in the FLEX is currently set to expire on the earlier 2021–031] Order (all other terms of a FLEX Option of May 3, 2021 or the date on which the series are the same as those that apply to pilot program is approved on a Self-Regulatory Organizations; Cboe non-FLEX Options), which terms constitute permanent basis.6 The purpose of this Exchange, Inc.; Notice of Filing and the FLEX Option series: (1)–(4) No change. Immediate Effectiveness of a Proposed 5 Securities Exchange Act Release No. 61439 (5) settlement type: Rule Change Relating To Extend the (January 28, 2010), 75 FR 5831 (February 4, 2010) (A) No change. Operation of Its Flexible Exchange (SR–CBOE–2009–087) (‘‘Approval Order’’). The (B) FLEX Index Options. FLEX Index initial pilot period was set to expire on March 28, Options (‘‘FLEX Options’’) Pilot Options are settled in U.S. dollars, and may 2011, which date was added to the rules in 2010. Program Regarding Permissible be: See Securities Exchange Act Release No. 61676 Exercise Settlement Values for FLEX (i) No change. (March 9, 2010), 75 FR 13191 (March 18, 2010) (SR– Index Options (ii) p.m.-settled (with exercise settlement CBOE–2010–026). value determined by reference to the reported 6 See Securities Exchange Act Release Nos. 64110 May 5, 2021. level of the index derived from the reported (March 23, 2011), 76 FR 17463 (March 29, 2011) Pursuant to Section 19(b)(1) of the (SR–CBOE–2011–024); 66701 (March 30, 2012), 77 closing prices of the component securities), FR 20673 (April 5, 2012) (SR–CBOE–2012–027); Securities Exchange Act of 1934 (the except for a FLEX Index Option that expires 68145 (November 2, 2012), 77 FR 67044 (November ‘‘Act’’),1 and Rule 19b–4 thereunder,2 on any business day that falls on or within 8, 2012) (SR–CBOE–2012–102); 70752 (October 24, notice is hereby given that on April 22, two business days of a third Friday-of-the- 2013), 78 FR 65023 (October 30, 2013) (SR–CBOE– 2021, Cboe Exchange, Inc. (the month expiration day for a non-FLEX Option 2013–099); 73460 (October 29, 2014), 79 FR 65464 (other than a QIX option) may only be a.m.- (November 4, 2014) (SR–CBOE–2014–080); 77742 ‘‘Exchange’’ or ‘‘Cboe Options’’) filed (April 29, 2016), 81 FR 26857 (May 4, 2016) (SR– with the Securities and Exchange settled; however, for a pilot period ending the earlier of [May 3]November 1, 2021 or the CBOE–2016–032); 80443 (April 12, 2017), 82 FR 18331 (April 18, 2017) (SR–CBOE–2017–032); date on which the pilot program is approved 24 83175 (May 4, 2018), 83 FR 21808 (May 10, 2018) See Amendment No.1, supra note 6. In on a permanent basis, a FLEX Index Option addition, the Exchange states that there is sufficient (SR–CBOE–2018–037); 84537 (November 5, 2018), capacity at OPRA to accommodate any additional with an expiration date on the third-Friday 83 FR 56113 (November 9, 2018) (SR–CBOE–2018– quote traffic that will result from the elimination of of the month may be p.m.-settled; 071); 85707 (April 23, 2019), 84 FR 18100 (April 29, dark series. See Notice, supra note 3, at 8416–17. (iii)–(iv) No change. 2019) (SR–CBOE–2019–021); 87515 (November 13, The Exchange further notes that it does not believe 2020), 84 FR 63945 (November 19, 2019) (SR– * * * * * CBOE–2019–108); 88782 (April 30, 2020), 85 FR its proposal will impact any other exchange’s The text of the proposed rule change capacity at OPRA. See id. at 8416 n.9. 27004 (May 6, 2020) (SR–CBOE–2020–039); and 25 See Notice, supra note 3, at 8416–17. is also available on the Exchange’s 90279 (October 28, 2020) 85 FR 69667 (November 3, 2020) (SR–CBOE–2020–103) (extending the pilot 26 15 U.S.C. 78f(b)(5). website (http://www.cboe.com/ program through the earlier of May 3, 2021 or the 27 AboutCBOE/CBOELegalRegulatory 15 U.S.C. 78s(b)(2). date on which the pilot program is approved on a 28 17 CFR 200.30–3(a)(12). permanent basis). At the same time the permissible 1 15 U.S.C. 78s(b)(1). 3 15 U.S.C. 78s(b)(3)(A)(iii). exercise settlement values pilot was established for 2 17 CFR 240.19b–4. 4 17 CFR 240.19b–4(f)(6). Continued
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rule change filing is to extend the pilot exercise settlement values pilot, this program, including any adverse market program through the earlier of restriction on p.m.-settled FLEX Index volatility effects that might occur as a November 1, 2021 or the date on which Options was eliminated.11 As stated, the result of large FLEX exercises in FLEX the pilot program is approved on a exercise settlement values pilot is Option series that expire near Non- permanent basis. This filing simply currently set to expire on the earlier of FLEX expirations and use a p.m. seeks to extend the operation of the May 3, 2021 or the date on which the settlement (as discussed below). pilot program and does not propose any pilot program is approved on a In that regard, based on the substantive changes to the pilot permanent basis. program. Cboe Options is proposing to extend Exchange’s experience in trading FLEX Under Rule 4.21(b), Series of FLEX the pilot program through the earlier of Options to date and over the pilot Options (regarding terms of a FLEX November 1, 2021 or the date on which period, Cboe Options continues to Option),7 a FLEX Option may expire on the pilot program is approved on a believe that the restrictions on exercise any business day (specified to day, permanent basis. Cboe Options believes settlement values are no longer month and year) no more than 15 years the pilot program has been successful necessary to insulate Non-FLEX from the date on which a FLEX Trader and well received by its Trading Permit expirations from the potential adverse submits a FLEX Order to the System.8 Holders and the investing public for the market impacts of FLEX expirations.14 FLEX Index Options are settled in U.S. period that it has been in operation as To the contrary, Cboe Options believes dollars, and may be a.m.-settled (with a pilot. In support of the proposed that the restriction actually places the exercise settlement value determined by extension of the pilot program, and as Exchange at a competitive disadvantage reference to the reported level of the required by the pilot program’s to its OTC counterparts in the market for index derived from the reported Approval Order, the Exchange has customized options, and unnecessarily opening prices of the component submitted to the Commission pilot limits market participants’ ability to securities) or p.m.-settled (with exercise program reports regarding the pilot, trade in an exchange environment that settlement value determined by which detail the Exchange’s experience offers the added benefits of reference to the reported level of the with the program. Specifically, the index derived from the reported closing Exchange provided the Commission 14 9 In further support, the Exchange also notes that prices of the component securities). with annual reports analyzing volume the p.m. settlements are already permitted for FLEX Specifically, a FLEX Index Option that and open interest for each broad-based Index Options on any other business day except on, expires on, or within two business days FLEX Index Options class overlying a or within two business days of, the third Friday-of- the-month. The Exchange is not aware of any of, a third Friday-of-the-month third Friday-of-the-month expiration expiration day for a non-FLEX Option market disruptions or problems caused by the use day, p.m.-settled FLEX Index Options of these settlement methodologies on these (other than a QIX option), may only be series.12 The annual reports also expiration dates (or on the expiration dates 10 a.m. settled. However, under the contained information and analysis of addressed under the pilot program). The Exchange FLEX Index Options trading patterns. is also not aware of any market disruptions or FLEX Index Options, the Exchange also established problems caused by the use of customized options a pilot program eliminating the minimum value size The Exchange also provided the in the over-the-counter (‘‘OTC’’) markets that expire requirements for all FLEX Options. See Approval Commission, on a periodic basis, on or near the third Friday-of-the-month and are Order, supra note 5. The pilot program eliminating interim reports of volume and open p.m. settled. In addition, the Exchange believes the the minimum value size requirements was extended interest. In providing the pilot reports to reasons for limiting expirations to a.m. settlement, twice pursuant to the same rule filings that which is something the SEC has imposed since the extended the permissible exercise settlement values the Commission, the Exchange has early 1990s for Non-FLEX Options, revolved around (for the same extended periods) and was approved previously requested confidential a concern about expiration pressure on the New on a permanent basis in a separate rule change treatment of the pilot reports under the York Stock Exchange (‘‘NYSE’’) at the close that are filing. See id; and Securities Exchange Act Release Freedom of Information Act (‘‘FOIA’’).13 no longer relevant in today’s market. Today, the No. 67624 (August 8, 2012), 77 FR 48580 (August Exchange believes stock exchanges are able to better 14, 2012) (SR–CBOE–2012–040) (Order Granting The Exchange believes there is handle volume. There are multiple primary listing Approval of Proposed Rule Change Related to sufficient investor interest and demand and unlisted trading privilege (‘‘UTP’’) markets, and Permanent Approval of Its Pilot on FLEX Minimum in the pilot program to warrant its trading is dispersed among several exchanges and Value Sizes). extension. The Exchange believes that, alternative trading systems. In addition, the 7 In 2019, prior Rule 24A.4.01, covering the pilot Exchange believes that surveillance techniques are program, was relocated to current Rule 4.21(b)(5). for the period that the pilot has been in much more robust and automated. In the early See Securities Exchange Act Release No. 87235 operation, the program has provided 1990s, it was also thought by some that opening (October 4, 2019), 84 FR 54671 (October 10, 2019) investors with additional means of procedures allow more time to attract contra-side (SR–CBOE–2019–084). managing their risk exposures and interest to reduce imbalances. The Exchange 8 Except an Asian-settled or Cliquet-settled FLEX believes, however, that today, order flow is Option series, which must have an expiration date carrying out their investment objectives. predominantly electronic and the ability to smooth that is a business day but may only expire 350 to Furthermore, the Exchange believes that out openings and closes is greatly reduced (e.g., 371 days (which is approximately 50 to 53 calendar it has not experienced any adverse market-on-close procedures work just as well as weeks) from the date on which a FLEX Trader market effects with respect to the pilot openings). Also, other markets, such as the submits a FLEX Order to the System. NASDAQ Stock Exchange, do not have the same 9 See Rule 4.21(b)(5)(B); see also Securities type of pre-opening imbalance disseminations as Exchange Act Release No. 87235 (October 4, 2019), Index Option that expires on the Wednesday before NYSE, so many stocks are not subject to the same 84 FR 54671 (October 10, 2019) (SR–CBOE–2019– the third Friday-of-the-month could only be a.m. procedures on the third Friday-of-the-month. In 084). The rule change removed the provision settled. addition, the Exchange believes that NYSE has regarding the exercise settlement value of FLEX 11 No change was necessary or requested with reduced the required time a specialist has to wait Index Options on the NYSE Composite Index, as the respect to FLEX Equity Options. Regardless of the after disseminating a pre-opening indication. So, in Exchange no longer lists options on that index for expiration date, FLEX Equity Options are settled by this respect, the Exchange believes there is less time trading, and included the provisions regarding how physical delivery of the underlying. to react in the opening than in the close. Moreover, the exercise settlement value is determined for each 12 The annual reports also contained certain pilot to the extent there may be a risk of adverse market settlement type, as how the exercise settlement period and pre-pilot period analyses of volume and effects attributable to p.m. settled options that value is determined is dependent on the settlement open interest for third Friday-of-the-month would otherwise be traded in a non-transparent type. expiration days, a.m.-settled FLEX Index series and fashion in the OTC market, the Exchange continues 10 For example, notwithstanding the pilot, the third Friday-of-the-month expiration day Non-FLEX to believe that such risk would be lessened by exercise settlement value of a FLEX Index Option Index series overlying the same index as a third making these customized options eligible for that expires on the Tuesday before the third Friday- Friday-of-the-month expiration day, p.m.-settled trading in an exchange environment because of the of-the-month could be a.m. or p.m. settled. FLEX Index option. added transparency, price discovery, liquidity, and However, the exercise settlement value of a FLEX 13 5 U.S.C. 552; see infra note 12. financial stability available.
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transparency, price discovery, liquidity, the Options Clearing Corporation as and coordination with persons engaged and financial stability. issuer and guarantor of FLEX Options. in regulating, clearing, settling, The Exchange also notes that certain If, in the future, the Exchange processing information with respect to, position limit, aggregation and exercise proposes an additional extension of the and facilitating transactions in limit requirements continue to apply to pilot program, or should the Exchange securities, to remove impediments to FLEX Index Options in accordance with propose to make the pilot program and perfect the mechanism of a free and Rules 8.35, Position Limits for FLEX permanent, the Exchange will submit, open market and a national market Options, 8.42(g) Exercise Limits (in along with any filing proposing such system, and, in general, to protect connection with FLEX Options) and amendments to the pilot program, an investors and the public interest. 8.43(j), Reports Related to Position annual report (addressing the same Additionally, the Exchange believes the Limits (in connection with FLEX areas referenced above and consistent proposed rule change is consistent with Options). Additionally, all FLEX with the pilot program’s Approval the Section 6(b)(5) 20 requirement that Options remain subject to the general Order) to the Commission at least two the rules of an exchange not be designed position reporting requirements in Rule months prior to the expiration date of to permit unfair discrimination between 8.43(a).15 Moreover, the Exchange and the program. The Exchange will also customers, issuers, brokers, or dealers. its Trading Permit Holder organizations continue, on a periodic basis, to submit In particular, the Exchange believes each have the authority, pursuant to interim reports of volume and open that the proposed extension of the pilot Rule 10.9, Margin Required is Minimum, interest consistent with the terms of the program, which permits an additional to impose additional margin as deemed exercise settlement values pilot program exercise settlement value, would advisable. Cboe Options continues to as described in the pilot program’s provide greater opportunities for believe these existing safeguards serve Approval Order. Additionally, the investors to manage risk through the use sufficiently to help monitor open Exchange will provide the Commission of FLEX Options. Further, the Exchange interest in FLEX Option series and with any additional data or analyses the believes that it has not experienced any Commission requests because it deems significantly reduce any risk of adverse adverse effects from the operation of the such data or analyses necessary to pilot program, including any adverse market effects that might occur as a determine whether the pilot program is market volatility effects that might occur result of large FLEX exercises in FLEX consistent with the Exchange Act. The as a result of large FLEX exercises in Option series that expire near Non- Exchange is in the process of making FLEX Option series that expire near FLEX expirations and use a p.m. public on its website all data and Non-FLEX expirations and are p.m.- settlement. analyses previously submitted to the settled. The Exchange also believes that Cboe Options is also cognizant of the Commission under the pilot program, the extension of the exercise settlement OTC market, in which similar and will make public any data and values pilot does not raise any unique restrictions on exercise settlement analyses it submits to the Commission regulatory concerns. In particular, values do not apply. Cboe Options under the pilot program in the future.16 although p.m. settlements may raise continues to believe that the pilot As noted in the pilot program’s questions with the Commission, the program is appropriate and reasonable Approval Order, any positions Exchange believes that, based on the and provides market participants with established under the pilot program Exchange’s experience in trading FLEX additional flexibility in determining would not be impacted by the Options to date and over the pilot whether to execute their customized expiration of the pilot program.17 period, market impact and investor options in an exchange environment or 2. Statutory Basis protection concerns will not be raised in the OTC market. Cboe Options by this rule change. The Exchange also continues to believe that market The Exchange believes the proposed believes that the proposed rule change participants benefit from being able to rule change is consistent with the would continue to provide Trading trade these customized options in an Securities Exchange Act of 1934 (the Permit Holders and investors with exchange environment in several ways, ‘‘Act’’) and the rules and regulations additional opportunities to trade including, but not limited to, enhanced thereunder applicable to the Exchange customized options in an exchange efficiency in initiating and closing out and, in particular, the requirements of environment (which offers the added positions, increased market Section 6(b) of the Act.18 Specifically, benefits of transparency, price transparency, and heightened contra- the Exchange believes the proposed rule discovery, liquidity, and financial party creditworthiness due to the role of change is consistent with the Section stability as compared to the over-the- 6(b)(5) 19 requirements that the rules of counter market) and subject to 15 Rule 8.43(a) provides that ‘‘[i]n a manner and an exchange be designed to prevent exchange-based rules, and investors form prescribed by the Exchange, each Trading fraudulent and manipulative acts and would benefit as a result. Permit Holder shall report to the Exchange, the practices, to promote just and equitable name, address, and social security or tax principles of trade, to foster cooperation B. Self-Regulatory Organization’s identification number of any customer who, acting Statement on Burden on Competition alone, or in concert with others, on the previous business day maintained aggregate long or short 16 Available at https://www.cboe.com/aboutcboe/ Cboe Options does not believe that positions on the same side of the market of 200 or legal-regulatory/national-market-system-plans/pm- the proposed rule change will impose more contracts of any single class of option settlement-flex-pm-data. contracts dealt in on the Exchange. The report shall 17 For example, a position in a p.m.-settled FLEX any burden on competition that is not indicate for each such class of options, the number Index Option series that expires on the third Friday- necessary or appropriate in furtherance of option contracts comprising each such position of-the-month in January 2020 could be established of the purposes of the Act. The and, in the case of short positions, whether covered during the exercise settlement values pilot. If the Exchange believes there is sufficient or uncovered.’’ For purposes of Rule 8.43, the term pilot program were not extended (or made ‘‘customer’’ in respect of any Trading Permit Holder permanent), then the position could continue to investor interest and demand in the includes ‘‘the Trading Permit Holder, any general exist. However, the Exchange notes that any further pilot program to warrant its extension. or special partner of the Trading Permit Holder, any trading in the series would be restricted to The Exchange believes that, for the officer or director of the Trading Permit Holder, or transactions where at least one side of the trade is period that the pilot has been in any participant, as such, in any joint, group or a closing transaction. See Approval Order at syndicate account with the Trading Permit Holder footnote 3, supra note 6. operation, the program has provided or with any partner, officer or director thereof.’’ 18 15 U.S.C. 78f(b). Rule 8.43(d). 19 15 U.S.C. 78f(b)(5). 20 Id.
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investors with additional means of immediately upon filing. The Exchange amendments, all written statements managing their risk exposures and states that such waiver will allow the with respect to the proposed rule carrying out their investment objectives. Exchange to extend the pilot program change that are filed with the Furthermore, the Exchange believes that and maintain the status quo, thereby Commission, and all written it has not experienced any adverse reducing market disruption. communications relating to the market effects with respect to the pilot The Commission believes that proposed rule change between the program, including any adverse market waiving the 30-day operative delay is Commission and any person, other than volatility effects that might occur as a consistent with the protection of those that may be withheld from the result of large FLEX exercises in FLEX investors and the public interest, as it public in accordance with the Option series that expire near Non-Flex will allow the pilot program to continue provisions of 5 U.S.C. 552, will be expirations and use a p.m. settlement. uninterrupted, thereby avoiding available for website viewing and Cboe Options believes that the investor confusion that could result printing in the Commission’s Public restriction actually places the Exchange from a temporary interruption in the Reference Room, 100 F Street NE, at a competitive disadvantage to its OTC pilot program. For this reason, the Washington, DC 20549, on official counterparts in the market for Commission designates the proposed business days between the hours of customized options, and unnecessarily rule change to be operative upon 10:00 a.m. and 3:00 p.m. Copies of the limits market participants’ ability to filing.25 filing also will be available for trade in an exchange environment that At any time within 60 days of the inspection and copying at the principal offers the added benefits of filing of the proposed rule change, the office of the Exchange. All comments transparency, price discovery, liquidity, Commission summarily may received will be posted without change. and financial stability. Therefore, the temporarily suspend such rule change if Persons submitting comments are Exchange does not believe that the it appears to the Commission that such cautioned that we do not redact or edit proposed rule change will impose any action is necessary or appropriate in the personal identifying information from burden on competition. public interest, for the protection of comment submissions. You should investors, or otherwise in furtherance of submit only information that you wish C. Self-Regulatory Organization’s the purposes of the Act. If the to make available publicly. All Statement on Comments on the Commission takes such action, the submissions should refer to File Proposed Rule Change Received From Commission shall institute proceedings Members, Participants, or Others Number SR–CBOE–2021–031, and to determine whether the proposed rule should be submitted on or before June The Exchange neither solicited nor should be approved or disapproved. 1, 2021. received comments on the proposed IV. Solicitation of Comments For the Commission, by the Division of rule change. Trading and Markets, pursuant to delegated Interested persons are invited to authority.26 III. Date of Effectiveness of the submit written data, views, and J. Matthew DeLesDernier, Proposed Rule Change and Timing for arguments concerning the foregoing, Commission Action including whether the proposed rule Assistant Secretary. Because the foregoing proposed rule change is consistent with the Act. [FR Doc. 2021–09890 Filed 5–10–21; 8:45 am] change does not: (i) Significantly affect Comments may be submitted by any of BILLING CODE 8011–01–P the protection of investors or the public the following methods: interest; (ii) impose any significant burden on competition; and (iii) become Electronic Comments SECURITIES AND EXCHANGE operative for 30 days from the date on • Use the Commission’s internet COMMISSION which it was filed, or such shorter time comment form (http://www.sec.gov/ [Release No. 34–91781; File No. SR–Phlx– as the Commission may designate, it has rules/sro.shtml); or 2020–41] become effective pursuant to Section • Send an email to rule-comments@ 19(b)(3)(A) of the Act 21 and Rule 19b– sec.gov. Please include File Number SR– Self-Regulatory Organizations; Nasdaq 4(f)(6) thereunder.22 CBOE–2021–031 on the subject line. PHLX LLC; Notice of Filing of A proposed rule change filed under Amendment Nos. 1 and 2 and Order Paper Comments Rule 19b–4(f)(6) 23 normally does not Granting Accelerated Approval of a become operative for 30 days after the • Send paper comments in triplicate Proposed Rule Change, as Modified by date of filing. However, pursuant to to Secretary, Securities and Exchange Amendment Nos. 1 and 2, To List and Rule 19b–4(f)(6)(iii),24 the Commission Commission, 100 F Street NE, Trade Options on a Nasdaq-100 may designate a shorter time if such Washington, DC 20549–1090. Volatility Index action is consistent with the protection All submissions should refer to File May 5, 2021. of investors and the public interest. The Number SR–CBOE–2021–031. This file Exchange has asked the Commission to number should be included on the I. Introduction waive the 30-day operative delay so that subject line if email is used. To help the On August 24, 2020, Nasdaq PHLX the proposal may become operative Commission process and review your LLC (‘‘Exchange’’ or ‘‘Phlx’’) filed with comments more efficiently, please use the Securities and Exchange 21 15 U.S.C. 78s(b)(3)(A). only one method. The Commission will Commission (‘‘Commission’’), pursuant 22 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– post all comments on the Commission’s to Section 19(b)(1) of the Securities 4(f)(6)(iii) requires a self-regulatory organization to internet website (http://www.sec.gov/ give the Commission written notice of its intent to Exchange Act of 1934 (‘‘Act’’) 1 and Rule file the proposed rule change, along with a brief rules/sro.shtml). Copies of the 19b–4 thereunder,2 a proposed rule description and text of the proposed rule change, submission, all subsequent change to list and trade options on a at least five business days prior to the date of filing Nasdaq-100 Volatility Index (‘‘Volatility of the proposed rule change, or such shorter time 25 For purposes only of waiving the operative as designated by the Commission. The Exchange delay for this proposal, the Commission has has satisfied this requirement. considered the proposed rule’s impact on 26 17 CFR 200.30–3(a)(12). 23 17 CFR 240.19b–4(f)(6). efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). 24 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4.
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Index’’ or ‘‘VOLQ’’). The proposed rule Commission is publishing this notice to The Exchange believes that the change was published for comment in solicit comments on Amendment Nos. 1 proposed product does not have single the Federal Register on September 8, and 2 from interested persons, and is or aggregated component concentration 2020.3 On October 20, 2020, pursuant to approving the proposed rule change, as risk. The Exchange states that the Section 19(b)(2) of the Act,4 the modified by Amendment Nos. 1 and 2, methodology caps each single Commission designated a longer period on an accelerated basis. component as well as the top five within which to approve the proposed weighted components. The Exchange II. Description of the Proposed Rule rule change, disapprove the proposed further states that no component Change, as Modified by Amendment rule change, or institute proceedings to security of the Volatility Index Nos. 1 and 2 11 determine whether to disapprove the comprises more than 12.50% of the proposed rule change.5 On December 4, The Exchange proposes to list and index’s weighting and that the five 2020, the Commission instituted trade options on VOLQ, a new index highest weighted component securities proceedings under Section 19(b)(2)(B) of that measures changes in 30-day of the Volatility Index in the aggregate the Act 6 to determine whether to implied volatility of the Nasdaq-100 do not comprise more than 43.75% of approve or disapprove the proposed Index (‘‘Nasdaq-100 Index’’ or ‘‘NDX’’). the index’s weighting. rule change.7 On March 4, 2021, the As proposed, options on VOLQ will be Index Calculation and Maintenance Commission designated a longer period cash-settled and will have European- for Commission action on the proposed style exercise provisions. The Exchange The Exchange states that the level of rule change.8 On March 11, 2021, the states that the Volatility Index will the Volatility Index will reflect the Exchange filed Amendment No. 1 to the measure ‘‘at-the-money’’ volatility by current 30-day implied volatility of proposed rule change, which replaced using published real-time bid/ask NDX and will be updated on a real-time and superseded the proposed rule quotes of NDX options and will be basis on each trading day beginning at change.9 On April 19, 2021, the disseminated in annualized percentage 9:30 a.m. and ending at 4:00 p.m. ET. If Exchange filed partial Amendment No. points. the current published value of a 2 to the proposed rule change.10 The The Exchange proposes to list up to component is not available, the last six weekly expirations and up to 12 published value will be used in the 3 See Securities Exchange Act Release No. 89725 standard (monthly) expirations in calculation. Values of the Volatility (September 1, 2020), 85 FR 55544 (‘‘Notice’’). Volatility Index options. The six weekly Index will be disseminated via the Comments on the proposed rule change can be Nasdaq GIDS market data system every found on the Commission’s website at: https:// expirations will be for the nearest www.sec.gov/comments/sr-phlx-2020-41/ weekly expirations from the actual fifteen seconds during the Exchange’s srphlx202041.htm. listing date, and the weekly expirations regular trading hours to market 4 15 U.S.C. 78s(b)(2). will not expire in the same week in information vendors such as Bloomberg 5 See Securities Exchange Act Release No. 90226, which standard (monthly) Volatility and Thomson Reuters. In the event the 85 FR 67781 (October 26, 2020). The Commission Volatility Index ceases to be maintained designated December 7, 2020 as the date by which Index options expire. Standard the Commission shall approve or disapprove, or (monthly) expirations in the Volatility or calculated the Exchange will not list institute proceedings to determine whether to Index options will not be counted as any additional series for trading and disapprove, the proposed rule change. part of the maximum six weekly will limit all transactions in such 6 15 U.S.C. 78s(b)(2)(B). options to closing transactions only for 7 See Securities Exchange Act Release No. 90573, expirations permitted for Volatility 85 FR 79552 (December 10, 2020). Index options. In addition, the Exchange the purpose of maintaining a fair and 8 See Securities Exchange Act Release No. 91254, proposes that long term option series orderly market and protecting investors. 86 FR 13772 (March 10, 2021) (designating May 6, having up to sixty months to expiration Exercise and Settlement Value 2021 as the date by which the Commission shall may be listed and traded. approve or disapprove the proposal). The exercise settlement value 9 In Amendment No. 1, the Exchange: (i) Sets the Volatility Index Design and calculation used for Volatility Index end of the trading session for options on the Volatility index at 4:00 p.m. ET instead of 4:15 p.m. Composition option settlement will be calculated on ET; (ii) expands the venues of the thirty-two The Exchange states that the Volatility the Volatility Index Options expiration underlying Nasdaq-100 Index component options date, the specific date (usually a used to calculate the Closing Volume Weighted Index reflects changes in 30-day implied Average Price (i.e., settlement value for the volatility, which measures the Wednesday) identified in the option Volatility Index options), which will be determined magnitude of changes of the underlying symbol for the series. If that Wednesday by reference to prices and sizes of executed orders broad-based securities index, NDX. or the Friday that is thirty days or quotes on Phlx to also include Nasdaq ISE, LLC following that Wednesday is an (‘‘ISE’’) and Nasdaq GEMX, LLC (‘‘GEMX’’); (iii) According to the Exchange, the clarifies that The Nasdaq Stock Market LLC shall be Volatility Index measures the Exchange holiday, the exercise the reporting authority for the VOLQ Index; (iv) expectation for market volatility over settlement value will be calculated on states that executed orders shall include simple the next thirty calendar days as the business day immediately preceding orders and complex orders, and that individual leg executions of a complex order will only be included expressed by options on NDX. The that Wednesday. The last trading day for if the executed price of the leg is at or within the Exchange explains that the Volatility a Volatility Index option will be the national best bid or offer (‘‘NBBO’’); (v) commits to Index uses the bid and offer prices of business day immediately preceding the providing an annual report to the Commission for expiration date. When the last trading five years containing certain settlement data; (vi) certain listed options on NDX to obtain states that Phlx will surveil for open interest in the prices of synthetic precisely at-the- day is moved because of an Exchange VOLQ in addition to Nasdaq-100 trading volume money options, which are then used to holiday, the last trading day for an prior to settlement; and (vii) makes other clarifying calculate 30-day closed-form implied expiring Volatility Index option contract and conforming changes throughout the filing. will be the day immediately preceding Amendment No. 1 is available at: https:// volatility. Finally, the 30-day closed- www.sec.gov/comments/sr-phlx-2020-41/ form implied volatility is multiplied by the last regularly scheduled business srphlx202041-8486517-229965.pdf. 100 to calculate the Volatility Index day. 10 In Amendment No. 2, the Exchange removes level. The Volatility Index is quoted in Monthly options on the Volatility the word ‘‘non-public’’ from the description of the annualized percentage points. Index will expire on the Wednesday annual report it will provide to the Commission. that is thirty days prior to the third Amendment No. 2 is available at: https:// www.sec.gov/comments/sr-phlx-2020-41/ 11 Additional information regarding the proposal Friday of the following the expiring srphlx202041-8687377-235663.pdf. can be found in Amendment No. 1, supra note 9. month. Trading in expiring options on
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the Volatility Index will normally cease Contract Specifications the Exchange states that since the at 4:00 p.m. ET on the Tuesday The proposed options on the Volatility Index assesses each second of preceding an expiration Wednesday. Volatility Index are European-style and all listed NDX options, this is a continuous assessment of competitive Final Settlement cash-settled. The Exchange states that the trading hours for Volatility Index price action and voluminous trading The Exchange states that the final options will be 9:30 a.m. to 4:00 p.m. activity for all Nasdaq-100 Index stock settlement price (Ticker Symbol: VOLS) ET. The Exchange proposes to apply components. In support, the Exchange will be calculated as described below on margin requirements for the purchase notes that during the final settlement Wednesday commencing at 9:32:000 and sale of options on the Volatility observation period (five-minute period) a.m. ET on the expiration day, and Index that are identical to those applied on January 16, 2019 and February 13, continuing each second for the next 300 for its other broad-based index options. 2019, the average summation of traded seconds (‘‘Closing Settlement Period’’). The Exchange states that trading of volume for all Nasdaq-100 Index The exercise settlement amount will be options on the Volatility Index will be component shares was 18.8 million equal to the difference between the final subject to the trading halt procedures shares. The Exchange states that the settlement price and the exercise price applicable to other index options traded average total value of all Nasdaq-100 of the option, multiplied by $100. on the Exchange. Options on the Index shares traded during the final Exercise will result in the delivery of Volatility Index will be quoted and settlement observation period was $1.93 cash on the business day following traded in U.S. dollars. Accordingly, the billion and the corresponding market expiration. Exchange believes that all Exchange and capitalization for all Nasdaq-100 Index The Options Clearing Corporation components during the final settlement The Volatility Index’s component period was $7.8 trillion. NDX options are listed on Phlx as well members will be able to accommodate The Exchange represents that it has an as on ISE and GEMX. The settlement trading, clearance, and settlement of the adequate surveillance program in place value for the Volatility Index options Volatility Index without alteration. All for options traded on the Volatility will be the Closing Volume Weighted options on the Volatility Index will have Index and intends to apply those same Average Price, to be determined by a minimum increment of $0.05 for program procedures that it applies to reference to the prices and sizes of options trading below $3.00 and $0.10 the Exchange’s other options products. executed orders or quotes in the thirty- for all other series. The Exchange proposes to set the Additionally, the Exchange states that it two underlying NDX component minimum strike price interval for is a member of the Intermarket options on the Phlx, ISE, and GEMX options on the Volatility Index at $0.50 Surveillance Group, through which it markets calculated near the opening of or greater where the strike price is less can coordinate surveillance and trading on the expiration date. The than $75, $1 or greater where the strike investigative information sharing in the Exchange will observe the number of price is $200 or less, and $5 or greater stock and options markets with all of contracts resulting from orders and where the strike price is more than the U.S. registered stock and options quotes of the then-current NDX $200. The Exchange proposes that there markets. Phlx believes that its component options executed on Phlx, shall be no position or exercise limits surveillance procedures currently in ISE, and GEMX at each price during for options on the Volatility Index and place, coupled with additional individual one-second intervals of the that trading of options on the Volatility surveillance measures, will allow it to Closing Settlement Period on the Index will be subject to the same rules adequately surveil for any potential expiration day.12 If no transactions that presently govern the trading of manipulation in the trading of Volatility occur on Phlx, ISE, or GEMX in an NDX Exchange index options, including sales Index options. The Exchange states it component option during any one- practice rules, margin requirements, and will monitor the integrity of the second observation period, the NBBO trading rules. Volatility Index by analyzing trades, midpoint of each of the NDX component The Exchange believes that it is quotations, and orders that affect any of options for which a transaction has not unlikely that the Volatility Index the 300 calculated reference prices for occurred at the end of the one-second settlement value could be manipulated any of the NDX option series used for observation period will be considered because the likelihood of gaming the the final settlement calculation for the One Second VWAP for that components over a 300-second period is potential manipulation. In particular, observation period for purposes of the extremely low. The Exchange states that the Exchange states it will: (i) Monitor settlement methodology. The NBBO because the 32 component option inputs all NDX NBBO quotes and trades midpoint will be the midpoint of the are determined each second (meaning (including but not limited to NDX best bid and best offer from Phlx, ISE, that Volatility Index components could quotes and trades on the Exchange) and GEMX. Each One Second VWAP for change 300 times during the settlement during the opening for all options series each component option is then used to period), market participants would have that are used as part of the final calculate the Volatility Index, resulting to predict market moves over the full settlement; (ii) surveil for open interest in the calculation of 300 sequential settlement period in order to manipulate manipulation by monitoring VOLQ and Volatility Index values. Finally, the the settlement value. Additionally, the NDX trading volume prior to settlement; Exchange states that all 300 Volatility Exchange believes that traders are (iii) monitor trading on Phlx, ISE, and Index values will be arithmetically subject to highly competitive market GEMX after the Closing Settlement averaged (i.e., the sum of 300 Volatility forces of deep and established market Period for possible wash trading, pre- Index calculations is divided by 300) liquidity. For example, the Exchange arranged, or related artificial activity; and the resulting figure is rounded to notes that during each second of the and (iv) compare quotes for settlement the nearest .01 to arrive at the settlement final settlement observation period on against quotes for non-settlement in the value. January 16, 2019 and February 13, 2019, 32 NDX option series used for the average notional value of each bid settlement between the opening and a 12 The Exchange calculates a volume weighted period of time thereafter, with a focus average price for each one-second observation of the thirty-two components was $21.1 period (a ‘‘One Second VWAP’’) for each million; the average notional value of on identifying deviations of the component option. each offer was $13.5 million. Finally, midpoint, the bid-ask spread, and other
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market elements compared to the final settlement. Second, the Exchange basis of such inputs may change every Nasdaq-100 Index value. The Exchange believes that traders are subject to second over the settlement window also represents that it has the necessary competitive market forces of deep and depending on the value of the Nasdaq- system capacity to support additional established market liquidity. In 100 Index. The Exchange states that it quotations and messages that will result addition, the Exchange amended its will monitor for any potential from the listing and trading of options proposal to incorporate all trades in the manipulation of the Volatility Index on the Volatility Index. component options into the settlement settlement value in the normal course of The Exchange committed to providing calculation, rather than only trades its surveillance. Additionally, the the Commission an annual report each occurring on the Exchange, and to Exchange has proposed enhanced year for 5 years on the anniversary of specify that legs of complex order surveillance procedures to further the first day of trading of VOLQ options. transactions would only be included in analyze trades, quotations, and orders The annual report shall consist of the calculation if they were at or within that affect any of the 300 calculated twelve monthly data files, one for each the NBBO. The Exchange also reference prices for any NDX option month, with settlement information committed to provide five years of series used for the final settlement from the prior year which contains: (1) monthly settlement data on an annual calculation. The Commission believes One-second NBBO (bid price, bid size, basis.15 the Exchange’s existing and additional offer price, offer size, exchange code for The Exchange also states that the surveillance procedures will allow the bid and offer, time stamp and timestamp proposal will facilitate the listing and Exchange to monitor for anomalous reference) and Options Price Reporting trading of an index option product with trades, quotations, and orders that may Authority trade data (trade price, a novel structure, which would enhance be indicative of manipulative trading or volume, exchange code, trade indicator, competition among market participants. quoting activity. The Commission finds exchange code) for the VOLS NDX A commenter, who states it is the that the Exchange’s proposal regarding component options from 9:30:00 a.m. provider of the VOLQ methodology, also surveillance of options on the Volatility ET to 9:45:00 a.m. ET; (2) all VOLS one- expressed support for the proposal. The Index and the component option series second index values (over the final commenter states that VOLQ is a will allow it to adequately surveil for settlement window between 9:32:01 response to requests from market any potential manipulation in the a.m. ET and 9:37:00 a.m. ET) used in participants and that competition and trading of VOLQ. Therefore, the deriving the final settlement value for innovation generated by VOLQ are in Commission finds the settlement design, Nasdaq-100 Volatility Index futures the public interest and will benefit as amended, when combined with the contracts; and (3) expiring VOLQ investors.16 Exchange’s existing and proposed options open interest. The Commission believes that the enhanced surveillance procedures, will III. Discussion and Commission Exchange’s proposal, including the prevent fraudulent and manipulative Findings settlement methodology, as amended, in acts and practices and protect investors conjunction with the Exchange’s and the public interest. After careful review of the proposed existing and additional proposed The Commission believes that the rule change, as modified by Amendment surveillance procedures, will help to Exchange’s proposal to impose no Nos. 1 and 2, as well as comment ensure that the settlement value is not position limits on the Volatility Index received, the Commission finds that the readily susceptible to manipulation. The options is appropriate and consistent proposed rule change, as modified by amended settlement methodology with the Act. As stated above, the Amendment Nos. 1 and 2, is consistent incorporates additional trade Volatility Index will settle using with the Act and the rules and information by including transactions published volume and/or quotes from regulations thereunder applicable to a NDX options. Given that there are 13 on all markets trading the component national securities exchange. In NDX options while ensuring that currently no position limits for NDX particular, the Commission finds that individual leg executions of complex options,17 the Commission believes it is the proposed rule change, as modified orders that may have traded through the appropriate for there to be no position by Amendment Nos. 1 and 2, is NBBO are not included in the or exercise limits 18 for options on the consistent with Section 6(b)(5) of the settlement calculation. The Commission Volatility Index since the potential Act,14 which requires, among other believes this will contribute to a more manipulation and potential market things, that the Exchange’s rules be robust settlement methodology. The disruption concerns that position limits designed to prevent fraudulent and Volatility Index and the settlement are designed to address are mitigated in manipulative acts and practices, to value are calculated based on quotes, the case of this product. According to promote just and equitable principles of orders, or trades in the component NDX the Exchange, the market capitalization trade, to remove impediments to and options and the settlement value of the NDX was approximately $11.42 perfect the mechanism of a free and calculation relies on 32 unique inputs trillion and contained approximately open market and a national market each second over 300 seconds. The 32 74.7 billion component shares as of June system, and, in general, to protect component NDX options that are the 30, 2020. The Commission believes that investors and the public interest. the enormous market capitalization of In support of its proposal, the 15 In Amendment No. 2, the Exchange removed NDX and the deep, liquid market for the Exchange states that the Volatility Index the word ‘‘non-public’’ from its description of the underlying component securities final settlement has exceedingly high annual report it would provide to the Commission. significantly reduce concerns regarding hurdles for potential manipulation. See Amendment No. 2, supra note 10. The market manipulation or disruption in First, the Exchange believes that market provision of annual settlement data for five years the underlying market. Similar participants cannot predict which will assist the Commission in monitoring settlement inputs and values and assessing how the market for components will be included in the VOLQ and the underlying NDX component options 17 See Phlx Options 4A, Section 6, ‘‘Position may change over time. Limits,’’ section (a)(ii). 13 In approving this proposed rule change, the 16 See letter dated September 16, 2020 from Scott 18 Phlx Options 4A, Section 10, ‘‘Exercise Commission has considered the proposed rule’s Nations, President, Nations Indexes, to Vanessa Limits,’’ provides ‘‘In determining compliance with impact on efficiency, competition, and capital Countryman, Secretary, Commission, available at: Options 9, Section 15, exercise limits for index formation. See 15 U.S.C. 78c(f). https://www.sec.gov/comments/sr-phlx-2020-41/ option contracts shall be equivalent to the position 14 15 U.S.C. 78f(b)(5). srphlx202041-7783670-223493.pdf. limits described in Options 4A, Section 6.’’
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reasoning would apply to options on the rules relating to trading of the options business days between the hours of Volatility Index since the value of on the Volatility Index on the Exchange 10:00 a.m. and 3:00 p.m. Copies of the options on the Volatility Index is are designed to prevent fraudulent and filing also will be available for derived from the volatility of NDX, as manipulative acts and practices, to inspection and copying at the principal implied by its options. Moreover, the promote just and equitable principles of office of the Exchange. All comments Commission believes that having no trade, to remove impediments to and received will be posted without change. position limits for the proposed perfect the mechanism of a free and Persons submitting comments are Volatility Index options may benefit open market and a national market cautioned that we do not redact or edit investors by bringing additional depth system, and, in general, to protect personal identifying information from and liquidity to these Volatility Index investors and the public interest. comment submissions. You should options without raising significant Accordingly, the Commission finds submit only information that you wish concerns about potential manipulation that the proposed rule change, as to make available publicly. All or potential market disruption. modified by Amendment Nos. 1 and 2, submissions should refer to File The Commission believes that the is consistent with Section 6(b)(5) of the Number SR–Phlx–2020–41 and should proposed strike price intervals and Act 21 and the rules and regulations be submitted on or before June 1, 2021. thereunder applicable to a national minimum trading increments for V. Accelerated Approval of the securities exchange. options on the Volatility Index are Proposed Rule Change, as Modified by appropriate and consistent with the Act. IV. Solicitation of Comments on Amendment Nos. 1 and 2 These aspects of the proposal will Amendment Nos. 1 and 2 to the The Commission finds good cause to provide investors with added flexibility Proposed Rule Change in the trading of these options and will approve the proposed rule change, as further the public interest by allowing Interested persons are invited to modified by Amendment Nos. 1 and 2, investors to establish positions that are submit written views, data, and prior to the thirtieth day after the date better tailored to meet their investment arguments concerning whether of publication of notice of the filing of objectives. In addition, the Exchange Amendment Nos. 1 and 2 are consistent Amendment Nos. 1 and 2 in the Federal with the Act. Comments may be Register. In Amendment No. 1, among states it has the necessary system 22 capacity to support additional submitted by any of the following other things, the Exchange modifies quotations and messages that will result methods: certain aspects of the proposal, including changes to the settlement from the listing and trading of options Electronic Comments methodology that incorporate additional on the Volatility Index. • Use the Commission’s internet pricing information, and commits to As a national securities exchange, the comment form (http://www.sec.gov/ provide the Commission with annual Exchange is required, under Section rules/sro.shtml); or settlement data for five years. In 6(b)(1) of the Act,19 to enforce • Send an email to rule-comments@ Amendment No. 2, the Exchange compliance by its members and persons sec.gov. Please include File Number SR– removes the word ‘‘non-public’’ from associated with its members with the Phlx–2020–41 on the subject line. the description of the annual settlement provisions of the Act, Commission rules data it will provide to the and regulations thereunder, and its own Paper Comments Commission.23 The changes to the rules. In this regard, the Exchange states • Send paper comments in triplicate proposal and additional information in that trading of options on the Volatility to Secretary, Securities and Exchange Amendment Nos. 1 and 2 assist the Index will be subject to the same rules Commission, 100 F Street NE, Commission in evaluating the that currently govern the trading of Washington, DC 20549–1090. Exchange’s proposal and in determining other index options on the Exchange. All submissions should refer to File that it is consistent with the Act. The Commission believes that it is Number SR–Phlx–2020–41. This file Accordingly, the Commission finds consistent with the Act to apply number should be included on the good cause, pursuant to Section 19(b)(2) Exchange rules governing, among other subject line if email is used. To help the of the Act,24 to approve the proposed things, margin requirements and trading Commission process and review your rule change, as modified by Amendment halt procedures to the proposed comments more efficiently, please use Nos. 1 and 2, on an accelerated basis. Volatility Index options that are only one method. The Commission will otherwise applicable to options on post all comments on the Commission’s VI. Conclusion broad-based indexes.20 The Commission internet website (http://www.sec.gov/ It is therefore ordered, pursuant to believes that the Exchange’s rules rules/sro.shtml). Copies of the Section 19(b)(2) of the Act,25 that the governing the trading of the Volatility submission, all subsequent proposed rule change (SR–Phlx–2020– Index options on the Exchange help to amendments, all written statements 41), as modified by Amendment Nos. 1 ensure the maintenance of fair and with respect to the proposed rule and 2, be, and hereby is, approved on orderly markets for the options on the change that are filed with the an accelerated basis. Volatility Index, which is consistent Commission, and all written with the protection of investors and the For the Commission, by the Division of communications relating to the Trading and Markets, pursuant to delegated public interest. Therefore, the proposed rule change between the authority.26 Commission finds that the Exchange’s Commission and any person, other than J. Matthew DeLesDernier, those that may be withheld from the Assistant Secretary. 19 15 U.S.C. 78f(b)(1). public in accordance with the 20 [FR Doc. 2021–09889 Filed 5–10–21; 8:45 am] The Commission’s approval of the listing and provisions of 5 U.S.C. 552, will be trading of the Volatility Index, which the Exchange BILLING CODE 8011–01–P proposes to treat as a broad-based index for available for website viewing and purposes of certain of its options rules, does not printing in the Commission’s Public 22 See supra note 9. address or relate to whether or not the index is Reference Room, 100 F Street NE, 23 broad-based for any other purposes, including for See supra note 10. purposes of the definition of ‘‘narrow-based Washington, DC 20549 on official 24 15 U.S.C. 78s(b)(2). security index’’ in Section 3(a)(55)(B) of the Act and 25 Id. any related Commission orders. 21 15 U.S.C. 78f(b)(5). 26 17 CFR 200.30–3(a)(12).
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SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s listed equity options, excluding COMMISSION Statement of the Purpose of, and Exchange-Traded Fund Shares and Statutory Basis for, the Proposed Rule ETNs, that have an expiration date more [Release No. 34–91776; File No. SR–MIAX– Change than twenty-one days from the listing 2021–12] 1. Purpose date. This proposal does not amend monthly or quarterly listing rules nor The Exchange proposes to amend Self-Regulatory Organizations; Miami does it amend the $1 Strike Price Rule 404, Series of Option Contracts International Securities Exchange, Interval Program, the $0.50 Strike Open for Trading. Specifically, this LLC; Notice of Filing and Immediate proposal seeks to limit the intervals Program, or the $2.50 Strike Price Effectiveness of a Proposed Rule between strikes for multiply listed Program. Change To Amend Exchange Rule 404 equity options classes within the Short Short Term Options Series Program To Limit Short Term Options Series Term Options Series program that have Intervals Between Strikes an expiration date more than twenty- Today, Policy .02 of Exchange Rule one days from the listing date. 404 permits the Exchange to open for May 5, 2021. Background trading on any Thursday or Friday that Pursuant to the provisions of Section is a business day (‘‘Short Term Option 19(b)(1) of the Securities Exchange Act Today, Exchange Rule 404 permits the Opening Date’’) series of options on an of 1934 (‘‘Act’’) 1 and Rule 19b–4 Exchange, after a particular class of option class that expires at the close of thereunder,2 notice is hereby given that options (call option contracts or put business on each of the next five Fridays option contracts relating to a specific on April 21, 2021, Miami International that are business days and are not underlying stock, Exchange-Traded Securities Exchange, LLC (‘‘MIAX Fridays in which monthly options series Fund Share,3 or ETNs) has been Options’’ or the ‘‘Exchange’’) filed with or Quarterly Options Series expire the Securities and Exchange approved for listing and trading on the Exchange, to open for trading series of (‘‘Short Term Option Expiration Dates’’), Commission (‘‘Commission’’) a options therein. The Exchange may list provided an option class has been proposed rule change as described in series of options for trading on a approved for listing and trading on the Items I and II below, which Items have weekly,4 monthly,5 or quarterly 6 basis. Exchange.11 Today, the Exchange may been prepared by the Exchange. The Exchange Rule 404(d) sets forth the open up to thirty initial series for each Commission is publishing this notice to intervals between strike prices of series option class that participates in the solicit comments on the proposed rule of options on individual stocks.7 In Short Term Options Series Program.12 change from interested persons. addition to those intervals, the Further, if the Exchange opens less than I. Self-Regulatory Organization’s Exchange may list series of options thirty (30) Short Term Option Series for Statement of the Terms of Substance of pursuant to the $1 Strike Price Interval a Short Term Option Expiration Date, Program,8 the $0.50 Strike Program,9 the Proposed Rule Change additional series may be opened for and the $2.50 Strike Price Program.10 trading on the Exchange when the The Exchange is filing a proposal to The Exchange’s proposal seeks to Exchange deems it necessary to amend Exchange Rule 404, Series of amend the listing of weekly series of maintain an orderly market, to meet Option Contracts Open for Trading. options as proposed within Policy .02(f) customer demand or when the market of Exchange Rule 404, by limiting the price of the underlying security moves The text of the proposed rule change intervals between strikes in multiply is available on the Exchange’s website at 11 The Exchange may have no more than a total http://www.miaxoptions.com/rule- 3 Securities deemed appropriate for options of five Short Term Option Expiration Dates. trading shall include share or other securities filings/ at MIAX Options’ principal Monday and Wednesday SPY Expirations (‘‘Exchange-Traded Fund Shares’’) that are traded office, and at the Commission’s Public (described in the paragraph below) are not included on a national securities exchange and are defined as part of this count. If the Exchange is not open Reference Room. as an ‘‘NMS stock’’ under Rule 600 of Regulation for business on the respective Thursday or Friday, NMS. See Exchange Rule 402(i). the Short Term Option Opening Date will be the II. Self-Regulatory Organization’s 4 The weekly listing program is known as the first business day immediately prior to that Statement of the Purpose of, and Short Term Options Series Program and is respective Thursday or Friday. Similarly, if the Statutory Basis for, the Proposed Rule described in Policy .02 of Exchange Rule 404. Exchange is not open for business on a Friday, the 5 Change Except as other provided in Exchange Rule 404 Short Term Option Expiration Date will be the first and Interpretations and Policies hereto, at the business day immediately prior to that Friday. The commencement of trading on the Exchange of a In its filing with the Commission, the Exchange may open for trading on any Tuesday or particular type of option of a class of options, the Wednesday that is a business day (‘‘Wednesday Exchange included statements Exchange shall open a minimum of one expiration SPY Expiration Opening Date’’) series of options on concerning the purpose of and basis for month and series for each class of options open for the SPDR S&P 500 ETF Trust (‘‘SPY’’) that expire the proposed rule change and discussed trading on the Exchange. See Exchange Rule 404(b). at the close of business on each of the next five 6 The quarterly listing program is known as the Wednesdays that are business days and are not any comments it received on the Quarterly Options Series Program and is described Wednesdays on which Quarterly Options Series proposed rule change. The text of these in Policy .03 of Exchange Rule 404. expire (‘‘Wednesday SPY Expirations’’). The statements may be examined at the 7 Except as otherwise provided in Interpretations Exchange may have no more than a total of five and Policies of Exchange Rule 404, the interval places specified in Item IV below. The Wednesday SPY Expirations. Non-Wednesday SPY between strike prices of series of options on Expirations (described in the paragraph above) are Exchange has prepared summaries, set individual stocks will be: (1) $2.50 or greater where not included as part of this count. If the Exchange forth in sections A, B, and C below, of the strike price is $25.00 or less; (2) $5.00 or greater is not open for business on the respective Tuesday the most significant aspects of such where the strike price is greater than $25.00; and or Wednesday, the Wednesday SPY Expiration (3) $10.00 or greater where the strike price is greater Opening Date will be the first business day statements. than $200.00. immediately prior to that respective Tuesday or 8 The $1 Strike Price Interval Program is Wednesday. Similarly, if the Exchange is not open described within Policy .01 of Exchange Rule 404. for business on a Wednesday, the expiration date 9 The $0.50 Strike Program is described in Policy for a Wednesday SPY Expiration will be the first .04 of Exchange Rule 404. business day immediately prior to that Wednesday. 1 15 U.S.C. 78s(b)(1). 10 The $2.50 Strike Price Program is described in See Policy .02 of Exchange Rule 404. 2 17 CFR 240.19b–4. Exchange Rule 404(f). 12 See Policy .02(c) of Exchange Rule 404.
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substantially from the exercise price or the same strike price intervals for the listed as part of the Short Term Option prices of the series already opened.13 Short Term Option Series.15 Series Program that have an expiration The Exchange may open for trading The Exchange may select up to fifty date more than twenty-one days from Short Term Option Series on the Short (50) currently listed option classes on the listing date, by adopting proposed Term Option Opening Date that expire which Short Term Option Series may be Policy .11 to Exchange Rule 404, as well on the Short Term Option Expiration opened on any Short Term Option as paragraph (f) of Policy .02 to Date. The strike price interval for Short Opening Date. In addition to the 50 Exchange Rule 404, with respect to Term Option Series may be $0.50 or option class restriction, the Exchange listing Short Term Option Series in greater for option classes that trade in $1 may also list Short Term Option Series equity options, (excluding Exchange- strike price intervals and are in the on any option classes that are selected Traded Fund Shares and ETNs) Short Term Option Series Program. If by other securities exchanges that (collectively ‘‘Strike Interval Proposal’’). the class does not trade in $1 strike employ a similar program under their The Exchange notes that this proposal is price intervals, the strike price interval respective rules. For each option class for Short Term Option Series may be eligible for participation in the Short substantively identical to the strike $0.50 or greater where the strike price Term Option Series Program, the interval proposal recently submitted by is less than $100 and $1.00 or greater Exchange may open up to thirty (30) the Nasdaq BX exchange (‘‘BX where the strike price is between $100 Short Term Option Series for each proposal’’) and approved by the and $150, and $2.50 or greater for strike expiration date in that class.16 Commission.18 prices greater than $150.14 A non-Short The Exchange notes that listings in The Exchange’s Strike Interval Term Option series that is included in the weekly program comprise a Proposal would limit the intervals a class that has been selected to significant part of the standard listing in between strikes by utilizing the table participate in the Short Term Option options markets and that over the five proposed within Policy .11 of Exchange Series Program is referred to as a years the industry has observed a Rule 404. With the Strike Interval ‘‘Related non-Short Term Option.’’ notable increase in the compound Proposal, the Exchange would limit Notwithstanding any other provision annual growth rate (‘‘CAGR’’) of weekly intervals between strikes for expiration regarding strike prices in Exchange Rule strikes as compared to CAGR for dates of option series beyond twenty- 404, Related non-Short Term Option standard third-Friday expirations.17 series shall be opened during the month one days utilizing the below three-tiered prior to expiration in the same manner Proposal table which considers both the share as permitted in Exchange Rule 404, The Exchange proposes to limit the price and average daily volume for the Interpretations and Policies .02, and in intervals between strikes in options option series.
Share price Tier Average daily volume $25 to less $75 to less $150 to less $500 or Less than $25 than $75 than $150 than $500 greater
1 ...... Greater than 5,000...... $0.50 $1.00 $1.00 $5.00 $5.00 2 ...... Greater than 1,000 to 5,000 19 ...... 1.00 1.00 1.00 5.00 10.00 3 ...... 0 to 1,000 ...... 2.50 5.00 5.00 5.00 10.00
The table indicates the applicable The Share Price would be the closing calculated using the calendar quarter strike intervals and supersedes Policy price on the primary market on the last prior to the last trading calendar .02(d) of Rule 404, which currently day of the calendar quarter. This value quarter.20 In the event of a corporate allows the Exchange to open additional would be used to derive the column action, the Share Price of the surviving series for trading on the Exchange when from which to apply strike intervals company would be utilized. These the Exchange deems it necessary to throughout the next calendar quarter. metrics are intended to align maintain an orderly market, to meet The Average Daily Volume would be the expectations for determining which customer demand or when the market total number of options contracts traded strike intervals will be utilized. Finally, price of the underlying security moves in a given security for the applicable notwithstanding the limitation imposed substantially from the exercise price or calendar quarter divided by the number by proposed Policy .11 of Exchange prices of the series already opened. As of trading days in the applicable Rule 404, this Strike Interval Proposal a result of the proposal, Policy .02(d) calendar quarter. Beginning on the does not amend the range of strikes that would not permit an additional series of second trading day in the first month of may be listed pursuant to Policy .02 of an equity option to have an expiration each calendar quarter, the Average Daily Exchange Rule 404, regarding the Short date more than 21 days from the listing Volume shall be calculated by utilizing Term Option Series Program. date to be opened for trading on the data from the prior calendar quarter By way of example, if the Share Price Exchange despite the noted based on Customer-cleared volume at for a symbol was $142 at the end of a circumstances in Policy .02(d) when OCC. For options listed on the first calendar quarter, with an Average Daily such additional series may otherwise be trading day of a given calendar quarter, Volume greater than 5,000, thereby, added. the Average Daily Volume shall be requiring strike intervals to be listed
13 See Policy .02(d) of Exchange Rule 404. 17 See Securities Exchange Act Release No. 91125 it for clarity, otherwise an Average Daily Volume 14 See Policy .02(e) of Exchange Rule 404. (February 12, 2021), 86 FR 10375 (February 19, of 1,000 contracts could be read to fall into two 2021) (SR–BX–2020–032). 15 See Policy .02(e) of Exchange Rule 404. categories. 18 See id. 20 For example, options listed as of January 4, 16 See Policy .02(a) of Exchange Rule 404. 19 The Exchange notes that while the term 2021 would be calculated on January 5, 2021 using ‘‘greater than’’ is not present in this cell in the the Average Daily Volume from July 1, 2020 to corresponding BX rule, the Exchange has inserted September 30, 2020.
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$1.00 apart, that strike interval would which equals 81,00 strikes.21 The after the end of the first full calendar apply for the calendar quarter, Exchange expects this proposal to result quarter, additional information on the regardless of whether the Share Price in the limitation of approximately underlying security will be available to changed to greater than $150 that 20,000 strikes within the Short Term market participants and public calendar quarter. The proposed table Option Series, which is approximately investors, as the price of the underlying within Policy .11 of Exchange Rule 404 2% of the total strikes in the options has an opportunity to settle based on the 22 takes into account the notional value of markets. The Exchange understands price discovery that has occurred in the a security, as well as Average Daily there has been an inconsistency of primary market during this deferment Volume in the underlying stock, in demand for series of options beyond 21 period. Also, the Exchange has the order to limit the intervals between 23 calendar days. The proposal takes into ability to list as many strikes as strikes in the Short Term Options listing account customer demand for certain permissible for the Short Term Option program. The Exchange will utilize OCC option classes, by considering both the Series once the expiry is no more than Customer-cleared volume, as customer Share Price and the Average Daily volume is an appropriate proxy for Volume, in order to remove certain 21 days. Short Term Option Series that demand. The OCC Customer-cleared strike intervals where there exist have an expiration date no more than 21 volume represents the majority of clusters of strikes whose characteristics days from the listing date are not subject options volume executed on the closely resemble one another and, to the proposed strike intervals, which Exchange that, in turn, reflects the therefore, do not serve different trading allows the Exchange to list additional, demand in the marketplace. The options needs,24 rendering these strikes less and potentially narrower, strikes in the series listed on the Exchange are useful. The Exchange also notes that the event of market volatility or other intended to meet customer demand by proposal focuses on strikes in multiply market events. These metrics are offering an appropriate number of listed equity options, and excludes ETFs intended to align expectations for strikes. Non-Customer cleared OCC and ETNs, as the majority of strikes determining which strike intervals will volume represents the supply side. reside within equity options. be utilized. Finally, proposed Policy .11 The strike intervals for listing strikes Additionally, proposed Policy .11 of of Rule 404 provides that the proposal in certain options are intended to Exchange Rule 404 provides that does not amend the range of strikes that remove repetitive and unnecessary options that are newly eligible for listing may be listed pursuant to Policy .02, strike listings across the weekly pursuant to Exchange Rule 402 and regarding the Short Term Option Series expiries. The Exchange’s Strike Interval designated to participate in the Short Program. Proposal seeks to reduce the number of Term Option Series program pursuant to strikes in the furthest weeklies, where Policy .02 of Rule 404 will not be While the current listing rules permit there exist wider markets and therefore subject to proposed Policy .11 of the Exchange to list a number of weekly lower market quality. Exchange Rule 404 until after the end of strikes on its market, in an effort to 26 The proposal is intended to remove the first full calendar quarter following encourage Market Makers to deploy repetitive and unnecessary strike the date the option class was first listed capital more efficiently, as well as listings across the weekly expiries. for trading on any options market.25 As improve displayed market quality, the Specifically, the proposal seeks to proposed, the Exchange is permitted to Exchange’s Strike Interval Proposal reduce the number of strikes listed in list options on newly eligible listing, reduces the number of listed weekly the furthest weeklies, which generally without having to apply the wider strike options. As the Exchange’s Strike have wider markets and therefore lower intervals, until the end of the first full Interval Proposal seeks to reduce the market quality. The proposed strike calendar after such options were listed. number of weekly options that would be intervals are intended to widen The proposal thereby permits the listed on its market in later weeks, permissible strike intervals in multiply Exchange to add strikes to meet Market Makers would be required to listed equity options (excluding options customer demand in a newly listed quote in fewer weekly strikes as a result on ETFs and ETNs) where there is less options class. A newly eligible option volume as measured by the Average of the Strike Interval Proposal. class may fluctuate in price after its Specifically, the Strike Interval Proposal Daily Volume tiers. Therefore, the lower initial listing; such volatility reflects a the Average Daily Volume, the greater aims to reduce the density of strike natural uncertainty about the security. the proposed spread between strike intervals that would be listed in later By deferring the application of the intervals. Options classes with higher weeks, by creating limitations for proposed wider strike intervals until volume contain the most liquid symbols intervals between strikes which have an and strikes, which the Exchange expiration date more than twenty-one 21 The Exchange notes that this proposal is an believes makes the finer proposed initial attempt at reducing strikes and anticipates days from the listing date. The table spread between strike intervals for those filing additional proposals to continue reducing takes into account customer demand for symbols appropriate. Additionally, strikes. The percentage of underlying products and certain option classes, by considering lower-priced shares have finer strike percentage of and total number of strikes, are both the Share Price and the Average approximations and may vary at the time of this intervals than higher-priced shares filing. Daily Volume, to arrive at the manner when comparing the proposed spread 22 From information drawn from the time period which weekly strike intervals may be between strike intervals. Today, between January 2020 and May 2020. See BX listed. The intervals for listing strikes in weeklies are available on 16% of proposal, supra note 17. equity options is intended to remove 23 See BX proposal, supra note 17. underlying products. The proposal certain strike intervals where there exist limits the density of strikes listed in 24 For example, two strikes that are densely clustered may have the same risk properties and clusters of strikes whose characteristics series of options, without reducing the may also be the same percentage out-of-the money. closely resemble one another and, classes of options available for trading 25 For example, if an options class became newly therefore, do not serve different trading on the Exchange. Short Term Option eligible for listing pursuant to Exchange Rule 402 Series with an expiration date greater on March 1, 2021 (and was actually listed for trading that day), the first full quarterly lookback 26 The term ‘‘Market Makers’’ refers to ‘‘Lead than 21 days from the listing date would be available on July 1, 2021. This option Market Makers’’, ‘‘Primary Lead Market Makers’’ currently equate to 7.5% of the total would become subject to the proposed strike and ‘‘Registered Market Makers’’ collectively. See number of strikes in the options market, intervals on July 2, 2021. Exchange Rule 100.
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needs,27 rendering these strikes less information with respect to, and The Strike Interval Proposal for listing useful. facilitating transactions in securities, to strikes in certain multiply listed equity The Strike Interval Proposal is remove impediments to and perfect the options is intended to remove certain intended to be the first in a series of mechanisms of a free and open market strikes where there exist clusters of proposals to limit the number of listed and a national market system and, in strikes whose characteristics closely options series listed on MIAX Options general, to protect investors and the resemble one another and, therefore, do and other affiliated markets. The public interest. not serve different trading needs that Exchange intends to decrease the overall The Strike Proposal seeks to limit the renders the strikes less useful and number of strikes listed on MIAX intervals between the strikes listed in thereby protects investors and the exchanges in a methodical fashion, so the Short Term Options Series program general public by removing an that it may monitor progress and that have an expiration date more than abundance of unnecessary choices for feedback from its membership. While twenty-one days. While the current an options series, while also improving limiting the intervals between listed listing rules permit the Exchange to list market quality. The Exchange’s Strike strikes is the goal of this rule change, a number of weekly strikes on its Interval Proposal seeks to reduce the the Exchange’s Strike Interval Proposal market, the Exchange’s Strike Interval number of strikes in the furthest is intended to balance that goal with the Proposal removes impediments to and weeklies, where there exist wider needs of market participants. The perfects the mechanism of a free and markets, and, therefore, lower market Exchange believes that various strike open market and a national market quality. The implementation of the intervals continue to offer market system by encouraging Market Makers proposed table is intended to spread participants the ability to select the to deploy capital more efficiently and strike intervals in multiply listed equity appropriate strike interval to meet the improving market quality overall on the options, where there is less volume that market participant’s investment Exchange through limiting the intervals is measured by the average daily volume objective. between the strikes when applying the tiers. Therefore, the lower the average strike interval table to multiply listed Implementation daily volume, the greater the proposed equity options that have an expiration spread between strike intervals. Options The Exchange will announce the date more than twenty-one days from classes with higher volume contain the implementation date of the proposed the listing date. Also, as the Exchange’s most liquid symbols and strikes, rule change by Regulatory Circular to be Strike Interval Proposal seeks to reduce therefore the finer the proposed spread published no later than 90 days the number of weekly options that between strike intervals. Additionally, following the operative date of the would be listed on its market in later lower-priced shares have finer strike proposed rule. The implementation date weeks, Market Makers would be intervals than higher-priced shares will be no later than 90 days following required to quote in fewer weekly when comparing the proposed spread the issuance of the Regulatory Circular. strikes as a result of the Strike Interval The Exchange will issue a notice to its between strike intervals. Proposal. Amending the Exchange’s Beginning on the second trading day Members 28 whenever the Exchange is listing rules to limit the intervals the first exchange to list an eligible in the first month of each calendar between strikes for multiply listed quarter, the Average Daily Volume shall Short Term Option Series pursuant to equity options that have an expiration Policy .11 of Exchange Rule 404.29 be calculated by utilizing data from the date more than twenty-one days causes prior calendar quarter based on OCC 2. Statutory Basis less disruption in the market as the Customer-cleared volume. Utilizing the majority of the volume traded in weekly second trading day allows the Exchange The Exchange believes that its options exists in options series which to accumulate data regarding OCC proposed rule change is consistent with have an expiration date of twenty-one 30 Customer-cleared volume from the Section 6(b) of the Act in general, and days or less. The Exchange’s Strike entire prior quarter. Beginning on the furthers the objectives of Section 6(b)(5) Interval Proposal curtails the number of 31 second trading day would allow trades of the Act in particular, in that it is strike intervals listed in series of options executed on the last day of the previous designed to prevent fraudulent and without reducing the number of classes calendar quarter to have settled 32 and manipulative acts and practices, to of options available for trading on the be accounted for in the calculation of promote just and equitable principles of Exchange. trade, to foster cooperation and The Strike Interval Program takes into Average Daily Volume. Utilizing the coordination with persons engaged in account customer demand for certain previous three months is appropriate regulating, clearing, settling, processing option classes by considering both the because this time period would help Share Price and the Average Daily reduce the impact of unusual trading 27 For example, two strikes that are densely Volume in the underlying security to activity as a result of unique market clustered may have the same risk properties and arrive at the manner in which weekly events, such as a corporate action (i.e., may also be the same percentage out-of-the-money. it would result in a more reliable 28 The term ‘‘Member’’ means an individual or strike intervals would be listed in the organization approved to exercise the trading rights later weeks for each multiply listed measure of average daily trading volume associated with a Trading Permit. Members are equity options class. The Exchange than would a shorter period). deemed ‘‘members’’ under the Exchange Act. See utilizes OCC Customer-cleared volume, Today, the Exchange requires Market Exchange Rule 100. Makers to quote a certain amount of 29 When the Exchange is the first exchange to list as customer volume is an appropriate an option class under Policy .11 of Exchange Rule proxy for demand. The OCC Customer- time in the trading day in their assigned 404 the Exchange shall provide a notice to its cleared volume represents the majority due options series to maintain liquidity Members regarding the Short Term Option Series to of options volume executed on the in the market.33 With an increasing be listed. Such notice will include for each eligible number of strikes due to tighter option class: The closing price of the underlying, Exchange that, in turn, reflects the the Average Daily Volume of the option class; and demands in the marketplace. The intervals being listed across options the eligible strike category (per the proposed table) options series listed on the Exchange is in which the eligible option class falls under as a intended to meet customer demand by 32 Options contracts settle one business day after result of the closing price and the Average Daily trade date. Strike listing determinations are made Volume. offering an appropriate number of the day prior to the start of trading in each series. 30 15 U.S.C. 78f(b). strikes. Non-Customer cleared OCC 33 See Exchange Rule 604(e)(1); 604(e)(2); and 31 15 U.S.C. 78f(b)(5). volume represents the supply side. 604(e)(3).
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exchanges, Market Makers must expend Interval Proposal limits the number of 19(b)(3)(A)(iii) 35 of the Act and Rule their capital to ensure that they have the Short Term Options Series strike 19b–4(f)(6) thereunder.36 Because the appropriate infrastructure to meet their intervals available for quoting and foregoing proposed rule change does quoting obligations on all options trading on the Exchange for all not: (i) Significantly affect the markets in which they are assigned in Exchange participants. While the protection of investors or the public options series. The Exchange believes current listing rules permit the interest; (ii) impose any significant that this Strike Interval Proposal would Exchange to list a number of weekly burden on competition; and (iii) become limit the intervals between strikes listed strikes on its market, in an effort to operative for 30 days from the date on on the Exchange and thereby allow encourage Market Makers to deploy which it was filed, or such shorter time Market Makers to expend their capital capital more efficiently, as well as as the Commission may designate, it has in the options market in a more efficient improve displayed market quality, the become effective pursuant to Section manner that removes impediments to Exchange’s Strike Interval Proposal 19(b)(3)(A)(iii) of the Act and and perfects the mechanism of a free seeks to reduce the number of weekly subparagraph (f)(6) of Rule 19b–4 and open market and a national market options that would be listed on its thereunder.37 system. The Exchange also believes that market in later weeks, without reducing At any time within 60 days of the this Strike Interval Proposal would the number of series or classes of filing of the proposed rule change, the improve overall market quality on the options available for trading on the Commission summarily may Exchange for the protection of investors Exchange. As the Exchange’s Strike temporarily suspend such rule change if and the general public by limiting the Interval Proposal seeks to reduce the it appears to the Commission that such intervals between strikes when applying number of weekly options that would be action is necessary or appropriate in the the strike interval table to multiply listed on its market in later weeks, public interest, for the protection of listed equity options which have an Market Makers would be required to investors, or otherwise in furtherance of expiration date more than twenty-one quote in fewer weekly strikes as a result the purposes of the Act. If the days from the listing date. of the Strike Interval Proposal. Commission takes such action, the This Strike Interval Proposal is The Exchange’s Strike Interval Commission shall institute proceedings intended to be the first in a series of Proposal, which is intended to decrease to determine whether the proposed rule proposals to limit the number of listed the overall number of strikes listed on should be approved or disapproved. option series listed on the Exchange and the Exchange, does not impose an other affiliated markets. The Exchange undue burden on intra-market IV. Solicitation of Comments intends to decrease the overall number competition as all Participants may only Interested persons are invited to of strikes listed on the MIAX exchanges transact options in the strike intervals submit written data, views, and in a methodical fashion in order that it listed for trading on the Exchange. arguments concerning the foregoing, may monitor progress and feedback While limiting the intervals of strikes including whether the proposed rule from its membership. While limiting the listed on the Exchange is the goal of this change is consistent with the Act. intervals between strikes listed is the Strike Interval Proposal, the goal Comments may be submitted by any of goal of this rule change, the Exchange’s continues to balance the needs of the following methods: Strike Interval Proposal is intended to market participants by continuing to balance that goal with the needs of offer a number of strikes to meet a Electronic Comments market participants. The Exchange market participant’s investment • Use the Commission’s internet believes that varied strike intervals objective. comment form (http://www.sec.gov/ continue to offer market participants the The Exchange’s Strike Interval rules/sro.shtml); or ability to select the appropriate strike Proposal does not impose an undue • Send an email to rule-comments@ interval to meet that market burden on inter-market competition as sec.gov. Please include File Number SR– participant’s investment objective. this Strike Interval Proposal does not MIAX–2021–12 on the subject line. The Exchange notes that its proposal impact the listings available at another Paper Comments is substantively identical to the strike self-regulatory organization. In fact, the interval proposal recently submitted by Exchange is proposing to list a smaller • Send paper comments in triplicate the Nasdaq BX exchange and approved amount of weekly equity options in an to Secretary, Securities and Exchange by the Commission.34 The Exchange effort to curtail the increasing number of Commission, 100 F Street NE, notes that it has reviewed the data strikes that are required to be quoted by Washington, DC 20549–1090. presented in the BX proposal and agrees market makers in the options industry. All submissions should refer to File with the analysis of the data as Other options markets may choose to Number SR–MIAX–2021–12. This file presented in the BX proposal. The replicate the Exchange’s Strike Interval number should be included on the Exchange believes the varied strike Proposal and, thereby, further decrease subject line if email is used. To help the intervals will continue to offer market the overall number of strikes within the Commission process and review your participants the ability to select the options industry. comments more efficiently, please use appropriate strike interval to meet that C. Self-Regulatory Organization’s only one method. The Commission will market participants’ investment post all comments on the Commission’s objectives. Statement on Comments on the Proposed Rule Change Received From internet website (http://www.sec.gov/ B. Self-Regulatory Organization’s Members, Participants, or Others rules/sro.shtml). Copies of the Statement on Burden on Competition Written comments were neither 35 15 U.S.C. 78s(b)(3)(A)(iii). The Exchange does not believe that solicited nor received. 36 17 CFR 240.19b–4(f)(6). the proposed rule change will impose 37 In addition, Rule 19b–4(f)(6)(iii) requires the any burden on competition that is not III. Date of Effectiveness of the Exchange to give the Commission written notice of necessary or appropriate in furtherance Proposed Rule Change and Timing for its intent to file the proposed rule change at least Commission Action five business days prior to the date of filing of the of the purposes of the Act. The Strike proposed rule change, or such shorter time as The Exchange has filed the proposed designated by the Commission. The Exchange has 34 See supra note 17. rule change pursuant to Section satisfied this requirement.
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submission, all subsequent rule change pursuant Section ICEU CDS Procedures, the CDS Price amendments, all written statements 19(b)(3)(A) of the Act 3 and Rule 19b– Alignment Amount is based upon the with respect to the proposed rule 4(f)(1) thereunder 4 such that the applicable overnight rate notified by the change that are filed with the proposed rule change was immediately Clearing House from time to time to Commission, and all written effective upon filing with the CDS Clearing Members for each of the communications relating to the Commission. The Commission is currencies in which Mark-to-Market proposed rule change between the publishing this notice to solicit Margin is paid. Commission and any person, other than comments on the proposed rule change The proposed changes are in response those that may be withheld from the from interested persons. to requests by industry participants and public in accordance with the follow similar changes for other cleared I. Clearing Agency’s Statement of the provisions of 5 U.S.C. 552, will be swap products. The European Central Terms of Substance of the Proposed available for website viewing and Bank’s (‘‘ECB’’) working group on EUR Rule Change printing in the Commission’s Public risk-free rates recommended ÖSTR as Reference Room, 100 F Street, NE, ICE Clear Europe Limited (‘‘ICEU’’) the EUR risk-free rate and the Washington, DC 20549, on official proposes to change the interest rates replacement for EONIA in September business days between the hours of used for computing CDS Price 2018.6 The ECB began publishing ÖSTR 10:00 a.m. and 3:00 p.m. Copies of the Alignment Amounts. These revisions do in October 2019 and the working group filing also will be available for not require any changes to the ICEU is assisting the market in transitioning inspection and copying at the principal Clearing Rules (the ‘‘Rules’’) or CDS to ÖSTR before EONIA is discontinued office of the Exchange. All comments Procedures (the ‘‘CDS Procedures’’).5 on January 3, 2022.7 The Alternative received will be posted without change. II. Clearing Agency’s Statement of the Reference Rates Committee (‘‘ARRC’’) Persons submitting comments are Purpose of, and Statutory Basis for, the was convened by the Federal Reserve cautioned that we do not redact or edit Proposed Rule Change Board and the Federal Reserve Bank of personal identifying information from New York and identified SOFR as the comment submissions. You should In its filing with the Commission, ICE rate representing best practice for use in submit only information that you wish Clear Europe included statements certain new USD derivatives and other to make available publicly. All concerning the purpose of and basis for financial contracts in 2017.8 The ARRC submissions should refer to File the proposed rule change and discussed published a transition plan including Number SR–MIAX–2021–12, and any comments it received on the specific steps and timelines to should be submitted on or before June proposed rule change. The text of these encourage the adoption of SOFR.9 1, 2021. statements may be examined at the Feedback from market participants For the Commission, by the Division of places specified in Item IV below. ICE has indicated a desire for one-time Trading and Markets, pursuant to delegated Clear Europe has prepared summaries, adjustment payments to or from the authority.38 set forth in sections (A), (B), and (C) Clearing Member (‘‘CM’’), as J. Matthew DeLesDernier, below, of the most significant aspects of appropriate, to account for the Assistant Secretary. such statements. reasonably expected valuation changes [FR Doc. 2021–09884 Filed 5–10–21; 8:45 am] (A) Clearing Agency’s Statement of the for Contracts associated with the use of BILLING CODE 8011–01–P Purpose of, and Statutory Basis for, the the new interest rates. ICEU proposes to Proposed Rule Change calculate such one-time adjustment payments to or from the CM, as SECURITIES AND EXCHANGE (a) Purpose appropriate, and to make the COMMISSION ICEU proposes to change the interest corresponding payments to and rates used for computing CDS Price [Release No. 34–91775; File No. SR–ICEEU– collections from CMs. 2021–012] Alignment Amounts on CDS Notional Margin Balances under paragraph 3 of Proposed Transition Process Self-Regulatory Organizations; ICE the CDS Procedures. The target date of On the transition date, ICEU proposes Clear Europe Limited; Notice of Filing the transition is Monday, June 14, 2021, to begin using the new rates for and Immediate Effectiveness of subject to any regulatory review or calculation of price alignment amounts. Proposed Rule Change Relating to the approval process. On the transition date, CDS denominated in EUR will stop ICEEU Transition of the Rates Used for ICEU would begin calculating price using EONIA and will start using ÖSTR, Calculating Price Alignment Amounts alignment amounts for Euro (‘‘EUR’’) and CDS denominated in USD will stop denominated instruments using the using EFFR and will start using SOFR. May 5, 2021. Euro Short-Term Rate (‘‘ÖSTR’’) rather The target transition date at the time of Pursuant to Section 19(b)(1) of the than the Euro Overnight Index Average this filing is Monday, June 14, 2021, but Securities Exchange Act of 1934 (‘‘EONIA’’) and for U.S. Dollar (‘‘USD’’) may be delayed by ICEU. Any revised 1 2 (‘‘Act’’), and Rule 19b–4 thereunder, denominated instruments using the transition date will fall on a Monday to notice is hereby given that on April 29, Secured Overnight Financing Rate maintain the proposed operational 2021, ICE Clear Europe Limited (‘‘ICE (‘‘SOFR’’) rather than the Effective process and will be publicized by ICEU. Clear Europe’’ or the ‘‘Clearing House’’) Federal Funds Rate (‘‘EFFR’’). Such The ÖSTR and SOFR rates available on filed with the Securities and Exchange changes do not require any revisions to Commission (‘‘Commission’’) the the ICEU Rules or CDS Procedures or 6 Additional information on the working group proposed rule changes described in other written policies and procedures. and the transition to ÖSTR is available at: https:// Items I, II and III below, which Items www.ecb.europa.eu/paym/interest_rate_ In accordance with section 3.1 of the _ _ _ have been prepared primarily by ICE benchmarks/WG euro risk-free rates/html/ index.en.html. Clear Europe. ICC filed the proposed 3 15 U.S.C. 78s(b)(3)(A). 7 Id. 4 17 CFR 240.19b–4(f)(1). 8 Additional information on the ARRC and 38 17 CFR 200.30–3(a)(12). 5 Capitalized terms used but not defined herein transition to SOFR is available at: https:// 1 15 U.S.C. 78s(b)(1). have the meanings specified in the Rules or the CDS www.newyorkfed.org/arrc. 2 17 CFR 240.19b–4. Procedures. 9 Id.
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Monday, June 14, 2021 will be applied • EOD London snapshots of EONIA approach on April 8, 2021 via a to CDS Notional Margin Balances of and ÖSTER interest rate curves and EOD circular 11 and made available on its Friday, June 11, 2021 for the New York snapshots of EFFR and SOFR website further details on the proposed determination of the first day of price interest rate curves published by ICE transition.12 alignment amounts using the new rates. Data Services will be used for the (b) Statutory Basis In connection with the transition of discount rate term structures.10 ICEU believes that the proposed rule the rates, ICEU proposes to calculate Operational Process one-time adjustment amounts and pay change is consistent with the or collect, as appropriate, such amounts ICEU has defined the operational requirements of Section 17A of the 13 to or from CMs to account for the process for the one-time adjustment Act and the regulations thereunder reasonably expected valuation changes payments and corresponding applicable to it, including the applicable 14 associated with the use of the new collections. ICEU will include the ad- standards under Rule 17Ad–22. In interest rates. In calculating the hoc adjustments in CM EOD processing particular, Section 17A(b)(3)(F) of the 15 adjustment amounts, ICEU will use the on Monday, June 14, 2021, which will Act requires that the rule change be following methodology that has been be netted with other cash payments to consistent with the prompt and accurate subject to substantial discussion and determine Monday, June 14, 2021 EOD clearance and settlement of securities feedback from market participants. CM margin calls to be paid Tuesday, transactions and derivative agreements, June 15, 2021. ICEU will provide CMs contracts and transactions cleared by One-Time Adjustment Methodology and clients with position level ICEU, the safeguarding of securities and The proposed one-time adjustment adjustment details after EOD Friday, funds in the custody or control of ICEU methodology is set out as follows: June 11, 2021 and prior to Monday, June or for which it is responsible, and the • ICEU will obtain implied hazard 14, 2021. ICEU will allow CMs to protection of investors and the public term structures by using the end-of-day allocate adjustments at the level of interest. As described above, the (‘‘EOD’’) settlement values and the near individual house or client accounts. The proposed rule change would transition EOD discount rate term structure for the proposed approach is intended to the interest rates used for computing enable clients to reconcile adjustments price alignment amounts and is in rate being replaced (EFFR for USD they may receive from their CMs. response to requests by industry denominated and EONIA for EUR Further, ICEU will provide CMs and participants in connection with the denominated products) in the ISDA CDS clients the opportunity to review and broader transition in the derivatives standard model (fair value). consume relevant files as part of pre- markets to the use of SOFR and ÖSTR • For single name Contracts, the EOD transition simulations. One simulation in lieu of existing interest rate prices of the nine benchmark tenors will was completed for March 26, 2021, and benchmarks. The proposed transition be used to create the corresponding ICEU plans to hold future simulations would include one-time adjustment implied hazard rate term structure. closer to the transition date. payments to be made to or from CMs to Standard industry recovery rates will account for the reasonably expected Market Participant Engagement and also be used except for distressed names valuation changes associated with the Outreach where the standard recovery rate cannot use of the new rates. The proposed result in a consistent hazard rate term The proposed transition has been transition has been discussed and structure. In such case, a recovery rate discussed and coordinated by ICEU coordinated by ICEU with market will be used that is close to the standard with market participants, as well as participants to achieve an orderly and recovery rate that can result in a with ICE Clear Credit, to achieve an efficient transition to the new rates. In consistent hazard rate term structure. orderly and efficient transition to the • ICEU’s view, the proposed approach For index Contracts, the implied new rates. ICEU has sought feedback reduces uncertainty in respect of the hazard rates for the tenors available for from and engaged with market transition and the potential impact of clearing will be used to create an participants to determine the proposed the interest rate benchmark reforms and implied hazard rate term structure. approach throughout 2020 and 2021, reduces the potential for market Based on feedback requesting that ICEU including through the CDS Product Risk disruption given the industry outreach include the 3-year tenor of iTraxx Committee and the ISDA Credit Steering and operational testing done by ICEU. Crossover and CDX High Yield index in Committee. In relation to CDS As such, the proposed rule change is determining the hazard rate term valuations, feedback has indicated a consistent with the prompt and accurate structure, ICEU has been collecting desire for one-time adjustment clearance and settlement of securities daily prices for these instruments even payments to account for the reasonably transactions, derivatives agreements, though they are not clearing eligible. expected valuation changes associated contracts, and transactions, the ICEU will review the reasonability of with the use of the new interest rates. safeguarding of securities and funds the the price collection with its CDS The proposed one-time adjustment custody or control of ICEU or for which Product Risk Committee near the methodology, among other details, has it is responsible, and the protection of transition date to determine whether to been subject to substantial discussion use these tenors in determining the and feedback from market participants. 11 ICEU Circular 2021/055 on the Proposed hazard term structures for iTraxx As discussed below, ICEU has issued change to Mark-to-Market Margin Interest Rates, Crossover and CDX High Yield indexes. a public Consultation on the proposed dated April 8, 2021, is available at: https:// _ • ICEU will calculate an adjusted www.theice.com/publicdocs/clear europe/ circulars/C21055.pdf. 10 The proposed methodology, which has been EOD valuation using the implied hazard 12 A detailed presentation on the proposed rate term structure and the replacement subject to substantial discussion and feedback from market participants, has also been coordinated with transition is in the presentation located here: discount rate term structure (e.g., SOFR https://www.theice.com/publicdocs/ice/ ICE Clear Credit LLC (‘‘ICE Clear Credit’’). Based on _ _ for USD and ÖSTR for EUR feedback that the clearing houses should seek to notifications/adhoc/110000348161/ICE CDS Clearing_PriceAlignmentTransition_20210324_ denominated products). achieve congruent adjustment amounts for _ • positions at ICEU and ICE Clear Credit, EOD v1.3 final.pdf. The EOD valuation less the adjusted valuations for North American products will be 13 15 U.S.C. 78q–1. EOD valuation will be the adjustment taken from ICE Clear Credit’s EOD process during 14 17 CFR 240.17Ad–22. amount. its North American pricing window. 15 15 U.S.C. 78q–1(b)(3)(F).
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investors and the public interest, within potentially cause the largest aggregate changes are in response to requests by the meaning of Section 17A(b)(3)(F) of credit exposure for the covered clearing industry participants in the context of the Act.16 agency in extreme but plausible market the broader transition in interest rate The amendments would also satisfy conditions. The proposed rule change benchmark rates and follow similar relevant requirements of Rule 17Ad– does not require any changes to ICEU’s changes for other cleared swap 22.17 Rule 17Ad–22(e)(2)(i), (iii) and Rules or written policies and products. Such changes are designed to (v) 18 requires each covered clearing procedures, including ICEU’s risk transition the interest rates used for agency to establish, implement, management methodology, model, or computing price alignment amounts on maintain, and enforce written policies practices. Moreover, the proposed CDS Notional Margin Balances and and procedures reasonably designed to transition, including the approach and include one-time adjustment payments provide for governance arrangements timing, has been discussed and to account for the reasonably expected that are clear and transparent; support coordinated by ICEU with market valuation changes associated with the the public interest requirements of participants to promote an orderly and use of the new interest rates. ICEU has Section 17A of the Act 19 applicable to efficient transition to the new rates. sought feedback from and engaged with clearing agencies, and the objectives of ICEU will continue to maintain its market participants on the transition owners and participants; and specify financial resources and withstand the and the proposed approach is a product clear and direct lines of responsibility. pressures of defaults, consistent with of the aforementioned consultation and The proposed changes are in response to the requirements of Rule 17Ad– governance processes. The proposed requests by industry participants. Such 22(e)(4)(ii).22 rule change will apply uniformly across changes to transition the rates used for Rule 17Ad–22(e)(17) 23 requires, in all market participants. ICEU does not computing price alignment amounts on relevant part, each covered clearing believe the changes would adversely CDS Notional Margin Balances, agency to establish, implement, affect the ability of market participants including one-time adjustment maintain, and enforce written policies to continue to clear contracts. ICEU also payments to account for the reasonably and procedures reasonably designed to does not believe the changes would expected valuation changes associated manage its operational risks by (i) adversely affect the cost of clearing or with the use of the new interest rates, identifying the plausible sources of otherwise limit market participants’ were determined in accordance with operational risk, both internal and choices for selecting clearing services. ICEU’s governance process. ICEU external, and mitigating their impact Therefore, ICEU does not believe the believes that the proposed approach through the use of appropriate systems, proposed rule change would impose any reduces uncertainty in respect of the policies, procedures, and controls; and burden on competition not necessary or transition and the potential impact of (ii) ensuring that systems have a high appropriate in furtherance of the the benchmark reforms and reduces the degree of security, resiliency, purpose of the Act. potential for market disruption given operational reliability, and adequate, the industry outreach and operational scalable capacity. ICEU has defined the (C) Clearing Agency’s Statement on testing done by ICEU. ICEU’s operational process and considerations Comments on the Proposed Rule governance process allows multiple for the proposed transition, including Change Received From Members, stakeholders to provide input and the one-time adjustment payments. Participants or Others feedback regarding such proposed rule ICEU has publicized its process and Written comments relating to the changes. ICEU has sought feedback from planned for a pre-transition simulations proposed amendments have not been and engaged with market participants to promote preparedness among itself solicited or received by ICE Clear on the transition and the proposed and market participants. Such actions Europe. ICE Clear Europe will notify the approach is a product of the enhance ICEU’s ability to identify Commission of any comments received aforementioned consultation and relevant sources of operational risk and with respect to the proposed rule governance processes. As such, ICEU mitigate their impact in respect of the change. believes that the proposed rule change proposed transition and to ensure that systems have a high degree of security, III. Date of Effectiveness of the is consistent with the requirements of Proposed Rule Change and Timing for 20 resiliency, operational reliability, and Rule 17Ad–22(e)(2)(i), (iii) and (v). Commission Action Rule 17Ad–22(e)(4)(ii) 21 requires adequate, scalable capacity. ICEU each covered clearing agency to believes that the proposed transition is The foregoing rule change has become establish, implement, maintain, and appropriately designed to reduce effective pursuant to Section 19(b)(3)(A) enforce written policies and procedures operational complexity and sufficiently of the Act 25 and paragraph (f) of Rule reasonably designed to effectively coordinated among ICEU and market 19b–4 26 thereunder. At any time within identify, measure, monitor, and manage participants to achieve an orderly and 60 days of the filing of the proposed rule its credit exposures to participants and efficient transition to the new rates. The change, the Commission summarily may those arising from its payment, clearing, proposed rule change is thus consistent temporarily suspend such rule change if and settlement processes, including by with the requirements of Rule 17Ad– it appears to the Commission that such maintaining additional financial 22(e)(17).24 action is necessary or appropriate in the resources at the minimum to enable it public interest, for the protection of (B) Clearing Agency’s Statement on investors, or otherwise in furtherance of to cover a wide range of foreseeable Burden on Competition stress scenarios that include, but are not the purposes of the Act. ICEU does not believe the proposed limited to, the default of the two IV. Solicitation of Comments participant families that would rule change would have any impact, or impose any burden, on competition not Interested persons are invited to 16 Id. necessary or appropriate in furtherance submit written data, views, and 17 17 CFR 240.17Ad–22. of the purpose of the Act. The proposed arguments concerning the foregoing, 18 17 CFR 240.17Ad–22(e)(2)(i), (iii) and (v). including whether the proposed rule 19 15 U.S.C. 78q–1. 22 Id. 20 17 CFR 240.17Ad–22(e)(2)(i), (iii) and (v). 23 17 CFR 240.17Ad–22(e)(17)(i)–(ii). 25 15 U.S.C. 78s(b)(3)(A). 21 17 CFR 240.17Ad–22(e)(4)(ii). 24 Id. 26 17 CFR 240.19b–4(f)(1).
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change is consistent with the Act. For the Commission, by the Division of consisting of basic contact data and Comments may be submitted by any of Trading and Markets, pursuant to delegated information on the capabilities of the 27 the following methods: authority. business. The profile includes a series of J. Matthew DeLesDernier, questions, some of which are based on Electronic Comments Assistant Secretary. the data that the individual enters. • Use the Commission’s internet [FR Doc. 2021–09883 Filed 5–10–21; 8:45 am] Drop-down lists are included where comment form (http://www.sec.gov/ BILLING CODE 8011–01–P appropriate to increase ease of use. rules/sro.shtml) or The information collection is • Send an email to rule-comments@ SECURITIES AND EXCHANGE voluntary. There are no costs associated sec.gov. Please include File Number SR– COMMISSION with this collection. ICEEU–2021–012 on the subject line. The public interface to SDBMS is [SEC File No. 270–663, OMB Control No. Paper Comments 3235–0724] available via a web-link provided by the agency. • Send paper comments in triplicate Proposed Collection; Comment Estimated number of annual responses = Request to Secretary, Securities and Exchange 300 Commission, 100 F Street NE, Upon Written Request Copies Available Washington, DC 20549–1090. Estimated annual reporting burden = From: U.S. Securities and Exchange 150 hours (30 minutes per All submissions should refer to File Commission, Office of FOIA Services, submission) Number SR–ICEEU–2021–012. This file 100 F Street NE, Washington, DC number should be included on the 20549–2736 Other than a temporary dip in the number of respondents due to the subject line if email is used. To help the Extension: Commission process and review your Supplier Diversity Business Management COVID–19 pandemic, the estimated comments more efficiently, please use System number of respondents overall remains the same at 300 per year, based on the only one method. The Commission will Notice is hereby given that, pursuant actual response rate prior to the post all comments on the Commission’s to the Paperwork Reduction Act of 1995 pandemic. As such, the total burden internet website (http://www.sec.gov/ (44 U.S.C. 3501 et seq.), the Securities rules/sro.shtml). Copies of the and Exchange Commission estimate also remains the same at 150 submission, all subsequent (‘‘Commission’’) is soliciting comments hours. amendments, all written statements on the existing collection of information Written comments are invited on: (a) with respect to the proposed rule summarized below. The Commission Whether this collection of information change that are filed with the plans to submit this existing collection is necessary for the proper performance Commission, and all written of information to the Office of of the functions of the agency, including communications relating to the Management and Budget (‘‘OMB’’) for whether the information will have proposed rule change between the approval. practical utility; (b) the accuracy of the Commission and any person, other than The Commission is required under agency’s estimate of the burden imposed those that may be withheld from the Section 342 of the Dodd Frank Wall by the collection of information; (c) public in accordance with the Street and Reform Act to develop ways to enhance the quality, utility, and provisions of 5 U.S.C. 552, will be standards and processes for ensuring the clarity of the information collected; and available for website viewing and fair inclusion of minority-owned and (d) ways to minimize the burden of the printing in the Commission’s Public women-owned businesses in all of the collection of information on Commission’s business activities. To Reference Room, 100 F Street NE, respondents, including through the use help implement this requirement, the Washington, DC 20549, on official of automated collection techniques or Office of Minority and Women other forms of information technology. business days between the hours of Inclusion (OMWI) developed and Consideration will be given to 10:00 a.m. and 3:00 p.m. Copies of such maintains an electronic Supplier filings will also be available for Diversity Business Management System comments and suggestions submitted in inspection and copying at the principal (SDBMS) to collect up-to-date business writing within 60 days of this office of ICE Clear Europe and on ICE information and capabilities statements publication. Please direct your written Clear Europe’s website at https:// from diverse suppliers interested in comments to David Bottom, Director/ www.theice.com/clear-europe/ doing business with the Commission. Chief Information Officer, Securities regulation. This information allows the and Exchange Commission, c/o Cynthia Commission to update and more Roscoe, 100 F Street NE, Washington All comments received will be posted _ without change. Persons submitting effectively manage its current internal DC, 20549; or send an email to: PRA comments are cautioned that we do not repository. It also allows the [email protected]. redact or edit personal identifying Commission to measure the Dated: May 5, 2021. effectiveness of its technical assistance information from comment submissions. J. Matthew DeLesDernier, and outreach efforts, and target areas You should submit only information Assistant Secretary. that you wish to make available where additional program efforts are necessary. [FR Doc. 2021–09900 Filed 5–10–21; 8:45 am] publicly. All submissions should refer The Commission invites comment on BILLING CODE 8011–01–P to File Number SR–ICEEU–2021–012 SDBMS. Information is collected in and should be submitted on or before SDBMS via web-based, e-filed, dynamic June 1, 2021. form-based technology. The company point of contact completes a profile
27 17 CFR 200.30–3(a)(12).
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SMALL BUSINESS ADMINISTRATION SMALL BUSINESS ADMINISTRATION Incident: Severe Storms and Tornadoes. [License No. 01/01–0433] [Disaster Declaration #16934 and #16935; Incident Period: 03/25/2021 through KENTUCKY Disaster Number KY–00085] Gemini Investor VI, L.P.; Notice 03/26/2021. Seeking Exemption Under Section 312 Presidential Declaration Amendment of of the Small Business Investment Act, DATES: Issued on 05/05/2021. a Major Disaster for Public Assistance Conflicts of Interest Physical Loan Application Deadline Only for the Commonwealth of Date: 07/06/2021. Notice is hereby given that Gemini KENTUCKY Investor VI, L.P. 20 William Street, Suite Economic Injury (EIDL) Loan 250, Wellesley, MA 02481, a Federal Application Deadline Date: 02/07/2022. AGENCY: U.S. Small Business Licensee under the Small Business Administration. ADDRESSES: Submit completed loan Investment Act of 1958, as amended applications to: U.S. Small Business ACTION: (‘‘the Act’’), in connection with the Amendment 1. Administration, Processing and financing of a small concern, has sought Disbursement Center, 14925 Kingsport an exemption under Section 312 of the SUMMARY: This is an amendment of the Road, Fort Worth, TX 76155. Presidential declaration of a major Act and Section 107.730, Financings disaster for Public Assistance Only for which Constitute Conflicts of Interest of FOR FURTHER INFORMATION CONTACT: A. the Commonwealth of KENTUCKY the Small Business Administration Escobar, Office of Disaster Assistance, (FEMA–4595–DR), dated 04/23/2021. (‘‘SBA’’) Rules and Regulations (13 CFR U.S. Small Business Administration, Incident: Severe Storms, Flooding, 107.730). Gemini Investor VI, L.P. 409 3rd Street SW, Suite 6050, proposes to provide equity security Landslides, and Mudslides. Incident Washington, DC 20416, (202) 205–6734. financing to Hemi Purchaser, LLD Period: 02/27/2021 through 03/14/2021. Holding 1911 11th Street, Suite 400, SUPPLEMENTARY INFORMATION: Notice is DATES: Issued on 05/05/2021. Boulder, CO 80301. hereby given that as a result of the The financing is brought within the Physical Loan Application Deadline President’s major disaster declaration on purview of § 107.730(a)(1) of the Date: 06/22/2021. 05/05/2021, Private Non-Profit Regulations because Gemini Investor IV, organizations that provide essential Economic Injury (EIDL) Loan L.P., an Associate of Gemini Investor VI, services of a governmental nature may Application Deadline Date: 01/24/2022. L.P. own more than ten percent of the file disaster loan applications at the preceding entity Vision Appraisal ADDRESSES: Submit completed loan address listed above or other locally Technology Holdings, LLC and therefore applications to: U.S. Small Business announced locations. this transaction is considered Financing Administration, Processing and an Associate requiring prior SBA The following areas have been Disbursement Center, 14925 Kingsport approval. determined to be adversely affected by Road, Fort Worth, TX 76155. Notice is hereby given that any the disaster: FOR FURTHER INFORMATION CONTACT: A. interested person may submit written Primary Counties: Escobar, Office of Disaster Assistance, comments on this transaction within fifteen days of the date of this Coweta, Fannin, Gilmer, Heard, U.S. Small Business Administration, Lumpkin, Pickens, Rabun, White. 409 3rd Street SW, Suite 6050, publication to the Associate Washington, DC 20416, (202) 205–6734. Administrator, Office of Investment and The Interest Rates are: Innovation, U.S. Small Business SUPPLEMENTARY INFORMATION: The notice Administration, 409 Third Street SW, of the President’s major disaster Washington, DC 20416. For Physical Damage: declaration for Private Non-Profit Thomas Morris, Non-Profit Organizations with organizations in the Commonwealth of Credit Available Elsewhere ... 2.000 KENTUCKY, dated 04/23/2021, is Acting Associate Administrator Director, Office of Liquidation, Office of Investment Non-Profit Organizations with- hereby amended to include the and Innovation. out Credit Available Else- where ...... 2.000 following areas as adversely affected by [FR Doc. 2021–09877 Filed 5–10–21; 8:45 am] the disaster. For Economic Injury: BILLING CODE P Non-Profit Organizations with- Primary Counties: out Credit Available Else- where ...... 2.000 Bell, Calloway, Clark, Clay, SMALL BUSINESS ADMINISTRATION Edmonson, Estill, Graves, Harlan, Leslie, Letcher, Menifee, Owsley, [Disaster Declaration #16968 and #16969; The number assigned to this disaster GEORGIA Disaster Number GA–00125] Perry, Pulaski, Union, Whitley. for physical damage is 16968 C and for All other information in the original Presidential Declaration of a Major economic injury is 16969 0. declaration remains unchanged. Disaster for Public Assistance Only for (Catalog of Federal Domestic Assistance (Catalog of Federal Domestic Assistance the State of Georgia Number 59008) Number 59008) AGENCY: U.S. Small Business James Rivera, James Rivera, Administration. Associate Administrator for Disaster ACTION: Notice. Associate Administrator for Disaster Assistance. Assistance. SUMMARY: This is a Notice of the [FR Doc. 2021–09951 Filed 5–10–21; 8:45 am] [FR Doc. 2021–09949 Filed 5–10–21; 8:45 am] Presidential declaration of a major BILLING CODE 8026–03–P BILLING CODE 8026–03–P disaster for Public Assistance Only for the State of GEORGIA (FEMA–4600– DR), dated 05/05/2021.
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DEPARTMENT OF STATE as the Riley Spur, extending between 49 CFR 1152.28 must be filed by June milepost 6.48 and the end of the track 1, 2021. [Public Notice: 11423] at milepost 12.4 (near Riley) in Vigo All pleadings, referring to Docket No. Notice of Determinations; Culturally County, Ind. (the Line). The Line AB 295 (Sub-No. 10X), should be filed traverses U.S. Postal Service Zip Code Significant Objects Being Imported for with the Surface Transportation Board 47802 and has one station, Chinook Exhibition—Determinations: ‘‘Nikolai via e-filing on the Board’s website. In (FSAC 40956/OPSL 21009), which INRD Astrup: Visions of Norway’’ Exhibition addition, a copy of each pleading must states can be closed. be served on INDR’s representative, SUMMARY: Notice is hereby given of the INDR has certified that: (1) No local Louis E. Gitomer, Law Offices of Louis following determinations: I hereby traffic has moved over the Line for at E. Gitomer, LLC, 600 Baltimore Avenue, determine that certain objects being least two years; (2) any overhead traffic Suite 301, Towson, MD 21204. imported from abroad pursuant to can be rerouted over other lines; (3) no If the verified notice contains false or agreements with their foreign owners or formal complaint filed by a user of rail misleading information, the exemption custodians for temporary display in the service on the Line (or by a state or local is void ab initio. exhibition ‘‘Nikolai Astrup: Visions of government entity acting on behalf of INDR has filed a combined Norway’’ at the Sterling and Francine such user) regarding cessation of service environmental and historic report that Clark Art Institute, Williamstown, over the Line either is pending with the addresses the potential effects, if any, of Massachusetts, and at possible Surface Transportation Board (Board) or the abandonment on the environment additional exhibitions or venues yet to with any U.S. District Court or has been and historic resources. OEA will issue a be determined, are of cultural decided in favor of a complainant Draft Environmental Assessment (Draft significance, and, further, that their within the two-year period; and (4) the EA) by May 14, 2021. The Draft EA will temporary exhibition or display within requirements at 49 CFR 1105.7 and be available to interested persons on the the United States as aforementioned is 1105.8 (notice of environmental and Board’s website, by writing to OEA, or in the national interest. I have ordered historic report), 49 CFR 1105.12 by calling OEA at (202) 245–0305. that Public Notice of these (newspaper publication), and 49 CFR Assistance for the hearing impaired is determinations be published in the 1152.50(d)(1) (notice to governmental available through the Federal Relay Federal Register. agencies) have been met. Service at (800) 877–8339. Comments As a condition to this exemption, any FOR FURTHER INFORMATION CONTACT: Chi on environmental and historic employee adversely affected by the D. Tran, Program Administrator, Office preservation matters must be filed abandonment shall be protected under of the Legal Adviser, U.S. Department of within 15 days after the Draft EA Oregon Short Line Railroad— State (telephone: 202–632–6471; email: becomes available to the public. Abandonment Portion Goshen Branch [email protected]). The mailing Environmental, historic preservation, Between Firth & Ammon, in Bingham & address is U.S. Department of State, public use, or interim trail use/rail Bonneville Counties, Idaho, 360 I.C.C. L/PD, SA–5, Suite 5H03, Washington, banking conditions will be imposed, 91 (1979). To address whether this DC 20522–0505. where appropriate, in a subsequent condition adequately protects affected decision. SUPPLEMENTARY INFORMATION: The employees, a petition for partial Pursuant to the provisions of 49 CFR foregoing determinations were made revocation under 49 U.S.C. 10502(d) 1152.29(e)(2), CSXT shall file a notice of pursuant to the authority vested in me must be filed. consummation with the Board to signify by the Act of October 19, 1965 (79 Stat. Provided no formal expression of that it has exercised the authority 985; 22 U.S.C. 2459), Executive Order intent to file an offer of financial granted and fully abandoned the Line. If 12047 of March 27, 1978, the Foreign 1 assistance (OFA) has been received, the consummation has not been effected by Affairs Reform and Restructuring Act of exemption will be effective on June 10, INDR’s filing of a notice of 1998 (112 Stat. 2681, et seq.; 22 U.S.C. 2021, unless stayed pending consummation by May 11, 2022, and 6501 note, et seq.), Delegation of reconsideration. Petitions to stay that do there are no legal or regulatory barriers Authority No. 234 of October 1, 1999, 2 not involve environmental issues, to consummation, the authority to and Delegation of Authority No. 236–3 formal expressions of intent to file an abandon will automatically expire. of August 28, 2000. OFA under 49 CFR 1152.27(c)(2), and Board decisions and notices are Matthew R. Lussenhop, interim trail use/rail banking requests available at www.stb.gov. Acting Assistant Secretary, Bureau of under 49 CFR 1152.29 must be filed by 3 Decided: May 5, 2021. Educational and Cultural Affairs, Department May 21, 2021. Petitions to reopen or By the Board, Scott M. Zimmerman, Acting of State. requests for public use conditions under Director, Office of Proceedings. [FR Doc. 2021–09878 Filed 5–10–21; 8:45 am] 1 Persons interested in submitting an OFA must Jeffrey Herzig, BILLING CODE 4710–05–P first file a formal expression of intent to file an Clearance Clerk. offer, indicating the type of financial assistance they [FR Doc. 2021–09959 Filed 5–10–21; 8:45 am] wish to provide (i.e., subsidy or purchase) and demonstrating that they are preliminarily BILLING CODE 4915–01–P SURFACE TRANSPORTATION BOARD financially responsible. See 49 CFR 1152.27(c)(2)(i). [Docket No. AB 295 (Sub-No. 10X)] 2 The Board will grant a stay if an informed decision on environmental issues (whether raised by a party or by the Board’s Office of Environmental TENNESSEE VALLEY AUTHORITY Indiana Rail Road Company— Analysis (OEA) in its independent investigation) Abandonment Exemption—in Vigo cannot be made before the exemption’s effective Environmental Impact Statement for County, Ind. date. See Exemption of Out-of-Serv. Rail Lines, 5 Cumberland Fossil Plant Retirement I.C.C.2d 377 (1989). Any request for a stay should Indiana Rail Road Company (INDR) be filed as soon as possible so that the Board may AGENCY: Tennessee Valley Authority. has filed a verified notice of exemption take appropriate action before the exemption’s effective date. ACTION: Notice of intent. under 49 CFR part 1152 subpart F— 3 Filing fees for OFAs and trail use requests can Exempt Abandonments to abandon an be found at 49 CFR 1002.2(f)(25) and (27), SUMMARY: The Tennessee Valley approximately 5.92-mile rail line known respectively. Authority (TVA) intends to prepare an
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Environmental Impact Statement (EIS) transmission, and sale of reliable and CUF unit as early as 2026 but no later to assess the impacts associated with the affordable electric energy. than 2030, and the second unit as early proposed retirement of the two coal- as 2028 but no later than 2033, Background fired units at the Cumberland Fossil dependent on internal and external Plant (CUF) and the construction and In June 2019, TVA published the 2019 factors that could affect bringing operation of facilities to replace part of Integrated Resource Plan (IRP), which replacement generation online. the retired generation. TVA will use the was developed with input from The Cumberland EIS assesses the EIS process to elicit and prioritize the stakeholder groups and the general impact of retiring both CUF units and of values and concerns of stakeholders; public. The 2019 IRP evaluated six replacing the generation of one of those formulate, evaluate and compare scenarios (plausible futures) and five units, as discussed in the Alternatives alternatives; provide opportunities for strategies (potential TVA responses to section below. To recover the generation public review and comment; and ensure those futures) and identified a range of capacity lost from retirement of one that TVA’s evaluation of potential potential resource additions and CUF unit, TVA is proposing the retirement and replacement energy retirements throughout the TVA power addition of approximately 1,450 MW of generation reflects a full range of service area, which encompasses replacement generation. To maintain stakeholder input. Public comment is approximately 80,000 square miles adequate reserves on the TVA system, invited concerning the scope of the EIS, covering most of Tennessee and parts of this 1,450 MW replacement generation alternatives being considered, and Alabama, Georgia, Kentucky, would need to be in commercial environmental issues that should be Mississippi, North Carolina, and operation prior to retirement of the first addressed as a part of this EIS. TVA is Virginia. The target supply mix adopted CUF unit. Replacement generation for also requesting data, information and by the TVA Board through the 2019 IRP the second retired CUF unit would analysis relevant to the proposed action included the potential retirement of likely consist of some combination of from the public; affected Federal, State, 2,200 MW of coal-fired generation by gas, solar, and storage, but the planning tribal, and local governments, agencies, 2038. The IRP acknowledged continued for that generation can be deferred to and offices; the scientific community; operational challenges for the aging coal allow more time to assess the specific industry; or any other interested party. fleet and included a recommendation to types and locations of that generation. DATES: To ensure consideration, conduct end-of-life evaluations during Additional tiered NEPA analysis will be comments on the scope and the term of the IRP to determine completed as these future generation environmental issues must be whether retirements greater than 2,200 needs are identified. postmarked, emailed or submitted MW would be appropriate. online no later than June 10, 2021. To Following the publication of the IRP, Alternatives facilitate the scoping process, TVA will TVA began conducting these TVA anticipates that the scope of the hold a public scoping meeting; see evaluations to inform long-term EIS will include various alternatives in http://www.tva.gov/nepa for more planning. TVA’s recent evaluation addition to the no action alternative information on the meeting. confirms that the aging coal fleet is (continuing to operate CUF). TVA plans among the oldest in the nation and is ADDRESSES: to consider three action alternatives in Written comments should experiencing deterioration of material be sent to Ashley Pilakowski, NEPA the EIS: (A) Retirement of CUF and condition and performance challenges. construction and operation of a Compliance Specialist, 400 West The performance challenges are Summit Hill Dr., WT 11B, Knoxville, Combined Cycle Combustion Turbine projected to increase because of the coal (CC) Gas Plant at the same site; (B) TN 37902–1499. Comments may also be fleet’s advancing age and the difficulty submitted online at: www.tva.gov/nepa, Retirement of CUF and construction and of adapting the fleet’s generation within operation of Simple Cycle Combustion or by email at [email protected]. Please note the changing generation profile; and, in Turbine (CT) Gas Plants at alternate that, due to current TVA requirements general, because the coal fleet is locations; (C) Retirement of CUF and for many employees to work remotely, contributing to environmental, construction and operation of Solar and TVA recommends the public submit economic, and reliability risks. comments electronically to ensure their CUF is located in Cumberland City, Storage Facilities, primarily at alternate timely review and consideration. Stewart County, Tennessee, locations. Whether these or other FOR FURTHER INFORMATION CONTACT: approximately 22 miles southwest of alternatives are reasonable warranting Please contact Ashley Pilakowski at the Clarksville. The plant is on a large further consideration under NEPA address above, by phone at (865) 632– reservation of approximately 2,388 acres would be determined in the course of 2256 or email at [email protected]. located at the confluence of Wells Creek preparing the EIS. Connected actions, such as the natural gas pipeline and SUPPLEMENTARY INFORMATION: This and the south bank of the Cumberland notice is provided in accordance with River. Built between 1968 and 1973, transmission upgrades, will also be the regulations promulgated by Council CUF is the largest plant in the TVA coal considered in this assessment. on Environmental Quality at 40 CFR fleet. The two-unit, coal-fired steam- Proposed Issues To Be Addressed parts 1500 to 1508 (84 FR 43304, July generating plant has a summer net The EIS will address the effects of 16, 2020) and TVA’s procedures capability of 2,470 megawatts (MW). each alternative on the environment, implementing the National CUF is 15 to 20 years younger than including Environmental Policy Act at 18 CFR TVA’s other coal plants, but frequent • emissions of greenhouse gases, part 1318. TVA is an agency and cycling of the large super-critical units, • fuel consumption, instrumentality of the United States, a recent change in the method of plant • air quality, established by an act of Congress in operation for which the plant was not • water quality and quantity, 1933, to foster the social and economic originally designed, presents reliability • waste generation and disposal, welfare of the people of the Tennessee challenges that are difficult to anticipate • land use, Valley region and to promote the proper and very expensive to mitigate. Based • ecological, use and conservation of the region’s on this analysis, TVA has developed • cultural resources, natural resources. One component of planning assumptions for CUF • transportation, this mission is the generation, retirement. TVA proposes to retire one • visual and noise,
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• socioeconomic impacts and After consideration of the comments West Cross Street, Suite B, Jackson, MS environmental justice. received during this scoping period, 39208–2307, (601) 664–9886. The land The EIS will include discussion and TVA will summarize public and agency release request may be reviewed in review of any proposed natural gas comments, identify the issues and person at this same location. pipeline(s) that would be a necessary alternatives to be addressed in the draft SUPPLEMENTARY INFORMATION: The FAA component of a new proposed CC or CT EIS, and identify the schedule for is reviewing a request by the City of plants under Alternatives A or B. completing the EIS process. Following Evergreen Alabama to release Currently under Alternative A, TVA is analysis of the issues, TVA will prepare approximately 1.76 acres, more or less considering replacing generation at the a draft EIS for public review and of airport property at Evergreen CUF location which would require an comment. Notice of availability of the Municipal Airport (GZH) under the approximate 30 mile natural gas draft EIS will be published by the U.S. provisions of Title 49, U.S.C. Section pipeline to bring gas supply to the CUF Environmental Protection Agency in the 47107(h)(2). The sale of the subject reservation. Under Alternative B, since Federal Register. TVA will solicit property will result in the land at GZH TVA is considering replacement written comments on the draft EIS and being released from the conditions of generation at locations with existing also hold a public open house, which the Airport Improvement Program Grant transmission infrastructure and an may be virtual, for this purpose. TVA Agreement Grant Assurances. The FAA adequate supply of natural gas, no expects to release the draft EIS in Spring determined that the request to release further pipeline construction would be of 2022. TVA anticipates issuing the property at GZH submitted by the needed other than the lateral lines final EIS in Fall of 2022 and a record of Sponsor meets the procedural necessary to make the connection to the decision at least 30 days after its release. facility itself. The construction of the requirements of the Federal Aviation natural gas pipeline(s) would likely be Rebecca Tolene, Administration and the release of the subject to Federal Energy Regulatory Vice President, Environment. property does not and will not impact future aviation needs at the airport. The Commission (FERC) jurisdiction and [FR Doc. 2021–09945 Filed 5–10–21; 8:45 am] FAA may approve the request, in whole additional review will be undertaken by BILLING CODE 8120–08–P FERC in accordance with its own NEPA or in part, no sooner than thirty days procedures. The proposed action may after the publication of this notice. The 1.76 acres of property is located within also require issuance of an Individual or DEPARTMENT OF TRANSPORTATION Nationwide Permit under Section 404 of the runway protection zone and the the Clean Water Act; Section 401 Water Federal Aviation Administration FAA has concurred that the sponsor has Quality Certification; conformance with done a sufficient level of analysis per Executive Orders on Environmental Notice of Opportunity for Public guidance on land use in the runway Justice (12898), Wetlands (11990), Comment on Release and Sale of Land protection zone. A deed restriction or Floodplain Management (11988), Acquired With Airport Improvement easement for obstruction clearing will Migratory Birds (13186), and Invasive Program (AIP) Assistance at Evergreen remain on the 1.76 acres. In accordance Species (13112); and compliance with Municipal Airport, Evergreen, Alabama with 49 U.S.C. 47107(c)(2)(B)(i) and (iii), Section 106 of the National Historic the airport will receive fair market value AGENCY: Federal Aviation Preservation Act, Section 7 of the for the property, which will be Administration, DOT. Endangered Species Act, and other subsequently reinvested in another applicable Local, Federal and State ACTION: Request for public comments. eligible airport improvement project at GZH. regulations. SUMMARY: Notice is being given that the Scoping Process FAA is considering a request from the Rans D. Black, City of Evergreen, Alabama to sell 1.76± Scoping, which is integral to the Manager, Jackson Airports District Office, acres of airport property, previously Southern Region. process for implementing NEPA, purchased through an AIP grant for the provides an early and open process to [FR Doc. 2021–09952 Filed 5–10–21; 8:45 am] runway protection zone, to be used by ensure that (1) issues are identified early BILLING CODE 4910–13–P the state highway department as right- and properly studied; (2) issues of little significance do not consume substantial of-way for the widening of US Highway DEPARTMENT OF TRANSPORTATION time and effort; (3) the draft EIS is 84. DATES: Comments must be received on thorough and balanced; and (4) delays Federal Highway Administration caused by an inadequate EIS are or before June 10, 2021. avoided. ADDRESSES: Comments on this notice Environmental Impact Statement; TVA invites members of the public as may be mailed or delivered in triplicate Heber Valley Corridor, Wasatch well as Federal, state, and local agencies to the FAA to the following address: County, Utah and federally recognized Indian tribes to Jackson Airports District Office Attn: comment on the scope of the EIS. Graham Coffelt, Program Manager, 100 AGENCY: Federal Highway Information about this project is West Cross Street, Suite B Jackson, MS Administration (FHWA), U.S. available on the TVA web page at 39208–2307. Department of Transportation (USDOT). www.tva.com/nepa, including a link to In addition, one copy of any ACTION: Notice of intent to prepare an a virtual public meeting room and an comments submitted to the FAA must Environmental Impact Statement (EIS). online public comment page. Comments be mailed or delivered to City of on the scope of this EIS should be Evergreen, Alabama, Attn: Honorable SUMMARY: FHWA, on behalf of the Utah submitted no later than the date given Stanley B. Stallworth, Mayor, City of Department of Transportation (UDOT), under the DATES section of this notice. Evergreen, 355 East Front Street, is issuing this notice to advise the Any comments received, including Evergreen AL 36401. public that an EIS will be prepared for names and addresses, will become part FOR FURTHER INFORMATION CONTACT: proposed transportation improvements of the administrative record and will be Graham Coffelt, Program Manager, in the Heber Valley in Wasatch County, available for public inspection. Jackson Airports District Office, 100 Utah.
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FOR FURTHER INFORMATION CONTACT: access within Heber’s historic core participation procedure for the Naomi Kisen, Environmental Program resulting in congestion and delay; (2) environmental review process. The plan Manager, UDOT Environmental Services U.S. 40 is currently operating at failing will establish cooperating and Division, 4501 South 2700 West, P.O. conditions (level of service F) from 100 participating agency roles and a review Box 148450, Salt Lake City, Utah North to 100 South during the PM peak schedule and will be posted on the 84114–8450; telephone: (801) 965–4005; hour, and these conditions will project website. The project could email: [email protected]. Craig Hancock, continue to get worse by 2050; (3) all require FHWA to reroute a U.S. highway PE, Heber Valley Corridor Project signalized intersections on U.S. 40 are on the National Network (highways Manager, UDOT Region Three, 658 currently operating at acceptable designated for use by commercial truck conditions, but they are expected to North 1500 West, Orem, UT 84057; traffic). The project might also require a operate at failing conditions during the telephone: (801) 227–8034; email: permit from the U.S. Army Corps of [email protected]. PM peak hour by 2050; (4) southbound travel time on U.S. 40 from S.R. 32 to Engineers (USACE) under Section 404 SUPPLEMENTARY INFORMATION: The of the Clean Water Act and approvals environmental review, consultation, and U.S. 189 during the PM peak hour will double by 2050 if no improvements are from other agencies such as the U.S. other actions required by applicable Fish and Wildlife Service (USFWS) for federal environmental laws for this made; and (5) queue lengths (vehicles backed up waiting to get through an impacts to threatened and endangered project are being or have been carried species in the project area. Cooperating out by UDOT pursuant to 23 U.S.C. 327 intersection) during the PM peak hour agencies have been preliminarily and a Memorandum of Understanding will increase and spill back to other identified to include USACE and the dated January 17, 2017, and executed by intersections and onto U.S. 40 north of FHWA and UDOT. UDOT, as the town where the posted speed is 55 mph, U.S. Environmental Protection Agency. assigned National Environmental Policy resulting in safety concerns. UDOT anticipates issuing a single Final Act (NEPA) agency, will prepare an EIS Opportunities to provide for more active Environmental Impact Statement and to evaluate transportation solutions to transportation (e.g., bicycle and Record of Decision within 24 months in improve mobility through the Heber pedestrian) will also be part of the EIS. spring 2023. To address these needs UDOT is Valley and the operation of U.S. 40 in proposing to provide additional north- Public involvement is a critical Wasatch County, Utah. The proposed south capacity, either through component of the project development project study area is centered on U.S. 40 constructing a bypass road or improving process and will continue throughout from State Route (S.R.) 32 to the existing roads. UDOT will consider a the development of the EIS. All intersection with U.S. 189. The study range of alternatives based on the individuals and organizations area expands to include about 1.5 miles purpose of and need for the project and expressing interest in the project will be west of U.S. 40, 1.5 miles east of U.S. taking into account agency and public able to participate in the process 40, and 1.5 miles south of the input. The currently contemplated through various public outreach intersection of U.S. 40 and U.S. 189. alternatives include (1) taking no action; opportunities. These opportunities UDOT initiated an early scoping (2) improvements to U.S. 40 such as include, but are not limited to, public process in the spring of 2020 to provide adding lanes and intersection meetings and hearing(s), the project information and solicit input before improvements; (3) improvements to website, and press releases. Public issuing this notice of intent. During existing roads other than U.S. 40; (4) a notice will be given of the time and early scoping, UDOT conducted a traffic one-way-couplet system; (5) a new place of all public meetings and and safety technical analysis and bypass west of U.S. 40; (6) a new bypass coordinated with agencies, stakeholders, hearing(s). A public scoping meeting is east of U.S. 40; (7) Transportation not planned because one was held and the public to identify transportation System Management (TSM); (8) transit; needs, preliminary alternatives, and during the early scoping process. All and (9) other reasonable alternatives if interested parties are requested to potentially significant environmental identified during the EIS process. provide comments on the draft purpose issues. A public early scoping meeting Alternatives that do not meet the and need (available on the project was held on August 27, 2020. Based on project’s purpose and need or that are early scoping, UDOT developed a draft otherwise not reasonable will not be website) and potential alternatives and purpose and need. The Draft Purpose carried forward for detailed impacts, and to identify any relevant and Need Technical Report and an Early consideration in the EIS. information, studies or analyses of any Scoping Summary Report are available During the early scoping process, the kind concerning impacts affecting the on the project website at https:// public and agencies identified issues quality of the human environment hebervalleyeis.udot.utah.gov. important to the community and natural relevant to the project . Written The preliminary purpose of this environment that should be evaluated in comments or questions should be project as identified by UDOT is to the EIS. Based on this input, the EIS directed to UDOT representatives at the improve regional and local mobility on will evaluate the expected impacts and mail or email addresses provided above. U.S. 40 from S.R. 32 to U.S. 189 through benefits from the proposed project to the A 45-day public comment period will 2050 while allowing Heber City to meet following resources: Land use, run from April 30 to June 14, 2021. their vision for the historic town center. farmland, social and community For more information, please visit the The need identified for the project is resources, environmental justice, traffic, project website at https://hebervalleyeis. related primarily to traffic during peak economics, pedestrian and bicyclist periods, which is expected to get worse considerations, air quality, noise, water udot.utah.gov. Information requests or with increasing population. The quality, ecosystem resources (wetlands, comments can also be emailed to primary needs include (1) the character wildlife, and threatened and endangered [email protected]. and function of U.S. 40 changes from a species), floodplains, cultural resources, (Catalog of Federal and Domestic Assistance 65-miles-per-hour (mph) limited-access hazardous waste sites, and visual Program Number 20.205, Highway Research, freeway to a 35-mph Main Street in resources. Planning and Construction. The regulations Heber City with signalized intersections, A coordination plan is being prepared implementing Executive Order 12372 throughput is traded for increased to define the agency and public regarding intergovernmental consultation on
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Federal programs and activities apply to this Background: The MAP–21 (Pub. L. annually for an individual State DOT to program.) 112–141) and FAST Act (Pub. L. 114– compile, organize, and submit the report Ivan Marrero, 94) transformed the Federal-aid to FHWA. Division Administrator, Federal Highway highway program by establishing new Estimated Total Annual Burden Administration, Salt Lake City, Utah. requirements for transportation Hours: Approximately 110,656 hours [FR Doc. 2021–09920 Filed 5–10–21; 8:45 am] performance management (TPM) to annually. ensure the most efficient investment of Public Comments Invited: You are BILLING CODE P Federal transportation funds. Prior to asked to comment on any aspect of this MAP–21, there were no explicit information collection, including: (1) DEPARTMENT OF TRANSPORTATION requirements for State DOTs to Ways for the FHWA to enhance the demonstrate how their transportation quality, usefulness, and clarity of the Federal Highway Administration program supported national collected information; and (2) ways that performance outcomes. State DOTs were [Docket No. FHWA–2021–0005] the burden could be minimized, without not required to measure condition or reducing the quality of the collected Agency Information Collection performance, establish targets, assess information. The agency will summarize Activities: Request for Comments for a progress toward targets, or report on and/or include your comments in the New Information Collection condition or performance in a nationally request for OMB’s clearance of this consistent manner that FHWA could use information collection. AGENCY: Federal Highway to assess the entire system. It has been Administration (FHWA), DOT. Authority: The Paperwork Reduction Act difficult for FHWA to examine the of 1995; 44 U.S.C. Chapter 35, as amended; ACTION: Notice and request for effectiveness of the Federal-aid highway and 49 CFR 1.48. comments. program as a means to address surface transportation performance at a national Issued On: May 6, 2018. SUMMARY: The FHWA invites public level without States reporting on the Michael Howell, comments about our intention to request above factors. The new TPM Information Collection Officer. the Office of Management and Budget’s requirements, as established by MAP–21 [FR Doc. 2021–09960 Filed 5–10–21; 8:45 am] (OMB) approval for a new information and FAST Act, change this paradigm BILLING CODE 4910–22–P collection, which is summarized below and require states to measure condition under SUPPLEMENTARY INFORMATION. We or performance, establish targets, assess are required to publish this notice in the progress towards targets and report on DEPARTMENT OF VETERANS Federal Register by the Paperwork condition or performance. AFFAIRS Reduction Act of 1995. State DOTs now must submit biennial DATES: Please submit comments by July performance reports (23 U.S.C. 150(e) [OMB Control No. 2900–0113] 12, 2021. and 23 CFR 490.107). The information ADDRESSES: You may submit comments being requested in the TPM Biennial Agency Information Collection identified by DOT Docket ID Number Reports has been provided to the DOT Activity: Application for Fee or Roster 2021–0005 by any of the following in an electronic format through an Personnel Designation methods: online data form called the Performance AGENCY: Veteran Benefits Website: For access to the docket to Management Form (PMF). State DOTs Administration, Department of Veterans read background documents or have successfully submitted the Affairs. comments received go to the Federal required biennial reports in October ACTION: eRulemaking Portal: Go to http:// 2018 and 2020. Alternative formats will Notice. www.regulations.gov. be made available where necessary. As SUMMARY: Veteran Benefits 1 Follow the online instructions for part of the rulemaking implementing Administration, Department of Veterans submitting comments. the MAP–21 and FAST Act Affairs (VA), is announcing an Fax: 1–202–493–2251. requirements, FHWA evaluated all of opportunity for public comment on the Mail: Docket Management Facility, the Biennial Reporting requirements in U.S. Department of Transportation, proposed collection of certain the individual regulatory impact information by the agency. Under the West Building Ground Floor, Room assessments (RIA) and determined the W12–140, 1200 New Jersey Avenue SE, Paperwork Reduction Act (PRA) of following: 1995, Federal agencies are required to Washington, DC 20590–0001. Respondents: 52 State DOTs, Hand Delivery or Courier: U.S. publish notice in the Federal Register including Washington DC and Puerto concerning each proposed collection of Department of Transportation, West Rico. information, including each proposed Building Ground Floor, Room W12–140, Frequency: Biennially. 1200 New Jersey Avenue SE, Estimated Average Burden per extension of a currently approved Washington, DC 20590, between 9 a.m. Response: Approximately 2,128 hours collection, and allow 60 days for public and 5 p.m. ET, Monday through Friday, comment in response to the notice. except Federal holidays. 1 2nd National Performance Management DATES: Written comments and FOR FURTHER INFORMATION CONTACT: Measures Rule (PM2): Assessing Pavement recommendations on the proposed Condition for National Highway Performance collection of information should be Susanna Hughes Reck, Office of Program and Bridge Condition for National Infrastructure, HISM–20, ((202) 366– Highway Performance Program; Assessing received on or before July 12, 2021. 1548 Federal Highway Administration, Performance of National Highway System, etc. (RIN: ADDRESSES: Submit written comments 1200 New Jersey Avenue SE, 2125–AF53) https://www.govinfo.gov/content/pkg/ FR-2017-01-18/pdf/2017-00550.pdf. on the collection of information through Washington, DC 20590. Office hours are 3rd National Performance Management Measures Federal Docket Management System from 8:00 a.m. to 4:30 p.m. ET, Monday Rule (PM3): Assessing Performance of National (FDMS) at www.Regulations.gov or to through Friday, except Federal holidays. Highway System, Freight Movement on Interstate Nancy J. Kessinger, Veterans Benefits System, and Congestion Mitigation and Air Quality SUPPLEMENTARY INFORMATION Administration (20M33), Department of : Improvement Program (RIN 2125–AF54) https:// Title: Biennial Performance Reporting www.govinfo.gov/content/pkg/FR-2017-01-18/pdf/ Veterans Affairs, 810 Vermont Avenue for the TPM Program. 2017-00681.pdf. NW, Washington, DC 20420 or email to
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[email protected]. Please refer to Estimated Average Burden per Abstract: VA Form 21–4138 is used to ‘‘OMB Control No. 2900–0113’’ in any Respondent: 30 minutes. provide self-certified statements in correspondence. During the comment Frequency of Response: One time. support of various types of claims period, comments may be viewed online Estimated Number of Respondents: processed by VA. Statements submitted through the FDMS. 2,000 per year. by or on behalf of a claimant should FOR FURTHER INFORMATION CONTACT: By direction of the Secretary. contain certification by the respondent Maribel Aponte, Office of Enterprise Maribel Aponte, that the information provided is true and correct. This form facilitates claims and Integration, Data Governance VA PRA Clearance Officer, Office of Analytics (008), 1717 H Street NW, Enterprise and Integration/Data Governance processing by providing a uniform Washington, DC 20006, (202) 266–4688 Analytics, Department of Veterans Affairs. format for the certification statement. No substantive changes were added or email [email protected]. Please [FR Doc. 2021–09919 Filed 5–10–21; 8:45 am] and/or removed from this form. This refer to ‘‘OMB Control No. 2900–0113’’ BILLING CODE 8320–01–P in any correspondence. request is only to extend the viability of SUPPLEMENTARY INFORMATION: Under the the form. Due to a reduction in PRA of 1995 (Pub. L. 104–13; 44 U.S.C. DEPARTMENT OF VETERANS respondent totals over the past year, the 3501–21), Federal agencies must obtain AFFAIRS respondent burden has decreased. approval from the Office of Management An agency may not conduct or and Budget (OMB) for each collection of [OMB Control No. 2900–0075] sponsor, and a person is not required to information they conduct or sponsor. respond to a collection of information Agency Information Collection Activity This request for comment is being made unless it displays a currently valid OMB Under OMB Review: Statement in pursuant to Section 3506(c)(2)(A) of the control number. The Federal Register Support of Claim PRA. With respect to the following Notice with a 60-day comment period soliciting comments on this collection collection of information, VBA invites AGENCY: Veterans Benefits comments on: (1) Whether the proposed of information was published at 86 FR Administration, Department of Veterans 24 on February 8, 2021, pages 8682 and collection of information is necessary Affairs. for the proper performance of VBA’s 8683. ACTION: Notice. Affected Public: Individuals and functions, including whether the households. information will have practical utility; SUMMARY : In compliance with the Estimated Annual Burden: 121,544 (2) the accuracy of VBA’s estimate of the Paperwork Reduction Act (PRA) of hours. burden of the proposed collection of 1995, this notice announces that the Estimated Average Burden per information; (3) ways to enhance the Veterans Benefits Administration Respondent: 15 minutes. quality, utility, and clarity of the (VBA), Department of Veterans Affairs, Frequency of Response: On occasion. information to be collected; and (4) will submit the collection of Estimated Number of Respondents: ways to minimize the burden of the information abstracted below to the 486,174. collection of information on Office of Management and Budget respondents, including through the use (OMB) for review and comment. The By direction of the Secretary. of automated collection techniques or PRA submission describes the nature of Maribel Aponte, the use of other forms of information the information collection and its VA PRA Clearance Officer, Office of technology. expected cost and burden and it Enterprise and Integration, Data Governance Authority: Public Law 104–13; 44 includes the actual data collection Analytics, Department of Veterans Affairs. U.S.C. 3501–3521. instrument. [FR Doc. 2021–09918 Filed 5–10–21; 8:45 am] Title: Application for Fee or Roster BILLING CODE 8320–01–P DATES: Written comments and Personnel Designation. recommendations for the proposed OMB Control Number: 2900–0113. information collection should be sent Type of Review: Extension of a DEPARTMENT OF VETERANS within 30 days of publication of this currently approved collection. AFFAIRS Abstract: VA Form 26–6681 solicits notice to www.reginfo.gov/public/do/ AR16—Notice of Listening Sessions information on the fee personnel PRAMain. Find this particular on the Department of Veterans Affairs applicant’s background and experience information collection by selecting Staff Sergeant Parker Gordon Fox in the real estate valuation field. A fee ‘‘Currently under 30-day Review—Open Suicide Prevention Grant Program appraiser is a qualified person requested for Public Comments’’ or by using the search function. Refer to ‘‘OMB Control by the Secretary to render an estimate of AGENCY: No. 2900–0075. Department of Veterans Affairs. the reasonable value of a property, or of ACTION: Announcement for Public FOR FURTHER INFORMATION CONTACT: a specified type of property, within a Meetings. stated area for the purpose of justifying Maribel Aponte, Office of Enterprise the extension of credit to an eligible and Integration, Data Governance SUMMARY: The Department of Veterans veteran (38 CFR 36.4301). The fee Analytics (008), 1717 H Street NW, Affairs (VA) will be holding two public appraiser’s estimate of value is reviewed Washington, DC 20006, (202) 266–4688 virtual listening sessions to seek input by a VA staff appraiser or lender’s staff or email [email protected]. Please on implementing the requirements of appraisal reviewer who uses the data to refer to ‘‘OMB Control No. 2900–0075’’ section 201 of the Commander John establish the VA reasonable value (38 in any correspondence. Scott Hannon Veterans Mental Health U.S.C. 3710(b)(4), (5), (6) and SUPPLEMENTARY INFORMATION: Care Improvement Act of 2019. The Act 3731(f)(1)), which becomes the Authority: 38 U.S.C. 501. mandates VA to establish the Staff maximum loan guaranty amount an Title: Statement in Support of Claim Sergeant Parker Gordon Fox Suicide eligible veteran can obtain. (VA Form 21–4138). Prevention Grant Program (SSG Fox Affected Public: Private Sector. OMB Control Number: 2900–0075. SPGP) to reduce Veteran suicide Estimated Annual Burden: 1,000 Type of Review: Reinstatement of a through a 3-year community-based grant hours. previously approved collection. program that would provide financial
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assistance to eligible entities to provide Veteran suicide. Section 201 authorizes appropriate existing measurement tool or coordinate providing suicide the award of grants for no more than or protocol for VA to utilize; (10) The prevention services to eligible Veterans $750,000 per grantee per fiscal year to National Alliance on Mental Illness; (11) and their families. VA is required to eligible entities to provide or coordinate a labor organization (as such term is consult with certain entities related to providing suicide prevention services to defined in 5 U.S.C. 7103(a)(4)); (12) The administering this new grant program. eligible individuals and their families. Centers for Disease Control and VA previously published a request for An eligible individual is a person at risk Prevention (CDC), the Substance Abuse information on April 1, 2021, seeking of suicide who is a Veteran as defined and Mental Health Services written comments from these entities to in 38 U.S.C. 101, an individual Administration and PREVENTS; and help inform VA’s development of the described in 38 U.S.C. 1720I(b) or an (13) Such other organizations as the SSG Fox SPGP and its implementing individual described in 38 U.S.C. Secretary deems appropriate. regulations. These public virtual 1712A(a)(1)(C)(i)–(iv). On April 1, 2021, VA published a request for information in the Federal listening sessions serve as additional Consultation With Interested Parties means for VA to consult with these Register seeking input from these same entities. In administering the SSG Fox SPGP, groups and entities. See 86 FR 17268. VA is required to consult with certain These public virtual listening sessions DATES: VA will hold the first public entities to: serve as an additional means for VA to virtual listening session on May 25, 1. Establish the criteria for selecting consult with these entities. Responses 2021, and the second public virtual eligible entities that have submitted will be used to inform development of listening session on May 26, 2021. Each applications; the SSG Fox SPGP and its implementing meeting will start at 10:00 a.m. and 2. Develop a framework for collecting regulations. Oral comment, testimonies conclude on or before 5:00 p.m. Eastern and sharing information about eligible and technical remarks are encouraged to Standard Time (EST). There will be entities receiving grants; and be concise and directed toward specific limited space for participants to speak at 3. Develop the measures and metrics virtual public listening session topics. the public virtual listening sessions. To eligible entities receiving grants will use Please note that VA will not respond to accommodate as many speakers as to determine the effectiveness of comments or other questions regarding possible, participants will have no more programming provided to improve policy plans, decisions or issues than 20 minutes to provide oral mental health status, well-being and regarding this notice. comments, testimonies and/or technical reduce suicide risk and deaths by Comments received in response to remarks. More concise contributions are suicide. this notice will be evaluated and, as also welcome. The exact time allotted VA is also required to consult with appropriate, incorporated into a will vary based on the number of entities in developing a plan for the proposed rulemaking for grants under participants registered and selected to design and implementing the provision this law. speak. of grants, including criteria for awarding The sessions will be held virtually as such grants, and on non-traditional and Registration a WebEx Event, and it will be open to innovative approaches and treatment Individual registration: VA the public to listen. Information about practices. The Act requires VA to encourages individual registrations for the meeting and registration to speak or specifically consult with the following those not affiliated with or representing listen can be obtained by emailing entities: (1) Veterans Service a group, association or organization. [email protected]. Organizations; (2) National Group registration: Identification of Virtual attendance will be limited to organizations representing potential the name of the group, association or 1,000 registrants. Advanced registration community partners in providing organization should be indicated in for individuals and groups is strongly supportive services to address the needs your registration request. Due to virtual encouraged (see registration instructions of Veterans and their families, including platform meeting limitations of WebEx below). Individuals or groups who seek national organizations that advocate for and the statutory mandate that VA to speak must pre-register by May 19, the needs of individuals with or at risk consult with certain entities, VA may 2021, at 4:00 p.m. EST. Speakers must of behavioral health conditions as well select certain entities to speak or may virtually check-in between 9:00 a.m. as national organizations representing limit the size of a group’s registration to and 9:45 a.m. EST to test their WebEx mayors, unions, first responders, chiefs allow receipt of testimonies and/or access and resolve any platform issues. of police and sheriffs, governors, a technical remarks from a broad, diverse FOR FURTHER INFORMATION CONTACT: territory of the United States or group of stakeholders. Oral comments, Juliana Hallows, Associate Director for representing a Tribal alliance; (3) testimonies and/or technical remarks Policy and Planning—Suicide National organizations representing may be limited from a group, Prevention Program, Office of Mental members of the Armed Forces; (4) association or organization to no more Health and Suicide Prevention National organizations representing than two (2) individuals representing (OMHSP), 11MHSP, 810 Vermont counties; (5) Organizations with which the same group, association or Avenue NW, Washington, DC 20420, VA has a current memorandum of organization. Efforts will be made to 202–266–4653. (This is not a toll-free agreement or understanding related to accommodate all attendees who wish to telephone number.) mental health or suicide prevention; (6) participate. However, VA will give SUPPLEMENTARY INFORMATION: State Departments of Veterans Affairs; priority to representatives of the (7) National organizations representing stakeholders enumerated in the statute Background members of the Reserve Components of who request registration before May 19, Section 201 of the Commander John the Armed Forces; (8) National 2021, 4:00 p.m. EST, and wish to Scott Hannon Veterans Mental Health organizations representing members of provide oral comments, testimonies Care Improvement Act of 2019 (the Act), the Coast Guard; (9) Organizations, and/or technical remarks. The length of Public Law 116–171, enacted on including institutions of higher time allotted for participants to provide October 17, 2020, requires VA to create education, with experience in creating oral comments, testimonies and/or a new community-based suicide measurement tools for purposes of technical remarks during the meeting prevention grant program to reduce advising the Secretary on the most will be no more than 20 minutes and is
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subject to the total number of Virtual Public Listening Session Topics and the reporting requirements. The participants speaking, to ensure time is To design and implement the SSG Secretary may provide the training and allotted to selected registered speakers. Fox SPGP consistent with, and pursuant technical assistance directly or through There will be no opportunity for audio- to, section 201 of the Act, the Secretary grants or contracts with appropriate visual presentations during the meeting. seeks information on the topics and public or nonprofit entities. Audio (For listening purposes only): issues listed below. Commenters do not 1. What training and technical Limited to the first 200 participants, on need to address every question and assistance programs and tools currently a first-come, first-served basis. should focus on those that relate to their exist for the specified subject areas Advanced registration is not required. expertise or perspectives. To the extent described above that could be utilized Audio attendees will not be allowed to possible, please clearly indicate which by VA? offer oral comments, testimonies and/or topics and issues you address in your 2. What data collection tools and technical remarks as the phone line will response. training currently exist for the specified be muted. subject areas that could be utilized by Note: Should it be necessary to cancel Virtual Public Listening Session 1: May VA? the meeting due to technical issues or 25, 2021 3. What tools and training currently other emergencies, VA will take A. Distribution and Selection of Grants exist for measuring the effectiveness of available measures to notify registered (Section 201(d)(h)(1) of the Act) grants that could be utilized by VA? participants. VA will conduct the public 4. What tools and training currently 1. What criteria should VA establish meeting informally, and technical rules exist for managing reporting for the selection of eligible entities that of evidence will not apply. VA will requirements that could be utilized by have submitted applications under the arrange for a written transcript of the VA? SSG Fox SPGP? meeting and keep the official record 5. Should VA provide training and/or 2. Pursuant to the Act, the Secretary open for 15 days after the meeting to technical assistance directly, through shall give preference to eligible entities allow submission of supplemental grants or contracts with appropriate that have demonstrated the ability to information. You may make public or nonprofit entities, or a provide or coordinate suicide arrangements for copies of the transcript combination of both? prevention services. How should VA directly with the reporter, and the weigh evidence of demonstrated ability Virtual Public Listening Session 2: May transcript will also be posted in the to provide or coordinate suicide 26, 2021 docket of the rule as part of the official prevention services, in giving preference record when the rule is published. D. Referral for Care (Section 201(m) of to eligible entities that have the Act) Each listening session will focus on demonstrated such ability? specific virtual public listening session Section 201(m) of the Act provides topics described in this notice and B. Administration of Grant Program: that if an eligible entity in receipt of a specified in the following Agenda: Development of Measures and Metrics grant under the SSG Fox SPGP (Section 201(h)(2) of the Act) determines that an eligible individual is Listening Session 1 1. How should VA collect and share at risk of suicide or other mental or Virtual Public Listening Session 1 information about entities in receipt of behavioral health condition pursuant to Topics (May 25, 2021) grants under the SSG Fox SPGP? a baseline mental health screening conducted under subsection A. Distribution and Selection of Grants 2. How can shared information about (q)(11)(A)(ii) of the Act with respect to B. Administration of Grant Program entities be used to improve the provision or coordination of suicide the individual, the entity shall refer the C. Training and Technical Assistance prevention services for eligible eligible individual to VA for additional Agenda individuals and families? care under subsection (n) of the Act or 3. What measures and metrics should any other provision of law. Section 09:00–10:00 Speaker Virtual Check-In eligible entities, who are in receipt of 201(m) of the Act also provides that if 10:00–12:00 Morning Public Meeting grants under the SSG Fox SPGP, use to an eligible entity in receipt of a grant Session determine the effectiveness of the under the SSG Fox SPGP determines 12:00–13:00 Break programs they are providing? that an eligible individual furnished 13:00–17:00 Afternoon Public Meeting 4. What existing measurements, tool clinical services for emergency Session or protocols are available to determine treatment under subsection 17:00 Adjourn program effectiveness? Which of these (q)(11)(A)(iv) of the Act requires ongoing services, the entity shall refer Listening Session 2 should be used for purposes of measuring effectiveness of programs the eligible individual to VA for Virtual Public Listening Session 2 provided through this grant program? additional care under subsection (n) of Topics (May 26, 2021) the Act or any other provision of law. C. Training and Technical Assistance 1. When an eligible entity in receipt D. Referral for Care (Section 201(g) of the Act) of a grant under the SSG Fox SPGP E. Risk of Suicide Section 201(g) of the Act provides that determines that an eligible individual is F. Suicide Prevention Services the Secretary, in coordination with CDC, at risk of suicide or other mental or Agenda shall provide training and technical behavioral health condition pursuant to assistance to grant recipients. The a qualifying baseline mental health 09:00–10:00 Arrival/Check-In required training and technical screening, by what mechanism should 10:00–12:00 Morning Public Meeting assistance will cover suicide risk the eligible entity refer the eligible Session identification and management, data individual to VA for additional care? 12:00–13:00 Break required to be collected and shared with 2. When an eligible entity in receipt 13:00–17:00 Afternoon Public Meeting VA, the means of data collection and of a grant under the SSG Fox SPGP Session sharing, use of tools to be used to determines that an eligible individual 17:00 Adjourn measure the effectiveness of the grants furnished clinical services for
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emergency treatment requires ongoing 1. What degree(s) of exposure to, or practices should VA determine to be services, by what mechanism should the the existence of, the health, appropriate to be provided under this eligible entity refer the eligible environmental and historical risk factors grant program? individual to VA for additional care? enumerated in section 201(q)(8)(A)(i)– Signing Authority 3. How should referrals to VA for (iii) should VA utilize in determining additional care be tracked and reported degrees of risk of suicide? Denis McDonough, Secretary of 2. What process should VA establish by eligible entities? for use by grant recipients in Veterans Affairs, approved this E. Risk of Suicide determining the degrees of risk of document on May 5, 2021, and suicide to focus the delivery of services authorized the undersigned to sign and Section 201(q)(8) of the Act directs using grant funds? submit the document to the Office of the the Secretary to determine by regulation Federal Register for publication the degrees of risk of suicide using F. Suicide Prevention Services electronically as an official document of health, environmental and historical Section 201(q)(11)(A)(x) of the Act the Department of Veterans Affairs. risk factors enumerated in section notes that suicide prevention services 201(q)(8)(A)(i)–(iii). Section 201(q)(8) includes non-traditional and innovative Jeffrey M. Martin, also provides that the Secretary may, approaches and treatment practices, as Assistant Director, Office of Regulation Policy through regulation, establish a process determined appropriate by the & Management, Office of the Secretary, for determining the degrees of risk of Secretary, in consultation with Department of Veterans Affairs. suicide for use by grant recipients to appropriate entities. [FR Doc. 2021–09956 Filed 5–10–21; 8:45 am] focus the delivery of suicide prevention 1. What non-traditional and BILLING CODE 8320–01–P services. innovative approaches and treatment
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Reader Aids Federal Register Vol. 86, No. 89 Tuesday, May 11, 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. 245a...... 24750 Presidential Documents 3 CFR 264...... 24750 Executive orders and proclamations 741–6000 Proclamations: 274...... 25809 The United States Government Manual 741–6000 10189...... 23843 274a...... 24751 10190...... 23845 Other Services 287...... 24750 10191...... 23847 316...... 24750 Electronic and on-line services (voice) 741–6020 10192...... 23849 333...... 24750 Privacy Act Compilation 741–6050 10193...... 23851 335...... 24750 10194...... 23853 10195...... 23855 10 CFR ELECTRONIC RESEARCH 10196...... 23857 430...... 24483, 24484 World Wide Web 10197...... 23859 Proposed Rules: 10198...... 23861 50...... 24362 Full text of the daily Federal Register, CFR and other publications 10199...... 24297 51...... 24514 is located at: www.govinfo.gov. 10200...... 24301 52...... 24362 Federal Register information and research tools, including Public 10201...... 24477 429...... 24516 Inspection List and electronic text are located at: 10202...... 24479 430...... 23635, 24538 www.federalregister.gov. 10203...... 24697 431 ...... 23875, 24516, 24752 10204...... 25799 11 CFR E-mail Administrative Orders: Presidential Proposed Rules: FEDREGTOC (Daily Federal Register Table of Contents Electronic Determinations: No. 113...... 23300 Mailing List) is an open e-mail service that provides subscribers 2021–06 of May 3, with a digital form of the Federal Register Table of Contents. The 12 CFR 2021 ...... 24475 digital form of the Federal Register Table of Contents includes 1242...... 23577 HTML and PDF links to the full text of each document. Notices Notice of May 6, Proposed Rules: To join or leave, go to https://public.govdelivery.com/accounts/ 2021 ...... 25793 30...... 24755 USGPOOFR/subscriber/new, enter your email address, then Notice of May 6, 208...... 24755 follow the instructions to join, leave, or manage your 2021 ...... 25795 328...... 24770 subscription. Notice of May 6, 364...... 24755 PENS (Public Law Electronic Notification Service) is an e-mail 2021 ...... 25797 13 CFR service that notifies subscribers of recently enacted laws. 5 CFR 126...... 23863 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html and select Join or leave the list (or change settings); then follow 2611...... 25801 14 CFR the instructions. 6 CFR 13...... 23241 39 ...... 23593, 23595, 23599, FEDREGTOC and PENS are mailing lists only. We cannot 37...... 23237 respond to specific inquiries. 24485 7 CFR 77...... 25801 Reference questions. Send questions and comments about the 244...... 23260 Federal Register system to: [email protected] 3...... 24699 259...... 23260 The Federal Register staff cannot interpret specific documents or Proposed Rules: 383...... 23241 1280...... 24513 regulations. 406...... 23241 8 CFR Proposed Rules: Ch. I ...... 23876 FEDERAL REGISTER PAGES AND DATE, MAY Proposed Rules: 39 ...... 23301, 24546, 24549, 1...... 24750 24551, 24554, 24556, 24560, 23237–23576...... 3 103...... 24750, 25809 23577–23842...... 4 24778, 24780, 24783, 24786, 106...... 24751 24790, 25810, 25812 23843–24296...... 5 204...... 24750 71 ...... 24562, 21782, 24792, 24297–24474...... 6 207...... 24750 24794, 24795, 24797, 24798, 24475–24696...... 7 208...... 24750 24800, 24801, 24803, 24805 24697–25798...... 10 209...... 24750 Ch. II ...... 23876 25799–25942...... 11 210...... 24750 Ch. III ...... 23876 212...... 24750, 25809 214...... 24750 15 CFR 215...... 24750 Ch. XV ...... 23271 216...... 24750 235...... 24750 16 CFR 236...... 24750 Proposed Rules: 240...... 24750 Ch. II ...... 25817 241...... 24751 244...... 24750 17 CFR 245...... 24750 232...... 25803
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239...... 25803 401...... 23241 155...... 24140 228...... 23241 249...... 25803 Proposed Rules: 156...... 24140 229...... 23241 269...... 25803 117...... 23639, 23880 158...... 24140 230...... 23241 274...... 25803 165...... 24807, 25830 184...... 24140 231...... 23241 Proposed Rules: 233...... 23241 46 CFR 240...... 24364 34 CFR 234...... 23241 Proposed Rules: 221...... 23241 235...... 23241 19 CFR Ch. II ...... 23304 307...... 23241 236...... 23241 Ch. I ...... 23277 340...... 23241 237...... 23241 38 CFR 356...... 23241 238...... 23241 20 CFR 17...... 24494 Proposed Rules: 239...... 23241 Proposed Rules: Ch. II ...... 23876 240...... 23241 39 CFR 655...... 24368 47 CFR 241...... 23241 3...... 24712 242...... 23241 21 CFR 10...... 24712 2...... 23281, 23614 243...... 23241 1308...... 23602, 24487 15...... 23281 244...... 23241 1310...... 24703 40 CFR 20...... 23614 272...... 23241 68...... 23614 Proposed Rules: 9...... 24328 386...... 23241 73 ...... 23866, 23868, 24339, 573...... 24564 52 ...... 24499, 24500, 24502, 578...... 23241 24510, 24741 24503, 24505, 24507, 24713, 1570...... 23629 90...... 23281 22 CFR 24715, 24717, 24718, 24726, 1582...... 23629 95...... 23281 228...... 24708 24728 Proposed Rules: 62...... 24730 Proposed Rules: 15...... 23323 Ch. I ...... 23876 23 CFR 82...... 24444 Ch. II ...... 23876 180...... 24731 73...... 23340, 24837 Proposed Rules: 90...... 23323 Ch. III ...... 23876 Ch. I ...... 23876 721...... 24328 95...... 23323 Ch. V...... 23876 Ch. II ...... 23876 725...... 24328 Ch. VI...... 23876 Ch. III ...... 23876 Proposed Rules: 48 CFR Ch. VII...... 23876 52 ...... 24564, 24569, 24809, Ch. VIII...... 23876 26 CFR Proposed Rules: 24829, 24835 Ch. 12 ...... 23876 Ch. X...... 23876 53...... 23865 81...... 23309 Ch. XI...... 23876 49 CFR 29 CFR 42 CFR 107...... 23241 50 CFR 780...... 24303 37...... 24336 171...... 23241 788...... 24303 412...... 24735 190...... 23241 17...... 23869, 25806 795...... 24303 510...... 23496 209...... 23241 218...... 24340 Proposed Rules: 213...... 23241 622...... 24742 30 CFR 412...... 25070 214...... 23241 635...... 24359 250...... 23606 413...... 25070 215...... 23241 648 ...... 23633, 24360, 24745 425...... 25070 216...... 23241 660...... 23872 31 CFR 455...... 25070 217...... 23241 665...... 24511 Proposed Rules: 495...... 25070 218...... 23241 679...... 24746 100...... 23877 219...... 23241 Proposed Rules: 44 CFR 220...... 23241 10...... 24573 33 CFR 64...... 24739 221...... 23241 17...... 23882, 25833 100 ...... 23608, 23865, 24326, 222...... 23241 20...... 23641 24492 45 CFR 223...... 23241 32...... 23794 117...... 23278, 23609 147...... 24140 224...... 23241 71...... 23794 165 ...... 23279, 23611, 23613, 150...... 24140 225...... 23241 224...... 23657 23865, 24710 153...... 24140 227...... 23241 660...... 23659
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