Vol. 86 Tuesday, No. 44 March 9, 2021
Pages 13443–13622
OFFICE OF THE FEDERAL REGISTER
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Contents Federal Register Vol. 86, No. 44
Tuesday, March 9, 2021
Agricultural Marketing Service PROPOSED RULES NOTICES Air Quality State Implementation Plans; Approvals and Standards for Grades: Promulgations: Frozen Corn on the Cob, 13519 California; El Dorado County Air Quality Management District; South Coast Air Quality Management Agriculture Department District, 13514–13516 See Agricultural Marketing Service Pennsylvania; Regulatory Updates to Nonattainment New See Forest Service Source Review Permitting Requirements for 2012 See Natural Resources Conservation Service PM2.5 National Ambient Air Quality Standard, NOTICES 13511–13514 Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 13519–13520 Meetings: Environmental Financial Advisory Board, 13542–13543 Centers for Medicare & Medicaid Services NOTICES Federal Accounting Standards Advisory Board Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 13566–13567 Request for Volunteers: Agency Information Collection Activities; Proposals, Intangible Assets Task Force, 13543 Submissions, and Approvals: Withdrawal, 13565–13566 Federal Aviation Administration Coast Guard RULES NOTICES Airspace Designations and Reporting Points: Agency Information Collection Activities; Proposals, Muskegon, MI; Correction, 13447 Submissions, and Approvals, 13568–13574 Vicinity of Anthony, KS, 13448 Airworthiness Directives: Commerce Department Bell Textron Inc. (Type Certificate Previously Held by See Foreign-Trade Zones Board Bell Helicopter Textron Inc.) Helicopters, 13443– See International Trade Administration 13445 See National Oceanic and Atmospheric Administration Pratt and Whitney Division Turbofan Engines, 13445– See Patent and Trademark Office 13447 Streamlined Launch and Reentry License Requirements; Drug Enforcement Administration Delay of Effective Date, 13448–13449 NOTICES PROPOSED RULES Bulk Manufacturer of Controlled Substances Application: Airworthiness Directives: Marihuana; Groff NA Hemplex, LLC, 13587 Bell Helicopter Textron Canada Helicopters, 13505–13506 Patheon Pharmaceuticals, Inc., 13586 Mooney International Corporation Airplanes, 13502– Stepan Co., 13586–13587 13505 NOTICES Education Department Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals: Guidance: Helicopter Air Ambulance Operator Reports, 13602 Frequently Asked Questions; Criterion for an Integrated Employment Location in the Definition of Federal Communications Commission Competitive Integrated Employment and Participant PROPOSED RULES Choice, 13511 Television Broadcasting Services: Energy Department Cape Girardeau, MO, 13516–13517 See Federal Energy Regulatory Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Energy Conservation Program: Submissions, and Approvals, 13543–13545 Decision and Order Granting a Waiver to ECR Meetings: International, Inc. from the Furnace Fan Test North American Numbering Council, 13548 Procedure, 13530–13535 Privacy Act; System of Records, 13545–13548
Environmental Protection Agency Federal Energy Regulatory Commission RULES PROPOSED RULES Pesticide Tolerances: Removing Profile Drawing Requirement for Qualifying Fluindapyr, 13459–13465 Conduit Notices of Intent and Revising Filing State Plans for Designated Facilities and Pollutants; Requirements for Major Hydroelectric Projects 10 MW Approvals and Promulgations: or Less, 13506–13511 Maryland; Control of Emissions from Existing Sewage NOTICES Sludge Incineration Units; Correction, 13459 Combined Filings, 13540–13542
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Complaint: See National Institutes of Health Equinor Marketing and Trading (US), Inc. v. Mustang Pipe Line, LLC, 13538–13539 Homeland Security Department Louisiana Public Service Commission, Arkansas Public See Coast Guard Service Commission, Council of the City of New See U.S. Citizenship and Immigration Services Orleans, LA v. System Energy Resources, Inc., Entergy Services, LLC, Entergy Operations, Inc., Housing and Urban Development Department Entergy Corp., 13535 NOTICES Initial Market-Based Rate Filings Including Requests for Agency Information Collection Activities; Proposals, Blanket Section 204 Authorizations: Submissions, and Approvals: Bighorn Solar 1, LLC, 13542 Public Housing Assessment System Appeals; Unaudited Genbright, LLC, 13538 Financial Statement Submission Extensions; Assisted Vineyard Reliability, LLC, 13540–13541 and Insured Housing Property Inspection Technical License Termination: Reviews and Database Adjustments, 13581–13582 Boyce Hydro Power, LLC, 13539–13540 Scoping Period Requesting Comments on Environmental Interior Department Issues: See Fish and Wildlife Service Perulack Compressor Units Replacement Project, 13536– See Geological Survey 13538 See Land Management Bureau Federal Housing Finance Agency NOTICES International Trade Administration Privacy Act; Systems of Records, 13548–13564 NOTICES Antidumping or Countervailing Duty Investigations, Orders, Federal Reserve System or Reviews: NOTICES Circular Welded Carbon-Quality Steel Pipe from Oman, Change in Bank Control: 13525 Acquisitions of Shares of a Bank or Bank Holding Melamine from the People’s Republic of China, 13528– Company, 13565 13529 Formations of, Acquisitions by, and Mergers of Bank Welded Line Pipe from the Republic of Turkey, 13526– Holding Companies, 13565 13528 Proposals to Engage in or to Acquire Companies Engaged in US-UK Financial Innovation Partnership Trade Mission to Permissible Nonbanking Activities, 13564–13565 the United Kingdom, 13526
Fish and Wildlife Service International Trade Commission RULES NOTICES Endangered and Threatened Species: Investigations; Determinations, Modifications, and Rulings, Status for the Missouri Distinct Population Segment of etc.: Eastern Hellbender, 13465–13475 Methionine from France, Japan, and Spain, 13585–13586
Foreign Assets Control Office Justice Department NOTICES See Drug Enforcement Administration Blocking or Unblocking of Persons and Properties, 13609– NOTICES 13611 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Foreign-Trade Zones Board State Criminal Alien Assistance Program, 13587–13588 NOTICES Proposed Production Activity: Land Management Bureau Liebel-Flarsheim Co., LLC (Diagnostic Imaging Contrast NOTICES Media) Raleigh, NC; Foreign-Trade Zone 93, Raleigh/ Agency Information Collection Activities; Proposals, Durham, NC, 13524–13525 Submissions, and Approvals: Merck and Co., Inc. (Pharmaceutical Products) Elkton, Oil Shale Management, 13584–13585 VA; Foreign-Trade Zone 185, Culpeper, VA, 13524 Use and Occupancy under the Mining Laws, 13583– Forest Service 13584 NOTICES Agency Information Collection Activities; Proposals, National Credit Union Administration Submissions, and Approvals: PROPOSED RULES National Woodland Owner Survey, 13520–13522 CAMELS Rating System, 13494–13498 Simplification of Risk Based Capital Requirements, 13498– Geological Survey 13502 NOTICES Agency Information Collection Activities; Proposals, National Highway Traffic Safety Administration Submissions, and Approvals: NOTICES Markup Application, 13582–13583 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Health and Human Services Department Automated Driving Systems 2.0, A Vision for Safety, See Centers for Medicare & Medicaid Services 13602–13605
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National Institutes of Health Municipal Securities Rulemaking Board, 13593–13598 NOTICES NYSE American, LLC, 13592–13593 Meetings: Center for Scientific Review, 13567–13568 Small Business Administration National Institute of Diabetes and Digestive and Kidney NOTICES Diseases, 13568 Agency Information Collection Activities; Proposals, National Institute of General Medical Sciences, 13567 Submissions, and Approvals, 13601 National Institute on Drug Abuse, 13568 Transportation Department National Oceanic and Atmospheric Administration See Federal Aviation Administration RULES See National Highway Traffic Safety Administration Atlantic Highly Migratory Species: NOTICES Commercial Aggregated Large Coastal Sharks and Tribal Consultation; Request for Comments, 13605–13609 Hammerhead Sharks in the Western Gulf of Mexico Sub-Region; Closure, 13491–13493 Treasury Department Fisheries of the Exclusive Economic Zone off Alaska: See Foreign Assets Control Office Sablefish Managed under the Individual Fishing Quota See United States Mint Program, 13493 RULES Pacific Halibut Fisheries: Emergency Capital Investment Program: Catch Sharing Plan, 13475–13491 Restrictions on Executive Compensation, Share Buybacks, PROPOSED RULES and Dividends, 13449–13459 Endangered and Threatened Species: NOTICES Designation of Critical Habitat for the Arctic Subspecies Privacy Act; System of Records, 13611–13615 of the Ringed Seal; Extension of Public Comment Period, 13517–13518 U.S. Citizenship and Immigration Services Designation of Critical Habitat for the Beringia Distinct NOTICES Population Segment of the Bearded Seal; Extension Designation of Venezuela for Temporary Protected Status of Public Comment Period, 13518 and Implementation of Employment Authorization for Venezuelans Covered by Deferred Enforced Departure, National Science Foundation 13574–13581 NOTICES Request for Comments: Unified Carrier Registration Plan Interagency Arctic Research Policy Committee Draft NOTICES Arctic Research Plan, 13588–13589 Meetings; Sunshine Act, 13616–13617 Natural Resources Conservation Service NOTICES United States Mint Proposed Revisions to the National Handbook of NOTICES Conservation Practices for the Natural Resources Meetings: Conservation Service, 13522–13524 Citizens Coinage Advisory Committee, 13615–13616
Nuclear Regulatory Commission Veterans Affairs Department NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals: Acquisition Regulation, 13589–13590 Application for United States Flag for Burial Purposes, 13618 Patent and Trademark Office Meetings: NOTICES Advisory Committee on the Readjustment of Veterans, Agency Information Collection Activities; Proposals, 13617–13618 Submissions, and Approvals: National Summer Teacher Institute, 13529–13530 Separate Parts In This Issue Pension Benefit Guaranty Corporation NOTICES Part II Agency Information Collection Activities; Proposals, Presidential Documents, 13619–13622 Submissions, and Approvals: Locating and Paying Participants, 13590–13592
Presidential Documents Reader Aids ADMINISTRATIVE ORDERS Consult the Reader Aids section at the end of this issue for Iran; Continuation of National Emergency (Notice of March phone numbers, online resources, finding aids, and notice 5, 2021), 13619–13622 of recently enacted public laws. To subscribe to the Federal Register Table of Contents Securities and Exchange Commission electronic mailing list, go to https://public.govdelivery.com/ NOTICES accounts/USGPOOFR/subscriber/new, enter your e-mail Self-Regulatory Organizations; Proposed Rule Changes: address, then follow the instructions to join, leave, or Cboe Exchange, Inc., 13598–13601 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 Administrative Orders: Notices: Notice of March 5, 2021 ...... 13621 12 CFR Proposed Rules: 700...... 13494 701...... 13494 702...... 13498 703 (2 documents) ...... 13494, 13498 704...... 13494 713...... 13494 14 CFR 39 (2 documents) ...... 13443, 13445, 71 (2 documents) ...... 13447, 13448 401...... 13448 404...... 13448 413...... 13448 414...... 13448 415...... 13448 417...... 13448 420...... 13448 431...... 13448 433...... 13448 435...... 13448 437...... 13448 440...... 13448 450...... 13448 460...... 13448 Proposed Rules: 39 (2 documents) ...... 13502, 13505 18 CFR Proposed Rules: 4...... 13506 5...... 13506 31 CFR 35...... 13449 34 CFR Proposed Rules: 361...... 13511 40 CFR 62...... 13459 180...... 13459 Proposed Rules: 52 (2 documents) ...... 13511, 13514 47 CFR Proposed Rules: 73...... 13516 50 CFR 17...... 13465 300...... 13475 635...... 13491 679...... 13493 Proposed Rules: 223 (2 documents) ...... 13517, 13518 226 (2 documents) ...... 13517, 13518
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Rules and Regulations Federal Register Vol. 86, No. 44
Tuesday, March 9, 2021
This section of the FEDERAL REGISTER final rule, any comments received, and requirements for those additional part- contains regulatory documents having general other information. The address for numbered T/R blades. applicability and legal effect, most of which Docket Operations is U.S. Department of Since the FAA issued the NPRM, Bell are keyed to and codified in the Code of Transportation, Docket Operations, Helicopter Textron Inc., has changed its Federal Regulations, which is published under M–30, West Building Ground Floor, name to Bell Textron Inc. This final rule 50 titles pursuant to 44 U.S.C. 1510. Room W12–140, 1200 New Jersey reflects that change and updates the The Code of Federal Regulations is sold by Avenue SE, Washington, DC 20590. contact information to obtain service documentation. the Superintendent of Documents. FOR FURTHER INFORMATION CONTACT: Kuethe Harmon, Safety Management Comments DEPARTMENT OF TRANSPORTATION Program Manager, DSCO Branch, FAA, The FAA received no comments on 10101 Hillwood Pkwy., Fort Worth, TX the SNPRM or on the determination of Federal Aviation Administration 76177; telephone 817–222–5198; email the costs. [email protected]. Conclusion 14 CFR Part 39 SUPPLEMENTARY INFORMATION: The FAA reviewed the relevant data [Docket No. FAA–2020–0270; Product Discussion Identifier 2019–SW–018–AD; Amendment and determined that air safety requires 39–21441; AD 2021–04–19] The FAA issued a notice of proposed adopting this AD as proposed. Accordingly, the FAA is issuing this AD RIN 2120–AA64 rulemaking (NPRM) to amend 14 CFR part 39 by adding an AD that would to address the unsafe condition on these products. Airworthiness Directives; Bell Textron apply to Bell Model 205B helicopters Inc. (Type Certificate Previously Held with a T/R blade P/N 212–010–750–009 Related Service Information or 212–010–750–105 installed. The by Bell Helicopter Textron Inc.) The FAA reviewed Bell Helicopter NPRM published in the Federal Helicopters Textron Alert Service Bulletin No. Register on March 25, 2020 (85 FR 205B–20–70, dated August 6, 2020, for AGENCY: Federal Aviation 16916). Flight testing and fatigue Model 205B helicopters. This service Administration (FAA), DOT. analysis by Bell indicated that these information specifies reducing the life ACTION: Final rule. part-numbered T/R blades sustain limit of T/R blade P/N 212–010–750– greater loads when installed on Bell 109, 212–010–750–111, 212–010–750– SUMMARY: The FAA is adopting a new Model 205B helicopters compared to 113, 212–010–750–117, 212–010–750– airworthiness directive (AD) for Bell their use on other model helicopters. In 133, 212–010–750–135, 212–010–750– Textron Inc. (Bell) Model 205B the NPRM, the FAA proposed to 117FM, and 212–010–750–135FM to helicopters. This AD was prompted by require, before further flight, reducing 2,500 hours time-in-service (TIS). This flight testing and fatigue analysis the life limit of each affected T/R blade service information also specifies re- results. This AD requires reducing the from 5,000 hours time-in-service (TIS) identifying certain T/R blade P/Ns by life limit of certain tail rotor (T/R) to 2,500 hours TIS; re-identifying the assigning a new dash number by vibro- blades and re-identifying them with a T/R blade P/N on its data plate by vibro- etching a new P/N on the T/R blade data new part number (P/N). The FAA is etching to change the last three digits of plate and annotating the historical issuing this AD to address the unsafe the existing P/N; creating a component condition on these products. record card. history card or equivalent record; and The FAA also reviewed Bell DATES: This AD is effective April 13, revising the Airworthiness Limitations Helicopter Textron Alert Service 2021. section of the existing maintenance Bulletin No. 205B–98–27, dated June 1, ADDRESSES: For service information manual for your helicopter to annotate 1998, for Model 205B helicopters. This identified in this final rule contact, Bell the new P/N and revised life limit. service information specifies reducing Textron Inc., P.O. Box 482, Fort Worth, Finally, the NPRM proposed to prohibit the life limit of T/R blade P/N 212–010– TX 76101; telephone 817–280–3391; fax installing any affected T/R blade that 750–009 and 212–010–750–105 to 2,500 817–280–6466; or at https:// has not met the AD requirements. hours TIS and assigning these T/R www.bellcustomer.com. You may view The FAA issued a supplemental blades a new dash number by vibro- the referenced service information at the notice of proposed rulemaking (SNPRM) etching a new P/N on the T/R blade data FAA, Office of the Regional Counsel, to amend 14 CFR part 39 by adding an plate and annotating the historical Southwest Region, 10101 Hillwood AD that would apply to Bell Model record card. Pkwy., Room 6N–321, Fort Worth, TX 205B helicopters. The SNPRM 76177. Docket No. FAA–2020–0270. published in the Federal Register on Costs of Compliance December 8, 2020 (85 FR 78977). The The FAA estimates that this AD Examining the AD Docket SNPRM was prompted by a comment affects approximately 2 helicopters of You may examine the AD docket at received on the NPRM requesting that U.S. Registry. The FAA estimates that https://www.regulations.gov by the applicability paragraph be updated operators may incur the following costs searching for and locating Docket No. to include newly identified T/R blade in order to comply with this AD. Labor FAA–2020–0270; or in person at Docket part numbers. The FAA determined the costs are estimated at $85 per work- Operations between 9 a.m. and 5 p.m., NPRM should be revised to include the hour. Monday through Friday, except Federal additional part-numbered T/R blades Determining the total hours TIS of a holidays. The AD docket contains this and the re-identification and life limit T/R blade, re-identifying the P/N, and
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updating the helicopter records takes PART 39—AIRWORTHINESS N for each T/R blade, and establish a life about 1 work-hour for each T/R blade, DIRECTIVES limit of 2,500 hours TIS. for an estimated cost of $170 per (iv) Revise the Airworthiness Limitations helicopter and $340 for the U.S fleet. ■ 1. The authority citation for part 39 Section of the existing maintenance manual or the Instructions for Continued Replacing a T/R blade takes about 8 continues to read as follows: Airworthiness for your helicopter to establish work-hours and parts cost about $29,110 Authority: 49 U.S.C. 106(g), 40113, 44701. a life limit of 2,500 hours TIS for each T/R for an estimated cost of $29,790 per T/ § 39.13 [Amended] blade P/N 212–010–750–109, P/N 212–010– R blade. ■ 2. The FAA amends § 39.13 by adding 750–111, P/N 212–010–750–117, P/N 212– Authority for This Rulemaking the following new airworthiness 010–750–135, P/N 212–010–750–117FM, and directive: P/N 212–010–750–135FM. Title 49 of the United States Code (2) Thereafter, except as provided in specifies the FAA’s authority to issue 2021–04–19 Amendment 39–21441; Docket paragraph (i), no alternative life limits may rules on aviation safety. Subtitle I, No. FAA–2020–0270; Product Identifier be approved for T/R blade P/N 212–010–750– section 106, describes the authority of 2019–SW–018–AD. 009, P/N 212–010–750–105, P/N 212–010– the FAA Administrator. Subtitle VII: (a) Effective Date 750–113, or P/N 212–010–750–133. Aviation Programs, describes in more This airworthiness directive (AD) is (3) After the effective date of this AD, do detail the scope of the Agency’s effective April 13, 2021. not install a T/R blade P/N 212–010–750– authority. 009, P/N 212–010–750–105, P/N 212–010– (b) Affected ADs The FAA is issuing this rulemaking 750–113, or P/N 212–010–750–133 on any None. under the authority described in Model 205B helicopter unless the part Subtitle VII, Part A, Subpart III, Section (c) Applicability number has been changed and the life limit reduced in accordance with this AD. 44701: General requirements. Under This AD applies to Bell Textron Inc. (Bell) (4) After the effective date of this AD do that section, Congress charges the FAA Model 205B helicopters, certificated in any not install a T/R blade P/N 212–010–750– with promoting safe flight of civil category, with a tail rotor (T/R) blade part 109, P/N 212–010–750–111, P/N 212–010– aircraft in air commerce by prescribing number (P/N) 212–010–750–009, 212–010– 750–117, P/N 212–010–750–135, P/N 212– regulations for practices, methods, and 750–105, 212–010–750–109, 212–010–750– 111, 212–010–750–113, 212–010–750–117, 010–750–117FM, or P/N 212–010–750– procedures the Administrator finds 212–010–750–133, 212–010–750–135, 212– 135FM, on any Model 205B helicopter unless necessary for safety in air commerce. 010–750–117FM, or 212–010–750–135FM the life limit has been reduced in accordance This regulation is within the scope of installed. with this AD. that authority because it addresses an unsafe condition that is likely to exist or (d) Subject (h) Special Flight Permit develop on products identified in this Joint Aircraft System Component (JASC) Special flight permits are prohibited. rulemaking action. Code: 6410, Tail Rotor Blades. (i) Alternative Methods of Compliance Regulatory Findings (e) Unsafe Condition (AMOCs) This AD was prompted by flight testing (1) The Manager, DSCO Branch, FAA, has This AD will not have federalism and fatigue analysis that indicates that these the authority to approve AMOCs for this AD, implications under Executive Order part-numbered T/R blades sustain greater if requested using the procedures found in 14 13132. This AD will not have a loads when used on Bell Model 205B CFR 39.19. In accordance with 14 CFR 39.19, substantial direct effect on the States, on helicopters compared to their use on other model helicopters. The FAA is issuing this send your request to your principal inspector the relationship between the national or local Flight Standards District Office, as government and the States, or on the AD to prevent a T/R blade from remaining in service beyond its fatigue life, resulting in appropriate. If sending information directly distribution of power and failure of the T/R blade and subsequent loss to the manager of the certification office, responsibilities among the various control of the helicopter. send it to the attention of the person levels of government. identified in paragraph (j)(1) of this AD. (f) Compliance For the reasons discussed above, I Information may be emailed to: 9-ASW-190- certify that this AD: Comply with this AD within the [email protected]. compliance times specified, unless already (2) Before using any approved AMOC, (1) Is not a ‘‘significant regulatory done. action’’ under Executive Order 12866, notify your appropriate principal inspector, (g) Required Actions or lacking a principal inspector, the manager (2) Will not affect intrastate aviation (1) Before further flight: of the local flight standards district office/ in Alaska, and (i) Determine the total hours time-in- certificate holding district office. (3) Will not have a significant service (TIS) of each T/R blade and remove (j) Related Information economic impact, positive or negative, from service each T/R blade that has on a substantial number of small entities accumulated 2,500 or more hours TIS. For (1) For more information about this AD, under the criteria of the Regulatory each T/R blade that has accumulated less contact Kuethe Harmon, Safety Management Flexibility Act. than 2,500 hours TIS, do the following: Program Manager, DSCO Branch, FAA, 10101 (ii) Re-identify the P/N on the T/R blade Hillwood Pkwy., Fort Worth, TX 76177; List of Subjects in 14 CFR Part 39 data plate by vibro-etching to change the last telephone 817–222–5198; email three digits of the existing P/N as follows: [email protected]. Air transportation, Aircraft, Aviation (A) For T/R blade P/N 212–010–750–009, (2) For service information identified in re-identify the P/N as 212–010–750–111. safety, Incorporation by reference, this AD, contact Bell Textron Inc., P.O. Box (B) For T/R blade P/N 212–010–750–105, Safety. 482, Fort Worth, TX 76101; telephone 817– re-identify the P/N as 212–010–750–109. The Amendment (C) For T/R blade P/N 212–010–750–113, 280–3391; fax 817–280–6466; or at https:// re-identify the P/N as 212–010–750–117FM. www.bellcustomer.com. You may view Accordingly, under the authority (D) For T/R blade P/N 212–010–750–133, service information at the FAA, Office of the delegated to me by the Administrator, re-identify the P/N as 212–010–750–135FM. Regional Counsel, Southwest Region, 10101 the FAA amends 14 CFR part 39 as (iii) Create a component history card or Hillwood Pkwy., Room 6N–321, Fort Worth, follows: equivalent record to reflect the change in P/ TX 76177.
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Issued on February 25, 2021. p.m., Monday through Friday, except September 6, 2018. The ASB describes Gaetano A. Sciortino, Federal holidays. procedures for performing TAI Deputy Director for Strategic Initiatives, For service information identified in inspections of 1st-stage LPC blades. Compliance & Airworthiness Division, this final rule, contact Pratt & Whitney AD Requirements Aircraft Certification Service. Division, 400 Main Street, East Hartford, [FR Doc. 2021–04503 Filed 3–8–21; 8:45 am] CT 06118; phone: (860) 565–0140; This AD requires performing a TAI BILLING CODE 4910–13–P email: [email protected]; website: inspection for cracks in certain 1st-stage https://fleetcare.pw.utc.com. You may LPC blades and removal of those blades view this service information at the that fail inspection. DEPARTMENT OF TRANSPORTATION FAA, Airworthiness Products Section, Interim Action Operational Safety Branch, 1200 District Federal Aviation Administration Avenue, Burlington, MA 01803. For The FAA considers this AD to be an information on the availability of this interim action. The FAA anticipates that 14 CFR Part 39 material at the FAA, call (781) 238– further AD action will follow. [Docket No. FAA–2021–0136; Project 7759. It is also available at https:// Justification for Immediate Adoption Identifier AD–2021–00188–E; Amendment www.regulations.gov by searching for and Determination of the Effective Date 39–21470; AD 2021–05–51] and locating Docket No. FAA–2021– 0136. Section 553(b)(3)(B) of the RIN 2120–AA64 Administrative Procedure Act (APA) (5 Examining the AD Docket U.S.C. 551 et seq.) authorizes agencies Airworthiness Directives; Pratt & You may examine the AD docket at to dispense with notice and comment Whitney Division Turbofan Engines https://www.regulations.gov by procedures for rules when the agency, AGENCY: Federal Aviation searching for and locating Docket No. for ‘‘good cause,’’ finds that those Administration (FAA), DOT. FAA–2021–0136; or in person at Docket procedures are ‘‘impracticable, ACTION: Final rule; request for Operations between 9 a.m. and 5 p.m., unnecessary, or contrary to the public comments. Monday through Friday, except Federal interest.’’ Under this section, an agency, holidays. The AD docket contains this upon finding good cause, may issue a SUMMARY: The FAA is adopting a new final rule, any comments received, and final rule without providing notice and airworthiness directive (AD) for certain other information. The street address for seeking comment prior to issuance. Pratt & Whitney Division (PW) PW4074, Docket Operations is listed above. Further, section 553(d) of the APA PW4074D, PW4077, PW4077D, FOR FURTHER INFORMATION CONTACT: authorizes agencies to make rules PW4084D, PW4090, and PW4090–3 Carol Nguyen, Aviation Safety Engineer, effective in less than thirty days, upon model turbofan engines. This AD was ECO Branch, FAA, 1200 District a finding of good cause. prompted by the in-flight failure of a Avenue, Burlington, MA 01803; phone: An unsafe condition exists that 1st-stage low-pressure compressor (LPC) (781) 238–7655; fax: (781) 238–7199; required the immediate adoption of blade on a PW4077 model turbofan email: [email protected]. Emergency AD 2021–05–51, issued on engine resulting in an engine fire during February 23, 2021, to all known U.S. SUPPLEMENTARY INFORMATION: flight. This AD requires performing a owners and operators of these engines. thermal acoustic image (TAI) inspection Background The FAA found that the risk to the for cracks in certain 1st-stage LPC On February 23, 2021, the FAA issued flying public justified waiving notice blades and removal of those blades that Emergency AD 2021–05–51 (the and comment prior to adoption of this fail inspection. The FAA previously emergency AD), which requires rule. On February 20, 2021, a United sent an emergency AD to all known U.S. performing a TAI inspection for cracks Airlines Boeing Model 777–222 owners and operators of these engines in certain 1st-stage LPC blades and airplane, equipped with two PW4077 and is now issuing this AD to address removal of those blades that fail model turbofan engines, on a flight from the unsafe condition on these products. inspection. The FAA sent the Denver, Colorado to Honolulu, Hawaii, DATES: This AD is effective March 24, emergency AD to all known U.S. owners experienced a 1st-stage LPC blade 2021. Emergency AD 2021–05–51, and operators of these engines. That failure on the number 2 engine. This issued on February 23, 2021, which action was prompted by the in-flight engine failure resulted in the separation contained the requirements of this failure of a 1st-stage LPC blade on a of the fan inlet and cowling from the amendment, was effective with actual PW4077 model turbofan engine airplane, an engine fire, and damage to notice. resulting in an engine fire during flight. the airplane. The airplane was forced to The FAA must receive comments on This condition, if not addressed, could return to the airport of departure. The this AD by April 23, 2021. result in 1st-stage LPC blade release, unsafe condition, caused by the failure ADDRESSES: You may send comments, damage to the engine, and damage to the of the 1st-stage LPC blade, could result using the procedures found in 14 CFR airplane. in 1st-stage LPC blade release, damage 11.43 and 11.45, by any of the following to the engine, and damage to the methods: FAA’s Determination airplane. • Federal eRulemaking Portal: Go to The FAA is issuing this AD because The FAA considers inspection and https://www.regulations.gov. Follow the the agency evaluated all the relevant removal of those blades that fail instructions for submitting comments. information and determined the unsafe inspection to be an urgent safety issue. • Fax: (202) 493–2251. condition described previously is likely Inspection of the 1st-stage LPC blade for • Mail: U.S. Department of to exist or develop in other products of cracks must be accomplished before Transportation, Docket Operations, the same type design. further flight after the effective date of M–30, West Building Ground Floor, this AD. These conditions still exist, Room W12–140, 1200 New Jersey Related Service Information therefore, notice and opportunity for Avenue SE, Washington, DC 20590. The FAA reviewed Pratt & Whitney prior public comment are impracticable • Hand Delivery: Deliver to Mail Alert Service Bulletin (ASB) PW4G– and contrary to the public interest address above between 9 a.m. and 5 112–A72–268, Revision No. 7, dated pursuant to 5 U.S.C. 553(b)(3)(B).
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In addition, the FAA finds that good 11.35, the FAA will post all comments will not be placed in the public docket cause exists pursuant to 5 U.S.C. 553(d) received, without change, to https:// of this AD. Submissions containing CBI for making this amendment effective in www.regulations.gov, including any should be sent to Carol Nguyen, less than 30 days, for the same reasons personal information you provide. The Aviation Safety Engineer, ECO Branch, the FAA found good cause to forego agency will also post a report FAA, 1200 District Avenue, Burlington, notice and comment. summarizing each substantive verbal MA 01803. Any commentary that the Comments Invited contact received about this final rule. FAA receives which is not specifically designated as CBI will be placed in the The FAA invites you to send any Confidential Business Information public docket for this rulemaking. written data, views, or arguments about this final rule. Send your comments to CBI is commercial or financial Regulatory Flexibility Act information that is both customarily and an address listed under ADDRESSES. The requirements of the Regulatory Include the docket number FAA–2021– actually treated as private by its owner. Under the Freedom of Information Act Flexibility Act (RFA) do not apply when 0136 and Project Identifier AD–2021– an agency finds good cause pursuant to 00188–E at the beginning of your (FOIA) (5 U.S.C. 552), CBI is exempt 5 U.S.C. 553 to adopt a rule without comments. The most helpful comments from public disclosure. If your prior notice and comment. Because FAA reference a specific portion of the final comments responsive to this AD contain has determined that it has good cause to rule, explain the reason for any commercial or financial information adopt this rule without prior notice and recommended change, and include that is customarily treated as private, comment, RFA analysis is not required. supporting data. The FAA will consider that you actually treat as private, and all comments received by the closing that is relevant or responsive to this AD, Costs of Compliance date and may amend this final rule it is important that you clearly designate because of those comments. the submitted comments as CBI. Please The FAA estimates that this AD Except for Confidential Business mark each page of your submission affects 104 engines installed on Information (CBI) as described in the containing CBI as ‘‘PROPIN.’’ The FAA airplanes of U.S. registry. following paragraph, and other will treat such marked submissions as The FAA estimates the following information as described in 14 CFR confidential under the FOIA, and they costs to comply with this AD:
ESTIMATED COSTS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
TAI of 1st-stage LPC blades ...... 22 work-hours × $85 per hour = $1,870 ...... $0 $1,870 $194,480
The FAA estimates the following results of the inspection. The agency has aircraft that might need this costs to do any necessary replacement no way of determining the number of replacement: that would be required based on the
ON-CONDITION COSTS
Cost per Action Labor cost Parts cost product
Replace 1st-stage LPC blade ...... 0 work-hours × $85 per hour = $0 ...... $125,000 $125,000
Authority for This Rulemaking unsafe condition that is likely to exist or List of Subjects in 14 CFR Part 39 develop on products identified in this Title 49 of the United States Code rulemaking action. Air transportation, Aircraft, Aviation specifies the FAA’s authority to issue safety, Incorporation by reference, rules on aviation safety. Subtitle I, Regulatory Findings Safety. section 106, describes the authority of the FAA Administrator. Subtitle VII: This AD will not have federalism The Amendment Aviation Programs describes in more implications under Executive Order detail the scope of the Agency’s 13132. This AD will not have a Accordingly, under the authority authority. substantial direct effect on the States, on delegated to me by the Administrator, the relationship between the national the FAA amends 14 CFR part 39 as The FAA is issuing this rulemaking government and the States, or on the under the authority described in follows: distribution of power and Subtitle VII, Part A, Subpart III, Section responsibilities among the various PART 39—AIRWORTHINESS 44701: General requirements. Under levels of government. DIRECTIVES that section, Congress charges the FAA with promoting safe flight of civil For the reasons discussed above, I ■ aircraft in air commerce by prescribing certify that this AD: 1. The authority citation for part 39 regulations for practices, methods, and (1) Is not a ‘‘significant regulatory continues to read as follows: procedures the Administrator finds action’’ under Executive Order 12866, Authority: 49 U.S.C. 106(g), 40113, 44701. necessary for safety in air commerce. and This regulation is within the scope of (2) Will not affect intrastate aviation that authority because it addresses an in Alaska.
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§ 39.13 [Amended] passed the inspection required by paragraph inadvertently omitted from the Class E (g)(1) of this AD. ■ 2. The FAA amends § 39.13 by adding surface area airspace legal description the following new airworthiness (i) Alternative Methods of Compliance for Muskegon County Airport. directive: (AMOCs) DATES: Effective date 0901 UTC, April 2021–05–51 Pratt & Whitney Division: (1) The Manager, ECO Branch, FAA, has 22, 2021. The Director of the Federal Amendment 39–21470; Docket No. the authority to approve AMOCs for this AD, Register approves this incorporation by FAA–2021–0136; Project Identifier AD– if requested using the procedures found in 14 reference action under 1 CFR part 51, 2021–00188–E. CFR 39.19. In accordance with 14 CFR 39.19, subject to the annual revision of FAA send your request to your principal inspector Order 7400.11 and publication of (a) Effective Date or local Flight Standards District Office, as conforming amendments. This airworthiness directive (AD) is appropriate. If sending information directly FOR FURTHER INFORMATION CONTACT: effective without actual notice on March 24, to the manager of the certification office, 2021. Emergency AD 2021–05–51, issued on send it to the attention of the person Jeffrey Claypool, Federal Aviation February 23, 2021, which contained the identified in Related Information. You may Administration, Operations Support requirements of this amendment, was email your request to: ANE-AD-AMOC@ Group, Central Service Center, 10101 effective with actual notice. faa.gov. Hillwood Parkway, Fort Worth, TX, (2) Before using any approved AMOC, 76177; telephone (817) 222–5711. (b) Affected ADs notify your appropriate principal inspector, SUPPLEMENTARY INFORMATION: None. or lacking a principal inspector, the manager of the local flight standards district office/ (c) Applicability History certificate holding district office. This AD applies to Pratt & Whitney The FAA published a final rule in the Division (PW) PW4074, PW4074D, PW4077, (j) Related Information Federal Register (86 FR 6243; January PW4077D, PW4084D, PW4090, and PW4090– For more information about this AD, 21, 2021) for FR Doc. 2021–01019 3 model turbofan engines, with a 1st-stage contact Carol Nguyen, Aviation Safety amending the Class D and Class E low-pressure compressor (LPC) blade, with Engineer, ECO Branch, FAA, 1200 District airspace and revoking the Class E part number 52A241, 55A801, 55A801–001, Avenue, Burlington, MA 01803; phone: (781) airspace designated as an extension to 55A901, 55A901–001, 56A201, 56A201–001, 238–7655; fax: (781) 238–7199; email: Class D and Class E surface areas at or 56A221, installed. [email protected]. Muskegon County Airport, Muskegon, (d) Subject (k) Material Incorporated by Reference MI. Subsequent to publication, the FAA Joint Aircraft System Component (JASC) None. identified that word ‘‘Airport’’ was inadvertently omitted from the Class E Code 7230, Turbine Engine Compressor Issued on March 3, 2021. Section. surface area airspace legal description Gaetano A. Sciortino, for Muskegon County Airport. This (e) Unsafe Condition Deputy Director for Strategic Initiatives, action corrects that error. This AD was prompted by an in-flight Compliance & Airworthiness Division, Class E airspace designations are failure of a 1st-stage LPC blade on a PW4077 Aircraft Certification Service. published in paragraph 6005 of FAA model turbofan engine resulting in an engine [FR Doc. 2021–04747 Filed 3–8–21; 8:45 am] Order 7400.11E dated July 21, 2020, and fire during flight. The FAA is issuing this AD BILLING CODE 4910–13–P to prevent failure of the 1st-stage LPC blades. effective September 15, 2020, which is The unsafe condition, if not addressed, could incorporated by reference in 14 CFR result in 1st-stage LPC blade release, damage DEPARTMENT OF TRANSPORTATION 71.1. The Class E airspace designations to the engine, and damage to the airplane. listed in this document will be subsequently published in the Order. (f) Compliance Federal Aviation Administration Comply with this AD within the Correction to Final Rule 14 CFR Part 71 compliance times specified, unless already Accordingly, pursuant to the done. [Docket No. FAA–2020–0871; Airspace authority delegated to me, Amendment (g) Required Actions Docket No. 20–AGL–32] of Class D and Class E Airspace and (1) Before further flight, perform a thermal RIN 2120–AA66 Revocation of Class E Airspace; acoustic image (TAI) inspection of the 1st- Muskegon, MI, published in the Federal stage LPC blades for cracks using a method Amendment of Class D and Class E Register of January 21, 2021 (86 FR approved by the FAA. Airspace and Revocation of Class E 6243), FR Doc. 2021–01019, is corrected Note 1 to paragraph (g)(1): Vendors that Airspace; Muskegon, MI as follows: have an FAA-approved TAI inspection are listed in the Vendor Services Section of Pratt AGENCY: Federal Aviation § 71.1 [Amended] & Whitney Alert Service Bulletin PW4G– Administration (FAA), DOT. ■ On page 6244, column 2, line 22, 112–A72–268, Revision No. 7, dated ACTION: Final rule; correction. September 6, 2018. amend to read, ‘‘. . . County Airport. This . . .’’ (2) If any 1st-stage LPC blade fails the SUMMARY: This action corrects the final inspection required by paragraph (g)(1) of rule published in the Federal Register Issued in Fort Worth, Texas, on March 1, this AD, remove the blade from service and on January 21, 2021, amending the Class 2021. replace with a part eligible for installation D and Class E airspace and revoking the Martin A. Skinner, before further flight. Class E airspace designated as an Acting Manager, Operations Support Group (h) Definition extension to Class D and Class E surface ATO Central Service Center For the purpose of this AD, a ‘‘part eligible areas at Muskegon County Airport, [FR Doc. 2021–04474 Filed 3–8–21; 8:45 am] for installation’’ is a 1st-stage LPC blade that Muskegon, MI. The word ‘‘Airport’’ was BILLING CODE 4910–13–P
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DEPARTMENT OF TRANSPORTATION 2021 (86 FR 11859), FR Doc. 2021– copy of this final rule will also be 03879 is hereby withdrawn. placed in the docket. Electronic retrieval Federal Aviation Administration Authority: 49 U.S.C. 106(f), 106(g); 40103, help and guidelines are available on the 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, website. It is available 24 hours each 14 CFR Part 71 1959–1963 Comp., p. 389. day, 365 days each year. An electronic copy of this document may also be [Docket No. FAA–2020–0003; Airspace Issued in Washington, DC, on March 2, Docket No. 19–ACE–11] 2021. downloaded from the Office of the Federal Register’s website at http:// George Gonzalez, RIN 2120–AA66 www.ofr.gov and the Government Acting Manager, Rules and Regulations Publishing Office’s website at http:// Amendment of VOR Federal Airways Group. www.gpo.gov. V–12, V–74, and V–516 in the Vicinity [FR Doc. 2021–04618 Filed 3–8–21; 8:45 am] of Anthony, KS BILLING CODE 4910–13–P Background AGENCY: Federal Aviation On January 20, 2021, the Assistant to Administration (FAA), DOT. the President and Chief of Staff issued DEPARTMENT OF TRANSPORTATION a memorandum titled, ‘‘Regulatory ACTION: Final rule, withdrawal. Freeze Pending Review.’’ The Federal Aviation Administration SUMMARY: The FAA inadvertently memorandum requested that the heads of executive departments and agencies published the same final action twice, 14 CFR Parts 401, 404, 413, 414, 415, on February 23, 2021, and again on (agencies) take steps to ensure that the 417, 420, 431, 433, 435, 437, 440, 450, President’s appointees or designees March 1, 2021. FAA is withdrawing the and 460 second, duplicate publication. have the opportunity to review any new DATES: Effective March 9, 2021, FR Doc. [Docket No. FAA–2019–0229; Amdt. No(s). or pending rules. With respect to rules 2021–03879, published at 86 FR 11859 401–9; 404–7, 413–12, 414–4, 415–7, 417– published in the Federal Register, but 6, 420–9, 431–7, 433- 3, 435–5, 437–3, 440– (March 1, 2021), is withdrawn. not yet effective, the memorandum 5, 450–2, and 460–3] asked that agencies consider postponing ADDRESSES: FAA Order 7400.11E, RIN 2120–AL17 the rules’ effective dates for 60 days Airspace Designations and Reporting from the date of the memorandum (i.e., Points, and subsequent amendments can Streamlined Launch and Reentry March 21, 2021) for the purpose of be viewed online at https:// _ License Requirements reviewing any questions of fact, law, www.faa.gov/air traffic/publications/. and policy the rules may raise. For further information, you can contact AGENCY: Federal Aviation In accordance with this direction, the the Rules and Regulations Group, Administration (FAA), U.S. Department FAA has decided to delay the March 10, Federal Aviation Administration, 800 of Transportation (DOT). 2021 effective date of the final rule, Independence Avenue SW, Washington, ACTION: Final rule; delay of effective titled ‘‘Streamlined Launch and Reentry DC 20591; telephone: (202) 267–8783. date. License Requirements’’ (RIN 2120– The Order is also available for AL17), until March 21, 2021. This final SUMMARY: In accordance with the inspection at the National Archives and rule will streamline and increase memorandum of January 20, 2021, from Records Administration (NARA). For flexibility in the FAA’s commercial the Assistant to the President and Chief information on the availability of FAA space launch and reentry regulations, of Staff, titled ‘‘Regulatory Freeze Order 7400.11E at NARA, email: and remove obsolete requirements It Pending Review,’’ the Department [email protected] or go to https:// will also consolidate and revise delays the effective date of the final www.archives.gov/federal-register/cfr/ multiple regulatory parts and apply a rule, titled ‘‘Streamlined Launch and ibr-locations.html. single set of licensing and safety Reentry License Requirements,’’ until FOR FURTHER INFORMATION CONTACT: regulations across several types of March 21, 2021. Colby Abbott, Rules and Regulations operations and vehicles. Finally, the Group, Office of Policy, Federal DATES: As of March 9, 2021, the March rule will describe the requirements to Aviation Administration, 800 10, 2021 effective date of the final rule obtain a vehicle operator license, the Independence Avenue SW, Washington, published on December 10, 2020, at 85 safety requirements, and the terms and DC 20591; telephone: (202) 267–8783. FR 79566, is delayed to March 21, 2021. conditions of a vehicle operator license. SUPPLEMENTARY INFORMATION: FOR FURTHER INFORMATION CONTACT: For The delay in the rule’s effective date technical questions concerning this will afford the President’s appointees or History action, contact Randy Repcheck, Office designees an opportunity to review the FAA published FR Doc. 2021–02066, of Commercial Space Transportation, rule and will allow for consideration of at 86 FR 10804, on February 23, 2021. Federal Aviation Administration, 800 any questions of fact, law, or policy that It inadvertently re-published the same Independence Avenue SW, Washington, the rule may raise before it becomes document as FR Doc. 2021–03879, at 86 DC 20591; telephone (202) 267–8760; effective. FR 11859, on March 1, 2021. Therefore, email [email protected]. Waiver of Rulemaking and Delayed FAA is withdrawing the second, SUPPLEMENTARY INFORMATION: duplicate document. Effective Date Electronic Access and Filing Under the Administrative Procedure List of Subjects in 14 CFR Part 71 A copy of the ‘‘Streamlined Launch Act (APA) (5 U.S.C. 553), the FAA Airspace, Incorporation by reference, and Reentry License Requirements’’ generally offers interested parties the Navigation (air). notice of proposed rulemaking (NPRM) opportunity to comment on proposed (84 FR 15296, April 15, 2019), all regulations and publishes rules not less The Withdrawal comments received, the final rule, and than 30 days before their effective dates. ■ Accordingly, pursuant to the authority all background material may be viewed However, the APA provides that an delegated to me, the final rule published online at http://www.regulations.gov agency is not required to conduct in the Federal Register on March 1, using the docket number listed above. A notice-and-comment rulemaking or
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delay effective dates when the agency, Comment date: Comments must be support the efforts of low- and for good cause, finds that the received on or before April 8, 2021. moderate-income community financial requirement is impracticable, ADDRESSES: You may submit comments institutions to, among other things, unnecessary, or contrary to the public identified by number TREAS–DO– provide loans, grants, and forbearance interest (5 U.S.C. 553(b)(B) and (d)(3)). 2021–0004 through the Federal for small businesses, minority-owned There is good cause to waive both of eRulemaking Portal: http:// businesses, and consumers, especially these requirements here as they are www.regulations.gov. Follow the in low-income and underserved impracticable. A delay in the effective instructions for submitting comments. communities, including persistent date of the final rule, titled Treasury will post all comments on poverty counties, which may be ‘‘Streamlined Launch and Reentry www.regulations.gov. If you wish to disproportionately impacted by the License Requirements,’’ is necessary for submit confidential business economic effects of the COVID–19 the President’s appointees and information (CBI) as defined in the User pandemic. designees to have adequate time to Notice at www.regulations.gov, please Under Section 104A(h) of the Act, the review the rule before it takes effect, and send an email to ECIPInquiries@ Department of the Treasury (Treasury) neither the notice and comment process Treasury.gov. Highlight the information must issue rules setting restrictions on nor the delayed effective date could be that you consider to be CBI and explain executive compensation, share implemented in time to allow for this why you believe Treasury should hold buybacks, and dividend payments for review. this information as confidential. recipients of capital investments under Issued in Washington, DC, under the Treasury will review the information ECIP. This rulemaking establishes those authority in 49 U.S.C. 106(f) and 51 U.S.C. and make the final determination restrictions, which are described in Chapter 509, on February 22, 2021. whether it will publish the information. section III below. Steve Dickson, FOR FURTHER INFORMATION CONTACT: For II. Comments and Immediate Effective Administrator. further information regarding this Date [FR Doc. 2021–04068 Filed 3–8–21; 8:45 am] interim final rule contact Brian ECIP is intended to be used to make BILLING CODE 4910–13–P Donovan, Emergency Capital Investment Program, Treasury, at (202) 653–0371 or investments in low- and moderate- [email protected], or Eric income community financial institutions expeditiously.1 Section DEPARTMENT OF THE TREASURY Froman, Assistant General Counsel (Banking and Finance), Treasury, at 104A(h) of the Act requires Treasury to 31 CFR Part 35 (202) 622–1942 or Eric.Froman@ issue rules no later than 30 days after treasury.gov. the statute’s effective date that set [Docket No. TREAS–DO–2021–0004] restrictions on executive compensation, SUPPLEMENTARY INFORMATION: RIN 1505–AC76 share buybacks, and dividend payments Table of Contents for recipients of capital investments Emergency Capital Investment I. Background Information under ECIP. This legislative mandate, Program—Restrictions on Executive II. Comments and Immediate Effective Date along with the dramatic and ongoing Compensation, Share Buybacks, and III. Interim Final Rule effects of the COVID–19 pandemic—the Dividends A. Background on the ECIP public health crisis, continuing closures B. Overview of the Interim Final Rule of small businesses and minority-owned AGENCY: Department of the Treasury. 1. Restrictions on Compensation businesses, and heightened consumer ACTION: Interim final rule and request 2. Restrictions on Dividends, Share unemployment, especially in low- for public comment. Buybacks, and Other Capital income and underserved communities— Distributions SUMMARY: Section 104A of the IV. Regulatory Analyses provides good cause for Treasury to Community Development Banking and A. Administrative Procedure Act issue this interim final rule without Financial Institutions Act of 1994, B. National Environmental Policy Act advance notice and public comment and which was added by the Consolidated C. Paperwork Reduction Act to dispense with the 30-day delayed Appropriations Act, 2021, establishes D. Regulatory Flexibility Act effective date provided in the E. Regulatory Planning and Review the Emergency Capital Investment Administrative Procedure Act (5 U.S.C. F. Executive Order 13132 553). The immediate effective date of Program to support capital investments G. Congressional Review Act in low- and moderate-income this interim final rule will benefit low- community financial institutions. The I. Background Information and moderate-income community program is available to eligible minority On December 27, 2020, the financial institutions, as well as the depository institutions and community Consolidated Appropriations Act, 2021 communities served by such development financial institutions that (Pub. L. 116–260), was signed into law. institutions, by allowing low- and are insured depository institutions, bank It added Section 104A of the moderate-income community financial holding companies, savings and loan Community Development Banking and institutions to expeditiously apply for holding companies, or federally insured Financial Institutions Act of 1994 (the capital investments with a full credit unions. Under Section 104A, the Act) (12 U.S.C. 4701 et seq.), which was understanding of the executive Secretary of the Treasury is required to enacted as part of the Riegle Community compensation, share buyback, and issue rules setting restrictions on Development and Regulatory dividend payment restrictions that will executive compensation, share Improvement Act of 1994 (Pub. L. 103– buybacks, and dividend payments for 1 For example, section 104A(d)(1) of the Act 325). Section 104A authorizes the requires Treasury to begin accepting applications recipients of capital investments under Secretary of the Treasury to establish for capital investments under ECIP within 30 days the program. This interim final rule the Emergency Capital Investment after enactment of the statute, and section establishes these restrictions. Program (ECIP or Program) to make 104A(h)(1) requires Treasury to issue rules setting restrictions on executive compensation, share DATES: investments in low- and moderate- buybacks, and dividend payments for ECIP Effective date: This interim final rule income community financial recipients within 30 days after enactment of the is effective March 9, 2021. institutions. These investments are to statute.
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apply to participants in the Program. Consistent with statutory requirements, under ECIP is no longer held, in full or Otherwise, potential recipients of the investment by Treasury will take the in part, by Treasury or a Treasury capital investments under ECIP could form of preferred stock, except in cases affiliate, or a custodian, trustee, or agent decide not to participate in the Program where Treasury determines that an acting on behalf of Treasury or a or to delay their applications for a institution cannot feasibly issue Treasury affiliate, and (iii) the date that material period of time pending the preferred stock, Treasury may purchase is ten years after the ECIP investment establishment of these requirements, subordinated debt instruments.6 The date. The restrictions apply to the ECIP which would reduce or delay the statute sets forth certain economic terms recipient on a consolidated basis. provision of much-needed assistance to of the capital investments under ECIP 7 Treasury anticipates that the ECIP communities that have suffered and limitations on the amount of capital period will provide sufficient time to economic impairment due to the investments Treasury may purchase ensure that ECIP investments are COVID–19 pandemic. Although this from individual institutions.8 In deployed in a manner that supports the interim final rule is effective addition, the statute prohibits statutory objectives. Accordingly, the immediately, comments are solicited institutions with certain types of requirements of the interim final rule from the public on all aspects of the conflicts of interest from participating in will cease to apply when the ECIP interim final rule. Comments must be ECIP.9 Treasury’s authority to make new investment is no longer held by submitted on or before April 8, 2021. capital investments in ECIP will end six Treasury or an entity established by Treasury will consider these comments months after the date on which the Treasury (Treasury affiliate). and the need for making any revisions national emergency concerning the 1. Restrictions on Compensation as a result of these comments. COVID–19 outbreak declared by the The restrictions on executive III. Interim Final Rule President on March 13, 2020 under the National Emergencies Act (50 U.S.C. compensation under the interim final A. Background on the ECIP 1601 et seq.) terminates. rule include (i) a requirement to ensure that the total compensation paid to The purpose of ECIP is to support the B. Overview of the Interim Final Rule senior executive officers is appropriate efforts of low- and moderate-income and not excessive; (ii) a restriction on community financial institutions to, This interim final rule establishes severance pay for an ECIP recipient’s among other things, provide loans, restrictions on executive compensation, senior executive officers if the ECIP grants, and forbearance for small share buybacks, and dividend recipient is in troubled condition; and businesses, minority-owned businesses, payments, as required by the Act. In (iii) a requirement to adopt policies and and consumers, especially in low- developing these restrictions, Treasury procedures prohibiting excessive or income and underserved communities, has considered two primary objectives. luxury expenditures (as defined below). including persistent poverty counties, First, these restrictions should seek to which may be disproportionately promote the integrity of ECIP by Each of these compensation-related impacted by the economic effects of the ensuring that the funds provided under restrictions is intended to help ensure COVID–19 pandemic.2 To support these the Program are used to provide loans, that the proceeds of ECIP investments objectives, the Act makes up to $9 grants, and forbearance for small have the effect intended by Section billion available to Treasury to make businesses, minority-owned businesses, 104A of the Act and are not to fund capital investments in minority and consumers, especially in low- excessive compensation for ECIP depository institutions and community income and underserved communities. recipients’ executives. The restrictions on excess development financial institutions that Second, the restrictions generally are (1) insured depository institutions should seek to encourage a large number compensation apply to total that are not controlled by eligible bank of minority depository institutions and compensation, which is defined as all holding companies or eligible savings community development financial compensation, other than any severance and loan holding companies, (2) bank institutions to participate in ECIP, payment, provided by an ECIP recipient holding companies, (3) savings and loan because the Program will have the most to an officer or employee, including holding companies, or (4) federally beneficial impact on the intended salary, wages, bonuses, awards of stock, insured credit unions. Certain communities if a broad range of deferred compensation, and other additional eligibility criteria apply, institutions participate in the Program. financial benefits. A ‘‘senior executive officer’’ means an including a requirement for applicants The restrictions under this interim ECIP recipient’s president, any vice to provide Treasury with an investment final rule generally apply to an ECIP president in charge of a principal and lending plan that provides certain recipient during the ‘‘ECIP period,’’ business unit division or function (such specified information concerning the defined as the period from the date the as sales, administration, or finance), any applicant’s lending history and plans.3 ECIP makes its investment until the other officer who performs a policy A community development financial earliest of (i) the date on which the ECIP making function, or any other person institution or minority depository recipient has fully redeemed or repaid who performs similar policy making institution that submits an application the capital investment received under functions. and is selected to participate in the ECIP; (ii) the date on which the capital Program (ECIP recipient) will receive a investment the ECIP recipient received i. Policies and Procedures Prohibiting capital investment from Treasury.45 Excessive Compensation National Credit Union Administration (NCUA) are Under the interim final rule, an ECIP 2 Section 104A(b)(2) of the Act. those with a designation of low-income status. See 3 Sections 104A(d)(3)–(4), 104A(i) of the Act. 12 CFR 701.34(b). Credit unions that do not meet recipient is required to ensure that the 4 An ECIP capital investment may be treated as the low-income credit union designation may total compensation paid to its senior equity or subordinated debt for accounting participate through the issuance of subordinated executive officers is appropriate and not purposes depending on the type of instrument debt, but the subordinated debt would not be secondary capital. excessive. Unless informed otherwise by issued and the corporate form and regulatory Treasury, an ECIP recipient is classification of the ECIP participant. 6 Section 104(d)(5)(B) of the Act. 5 Currently, the only Federal credit unions that 7 Sections 104A(d)(5)–(8) of the Act. considered to have satisfied the may accept these types of investments as secondary 8 Sections 104A(e), (f) of the Act. requirements regarding excessive capital under the secondary capital rules of the 9 Section 104A(h) of the Act. executive compensation under the
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interim final rule if it maintains prohibitions on the ability of insured customers and community are not compliance with the guidelines or depository institutions and their excessive or luxury expenditures. standards established by its primary affiliated holding companies to enter The interim final rule requires an Federal regulator that address excessive into contracts to pay and to make golden ECIP recipient to adopt and maintain an compensation, corporate practices, and parachute and indemnification ‘‘excessive or luxury expenditures operations. Specifically, ECIP recipients payments to institution-affiliated policy’’ that sets forth written standards that are insured depository institutions parties, as issued by the FDIC.14 The applicable to the ECIP recipient and its are subject to the Interagency Guidelines FDIC rules place restrictions on employees that address the five Establishing Standards for Safety and payments to institution-affiliated parties categories of expenses set forth in the Soundness as issued by the appropriate whenever an insured depository definition of ‘‘excessive or luxury Federal banking agency for the institution or depository institution expenditures’’ and that are reasonably particular ECIP recipient.10 Bank holding company is in ‘‘troubled designed to eliminate excessive or holding companies and savings and condition,’’ as determined by the luxury expenditures. The standards loan holding companies are required to appropriate Federal banking agency. An must (1) identify the types or categories maintain compliance with corporate ECIP recipient that is not designated in of expenditures which are prohibited; practice 11 and operations troubled condition by the appropriate (2) identify the types or categories of requirements 12 issued by the Board of Federal banking agency during the ECIP expenditures for which prior approval is Governors of the Federal Reserve period generally would not be subject to required (which may include a System (Federal Reserve Board), and, restrictions on severance payments threshold expenditure amount per item, under the interim final rule, to ensure under the interim final rule. Similarly, activity, or event or a threshold their subsidiary insured depository a federally insured credit union is expenditure amount per employee institutions adopt and maintain policies considered to have satisfied the receiving the item or participating in the and procedures that are consistent with requirements regarding severance activity or event); (3) provide reasonable the applicable guidelines or standards payments if it maintains compliance approval procedures for expenditures established by their primary Federal with the limits and prohibitions on the requiring prior approval; (4) require the regulators that address excessive ability of federally insured credit unions ECIP recipient to deliver a certification, compensation. In addition, federally to enter into contracts to pay and to executed by two senior executive insured credit unions must maintain make golden parachute and officers (one of which must be either the compliance with the requirements on indemnification payments to ECIP recipient’s chief executive officer compensation and benefits for federally institution-affiliated parties as issued by (or individual performing a similar insured credit unions as issued by the the NCUA.15 This restriction is designed function) (defined as the ‘‘principal National Credit Union Administration to align the requirements of the ECIP executive officer’’) or its chief financial (NCUA).13 Treasury reserves the with existing standards applicable to officer (or individual performing a authority to take action as necessary to ECIP recipients under regulations issued similar function) (defined as the address potential anti-evasion concerns by Federal regulators. ‘‘principal financial officer’’) that the approval of any expenditure requiring relating to the interim final rule’s iii. Limit on Excessive or Luxury requirements for ECIP participants. the prior approval of any senior Expenditures executive officer, any executive officer ii. Limit on Severance Pay Under the interim final rule, ECIP of a substantially similar level of Under the interim final rule, an ECIP recipients are required to establish and responsibility, or the ECIP recipient’s recipient is prohibited from making maintain policies designed to eliminate board of directors (or a committee of excessive severance payments to a excessive or luxury expenditures. The such board of directors) was properly senior executive officer. Severance pay term ‘‘excessive or luxury expenditures’’ obtained with respect to each such is defined to include all types of cash is defined as excessive expenditures on expenditure; (5) require the prompt payments, benefits, and other amounts any of the following to the extent such internal reporting of violations to an paid or provided in connection with an expenditures are not reasonable appropriate person or persons identified individual’s termination of expenditures for staff development, in this policy; and (6) mandate employment, except for payment for reasonable performance incentives, or accountability for adherence to the services performed or benefits that were other similar reasonable measures policy. The requirement to establish a accrued prior to termination of conducted in the normal course of the policy regarding excessive or luxury employment or otherwise accrued with ECIP recipient’s business operations: (1) expenditures is intended to promote the respect to services performed. Entertainment or events; (2) office and integrity of ECIP by ensuring that the Unless informed otherwise by facility renovations; (3) aviation or other funds provided under the Program are Treasury, an ECIP recipient that is an transportation services; (4) tax gross-ups used to provide loans, grants, and insured depository institution, bank (i.e., reimbursement of taxes owed with forbearance, without restricting ECIP holding company, or savings and loan respect to any compensation); and (5) participants’ discretion to establish holding company is considered to have other similar items, activities, or events policies and procedures that are tailored satisfied the requirements regarding for which the ECIP recipient may to meet the needs and business severance payments if it maintains reasonably anticipate incurring objectives of their respective compliance with the limits and expenses, or reimbursing an employee organizations. for incurring expenses. Capital To facilitate compliance with this 10 For national banks and Federal savings investments, including investments in requirement, Treasury is making associations, 12 CFR part 30, Appendix A; state technology, equipment, and similar available to ECIP recipients a form of member banks, 12 CFR part 208, Appendix D–1; items that expand the long-term excessive or luxury expenditures policy and insured state nonmember banks and state in Appendix A to the interim final rule. savings associations, 12 CFR part 364, Appendix A. capability of an ECIP recipient to 11 12 CFR 225.4. provide products and services to its An ECIP recipient may use this form to 12 12 CFR 238.8. satisfy the requirement in the interim 13 12 CFR 701.19(a); 12 CFR 701.21(c)(8); 12 CFR 14 12 CFR part 359. final rule to adopt and maintain an 702.203(b)(10); 12 CFR 702.204(b)(10). 15 12 CFR part 750. excessive or luxury expenditures policy.
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Alternatively, an ECIP recipient may use excessive or luxury expenditures policy permitted under the interim final rule other forms or existing policies relating requirement that would be as effective must also comply with any applicable to excessive or luxury expenditures, but in ensuring that funds provided under limitations or determinations such other forms or policies must satisfy the Program are used to provide loans, established by an ECIP recipient’s all the requirements of the interim final grants, and forbearance, without Federal regulators. rule. restricting ECIP participant discretion to Similar to the restrictions on establish policies and procedures that executive compensation described iv. Material Changes to Policies or are tailored to meet the needs and above, these limitations on capital Procedures business objectives of their respective distributions are intended to ensure that An ECIP recipient must obtain prior organizations? the funds provided under ECIP have the approval from Treasury before making Question #3: What additional effect intended by Section 104A of the any material change to the policies or guidance or clarification regarding the Act, and are not to provide undue procedures that it maintains for compensation and expenditure compensation to an ECIP recipient’s purposes of compliance with the restrictions would help facilitate shareholders or owners. In addition, compensation, severance pay and compliance with these restrictions and these restrictions serve to protect the excessive or luxury expenditures ensure that the restrictions are working taxpayer’s financial interest in requirements described in the preceding as intended? connection with the instruments issued discussion.16 A change to such policies 2. Restrictions on Dividends, Share by an ECIP recipient to Treasury in or procedures will be considered connection with the Program. material if the change is likely to have Buybacks, and Other Capital a negative effect on the financial Distributions i. Restriction on Dividends, Share condition of the ECIP recipient, limit The restrictions on dividends, share Buybacks and Other Capital the ability of the ECIP recipient to make buybacks, and other capital Distributions payments under the terms of an ECIP distributions under the interim final The interim final rule defines ‘‘non- instrument, or otherwise impair the rule include two components. The first senior securities’’ as any equity interests ECIP recipient’s ability to meet its is a prohibition on discretionary in or other instruments issued by an obligations to Treasury under the dividends, share buybacks and other ECIP recipient that are pari passu with Program. An ECIP recipient would bear capital distributions on non-senior or junior to Treasury’s investment, or the initial responsibility for determining securities if an ECIP recipient has not (i) equity interests in or other instruments whether a change in policy or for preferred stock issued to Treasury, issued by a depository institution procedures is material; however, paid in full the dividends for the last holding company of which the ECIP Treasury would retain the authority to completed dividend period, or (ii) for recipient is a subsidiary. Under the take enforcement as appropriate (i.e., an instruments issued to Treasury other interim final rule, an ECIP recipient will ECIP recipient should not revise its than in the form of preferred stock, such be prohibited from making capital compensation policy to permit or pay as subordinated debt, paid all amounts distributions, such as declaring or excessive compensation if its cash is due and payable and all amounts paying any dividend on, or purchasing insufficient to pay dividends on ECIP previously deferred under the terms of or redeeming, any non-senior securities instruments). A request by an ECIP the instruments. The second is a limit unless (i) if Treasury holds shares of recipient to make a material change to on dividends, share buybacks, and other preferred stock, the company has paid its compensation, severance pay, or capital distributions based on separate in full dividends on the preferred stock excessive or luxury expenditures earnings-based tests for (i) insured with respect to the last completed policies or procedures must be depository institutions, bank holding dividend period (prior to the current submitted to Treasury in writing at least companies and savings and loan dividend period); or (ii) if Treasury 30 days prior to the effective date of the holding companies, on the one hand, holds an instrument other than policy change. The notice will be and (ii) federally insured credit unions, preferred stock (e.g., subordinated debt), deemed approved 30 days after the ECIP on the other. all amounts due and payable on the submits the notice to Treasury unless However, the interim final rule instrument have been paid in full, and prior to the expiration of the 30-day provides an exception from these no deferred amounts are unpaid. These period Treasury (i) objects to the restrictions for ECIP recipients that are restrictions reflect customary proposed change or (ii) notifies the ECIP S corporations or other pass-through contractual protections to prevent an recipient that additional time is entities for purposes of the Internal ECIP recipient from making required in order to better evaluate the Revenue Code of 1986. The interim final discretionary distributions on non- impact of the proposed change to policy rule will permit S corporations and senior securities if payments are not or procedures. other pass-through entities to make being made to Treasury on its Treasury specifically solicits capital distributions to the extent investment. These restrictions would comments from members of the public reasonably required to cover its owners’ not prevent an ECIP recipient from concerning the following issues: tax obligations in respect of the entity’s making required, non-discretionary Question #1: Are the restrictions on earnings. Such distributions shall be compensation sufficiently tailored to payments on non-senior securities, such subject to an annual reconciliation, with as payments required at stated maturity facilitate the ECIP Program objectives any surplus or deficiency to be without discouraging participation in in accordance with an instrument’s deducted or added to distributions, as terms, or payments of interest that may the program? applicable, in the following year. not be deferred.17 Question #2: Are there other The exemption for tax-related For these purposes, a ‘‘capital reasonable alternatives to the Program’s distributions in the interim final rule distributions’’ are defined as (i) does not supersede otherwise applicable dividends, including discretionary 16 Disclosures by ECIP recipients of any proposed limitations or determinations with material changes to any such policies or procedures will be subject to their Federal regulators’ respect to distributions established by 17 Such payments may be subject to limitations applicable restrictions in respect of the disclosure an ECIP recipient’s Federal regulators. established by an ECIP recipient’s primary Federal of confidential supervisory information. Accordingly, tax-related distributions regulator.
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dividends, on non-senior securities and and helping to ensure that the proceeds meaningful support for the objectives of any other payments on a share of stock of the ECIP investment are used to the Program. or other equity or equivalent interest, expand lending to low- and moderate- B. Earnings Test for Federally Insured (ii) payments, including interest income and other targeted populations. Credit Unions payments, on non-senior securities that the issuer has full discretion to A. Earnings Test for Insured Depository Consistent with existing distribution permanently or temporarily suspend Institutions, Bank Holding Companies, limitations applicable to federally without triggering a default, (iii) and Savings and Loan Holding insured credit unions,19 the interim redemptions or repurchases of non- Companies final rule provides that, without prior senior securities or (iv) any similar approval by Treasury, an ECIP recipient The interim final rule provides that, transaction that Treasury determines to that is a federally insured credit union without prior approval from Treasury, be in substance a capital distribution. may not make a capital distribution on Excluded from this definition, however, an ECIP recipient that is an insured any non-senior securities if the are (a) redemptions or repurchases of depository institution, bank holding distribution would (i) in the case of a shares that are part of an employee stock company, or savings and loan holding dividend, be payable from retained ownership plan for an ECIP recipient company may not make a capital earnings (as defined in 12 CFR 702.2(f)) that is not publicly traded, provided distribution if the total capital other than undivided earnings; or (ii) that the repurchase is required solely by distributions made during the calendar cause the credit union’s net worth virtue of the Employee Retirement year, including the proposed capital classification to fall below ‘‘adequately Income Security Act of 1974, as distribution, exceeds its ‘‘eligible capitalized’’ (as defined in 12 CFR amended; (b) in the case of federally distributable income,’’ which is 702.102(a)(2)). calculated as the sum of the ECIP insured credit unions, payments of 3. Exemptive Relief dividends and interest (as defined by 12 recipient’s (a) year-to-date net income as CFR 707.2(h) and (o)) on accounts held of the end of the most recent calendar Under the interim final rule, Treasury by their members and redemptions of quarter, plus net income for the two retains authority to grant waivers or membership share interests upon preceding calendar years, less (b) any exemptions from the restrictions under voluntary or involuntary terminations of dividends or capital distributions for the the interim final rule on dividends, membership by a credit union or its year to date as of the end of the most share buybacks, and other capital members, as applicable; and (c) solely in recent calendar quarter, and for the two distributions. Such relief may be the case of the earnings test described preceding calendar years, where each granted broadly to all ECIP recipients or below, redemptions or repurchases of amount is calculated in accordance with to particular entities. In considering non-senior securities if the issuer of the the instructions to the Call Report or whether to grant exemptive relief, non-senior securities being repurchased applicable reporting form. While Treasury will consider whether the or redeemed funds the redemption or approval may be awarded by Treasury relief is necessary or appropriate to repurchase by issuing at least a to make capital distributions, the achieve the goals of the ECIP or to corresponding amount of new non- interim final rule confirms that such protect the public interest. Such relief may be granted based on terms and senior securities that rank equally in approval does not supersede any conditions as determined by Treasury, liquidation with, receive the same applicable regulatory requirements of and in making determinations regarding capital treatment as and, if applicable, the ECIP recipient’s appropriate Federal requests for exemptive relief, Treasury have a stated maturity date no earlier banking agency, or other actions taken may consult with the primary Federal than the non-senior securities being by such agency. redeemed or repurchased. An regulator when deemed appropriate. The ‘‘eligible distributable income’’ extraordinary or special dividend 4. Annual Certification and Enforcement (which excludes an ordinary dividend limit is similar to other existing earnings on a special share account) by a limitations on payments of dividends Each ECIP recipient will be required federally insured credit union is a that apply to certain insured depository to submit to Treasury on an annual basis capital distribution and is not subject to institutions.18 In light of this similarity, a certification executed by two senior the exclusion for payments of dividends an ECIP recipient could calculate executive officers (one of which must be and interest by credit unions on eligible distributable income with either the ECIP recipient’s principal accounts held by their members. respect to capital distributions, by executive officer or principal financial applying the methodology set forth in officer) that the ECIP recipient is in ii. Limit on the Amount of Capital 12 CFR 5.64 or 12 CFR 208.5, as compliance with each of the excessive Distributions applicable, with respect to dividends, compensation, severance payments, Under the interim final rule, an ECIP by substituting ‘‘capital distributions’’ excessive or luxury expenditures recipient will be required to obtain prior for ‘‘dividends.’’ In addition, in the case requirements and restrictions on capital approval from Treasury in order to make of 12 CFR 208.5, an ECIP recipient that distributions set forth in the interim capital distributions in excess of the is not an insured depository institution final rule. If an ECIP recipient certifies following earnings-based tests. would use net income, as reported in that it satisfies the severance payments Treasury determined that the limits the ECIP recipient’s FR Y–9C or FR Y– requirements, Treasury expects that the on capital distributions are appropriate 9SP, instead of net income as reported certification will address only based on a review of publicly available in the Reports of Condition and Income. compliance with the requirements and data regarding average dividend rates Treasury anticipates that the operational will neither address whether the ECIP among banking organizations with $10 impact the capital distribution approval recipient is in troubled condition for billion or less in total assets, in the requirement will be nominal and that purposes of 12 CFR parts 359 and 750, period before the Covid-19 pandemic. the approval requirement will provide as applicable, nor contain any Thus, the limitation on capital confidential supervisory information distributions strikes an appropriate 18 See, e.g., 12 U.S.C. 60 (national banks), 12 CFR subject to applicable disclosure balance between allowing ECIP 5.64 (national banks), and 12 CFR 208.5 (state recipients to make capital distributions member banks). 19 See 12 CFR 702.403.
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restrictions promulgated by the ECIP environmental quality regulations Treasury has determined for good cause recipients’ Federal regulators. published pursuant to the National that general notice and opportunity for The interim final rule is promulgated Environmental Protection Act of 1969 public comment is unnecessary, and under Section 104A of the Act, and (NEPA). It is the determination of therefore is not issuing a notice of agreements between ECIP recipients and Treasury that the interim final rule does proposed rulemaking. Because no notice Treasury in connection with the not constitute a major Federal action of proposed rulemaking is required for Program will be entered into under the significantly affecting the quality of the this interim final rule, the provisions of Act. Treasury may take action or human environment and, in accordance the RFA do not apply. Nevertheless, directly address noncompliance with with NEPA and the CDFI Fund’s Treasury seeks comment on whether, the requirements of this interim final environmental quality regulations at 12 and the extent to which, the interim rule or Program agreements. In addition, CFR part 1815, neither an final rule would affect a significant Treasury may, in its discretion, inform Environmental Assessment nor an number of small entities. the appropriate Federal banking Environmental Impact Statement is agencies of any apparent violations by required. E. Regulatory Planning and Review ECIP recipients of the interim final rule C. Paperwork Reduction Act This interim final rule is or Program agreements between ECIP economically significant for the recipients and Treasury.20 The Paperwork Reduction Act of 1995 (44 U.S.C. 3501–3521) (PRA) states that purposes of Executive Orders 12866 and Treasury specifically solicits 13563. Treasury, however, is proceeding comments from members of the public no agency may conduct or sponsor, nor is the respondent required to respond under the emergency provision at concerning the following issues: Executive Order 12866 section 6(a)(3)(D) Question #4: Are the restrictions on to, an information collection unless it displays a currently valid OMB control based on the need to move dividends, share buybacks, and other expeditiously to mitigate the current capital distributions sufficiently tailored number. The interim final rule will add current economic conditions arising from the to facilitate the ECIP Program objectives information collections for excessive or COVID–19 emergency, as discussed in without discouraging participation in luxury expenditure policy and Section II of this Supplementary the program? exemptive relief requests to the ECIP Information. Question #5: What would be the application process. The ‘‘excessive or advantages and disadvantages of F. Executive Order 13132 luxury policy’’ collection requirements aligning limitations on capital include the adoption and maintenance distributions under the interim final rule This interim final rule does not have of the policy (detailed in section 1(iii)); with limitations applicable to each federalism implications as defined in written notices of change (detailed in entity pursuant to the requirements of Executive Order 13132. It will not have section 1(iv)); and annual certifications its appropriate Federal banking substantial direct effects on the States, (detailed in section 4). The exemptive regulator? What are the advantages and on the relationship between the relief requests are detailed in section 3. disadvantages of calculating eligible National Government and the States, or The addition of these collections will distributable income based on (i) on the distribution of power and increase total annual burden by 44,014 income as of the end of the most recent responsibilities among the various hours: The policy requirements are calendar quarter and (ii) year to date levels of government, as specified in the expected to take 1,100 respondents 40 reported net income? What are the executive order. As such it does not hours to complete for an annual burden advantages and disadvantages of warrant the preparation of a federalism of 44,000 hours, and it is estimated that calculating the capital distribution assessment. 55 (or 5%) of respondents will submit limitation using (i) year-to-date an exemptive relief request that will G. Congressional Review Act dividends or capital distributions; (ii) take 15 minutes to complete, for an reported dividends or capital The Administrator of the Office of annual burden of 14 hours. The OMB distributions; and (iii) year-to-date Management and Budget’s Office of Control Number for the Emergency dividends or capital distributions as of Information and Regulatory Affairs Capital Investment Program information the end of the most recent calendar (OIRA) has determined that this is a collection is 1505–0267. major rule for purposes the quarter? Comments concerning suggestions for Congressional Review Act (CRA) (5 reducing the burden of collections of IV. Regulatory Analyses U.S.C. 804(2) et seq.). Under the CRA, information should be directed to the a major rule takes effect 60 days after A. Administrative Procedure Act Deputy Director for Policy and the rule is published in the Federal Pursuant to authority at 5 U.S.C. Programs, Community Development Register. 5 U.S.C. 801(a)(3). 553(b)(B), the interim final rule is Financial Institutions Fund, 601 13th exempt from the rulemaking Street, NW, Suite 200 South, Notwithstanding this requirement, the requirements of the Administrative Washington, DC 20005. CRA allows agencies to dispense with Procedure Act (APA) (5 U.S.C. 551 et the requirements of section 801 when D. Regulatory Flexibility Act seq.), including the requirement to the agency for good cause finds that provide prior notice and an opportunity The Regulatory Flexibility Act (RFA) such procedure would be impracticable, for public comment for the good cause (5 U.S.C. 601 et seq.) requires an agency unnecessary, or contrary to the public shown in Sections I and II of this to consider whether the rules it interest and the rule shall take effect at SUPPLEMENTARY INFORMATION. proposes will have a significant such time as the agency promulgating economic impact on a substantial the rule determines. 5 U.S.C. 808(2). B. National Environmental Policy Act number of small entities. The RFA Pursuant to § 808(2), Treasury, for the The interim final rule has been applies only to rules for which an good cause shown in sections I and II of reviewed in accordance with 12 CFR agency publishes a general notice of this SUPPLEMENTARY INFORMATION, finds part 1815, the CDFI Fund’s proposed rulemaking pursuant to 5 that a 60-day delay to provide public U.S.C. 553(b). As discussed above, notice is impracticable and contrary to 20 See, e.g., 12 U.S.C. 4717(b). consistent with 5 U.S.C. 553(b)(B), the public interest.
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List of Subjects in 31 CFR Part 35 (c) Limitation of authority. Nothing in distributions), redemptions or Executive compensation. this subpart shall be interpreted to limit repurchases of non-senior securities if the authority of the appropriate Federal the issuer of the non-senior securities ■ For the reasons set forth in the banking agency to take action under being repurchased or redeemed fully preamble, 31 CFR subtitle A is amended other provisions of law, including funds the redemption or repurchase by by adding part 35 to read as follows: action to address unsafe or unsound issuing at least a corresponding amount practices or conditions, deficient capital of new non-senior securities that rank PART 35—EMERGENCY CAPITAL levels, or violations of law or regulation, equally in liquidation with, receive the INVESTMENT PROGRAM under section 8 of the Federal Deposit same capital treatment as and, if Subpart A—[Reserved] Insurance Act, section 8 of the Bank applicable, have a stated maturity date Holding Company Act, or section 10 of no earlier than the non-senior securities Subpart B—Compensation and Capital Distributions the Home Owners’ Loan Act, or the being redeemed or repurchased. Federal Credit Union Act, as may be ECIP means the Emergency Capital Sec. applicable. Investment Program established under 35.20 Purpose, applicability, and general Section 104A of the Community provisions. § 35.21 Definitions. Development Banking and Financial 35.21 Definitions. Except as modified in this regulation 35.22 Restrictions on compensation. Institutions Act of 1994, as amended. 35.23 Restrictions on dividends, share or unless the context otherwise requires, ECIP investment means any preferred buybacks, and other capital the terms used in this regulation have stock, subordinated debt, or other distributions. the same meaning as set forth in the instrument (including any successor to 35.24 Annual certification. relevant statutes. For purposes of this any such instrument) issued by an ECIP 35.25 Exemptive relief. subpart: recipient to the Department of the Appendix A to 31 CFR Part 35—Emergency Act means the Community Treasury under the ECIP. Capital Investment Program Model Development Banking and Financial ECIP investment agreement means the Excessive or Luxury Expenditures Policy Institutions Act of 1994, as amended (12 agreement between an ECIP recipient Authority: Consolidated Appropriations U.S.C. 4701 et seq.). and the Department of the Treasury Act, 2021 (Pub. L. 116–260), Division N, Title Appropriate Federal banking agency with respect to the ECIP investment in V, Subtitle B; Community Development has the same meaning as in 12 U.S.C. that ECIP recipient. Banking and Financial Institutions Act of 1813 and also includes the NCUA with ECIP investment date means the date 1994 (enacted as part of the Riegle respect to a federally insured credit on which an ECIP recipient first issued Community and Regulatory Improvement Act union. an ECIP investment. of 1994 (Pub. L. 103–325)), as amended (12 Capital distributions means: ECIP period means the period from U.S.C. 4701 et seq.), Section 104A. (1) Dividends, including discretionary the ECIP investment date until the dividends, on non-senior securities and Subpart A [Reserved] earliest of: any other payments on a share of stock (1) The date on which the ECIP or other equity or equivalent interest; recipient has fully redeemed or repaid Subpart B—Compensation and Capital (2) Payments, including interest Distributions the ECIP investment received under payments, on non-senior securities, that ECIP; § 35.20 Purpose, applicability and general the issuer has full discretion to (2) The date on which the investment provisions. permanently or temporarily suspend the ECIP recipient received under the (a) Purpose. Pursuant Section 104A of without triggering a default; ECIP is no longer held, in full or in part, the Community Development Banking (3) Redemptions or repurchases of by the Department of the Treasury or and Financial Institutions Act of 1994 non-senior securities; or any affiliate thereof; and (4) Any similar transaction that the (Act), as added by the Consolidated (3) Ten years after the ECIP Department of the Treasury determines Appropriations Act, 2021 (Pub. L. 116– investment date. to be in substance a capital distribution; 260), this subpart establishes ECIP recipient means any entity that (5) Provided, that a ‘‘capital has received a capital investment under restrictions on executive compensation, distribution’’ does not include: dividend payments, and share buybacks the ECIP. (i) Redemptions or repurchases of Excessive or luxury expenditures for recipients of capital investments shares that are part of an employee stock means: under the Department of the Treasury’s ownership plan for an ECIP recipient (1) Excessive expenditures on any of Emergency Capital Investment Program that is not publicly traded, provided the following to the extent such (ECIP or Program), as well as additional that the repurchase is required solely by expenditures are not reasonable criteria for participation in the Program virtue of the Employee Retirement expenditures for staff development, that the Secretary has determined are Income Security Act of 1974, as reasonable performance incentives, or appropriate in furtherance of the amended; other similar reasonable measures Program goals. (ii) In the case of federally insured conducted in the normal course of the (b) Applicability. This subpart applies credit unions: ECIP recipient’s business operations: on a consolidated basis to any insured (A) Payments of dividends and (i) Entertainment or events; depository institution, bank holding interest (as defined by 12 CFR 707.2(h) (ii) Office and facility renovations; company, savings and loan holding and (o)) on accounts held by their (iii) Aviation or other transportation company, or federally insured credit members; provided that this exclusion services; union that issues preferred stock or a does not apply to any extraordinary or (iv) Tax gross-ups; and subordinated debt instrument to the special dividend by a credit union; or (v) Other similar items, activities, or Department of the Treasury under the (B) Redemptions of membership share events for which the ECIP recipient may Program (an ECIP recipient, as defined interests upon voluntary or involuntary reasonably anticipate incurring in § 35.21 of this subpart). An ECIP terminations of membership by a credit expenses, or reimbursing an employee recipient must comply with the union or its members, as applicable; and for incurring expenses; requirements of this subpart during the (iii) Solely in the case of § 35.23(b) (2) Provided, that reasonable capital ECIP period. (Limit on amount of capital investments in technology, equipment,
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and similar items that expand the long- including but not limited to the (1) For an ECIP recipient or subsidiary term capability of an ECIP recipient to common stock (or equivalent equity of an ECIP recipient that is an insured provide products and services to its interest) of the ECIP recipient, or any depository institution, except for customers and community are not equity interest or equivalent interest or federally insured credit unions, the excessive or luxury expenditures. any other interest in or instrument Interagency Guidelines Establishing Excessive or luxury expenditures issued by a depository institution Standards for Safety and Soundness as policy means written standards holding company of which the ECIP issued by the appropriate Federal applicable to the ECIP recipient and its recipient is a subsidiary. banking agency for the ECIP recipient or employees that address the five OCC means the Office of the subsidiary (i.e., for national banks and categories of expenses set forth in the Comptroller of the Currency. Federal savings associations, 12 CFR definition of ‘‘excessive or luxury Principal executive officer means the part 30, appendix A; state member expenditures,’’ and that are reasonably chief executive officer of an ECIP banks, 12 CFR part 208, appendix D–1; designed to eliminate excessive and recipient (or individual performing a insured state nonmember banks and luxury expenditures. Such written similar function). state savings associations, 12 CFR part standards must: Principal financial officer means the 364, appendix A); (1) Identify the types or categories of chief financial officer of an ECIP (2) For an ECIP recipient that is a expenditures which are prohibited recipient (or individual performing a bank holding company, the (which may include a threshold similar function). requirements for corporate practices of bank holding companies as issued by expenditure amount per item, activity, Senior executive officer means an the Federal Reserve Board at 12 CFR or event or a threshold expenditure ECIP recipient’s president, any vice amount per employee receiving the item 225.4; president in charge of a principal (3) For an ECIP recipient that is a or participating in the activity or event); business unit, division or function, any (2) Identify the types or categories of savings and loan holding company, the other officer who performs a policy expenditures for which prior approval is requirements regarding safe and sound making function, or any other person required (which may include a operations of savings and loan holding who performs similar policy making threshold expenditure amount per item, companies as issued by the Federal functions. activity, or event or a threshold Reserve Board at 12 CFR 238.8; and Severance payment means any expenditure amount per employee (4) For an ECIP recipient that is a payment or benefit provided to an receiving the item or participating in the federally insured credit union, the officer or employee of an ECIP recipient activity or event); requirements on compensation and (3) Provide reasonable approval in connection with any termination of benefits for federally insured credit procedures for expenditures requiring such officer or employee’s employment unions as issued by the NCUA at 12 prior approval; with the ECIP recipient (including CFR 701.19(a); 12 CFR 701.21(c)(8); 12 (4) Require the ECIP recipient to resignation, severance, retirement, or CFR 702.203(b)(10); and 12 CFR deliver a certification, executed by two constructive termination), except for 702.204(b)(10). senior executive officers (one of which payment for services performed or (b) Restriction on severance must be its principal executive officer or benefits accrued. A severance payment payments. An ECIP recipient shall not principal financial officer) certifying includes cash payments, health care make excessive severance payments to that the approval of any expenditure benefits, perquisites, the enhancement any senior executive officer. Unless requiring the prior approval of any or acceleration of any payment or informed otherwise by the Department senior executive officer, any executive vesting of any payment or benefit, or of the Treasury, an ECIP is considered officer of a substantially similar level of any other in-kind benefit payable or to have satisfied the requirements responsibility, or the ECIP recipient’s provided in connection with any regarding severance payments in this board of directors (or a committee of termination of an officer or employee of section if it maintains compliance with such board of directors), was properly the ECIP recipient. the following (or any successor obtained with respect to each such Total compensation means all requirement, as applicable): expenditure; compensation, other than any severance (1) For an ECIP recipient that is an (5) Require the prompt internal payment, provided by an ECIP recipient insured depository institution, a bank reporting of violations to an appropriate to an officer or employee, including holding company or a savings and loan person or persons identified in this salary, wages, bonuses, awards of stock, holding company, the limits and policy; and deferred compensation, and other prohibitions to enter into contracts to (6) Mandate accountability for financial benefits. pay and to make golden parachute and adherence to the policy. indemnification payments to § 35.22 Restrictions on compensation. FDIC means the Federal Deposit institution-affiliated parties to the extent Insurance Corporation. (a) Restriction on executive applicable to the ECIP recipient, as Federal Reserve Board means the compensation. An ECIP recipient must issued by the FDIC at 12 CFR part 359; Board of Governors of the Federal ensure that the total compensation paid and Reserve System. to its senior executive officers is (2) For an ECIP recipient that is a NCUA means the National Credit appropriate and not excessive. Unless federally insured credit union, the Union Administration. informed otherwise by the Department limits and prohibitions on the ability of Non-senior security means any equity of the Treasury, an ECIP recipient is federally insured credit unions to enter interest or equivalent interest (including considered to have satisfied the into contracts to pay and to make golden but not limited to membership share requirements regarding executive parachute and indemnification interests in the case of a credit union) compensation in this section if it, and, payments to institution-affiliated parties or any other interest in, or instrument if applicable, all insured depository as issued by the NCUA at 12 CFR 750.1. issued by, an ECIP recipient that is pari institution subsidiaries of the ECIP (c) Excessive or luxury expenditures. passu with, or junior to, the ECIP recipient, maintains compliance with (1) Ninety days after an ECIP investment investment with respect to capital the following (or any successor date with respect to an ECIP recipient, distributions or ranking in liquidation, requirement, as applicable): the board of directors of the ECIP
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recipient must adopt an excessive or of the Treasury objects to the proposed (ii) Cause the ECIP recipient’s net luxury expenditures policy, provide change or notifies the ECIP recipient worth classification to fall below such policy to the Department of the that additional time is required in order ‘‘adequately capitalized’’ (as defined in Treasury and the ECIP recipient’s to complete review of the proposed 12 CFR 702.102(a)(2)). appropriate Federal banking agency, change to policy or procedures (c) Exception for Subchapter S and post the text of such policy on its Corporations and other pass-through internet website, if the ECIP recipient § 35.23 Restrictions on dividends, share entities. Notwithstanding anything to maintains an internet website. buybacks, and other capital distributions. the contrary in paragraphs (a) and (b) of (2) If, after adopting an excessive or (a) Restriction on capital distributions this section, any ECIP recipient that is luxury expenditures policy, the board of due to nonpayment. An ECIP recipient an S corporation, as defined in 26 U.S.C. directors of the ECIP recipient makes shall not make any capital distribution 1361(a), or other pass-through entity any material amendments to such on a non-senior security, unless: may make capital distributions, to the policy, within ninety days of the (1) If the ECIP investment is in the extent reasonably required to cover its adoption of the amended policy the form of preferred stock, the ECIP owners’ tax obligations in respect to the board of directors must provide the recipient has paid in full the dividends entity’s earnings. Such distributions amended policy to the Department of for the last completed dividend period shall be subject to an annual the Treasury and the ECIP recipient’s on the preferred stock; or reconciliation, with any surplus or appropriate Federal banking agency and (2) If the ECIP investment is in a form deficiency to be deducted or added to post the amended policy on its internet other than preferred stock (including, distributions, as applicable, in the website, if the ECIP recipient maintains subordinated debt), the ECIP recipient following year. Any tax-related an internet website. has paid in full the principal, interest, distributions permitted under this (3) The ECIP recipient must maintain, and other amounts due and payable paragraph (c) must also comply with and continue the disclosure of any under the terms of the ECIP investment, any applicable limitations or material amendments to, the excessive and no amount that has been deferred determinations established by an ECIP or luxury expenditures policy during remains unpaid. recipient’s Federal regulators. the ECIP period, unless the Department (b) Limit on amount of capital of the Treasury determines that § 35.24 Annual certification distributions. (1) If an ECIP recipient is On an annual basis an ECIP recipient discontinuation of the policy would not an insured depository institution, bank be contrary to the public interest. shall, in accordance with the terms and holding company, or savings and loan (d) Material changes in policies or conditions of its ECIP investment holding company, the ECIP recipient procedures. An ECIP recipient must agreement, submit to the Department of obtain prior approval from the shall obtain the approval of the the Treasury a certification executed by Department of the Treasury before Department of the Treasury prior to two senior executive officers (one of making any material change to the making any capital distribution if the which must be either its principal policies or procedures that it maintains total of capital distributions made executive officer or principal financial for purposes of compliance with during the calendar year, including the officer) that the ECIP recipient is in paragraph (a), (b), or (c) of this section. proposed capital distribution, exceeds compliance with each of the excessive A change to the compensation, its eligible distributable income; compensation, severance pay, and severance pay, or excessive or luxury provided, however, that any prior excessive or luxury expenditures expenditures policies or procedures will approval of a capital distribution by the requirements and restrictions on capital be considered material for purposes of Department of the Treasury does not distributions set forth in §§ 35.22 and this section if the change is likely to supersede any applicable regulatory 35.23. have a negative effect on the financial requirements of the ECIP recipient’s § 35.25 Exemptive relief. condition of the ECIP recipient, limit appropriate Federal banking agency, or the ability of the ECIP recipient to make other actions taken by such agency. For The Department of the Treasury may payments under the terms of an ECIP purposes of this paragraph, ‘‘eligible grant exemptions or waivers from some instrument, or otherwise impair the distributable income’’ means the sum of or all of the restrictions on share ECIP recipient’s ability to meet its the ECIP recipient’s reported year-to- buybacks and dividend payments under obligations to the Department of the date net income as of the end of the this part if such exemption or waiver is Treasury under the ECIP. most recent calendar quarter, plus net necessary or appropriate to effectuate (1) A request to make a material income for the two preceding calendar the goals of the ECIP or to protect the change to compensation, severance pay years, less any dividends or public interest. Such exemptions or or excessive luxury expenditures distributions for the year to date as of waivers may be subject to such terms policies or procedures, must be the end of the most recent calendar and conditions as deemed necessary or submitted by an ECIP recipient in quarter and the two preceding calendar appropriate by the Department of the writing and received by the Department years, where each amount is calculated Treasury. of the Treasury at least thirty days prior in accordance with the instructions to Appendix A to 31 CFR Part 35— to the effective date of the policy the Call Report or applicable reporting Emergency Capital Investment Program change. The request should describe the form. Model Excessive or Luxury change, reason for the change, and (2) If the ECIP recipient is federally Expenditures Policy anticipated financial or other impact of insured credit union, the ECIP recipient the change on the condition of the ECIP shall obtain the Department of the I. Introduction recipient. Treasury’s prior approval to make any A participant in the Emergency Capital (2) The request will be deemed capital distributions if the distribution Investment Program (ECIP recipient, as approved thirty days after the ECIP would: defined at 31 CFR 35.21) is required to establish and maintain policies designed to recipient has provided a complete (i) In the case of a dividend, be eliminate excessive or luxury expenditures. request to the Department of the payable from retained earnings (as The term ‘‘excessive or luxury expenditures’’ Treasury, unless, prior to the expiration defined in 12 CFR 702.2(f)) other than means excessive expenditures on any of the of the thirty-day period, the Department undivided earnings; or following to the extent such expenditures are
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not reasonable expenditures for staff C. Responsibility for employees subject to tax from a non-U.S. development, reasonable performance This policy is the responsibility of the jurisdiction. incentives, or other similar reasonable Organization’s board of directors (board). The (5) Other similar items, activities, or events measures conducted in the normal course of board has approved this policy and will for which the Organization may reasonably the ECIP recipient’s business operations: (1) review compliance with this policy no less anticipate incurring expenses or reimbursing Entertainment or events; (2) office and frequently than annually, and summary data an employee for incurring expenses. (i) facility renovations; (3) aviation or other on excessive or luxury expenditures will be Expenditures related to other items not listed transportation services; (4) tax gross-ups; and reported to the board as part of the in the preceding categories are exempt from lll (5) other similar items, activities, or events compliance review. this policy in an amount less than $ for which the ECIP recipient may reasonably per instance, and together with all anticipate incurring expenses, or reimbursing D. Scope expenditures permitted under this policy, an employee for incurring expenses. This policy applies to all employees, may not exceed $lll on an annual (1) To facilitate compliance with this officers, and directors of the Organization aggregate basis per individual. requirement, the Department of the Treasury with regard to any expenditure of the (ii) For the avoidance of doubt, reasonable is making available a model excessive or Organization. In making any expenditure on capital investments in technology, luxury expenditures policy. An ECIP behalf of the Organization, employees, equipment, and similar items that expand the recipient may refer to this model policy for officers, and directors should consider long-term capability of an ECIP recipient to guidance in satisfying the requirement at 31 whether the expenditure is an excessive or provide products and services to its CFR 35.22(c) to adopt and maintain an luxury expenditure that is prohibited under customers and community are not excessive or luxury expenditures. excessive or luxury expenditures policy. this policy. Alternatively, ECIP recipients may use other (iii) The principal executive officer may forms of, or existing policies relating to, E. Excessive or Luxury Expenditures establish or delegate to an appropriate excessive or luxury expenditures, provided ‘‘Excessive or luxury expenditures’’ means executive officer the authority to establish that such other forms or policies satisfy all excessive expenditures on any of the processes for the evaluation and approval of the requirements of the regulation at 31 CFR following to the extent not reasonable or expenditures in the preceding categories that 35.22(c). appropriate expenditures for business are not luxury or excessive expenditures and (2) An ECIP recipient’s luxury or excessive development, staff development, reasonable that are not otherwise exempt from this expenditure policy should be posted on the performance incentives, or other similar policy. These processes must be reviewed by ECIP recipient’s website. Any material reasonable measures conducted in the executive management no less frequently amendments to an ECIP recipient’s excessive normal course of the Organization’s business than annually, as well as any additional or luxury expenditures policy must made in operations: threshold expenditure amounts per item, accordance with the provisions set forth in (1) Entertainment or events. This category activity, or event, or a threshold expenditure 31 CFR 35.22(d) (Material changes in policies includes fees, dues, tickets costs related to amount per employee receiving the item or or procedures). If the ECIP recipient makes social, athletic, artistic and dining clubs, participating in the activity or event under any material amendments to this policy, then activities, celebrations or other events, and this policy. Such approvals must be reported the ECIP recipient must submit a copy of the to the board of directors (which may be in similar expenditures. Expenditures for amended policy to the Department of the an appropriate summary form) no less charitable contributions and charitable Treasury and post the amended policy on the frequently than annually. ECIP recipient’s website. ECIP recipients events are not prohibited under this policy. should refer to 31 CFR part 35, subpart B for Entertainment or events expenditures in an F. Exceptions or Violations lll additional information regarding definitions amount less than $ per instance, and (1) Any exception or violation of this lll of terms used in the model policy, disclosure, $ on an annual aggregate basis per policy must be promptly reported to the material changes, certification, and other individual, are exempt from this policy. Organization’s (i) principal executive officer, compliance requirements. (2) Office and facility renovations. This (ii) officer with primary responsibility for the category includes costs and allowances for Organization’s compliance function, or (iii) II. Model Excessive or Luxury Expenditures office renovation, including expenditures officer designated with primary Policy related to furniture, art, office responsibility for overseeing the A. Purpose personalization, interior finishing, design administration, monitoring, and compliance and decoration, and similar expenditures. with this policy. Exceptions and violations The purpose of this policy is to establish Office and facility renovations expenditures parameters and internal controls governing must be reported to the board of directors no in an amount less than $lll per instance, less frequently than annually, or more the expenditures of [NAME OF ECIP and $lll on an annual aggregate basis per RECIPIENT] (together with its subsidiaries frequently as the nature and severity of individual, are exempt from this policy. violation may warrant. All employees, and controlled affiliates, referred to hereafter (3) Aviation or other transportation as the Organization). Expenditures of the officers, and directors of the Organization services. (i) This category includes charter Organization should be customary, prudent, must adhere to this policy and will be held fees, tickets, slip or docking fees, vehicle consistent with applicable laws and accountable for compliance. Any employee installment payments, reservation and travel regulations, and reasonably related to the or officer who violates this policy may be agent expenses, and similar expenditures Organization’s business objectives and needs. subject to disciplinary action up to and This policy identifies expenditures that are associated with transportation services (e.g., including termination of employment. excessive or luxury expenditures, creates airline, train, rental cars, or vans). Mileage (2) Any employee or officer that is aware processes that are reasonably designed to reimbursable according to current Internal of any circumstance that may indicate a eliminate such expenditures, and establishes Revenue Service mileage rates is exempt violation of this policy is required to report accountability for compliance. Routine from this policy. Transportation services in such circumstance to their supervisor or the operating expenses, capital expenditures, and an amount less than $lll per instance, Organization’s principal compliance officer other reasonable expenses are not prohibited and $lll on an annual aggregate basis per or compliance group. The Organization by this policy. individual, are exempt from this policy. prohibits retaliation against any employee or (ii) The principal executive officer may officer for making a good faith report of B. Authority establish or delegate to an appropriate actual or suspected violations of the The Organization has authority to provide executive officer the authority to establish Organization’s code of conduct, laws, compensation and benefits that are processes for reimbursement of reasonable regulations, or other Organization policies, reasonable. This policy establishes a travel expenditures, which processes must be including this policy. A finding of retaliation prohibition on expenditures that are reviewed by executive management no less against any such employee or officer may excessive or luxury expenditures as required frequently than annually. result in disciplinary action up to and by the Department of the Treasury’s (4) Tax gross-ups. This category includes including termination. Failure to promptly Emergency Capital Investment Program any reimbursement of taxes owed with report known violations by others may also regulations (31 CFR part 35), and as may be respect to any compensation. This category be deemed a violation of the Organization’s required by other statutes and regulations. does not apply to tax equalization agreements code of conduct.
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(3) Employees and officers may ask Mr. Willson can also be reached via Dated: March 3, 2021. questions, raise concerns, or report instances electronic mail at Willson.Matthew@ Diana Esher, of non-compliance with this policy and/or epa.gov. Acting Regional Administrator EPA Region any of the existing underlying relevant III. policies by contacting the following: SUPPLEMENTARY INFORMATION: On [COMPLIANCE HELP LINE OR E–MAIL]. February 9, 2021, (86 FR 8699), EPA [FR Doc. 2021–04827 Filed 3–8–21; 8:45 am] published a final rule action BILLING CODE 6560–50–P G. Certification announcing our approval of Maryland’s On an annual basis, the ECIP recipient will negative declaration regarding the deliver to the Department of the Treasury a existence of SSI units in the state. In the ENVIRONMENTAL PROTECTION certification, executed by two senior document, we inadvertently indicated AGENCY executive officers (one of which must be that a section should be added to the either the ECIP recipient’s principal 40 CFR Part 180 executive officer or principal financial Code of Federal Regulations (CFR) at 40 officer) certifying that (i) the Organization is CFR 62.4690 for air emissions from [EPA–HQ–OPP–2018–0551; FRL–10019–19] in compliance with this policy and (ii) the existing SSI units. The intent of the rule approval of any expenditure requiring the was to add a section for air emissions Fluindapyr; Pesticide Tolerances prior approval of any senior executive officer, from existing SSI units at 40 CFR AGENCY: Environmental Protection any executive officer of a substantially 62.5170. This document corrects the Agency (EPA). similar level of responsibility, or the board of erroneous language. directors (or a committee of such board), was ACTION: Final rule. properly obtained with respect to each such Need for Correction SUMMARY: expenditure. As published, the final rule would This regulation establishes tolerances for residues of fluindapyr in David Lebryk, amend subpart T, which is for the approval of state plans for designated or on multiple commodities which are Fiscal Assistant Secretary. identified and discussed later in this [FR Doc. 2021–04900 Filed 3–5–21; 11:15 am] facilities and pollutants for the state of Louisiana. The intent of the final rule document. FMC Corporation requested BILLING CODE 4810–AK–P was to change the approval of state these tolerances under the Federal Food, plans for designated facilities and Drug, and Cosmetic Act (FFDCA). pollutants for the State of Maryland. DATES: This regulation is effective ENVIRONMENTAL PROTECTION This correction will ensure that the March 9, 2021. Objections and requests AGENCY correct section of the CFR, which for for hearings must be received on or before May 10, 2021, and must be filed 40 CFR Part 62 Maryland is subpart V, is amended. Section 553 of the Administrative in accordance with the instructions [EPA–R03–OAR–2019–0527.; FRL–10020– Procedure Act, 5 U.S.C. 553(b)(3)(B), provided in 40 CFR part 178 (see also 90–Region 3] provides that, when an agency for good Unit I.C. of the SUPPLEMENTARY cause finds that notice and public INFORMATION). Approval and Promulgation of State procedure are impracticable, Air Quality Plans for Designated ADDRESSES: The docket for this action, unnecessary or contrary to the public Facilities and Pollutants; State of identified by docket identification (ID) interest, the agency may issue a rule Maryland; Control of Emissions From number EPA–HQ–OPP–2018–0551, is without providing notice and an Existing Sewage Sludge Incineration available at http://www.regulations.gov opportunity for public comment. We Units; Correction or at the Office of Pesticide Programs have determined that there is good Regulatory Public Docket (OPP Docket) AGENCY: Environmental Protection cause for making this rule final without in the Environmental Protection Agency Agency (EPA). prior proposal and opportunity for Docket Center (EPA/DC), West William ACTION: Final rule; correction. comment because we are merely Jefferson Clinton Bldg., Rm. 3334, 1301 correcting an incorrect citation in a Constitution Ave. NW, Washington, DC SUMMARY: The Environmental Protection previous action. Thus, notice and public 20460–0001. The Public Reading Room Agency (EPA) issued a final rule on procedure are unnecessary. We find that is open from 8:30 a.m. to 4:30 p.m., February 9, 2021 entitled ‘‘Approval this constitutes good cause under 5 Monday through Friday, excluding legal and Promulgation of State Air Quality U.S.C. 553(b)(3)(B). holidays. The telephone number for the Plans for Designated Facilities and In FR doc. 2021–02617 appearing on Public Reading Room is (202) 566–1744, Pollutants; State of Maryland; Control of page 8699 in the Federal Register of and the telephone number for the OPP Emissions from Existing Sewage Sludge Tuesday, February 9, 2021 the following Docket is (703) 305–5805. Incineration Units.’’ This document corrections are made: Due to the public health concerns corrects an error in the rule language of related to COVID–19, the EPA Docket Subpart V—[Corrected] the final rule pertaining to EPA’s Center (EPA/DC) and Reading Room is approval of Maryland’s negative ■ 1. On page 8700, in the third column, closed to visitors with limited declaration regarding the existence of in part 62, in amendment 2, the exceptions. The staff continues to Sewage Sludge Incineration (SSI) units instruction ‘‘Add an undesignated provide remote customer service via in the state submitted by the State of center heading and § 62.4690 to read as email, phone, and webform. For the Maryland. follows:’’ is corrected to read ‘‘Add an latest status information on EPA/DC DATES: Effective on March 11, 2021. undesignated center heading and services and docket access, visit https:// FOR FURTHER INFORMATION CONTACT: § 62.5170 to read as follows:’’ www.epa.gov/dockets. Matthew Willson, Permits Branch ■ 2. On page 8700, in the third column, FOR FURTHER INFORMATION CONTACT: (3AD10), Air & Radiation Division, U.S. the section heading ‘‘§ 62.4690 Marietta Echeverria, Registration Environmental Protection Agency, Identification of plan—negative Division (7505P), Office of Pesticide Region III, 1650 Arch Street, declaration.’’ is corrected to read Programs, Environmental Protection Philadelphia, Pennsylvania 19103. The ‘‘§ 62.5170 Identification of plan— Agency, 1200 Pennsylvania Ave. NW, telephone number is (215) 814–5795. negative declaration.’’ Washington, DC 20460–0001; main
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telephone number: (703) 305–7090; 2018–0551, by one of the following received on the notice of filing. EPA’s email address: [email protected]. methods: response to this comment is discussed • SUPPLEMENTARY INFORMATION: Federal eRulemaking Portal: http:// in Unit IV.C. www.regulations.gov. Follow the online Based upon review of the data I. General Information instructions for submitting comments. supporting the petition and in A. Does this action apply to me? Do not submit electronically any accordance with its authority under information you consider to be CBI or FFDCA section 408(d)(4)(A)(i) to You may be potentially affected by other information whose disclosure is establish tolerances that vary from what this action if you are an agricultural restricted by statute. was requested, EPA is establishing producer, food manufacturer, or • Mail: OPP Docket, Environmental several tolerances at different levels pesticide manufacturer. The following Protection Agency Docket Center (EPA/ than were requested, including list of North American Industrial DC), (28221T), 1200 Pennsylvania Ave. additional livestock commodities as Classification System (NAICS) codes is NW, Washington, DC 20460–0001. necessary. In addition, tolerances for not intended to be exhaustive, but rather • Hand Delivery: To make special fruit, small vine-climbing except fuzzy provides a guide to help readers arrangements for hand delivery or kiwifruit crop group 13–07F and determine whether this document delivery of boxed information, please soybeans were removed. The reasons for applies to them. Potentially affected follow the instructions at http:// these changes are explained in Unit entities may include: www.epa.gov/dockets/contacts.html. IV.D. • Crop production (NAICS code 111). Additional instructions on • Animal production (NAICS code commenting or visiting the docket, III. Aggregate Risk Assessment and 112). along with more information about Determination of Safety • Food manufacturing (NAICS code dockets generally, is available at http:// Section 408(b)(2)(A)(i) of FFDCA 311). www.epa.gov/dockets. allows EPA to establish a tolerance (the • Pesticide manufacturing (NAICS legal limit for a pesticide chemical II. Summary of Petitioned-For code 32532). residue in or on a food) only if EPA Tolerance determines that the tolerance is ‘‘safe.’’ B. How can I get electronic access to In the Federal Register of May 9, 2019 Section 408(b)(2)(A)(ii) of FFDCA other related information? (84 FR 20320) (FRL–9992–36), EPA defines ‘‘safe’’ to mean that ‘‘there is a You may access a frequently updated issued a document pursuant to FFDCA reasonable certainty that no harm will electronic version of EPA’s tolerance section 408(d)(3), 21 U.S.C. 346a(d)(3), result from aggregate exposure to the regulations at 40 CFR part 180 through announcing the filing of a pesticide pesticide chemical residue, including the Government Publishing Office’s e- petition (PP 8F8685) by FMC all anticipated dietary exposures and all CFR site at http://www.ecfr.gov/cgi-bin/ Corporation, 2929 Walnut Street, other exposures for which there is text-idx?&c=ecfr&tpl=/ecfrbrowse/ Philadelphia, PA 19104. The petition reliable information.’’ This includes Title40/40tab_02.tpl. requested that 40 CFR part 180 be exposure through drinking water and in amended by establishing tolerances for residential settings, but does not include C. How can I file an objection or hearing residues of the fungicide, fluindapyr, 3- request? occupational exposure. Section (difluoromethyl)-N-(7-fluoro-2,3- 408(b)(2)(C) of FFDCA requires EPA to Under FFDCA section 408(g), 21 dihydro-1,1,3-trimethyl-1H-inden-4-yl)- give special consideration to exposure U.S.C. 346a, any person may file an 1-methyl-1H-pyrazole-4-carboxamide, in of infants and children to the pesticide objection to any aspect of this regulation or on almond, hulls at 15 parts per chemical residue in establishing a and may also request a hearing on those million (ppm); aspirated grain fractions tolerance and to ‘‘ensure that there is a objections. You must file your objection at 60 ppm; cattle, fat at 0.15 ppm; cattle, reasonable certainty that no harm will or request a hearing on this regulation meat byproducts at 0.6 ppm; field corn, result to infants and children from in accordance with the instructions grain at 0.01 ppm; field corn, oil at 0.03 aggregate exposure to the pesticide provided in 40 CFR part 178. To ensure ppm; fruit, small vine-climbing except chemical residue. . . .’’ proper receipt by EPA, you must fuzzy kiwifruit, crop subgroup 13–07F Consistent with FFDCA section identify docket ID number EPA–HQ– at 3 ppm; grain, cereal, crop group 15, 408(b)(2)(D), and the factors specified in OPP–2018–0551 in the subject line on except rice and corn at 0.9 ppm; grain, FFDCA section 408(b)(2)(D), EPA has the first page of your submission. All cereal, forage, crop group 16, except reviewed the available scientific data objections and requests for a hearing rice, forage at 15 ppm; grain, cereal, hay, and other relevant information in must be in writing and must be received crop group 16 except rice, hay at 8 ppm; support of this action. EPA has by the Hearing Clerk on or before May grain, cereal, stover, crop group 16 sufficient data to assess the hazards of 10, 2021. Addresses for mail and hand except rice, stover, and sweet corn and to make a determination on delivery of objections and hearing stover at 4 ppm; grain, cereal, straw, aggregate exposure for fluindapyr requests are provided in 40 CFR crop group 16, except rice, straw at 20 including exposure resulting from the 178.25(b). ppm; poultry, meat byproducts at 0.03 tolerances established by this action. In addition to filing an objection or ppm; soybean, forage at 15 ppm; EPA’s assessment of exposures and risks hearing request with the Hearing Clerk soybean, hay at 30 ppm; soybean, hulls associated with fluindapyr follows. as described in 40 CFR part 178, please at 0.6 ppm; soybean, seed at 0.2 ppm; submit a copy of the filing (excluding sweet corn, K+CWHR at 0.01 ppm; A. Toxicological Profile any Confidential Business Information sweet corn, stover at 20 ppm; swine, EPA has evaluated the available (CBI)) for inclusion in the public docket. meat byproducts at 0.02 ppm; and tree toxicity data and considered its validity, Information not marked confidential nuts, crop group 14–12 at 0.04 ppm. completeness, and reliability as well as pursuant to 40 CFR part 2 may be That document referenced a summary of the relationship of the results of the disclosed publicly by EPA without prior the petition prepared by FMC studies to human risk. EPA has also notice. Submit the non-CBI copy of your Corporation, the registrant, which is considered available information objection or hearing request, identified available in the docket, http:// concerning the variability of the by docket ID number EPA–HQ–OPP– www.regulations.gov. One comment was sensitivities of major identifiable
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subgroups of consumers, including mutagenicity battery was negative. C. Exposure Assessment infants and children. Fluindapyr is classified as ‘‘Not Likely 1. Dietary exposure from food and The target organs of fluindapyr are the to be Carcinogenic to Humans’’. feed uses. In evaluating dietary liver and thyroid. Liver effects include Specific information on the studies exposure to fluindapyr, EPA considered hepatocellular hypertrophy, increased received and the nature of the adverse exposure under the petitioned-for liver weights, and bile duct hyperplasia tolerances. EPA assessed dietary with correlated increases in alkaline effects caused by fluindapyr as well as exposures from fluindapyr in food as phosphatase (ALP), alanine the no-observed-adverse-effect-level (NOAEL) and the lowest-observed- follows: aminotransferase (ALT), and gamma i. Acute exposure. Quantitative acute glutamyl transferase (GGT) at the adverse-effect-level (LOAEL) from the dietary exposure and risk assessments highest dose tested. Liver effects toxicity studies can be found at http:// are performed for a food-use pesticide, progress with time in treated dogs, www.regulations.gov in document if a toxicological study has indicated the while similar effects are not seen in rats ‘‘Fluindapyr: Human Health Risk possibility of an effect of concern and mice at high dose levels. Liver Assessment for Section 3 Registration occurring as a result of a 1-day or single effects are seen in the mouse and Tolerance Requests for a New exposure. Such effects were identified carcinogenicity study at a higher dose Active Ingredient Proposed for Use on for fluindapyr. In estimating acute level than the liver effects observed in Cereal Grains Crop Group 15 except dietary exposure, EPA used 2003–2008 dogs; the effects consisted of increased Rice; Forage, Fodder and Straw of food consumption information from the incidence of hepatocellular alterations Cereal Grains Crop Group 16; and (basophilic, eosinophilic, vacuolated), Soybean’’ (hereinafter ‘‘Fluindapyr United States Department of Agriculture necrosis, and pigmented macrophages. Human Health Risk Assessment’’) on (USDA) Nationwide Health and Nutrition Examination Survey, What We Thyroid effects include increased pages 14–20 in docket ID number EPA– Eat in America (NHANES/WWEIA). As instances of follicular hypertrophy/ HQ–OPP–2018–0551. hyperplasia. to residue levels in food, the acute In the acute neurotoxicity study, B. Toxicological Points of Departure/ analysis assumed 100% crop treated potential evidence of neurotoxicity in Levels of Concern (PCT) for all commodities, highest the form of decreases in total and average field trial (HAFT) residue Once a pesticide’s toxicological ambulatory motor activities and in values, empirical and default processing profile is determined, EPA identifies rearing were seen in the rat. However, factors, and anticipated livestock no additional functional observation toxicological points of departure (POD) residues based on calculated livestock (FOB) parameters were affected, and no and levels of concern to use in dietary burden and tissue transfer rates neuropathological findings of both evaluating the risk posed by human from the livestock feeding studies. central and peripheral nerves were exposure to the pesticide. For hazards ii. Chronic exposure. In conducting observed. that have a threshold below which there the chronic dietary exposure assessment There is no evidence of increased is no appreciable risk, the toxicological EPA used 2003–2008 food consumption quantitative or qualitative susceptibility POD is used as the basis for derivation data from the USDA’s NHANES/ in the developmental toxicity studies in of reference values for risk assessment. WWEIA. As to residue levels in food, rabbits or rats; or the reproductive PODs are developed based on a careful chronic analysis assumed 100 PCT for toxicity study in rats. With in-utero analysis of the doses in each all commodities, field trial mean residue exposure in the developmental toxicity toxicological study to determine the values, empirical and default processing studies, fluindapyr did not produce any dose at which no adverse effects are factors, and anticipated livestock adverse effects in either rat or rabbit observed (the NOAEL) and the lowest residues based on calculated livestock parental animals or fetuses at or dose at which adverse effects of concern dietary burden and tissue transfer rates approaching the limit dose. In the are identified (the LOAEL). Uncertainty/ from the livestock feeding studies and reproduction study, in parental animals safety factors are used in conjunction metabolite ratios from the metabolism (P and F1 males and females), with the POD to calculate a safe studies. fluindapyr induced an increase in exposure level—generally referred to as iii. Cancer. Based on the data thyroid follicular hypertrophy/ a population-adjusted dose (PAD) or a summarized in Unit III.A., EPA has hyperplasia. It also induced adverse reference dose (RfD)—and a safe margin concluded that fluindapyr does not pose effects on a host of reproductive of exposure (MOE). For non-threshold a cancer risk to humans. Therefore, a parameters. It also produced adverse risks, the Agency assumes that any dietary exposure assessment for the offspring effects as indicated by amount of exposure will lead to some purpose of assessing cancer risk is decreases in F1 and F2 pup body degree of risk. Thus, the Agency unnecessary. weights in both sexes; thymus and estimates risk in terms of the probability iv. Anticipated residue. Section spleen weights were also decreased. The of an occurrence of the adverse effect 408(b)(2)(E) of FFDCA authorizes EPA to use available data and information on parental, reproductive, and offspring expected in a lifetime. For more the anticipated residue levels of effects all occurred at the same dose information on the general principles pesticide residues in food and the actual levels. The increased incidence of EPA uses in risk characterization and a levels of pesticide residues that have thyroid follicular hypertrophy/ complete description of the risk been measured in food. If EPA relies on hyperplasia raised concerns for the assessment process, see http:// potential of thyroid effects on the such information, EPA must require www2.epa.gov/pesticide-science-and- developing animals. EPA applied a 10X pursuant to FFDCA section 408(f)(1) assessing-pesticide-risks/assessing- safety factor to the appropriate exposure that data be provided 5 years after the human-health-risk-pesticide. scenarios to account for the tolerance is established, modified, or uncertainties associated with the life A summary of the toxicological left in effect, demonstrating that the stage susceptibility. endpoints for fluindapyr used for levels in food are not above the levels In the chronic toxicity/carcinogenicity human risk assessment can be found in anticipated. For the present action, EPA studies in rats and mice, there was no the Fluindapyr Human Health Risk will issue such data call-ins as are evidence of carcinogenicity. The Assessment. required by FFDCA section 408(b)(2)(E)
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and authorized under FFDCA section substances that have a common exposure scenarios that rely on the 408(f)(1). Data will be required to be mechanism of toxicity.’’ reproductive study in which such submitted no later than 5 years from the Unlike other pesticides for which EPA effects were seen. For purposes of this date of issuance of these tolerances. has followed a cumulative risk approach safety assessment, those scenarios are EPA did not use information on the based on a common mechanism of the post-application short-term dermal percent of food actually treated in the toxicity, EPA has not made a common exposures and the short-term aggregate dietary assessment for fluindapyr; 100 mechanism of toxicity finding as to risk assessment. For the acute and PCT was assumed for all food fluindapyr and any other substances chronic dietary assessments, EPA has commodities. and fluindapyr does not appear to determined that reliable data show the 2. Dietary exposure from drinking produce a toxic metabolite produced by safety of infants and children would be water. The Agency used screening level other substances. For the purposes of adequately protected if the FQPA SF water exposure models in the dietary this action, therefore, EPA has not were reduced to 1X. That decision is exposure analysis and risk assessment assumed that fluindapyr has a common based on the following findings: for fluindapyr in drinking water. These mechanism of toxicity with other i. The toxicity database for fluindapyr simulation models take into account substances. is complete. Fluindapyr caused an data on the physical, chemical, and fate/ increased in the thyroid follicular D. Safety Factor for Infants and transport characteristics of fluindapyr. hypertrophy/hyperplasia in the 2- Children Further information regarding EPA generation reproduction study. The drinking water models used in pesticide 1. In general. Section 408(b)(2)(C) of results of these findings raised concerns exposure assessment can be found at FFDCA provides that EPA shall apply about the potential impact to the http://www2.epa.gov/pesticide-science- an additional tenfold (10X) margin of developing brain in response to and-assessing-pesticide-risks/about- safety for infants and children in the changing thyroid levels brought on by water-exposure-models-used-pesticide. case of threshold effects to account for thyroid effect in the parents. A database Using the Pesticide Water Calculator prenatal and postnatal toxicity and the uncertainty factor of 10X is placed on (PWC, version 1.52), the estimated completeness of the database on toxicity fluindapyr to address this concern. drinking water concentrations (EDWCs) and exposure unless EPA determines ii. In the acute neurotoxicity study of fluindapyr were determined to be based on reliable data that a different (ACN), decreases in total and higher in groundwater than in surface margin of safety will be safe for infants ambulatory motor activities and in water for both acute and chronic and children. This additional margin of rearing were seen and could be exposure durations. The following safety is commonly referred to as the considered as potential evidence for groundwater EDWCs were used directly FQPA Safety Factor (SF). In applying neurotoxicity. However, concern with in the dietary exposure model to this provision, EPA either retains the fluindapyr is low because (1) no other account for the contribution of default value of 10X, or uses a different effects were observed in database fluindapyr and relevant transformation additional safety factor when reliable including in the subchronic products (3–OH–F9990 and 1–COOH– data available to EPA support the choice neurotoxicity study (SCN); (2) no F9990) residues in drinking water as of a different factor. neurohistopathology was found in the follows: 254.1 ppb was used in the acute 2. Prenatal and postnatal sensitivity. ACN, SCN or any toxicity study in the assessment and 217.8 ppb was used in In the developmental toxicity studies fluindapyr database; and (3) the toxicity the chronic assessment. (rat and rabbit), fluindapyr did not endpoints and PoD selected for risk 3. From non-dietary exposure. The produce any adverse effects in parental assessment are protective of the effects term ‘‘residential exposure’’ is used in animals or fetuses at or approaching the seen in the ACN. this document to refer to non- limit dose (1,000 mg/kg/day). In the iii. There is no evidence that occupational, non-dietary exposure reproduction study, in parental animals fluindapyr results in increased (e.g., for lawn and garden pest control, (P and F1 males and females), quantitative or qualitative susceptibility indoor pest control, termiticides, and fluindapyr induced an increase in in the developmental toxicity studies in flea and tick control on pets). thyroid follicular hypertrophy/ rabbits or rats or the reproductive Fluindapyr is currently registered for hyperplasia. It also induced adverse toxicity study in rats. In the 2- the following use that could result in effects on a host of reproductive generation reproduction study in rats, residential exposures: Golf course turf. parameters. There is no evidence of reproductive effects were observed, and The currently registered use on golf increased quantitative or qualitative offspring toxicity (decreased pup courses will result in short-term (1 to 30 susceptibility in the developmental weights in F1 and F2 generation; days) residential post-application toxicity studies in rabbits or rats or the thymus and spleen weights were dermal exposures to adult, youth 11 to reproductive toxicity study in rats. In decreased) was observed in the presence less than 16 years old, and children 6 the 2-generation reproduction study in (same dosage) of parental toxicity. Based to less than 11 years old. Further rats, reproductive effects were observed, on the effects in the 2-generation information regarding EPA standard and offspring toxicity (decreased pup reproduction study, there is some assumptions and generic inputs for weights in F1 and F2 generation; uncertainty about the potential thyroid- residential exposures may be found at thymus and spleen weights were related effects on the developing fetus or http://www.epa.gov/pesticides/trac/ decreased) was observed in the presence child. While EPA is retaining the 10X science/trac6a05.pdf. (same dosage) of parental toxicity FQPA SF for short-term aggregate risk 4. Cumulative effects from substances (increase in thyroid follicular assessment, there is no concern for this with a common mechanism of toxicity. hypertrophy/hyperplasia and uncertainty for the acute dietary Section 408(b)(2)(D)(v) of FFDCA reproductive effects). exposure assessment because requires that, when considering whether 3. Conclusion. Due to the perturbation of thyroid after a single to establish, modify, or revoke a uncertainties concerning the potential dose is not anticipated to impact the tolerance, the Agency consider life stage susceptibility related to developing fetus or offspring. Nor is ‘‘available information’’ concerning the adverse thyroid effects seen in parental there a concern for this uncertainty in cumulative effects of a particular animals of the reproductive study, EPA the chronic dietary assessment because pesticide’s residues and ‘‘other is retaining the FQPA 10X SF for the chronic dietary endpoint, based on
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effects in dogs, is protective of potential exposure level). Short-term and The method may be requested from: thyroid-related effects observed in intermediate-term endpoints and Chief, Analytical Chemistry Branch, developing rats or offspring. residential exposure estimates are Environmental Science Center, 701 iv. There are no residual uncertainties identical, and so short-term aggregate Mapes Rd., Ft. Meade, MD 20755–5350; identified in the exposure databases. exposure is considered protective of telephone number: (410) 305–2905; The dietary risk assessments are based intermediate-term aggregate exposures. email address: residuemethods@ on high-end assumptions such as 100 The three population subgroups epa.gov. PCT assumptions, HAFT and field trial assessed for residential post-application B. International Residue Limits mean residue values, empirical and exposures are: Adults, youth 11 to <16 default processing factors, anticipated years old, and children 6 to <11 years In making its tolerance decisions, EPA livestock residues based on calculated old. Of the three population subgroups, seeks to harmonize U.S. tolerances with livestock dietary burden and tissue the children 6 to <11 years old represent international standards whenever transfer rates from the livestock feeding the highest dermal exposure from post- possible, consistent with U.S. food studies and modeled, high-end application exposures and the highest safety standards and agricultural estimates of residues in drinking water. background dietary exposure. Therefore, practices. EPA considers the All of the exposure estimates are based this population subgroup is considered international maximum residue limits on high-end assumptions and are not protective of the other two population (MRLs) established by the Codex likely to underestimate risk. EPA made subgroups. Alimentarius Commission (Codex), as conservative (protective) assumptions in For adults, intermediate-term required by FFDCA section 408(b)(4). the ground and surface water modeling exposure is not expected for the The Codex Alimentarius is a joint used to assess exposure to fluindapyr in residential exposure pathway. United Nations Food and Agriculture drinking water. EPA used similarly Therefore, the intermediate-term Organization/World Health conservative assumptions to assess aggregate risk would be equivalent to Organization food standards program, postapplication exposure of children. the chronic dietary exposure estimate. and it is recognized as an international These assessments will not For children, all intermediate-term food safety standards-setting underestimate the exposure and risks aggregate risks are equivalent to short- organization in trade agreements to posed by fluindapyr. term aggregate risks. which the United States is a party. EPA Using the exposure assumptions may establish a tolerance that is E. Aggregate Risks and Determination of different from a Codex MRL; however, Safety described in this unit for short-term and intermediate-term exposures, EPA has FFDCA section 408(b)(4) requires that EPA determines whether acute and concluded the combined short- and EPA explain the reasons for departing chronic dietary pesticide exposures are intermediate term food, water, and from the Codex level. safe by comparing aggregate exposure residential exposures result in aggregate The Codex has not established an estimates to the acute PAD (aPAD) and MOEs of 720 for youth (6 to <11 yrs. MRL for fluindapyr. chronic PAD (cPAD). For linear cancer old) with dermal exposure from post- C. Response to Comments risks, EPA calculates the lifetime application exposure to residue from probability of acquiring cancer given the One comment was received in treated golf course. Because EPA’s level estimated aggregate exposure. Short-, response to the notice of filing that of concern for fluindapyr is a MOE of intermediate-, and chronic-term risks argued against the use fluindapyr on 100 or below, these MOEs are not of are evaluated by comparing the several commodities and the overall concern. estimated aggregate food, water, and toxicity of pesticides. In addition, the 4. Aggregate cancer risk for U.S. commenter raised three additional residential exposure to the appropriate population. Based on the lack of PODs to ensure that an adequate MOE concerns: The lack of tests involving the evidence of carcinogenicity in two combination of fluindapyr and other exists. adequate rodent carcinogenicity studies, 1. Acute risk. Using the exposure chemicals; fluindapyr a potential fluindapyr is not expected to pose a assumptions discussed in this unit for cancer-causing agent; and fluindapyr is cancer risk to humans. acute exposure, the acute dietary a fluoride compound. Although the 5. Determination of safety. Based on exposure from food and water to Agency recognizes that some these risk assessments, EPA concludes fluindapyr will occupy 8.9% of the individuals believe that pesticides that there is a reasonable certainty that aPAD for all infants (<1 year old), the should be banned on agricultural crops, no harm will result to the general population group receiving the greatest the existing legal framework provided population, or to infants and children exposure. by section 408 of the Federal Food, 2. Chronic risk. Using the exposure from aggregate exposure to fluindapyr Drug, and Cosmetic Act (FFDCA) assumptions described in this unit for residues. authorized EPA to establish tolerances chronic exposure, EPA has concluded IV. Other Considerations when it determines that the tolerance is that chronic exposure to fluindapyr safe. Upon consideration of the validity, from food and water will utilize 33% of A. Analytical Enforcement Methodology completeness, and reliability of the the cPAD for infants <1 year old, the The petitioner has proposed a liquid available data as well as other factors population group receiving the greatest chromatography with tandem mass the FFDCA requires EPA to consider, exposure. Based on the explanation in spectrometer (LC/MS/MS) for EPA has determined that these Unit III.C.3., regarding residential use determination of fluindapyr and fluindapyr tolerances are safe. The patterns, chronic residential exposure to metabolites 3–OH–F9990, F9990–DM- commenter has provided no information residues of fluindapyr is not expected. glucoside, 1–OH-Me-F9990, 1–OH-Me- supporting a contrary conclusion. 3. Short-term and intermediate-term DM–F9990, and 1–COOH–F9990 in In its assessment of safety under the risk. Short-term and intermediate-term plant commodities. For livestock FFDCA, EPA considers combinations of aggregate exposure takes into account commodities, adequate enforcement pesticides by evaluating the cumulative short-term residential exposure plus methodology using LC/MS/MS is effects of pesticides that have a common chronic exposure to food and water available for determination of residues mechanism of toxicity. At this time, (considered to be a background of fluindapyr and its metabolites. EPA has not identified a common
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mechanism of toxicity between to cereal grain crop group 15 and 16 use, October 4, 1993). Because this action fluindapyr and other pesticides and and based on updated maximum has been exempted from review under thus there are no combinations of reasonably balanced diet (MRBD) Executive Order 12866, this action is pesticides to consider at this time. calculations for livestock, the Agency not subject to Executive Order 13211, EPA has evaluated available data has determined that finite residues will entitled ‘‘Actions Concerning concerning carcinogenicity and be incurred in poultry (egg, fat, meat, Regulations That Significantly Affect determined that fluindapyr is not likely and meat byproducts), ruminants (fat, Energy Supply, Distribution, or Use’’ (66 to be carcinogenic to humans. This milk, meat, and meat byproducts), hog FR 28355, May 22, 2001) or Executive conclusion is based on a lack of (fat, meat, and meat byproducts), and Order 13045, entitled ‘‘Protection of treatment-related tumors seen in male or horse (fat, meat, and meat byproducts); Children from Environmental Health female rats or mice and no concern for therefore, under 40 CFR 180.6, EPA is Risks and Safety Risks’’ (62 FR 19885, mutagenicity. The commenter has establishing tolerances for those April 23, 1997). This action does not provided no additional information commodities. contain any information collections about potential carcinogenicity. subject to OMB approval under the V. Conclusion Fluindapyr contains a difluoromethyl Paperwork Reduction Act (PRA) (44 group and a fluorine-substituted phenyl Therefore, tolerances are established U.S.C. 3501 et seq.), nor does it require group. The difluoromethyl group for residues of fluindapyr, 3- any special considerations under remains intact on the compounds (difluoromethyl)-N-(7-fluoro-2,3- Executive Order 12898, entitled identified in crop (primary and dihydro-1,1,3-trimethyl-1H-inden-4-yl)- ‘‘Federal Actions to Address rotational), livestock, and 1-methyl-1H-pyrazole-4-carboxamide, in Environmental Justice in Minority environmental fate studies, including or on almond, hulls at 15 ppm ; corn, Populations and Low-Income the compounds identified as the field, grain at 0.01 ppm; corn, sweet, Populations’’ (59 FR 7629, February 16, residues of concern for tolerance kernel plus cob with husks removed at 1994). enforcement and risk assessment 0.01 ppm; corn, sweet, stover at 20 ppm; Since tolerances and exemptions that purposes for crop and livestock grain, aspirated fractions at 20 ppm; are established on the basis of a petition commodities. While the metabolism grain, cereal, forage, fodder, and straw, under FFDCA section 408(d), such as studies show the phenyl group does group 16 forage, except rice at 15 ppm; the tolerance in this final rule, do not degrade, it is extremely unlikely for the grain, cereal, forage, fodder, and straw, require the issuance of a proposed rule, fluorine to form a free fluorine because group 16, hay, except rice at 8 ppm; the requirements of the Regulatory the stability of the bond between the grain, cereal, forage, fodder, and straw, Flexibility Act (RFA) (5 U.S.C. 601 et fluorine and carbon atom. Therefore, group 16, stover, except rice at 4 ppm; seq.), do not apply. applications of fluindapyr are not grain, cereal, forage, fodder, and straw, This action directly regulates growers, expected to result in dietary exposure to group 16, straw, except rice at 20 ppm; food processors, food handlers, and food fluoride. grain, cereal, group 15, except rice and retailers, not States or Tribes, nor does corn at 0.8 ppm; nut, tree, group 14–12 this action alter the relationships or D. Revisions to Petitioned-For at 0.04 ppm; egg at 0.01 ppm; milk at distribution of power and Tolerances 0.01 ppm; cattle, fat at 0.03 ppm; cattle, responsibilities established by Congress Based on EPA’s review of the data meat at 0.01; goat, fat at 0.03 ppm; goat, in the preemption provisions of FFDCA supporting the petition, EPA is meat at 0.01 ppm; hog, fat at 0.01 ppm; section 408(n)(4). As such, the Agency establishing tolerances that vary from hog, meat at 0.01 ppm; horse, fat at 0.03 has determined that this action will not what the petitioner requested under its ppm; horse, meat at 0.01 ppm; poultry, have a substantial direct effect on States authority in FFDCA section fat at 0.01 ppm; poultry, meat at 0.01 or Tribal Governments, on the 408(d)(4)(A)(i). Some commodity terms ppm; sheep, fat at 0.03 ppm; and sheep, relationship between the National are altered to be consistent with Agency meat at 0.01 ppm. In addition, Government and the States or Tribal nomenclature. EPA is not establishing tolerances are established for residues of Governments, or on the distribution of tolerances for corn oil since EPA fluindapyr, 3-(difluoromethyl)-N-(7- power and responsibilities among the determined that residues on this fluoro-1,1,3-trimethyl-2,3-dihydro-1H- various levels of government or between commodity will be adequately covered inden-4-yl)-1-methyl-1H-pyrazole-4- the Federal Government and Indian under corn, field, grain due to the lack carboxamide, and 3-(difluoromethyl)-N- Tribes. Thus, the Agency has of concentration during processing. EPA (7-fluoro-1-hydroxymethyl-1,3- determined that Executive Order 13132, is also not establishing tolerances for dimethyl-2,3-dihydro-lH-inden-4-yl)-1- entitled ‘‘Federalism’’ (64 FR 43255, fruit, small vine-climbing except fuzzy methyl-lH-pyrazole-4-carboxamide, in August 10, 1999) and Executive Order kiwifruit, crop subgroup 13–07F and the or on cattle, meat byproducts at 0.3 13175, entitled ‘‘Consultation and soybean commodities as initially ppm; goat, meat byproducts at 0.3 ppm; Coordination with Indian Tribal requested since they are not necessary at horse, meat byproducts at 0.3 ppm; hog, Governments’’ (65 FR 67249, November this time, due to the withdrawal of the meat byproducts at 0.01 ppm; poultry, 9, 2000) do not apply to this action. In proposed uses by the petitioner. meat byproducts at 0.01 ppm; and addition, this action does not impose EPA is establishing tolerance levels sheep, meat byproducts at 0.3 ppm. any enforceable duty or contain any lower than what the petitioner unfunded mandate as described under requested for grain, aspirated fractions; VI. Statutory and Executive Order Title II of the Unfunded Mandates grain, cereal, group 15, except rice and Reviews Reform Act (UMRA) (2 U.S.C. 1501 et corn from 0.9 ppm; and cattle, fat based This action establishes tolerances seq.). on the submitted field trial data for under FFDCA section 408(d) in This action does not involve any those commodities using the OEDC response to a petition submitted to the technical standards that would require MRL (Maximum Residue Limit) Agency. The Office of Management and Agency consideration of voluntary calculator. Budget (OMB) has exempted these types consensus standards pursuant to section Because of potential increase of of actions from review under Executive 12(d) of the National Technology fluindapyr (including metabolites and Order 12866, entitled ‘‘Regulatory Transfer and Advancement Act degradates) in livestock diet, largely due Planning and Review’’ (58 FR 51735, (NTTAA) (15 U.S.C. 272 note).
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VII. Congressional Review Act TABLE 1 TO PARAGRAPH (a)(1)— SUMMARY: We, the U.S. Fish and Pursuant to the Congressional Review Continued Wildlife Service (Service), determine Act (5 U.S.C. 801 et seq.), EPA will endangered species status under the Parts per Endangered Species Act of 1973 (Act), submit a report containing this rule and Commodity million other required information to the U.S. as amended, for the Missouri distinct Senate, the U.S. House of Grain, cereal group 15, except rice and population segment (DPS) of eastern Representatives, and the Comptroller corn ...... 0.8 hellbender (Cryptobranchus Hog, fat ...... 0.01 alleganiensis alleganiensis), a General of the United States prior to Hog, meat ...... 0.01 publication of the rule in the Federal Horse, fat ...... 0.03 salamander species. This rule adds this Register. This action is not a ‘‘major Horse, meat ...... 0.01 DPS of this species to the Federal List rule’’ as defined by 5 U.S.C. 804(2). Milk ...... 0.01 of Endangered and Threatened Wildlife. Nut, tree, group 14–12 ...... 0.04 DATES: This rule is effective April 8, List of Subjects in 40 CFR Part 180 Poultry, fat ...... 0.01 Poultry, meat ...... 0.01 2021. Environmental protection, Sheep, fat ...... 0.03 ADDRESSES: This final rule is available Administrative practice and procedure, Sheep, meat ...... 0.01 on the internet at http:// Agricultural commodities, Pesticides www.regulations.gov in Docket No. (2) Tolerances are established for and pests, Reporting and recordkeeping FWS–R3–ES–2018–0056 and https:// residues of the fungicide fluindapyr, requirements. www.fws.gov/midwest/endangered/ including its metabolites and amphibians/eastern_hellbender/. Edward Messina, degradates, in or on the commodities in Comments and materials we received, as Acting Director, Office of Pesticide Programs. Table 2 of this section. Compliance with well as supporting documentation we the tolerance levels specified in Table 2 Therefore, 40 CFR chapter I is used in preparing this rule, are available is to be determined by measuring the amended as follows: for public inspection at http:// sum of fluindapyr, 3-(difluoromethyl)- www.regulations.gov. Comments, PART 180—TOLERANCES AND N-(7-fluoro-1,1,3-trimethyl-2,3-dihydro- materials, and documentation that we EXEMPTIONS FOR PESTICIDE 1H-inden-4-yl)-1-methyl-1H-pyrazole-4- considered in this rulemaking will be CHEMICAL RESIDUES IN FOOD carboxamide, and 3-(difluoromethyl)-N- available by appointment, during (7-fluoro-1-hydroxymethyl-1,3- normal business hours, at: U.S. Fish and ■ 1. The authority citation for part 180 dimethyl-2,3-dihydro-lH-inden-4-yl)-1- continues to read as follows: Wildlife Service, Columbia, Missouri methyl-lH-pyrazole-4-carboxamide, Ecological Services Field Office, 101 Authority: 21 U.S.C. 321(q), 346a and 371. calculated as the stoichiometric Park DeVille Drive, Suite A, Columbia, equivalent of fluindapyr, in or on the ■ 2. Add § 180.716 to subpart C to read MO 65203–0057; telephone 573–234– commodity. as follows: 2132. § 180.716 Fluindapyr; tolerances for TABLE 2 TO PARAGRAPH (a)(2) FOR FURTHER INFORMATION CONTACT: residues. Karen Herrington, Field Supervisor, Parts per Missouri Ecological Services Field (a) General. (1) Tolerances are Commodity million established for residues of the fungicide Office, 101 Park DeVille Drive, Suite A, fluindapyr, including its metabolites Cattle, meat byproducts ...... 0.3 Columbia, MO 65203; telephone 573– Goat, meat byproducts ...... 0.3 234–2132. Persons who use a and degradates, in or on the Horse, meat byproducts ...... 0.3 commodities in Table 1 of this section. telecommunications device for the deaf Hog, meat byproducts ...... 0.01 (TDD) may call the Federal Relay Compliance with the tolerance levels Poultry, meat byproducts ...... 0.01 specified in Table 1 is to be determined Sheep, meat byproducts ...... 0.3 Service at 800–877–8339. by measuring only fluindapyr, 3- SUPPLEMENTARY INFORMATION: (b)–(d) [Reserved] (difluoromethyl)-N-(7-fluoro-1,1,3- Previous Federal Actions trimethyl-2,3-dihydro-1H-inden-4-yl)-1- [FR Doc. 2021–04786 Filed 3–8–21; 8:45 am] On April 4, 2019, we published a methyl-1H-pyrazole-4-carboxamide, in BILLING CODE 6560–50–P proposed rule (84 FR 13223) to add the or on the commodity. Missouri DPS of the eastern hellbender as an endangered species to the List of TABLE 1 TO PARAGRAPH (a)(1) DEPARTMENT OF THE INTERIOR Endangered and Threatened Wildlife in part 17 of title 50 of the Code of Federal Commodity Parts per Fish and Wildlife Service million Regulations (at 50 CFR 17.11(h)). We concurrently published a not warranted Almond, hulls ...... 15 50 CFR Part 17 Cattle, fat ...... 0.03 finding on the listing of the eastern Cattle, meat ...... 0.01 [Docket No. FWS–R3–ES–2018–0056; hellbender subspecies as a whole. See Corn, field, grain ...... 0.01 FF09E21000 FXES11110900000 212] the proposed listing rule for the Corn, sweet, kernel plus cob with husks Missouri DPS of the eastern hellbender removed ...... 0.01 RIN 1018–BD26 Corn, sweet, stover ...... 20 for more information regarding the Egg ...... 0.01 Endangered and Threatened Wildlife previous Federal actions on the Goat, fat ...... 0.03 hellbender species and related Goat, meat ...... 0.01 and Plants; Endangered Species Grain, aspirated fractions ...... 20 Status for the Missouri Distinct subspecies. Grain, cereal, forage, fodder, and straw, Population Segment of Eastern Background group 16, forage, except rice ...... 15 Hellbender Grain, cereal, forage, fodder, and straw, The Missouri DPS of the eastern group 16, hay, except rice ...... 8 AGENCY hellbender lies completely within the Grain, cereal, forage, fodder, and straw, : Fish and Wildlife Service, group 16, stover, except rice ...... 4 Interior. boundaries of the State of Missouri with Grain, cereal forage, fodder, and straw, ACTION: Final rule. eastern hellbenders known to occur in group 16, straw, except rice ...... 20 Big River, Big Piney River, Courtois
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Creek, Gasconade River, Huzzah Creek, and Courtois Creek, drains directly into proposed rule (84 FR 13223) for a Meramec River, Niangua River, and the Mississippi River; whereas all of the summary of species background Osage Fork of the Gasconade River other watersheds in the Missouri DPS information available to the Service at (figure 1). The Meramec River drain directly into the Missouri River. the time that it was published. watershed, which includes the Big River Please refer to our April 4, 2019,
Regulatory and Analytical Framework (A) The present or threatened known to or are reasonably likely to destruction, modification, or negatively affect individuals of a Regulatory Framework curtailment of its habitat or range; species. The term ‘‘threat’’ includes Section 4 of the Act (16 U.S.C. 1533) (B) Overutilization for commercial, actions or conditions that have a direct and its implementing regulations (50 recreational, scientific, or educational impact on individuals, as well as those purposes; that affect individuals through alteration CFR part 424) set forth the procedures (C) Disease or predation; for determining whether a species is an of their habitat or required resources. (D) The inadequacy of existing The term ‘‘threat’’ may encompass— ‘‘endangered species’’ or a ‘‘threatened regulatory mechanisms; or species.’’ The Act defines an either together or separately—the source (E) Other natural or manmade factors of the action or condition or the action endangered species as a species that is affecting its continued existence. or condition itself. ‘‘in danger of extinction throughout all These factors represent broad or a significant portion of its range,’’ and categories of natural or human-caused However, the mere identification of a threatened species as a species that is actions or conditions that could have an any threat(s) does not necessarily mean ‘‘likely to become an endangered effect on a species’ continued existence. that the species meets the statutory species within the foreseeable future In evaluating these actions and definition of an ‘‘endangered species’’ or throughout all or a significant portion of conditions, we look for those that may a ‘‘threatened species.’’ In determining its range.’’ The Act requires that we have a negative effect on individuals of whether a species meets either definition, we must evaluate all determine whether any species is an the species, as well as other actions or identified threats by considering the ‘‘endangered species’’ or a ‘‘threatened conditions that may ameliorate any negative effects or may have positive expected response by the species, and species’’ because of any of the following effects. the effects of the threats—in light of factors: We use the term ‘‘threat’’ to refer in those actions and conditions that will general to actions or conditions that are ameliorate the threats—on an
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individual, population, and species species’ response to those threats that conditions. Using these principles, we level. We evaluate each threat and its follows, we include a discussion of, identified the species’ ecological expected effects on the species, then where possible, either a qualitative or requirements for survival and analyze the cumulative effect of all of quantitative assessment of the timing of reproduction at the individual, the threats on the species as a whole. the threats and species’ responses to population, and species levels, and We also consider the cumulative effect those threats. described the beneficial and risk factors influencing the species’ viability. of the threats in light of those actions Analytical Framework and conditions that will have positive The SSA process can be categorized effects on the species—such as any The Eastern Hellbender into three sequential stages. During the existing regulatory mechanisms or (Cryptobranchus alleganiensis first stage, we evaluated individual conservation efforts. The Secretary alleganiensis) Species Status species’ life-history needs. The next determines whether the species meets Assessment Report (SSA report) stage involved an assessment of the documents the results of our the definition of an ‘‘endangered historical and current condition of the comprehensive biological status review species’’ or a ‘‘threatened species’’ only species’ demographics and habitat for the eastern hellbender subspecies as after conducting this cumulative characteristics, including an a whole, including an assessment of the analysis and describing the expected explanation of how the species arrived potential stressors to the species (U.S. effect on the species now and in the at its current condition. The final stage Fish and Wildlife Service 2018, entire). foreseeable future. of the SSA involved making predictions The SSA report does not represent a about the species’ responses to positive Our proposed rule described decision by the Service on whether the and negative environmental and ‘‘foreseeable future’’ as the extent to subspecies (or the DPS) warrants listing anthropogenic influences. This process which we can reasonably rely on as an endangered or threatened species used the best available information to predictions about the future in making under the Act. It does, however, provide characterize viability as the ability of a determinations about the future the scientific basis that informs our conservation status of the species. The regulatory decisions, which involve the species to sustain populations in the Service since codified its understanding further application of standards within wild over time. We use this information of foreseeable future in 50 CFR the Act and its implementing to inform our regulatory decision. 424.11(d) (84 FR 45020). In those regulations and policies. The following Summary of Biological Status and regulations, we explain the term is a summary of the key results and Threats ‘‘foreseeable future’’ extends only so far conclusions from the SSA report, into the future as the Service can specifically related to the Missouri DPS We identified four geographical units reasonably determine that both the of the eastern hellbender; the full SSA (referred to in the SSA report as future threats and the species’ responses report can be found at Docket No. FWS– adaptive capacity units (ACUs)), based to those threats are likely. The Service R3–ES–2018–0056 on http:// on Hime et al.’s (2016, entire) will describe the foreseeable future on a www.regulations.gov and at https:// evaluation of genetic markers, to case-by-case basis, using the best www.fws.gov/midwest/endangered/ delineate variation in genetic and available data and taking into account amphibians/eastern_hellbender. ecological traits within the eastern considerations such as the species’ life- To assess eastern hellbender viability, hellbender’s historical range (i.e., history characteristics, threat-projection we used the three conservation biology evolutionary lineages; figure 2). The timeframes, and environmental principles of resiliency, redundancy, units are: (1) Missouri River drainage variability. The Service need not and representation (Shaffer and Stein (MACU), (2) Ohio River-Susquehanna identify the foreseeable future in terms 2000, pp. 306–310). Briefly, resiliency River drainages (OACU), (3) Tennessee of a specific period of time. These supports the ability of the species to River drainage (TACU), and (4) regulations did not significantly modify withstand environmental and Kanawha River drainage (KACU). the Service’s interpretation; rather they demographic stochasticity (for example, Through the DPS analysis described in codified a framework that sets forth how wet or dry, warm or cold years), the proposed rule (84 FR 13223, April the Service will determine what redundancy supports the ability of the 4, 2019), the Service determined that the constitutes the foreseeable future. species to withstand catastrophic events MACU adaptive capacity unit was a Accordingly, although these regulations (for example, droughts, large pollution distinct population segment and that the do not apply to the final rule for the events), and representation supports the DPS met the definition of endangered. Missouri DPS of the eastern hellbender ability of the species to adapt over time Any reference to the MACU in the SSA because it was proposed prior to their to long-term changes in the environment can be understood to mean the Missouri effective date, they do not change the (for example, climate changes). In DPS of eastern hellbender. The term Service’s assessment of foreseeable general, the more resilient and MACU is used throughout this future for the Missouri DPS of the redundant a species is and the more document (and the SSA report) but eastern hellbender as contained in our representation it has, the more likely it references the same geographic areas as proposed rule and in this final rule. In is to sustain populations over time, even the Missouri DPS of the eastern the discussion of threats and the under changing environmental hellbender.
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The Missouri DPS of eastern is an important positive influence, but chapter 5 of the SSA report (Service hellbender (or MACU) historically had even with introductions ongoing, all 2018, pp. 34–56). five populations. One of the populations extant populations have a declining Influences on the Missouri DPS of is considered functionally extirpated trend in abundance. Though Eastern Hellbender (i.e., the number of individuals redundancy has declined with the remaining is so low that the population functional extirpation of eastern In consultation with species’ experts, is no longer considered to be viable; hellbenders in one stream of the DPS, we identified the past and current while the four other populations are we have concluded that DPS-wide negative and beneficial factors that have declining and not in healthy condition. extirpation is unlikely due to a led to the eastern hellbender’s current As noted in our DPS analysis in the catastrophic chemical pollution event condition and which may influence proposed rule, eastern hellbenders (Service 2018, p. 37). One of the largest population dynamics into the future. occupy small home ranges, and the freshwater oil spills in the nation Factors having a negative impact on populations within the Missouri DPS (863,268 gallons of crude oil) occurred eastern hellbender individuals are are disjoined from other populations of within the range of the Missouri DPS of referred to as risk factors (also as threats eastern hellbender by such a large eastern hellbender in 1988. The DPS or stressors), while factors having a geographic distance (200 river miles) persisted after the spill, but resiliency beneficial effect are referred to as conservation factors. We referred to risk that there is no feasible way other and redundancy have both declined populations could act as a source for and conservation factors collectively as since the spill. We have also concluded any populations within this DPS (84 FR ‘‘influences.’’ A brief summary of the that the Missouri DPS of eastern 13232, April 4, 2019). The Missouri most influential factors is presented hellbender likely has lower viability and DPS’s current condition is most strongly below; for a full description of these influenced by sedimentation, poor water greater vulnerability to current and factors, refer to chapter 5 of the SSA quality, disease, habitat disturbance, potential future stressors, compared to report (Service 2018, pp. 26–48). other segments of the species’ range. We small population size, and direct Sedimentation mortality. Additionally, collection and summarize the major influences to the sale of eastern hellbenders continues to Missouri DPS of eastern hellbender Sedimentation was identified as the be a threat to the species. Augmentation viability below; for more detail see factor most impacting the status of the
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Missouri DPS of eastern hellbender. Disease 13, 2016, the Service published in the Sedimentation is the addition of fine Disease (specifically, Bd) was Federal Register (81 FR 1534) an soil particles (e.g., sands, silts, clays) to estimated to be strongly contributing to interim rule to list 20 amphibian genera streams. These sediments bury shelter the current condition of the Missouri known to carry Bsal as injurious under and nest rocks (Blais 1996, p. 11; Lipps DPS of the eastern hellbender and was the Lacey Act to limit importation into 2009, p. 10; Hopkins and DuRant 2011, ranked fourth in threats currently the United States. Despite this p. 112), suffocate eggs (Nickerson and affecting eastern hellbenders by species protection, it is possible that an Mays 1973, pp. 55–56), alter habitat for experts (Service 2018, p. 36). Diseases unknown carrier or illegal import could crayfish (the primary food source of can act as stressors and have the introduce this pathogen into eastern adult eastern hellbenders) (Santucci et potential to cause catastrophic loss of hellbender populations. The Missouri al. 2005, pp. 986–987; Kaunert 2011, p. hellbender populations. Emerging DPS of the eastern hellbender has a low 23), and degrade habitat for larval and infectious diseases (EID), especially to moderate risk of Bsal introduction based on proximity to areas with a high juvenile hellbenders, as well as habitat fungal EIDs in wildlife (discussed for macroinvertebrates, which are an volume of amphibian trade (Richgels et below), are on the rise (Fisher et al. important food source for larval al. 2016, p. 5); unregulated trade of 2012, p. 188). Salamanders are hellbenders (Cobb and Flannagan 1990, amphibians occurs in the range of the especially susceptible given the high pp. 35–37; Nickerson et al. 2003, p. DPS and releases of infected amphibians magnitude of legal and illegal trade in 624). Because sedimentation affects all could lead to the introduction of Bsal to herpetofauna. The importation of life stages of the eastern hellbender, this area. wildlife is a known pathway for impairs or prevents successful transmission of pathogens. Habitat Disturbance reproduction, and is pervasive Batrachochytrium dendrobatidis (Bd) throughout the subspecies’ range, it has Anthropogenic disturbance in the is a fungal pathogen responsible for specifically been implicated as a cause form of rock-moving by people causing chytridiomycosis, a highly of eastern hellbender declines and as a recreating on rivers is a stressor on infectious amphibian disease associated continuing threat throughout much of eastern hellbenders and can cause with mass die-offs, population declines the Missouri DPS range. mortality. Large shelter rocks are and extirpations, and potentially species removed to reduce obstructions to Water Quality Degradation extinctions on multiple continents recreational canoeing or tubing. Degraded water quality was estimated (Berger et al. 1998, pp. 9031–9036; Additionally, collection of boulders, as having the second highest impact on Bosch et al. 2001, pp. 331–337; Lips et rocks, and cobble for landscaping has the Missouri DPS’s status because it can al. 2006, pp. 3165–3166). The range of been suspected in some areas in cause direct mortality of eastern occurrence within eastern hellbenders Missouri (Briggler et al. 2007, p. 62). hellbenders and, at sublethal levels, can in the Missouri DPS ranges among the Because large rocks serve as shelter and alter physiological processes and rivers from 3–8 percent (Briggler 2019, nesting habitat for adults, and smaller increase vulnerability to other threats pers. comm), and Bodinof et al. (2011, rocks and cobble provide larval and (Maitland 1995, p. 260). Major sources p. 3) found the earliest detection in juvenile habitat, moving rocks of any of aquatic pollutants include domestic Missouri occurred in 1975. Although size has the potential to lead to wastes, agricultural runoff, coal mining the exact impact of Bd remains unclear, mortality of some life stage. For activities, road construction, and species experts believe that even mild example, Unger et al. (2017, entire) unpermitted industrial discharges. chronic Bd infections may negatively documented a deceased adult eastern There are a few documented cases of impact eastern hellbenders and may hellbender under a recently constructed eastern hellbender kills (Williams, increase susceptibility of eastern rock stack and a deceased larval eastern Chapman, and Floyd 2017, pers. comm.; hellbenders to other infections. While hellbender under freshly moved cobble Feller and Thompson 2011, entire) and Bd currently does not appear to be at the base of a small, artificial dam. many examples of fish and mussel kills causing large-scale mortality events in Both structures were presumed to have from chemical pollution within the populations of eastern hellbenders in been constructed by recreational visitors eastern hellbender range (USFWS 2013, the Missouri DPS, other stressors, such to the small, heavily used stream (Unger pp. 59279–59284; Henley et al. 2002, as environmental contaminants or rising et al. 2017, entire). entire). However, there is no water temperatures, can weaken information available to estimate how animals’ immune systems, leading to Small Populations, Population frequently chemical pollution events outbreaks of clinical disease, and cause Fragmentation, and Isolation occur or the likelihood of this causing mortality events in the future (Briggler Populations of the Missouri DPS of catastrophic decline in the Missouri et al. 2007, p. 18; Regester et al. 2012, eastern hellbender are small and DPS. Several databases track reported p. 19). isolated from one another by chemical spill events, 303(d) listed Batrachochytrium salamandrivorans impoundments and large reaches of streams, and chemical pollution; (Bsal) is a fungal pathogen that invaded unsuitable habitat. This isolation however, the effects of chemicals on Europe from Asia around 2010 and has restricts movement among populations eastern hellbender remain largely caused mass die-offs of fire salamanders and precludes natural recolonization unknown (Burgmeier et al. 2011b, p. (Salamandra salamandra) in northern from other populations (Dodd 1997, 836; Pugh et al. 2015, pp. 105–6). While Europe (Martel et al. 2014, p. 631; p. 178; Benstead et al. 1999, pp. 662– it is unlikely that a single chemical spill Fisher 2017, pp. 300–301). Given 664; Poff and Hart 2002, p. 660). could cause catastrophic loss of the extensive unregulated trade and the entire DPS, such loss is possible if discovery of Bsal in Europe in 2010, the Increased Abundance of Species of multiple spills occur in the Missouri introduction of this novel pathogen Predators DPS of eastern hellbender. For further could cause extirpations of naı¨ve Some native predators of the eastern discussion about water quality salamander populations in North hellbender, such as raccoons, have degradation see Risk and Conservation America (Yap et al. 2017, entire) were increased in abundance due to Factors of the SSA report (Service 2018, Bsal to be introduced here. Given the anthropogenic influences, while others pp. 34–56). high risk of Bsal invasion, on January have recently been reintroduced into
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hellbender streams within the range of adult survival rates, which compensates reproduce, or the survival rates of any the Missouri DPS (e.g., river otters) for correspondingly low rates of resulting offspring. (Briggler et al. 2007, p. 17). Nonnative recruitment into the adult populations In addition, artificial nest boxes have predators are also present within a large (Miller 1976, p. 2). In eastern hellbender been successfully used for reproduction portion of the Missouri DPS of eastern populations with low densities and by hellbenders in Missouri (Briggler hellbender’s range and include little evidence of recent recruitment into 2016, p. 1). However, the survival of predatory fish stocked for recreation, the adult population, the removal of any fertilized eggs and larvae from these such as rainbow trout (Oncorhynchus individuals from a population may be nest boxes is unknown. Because nest mykiss) and brown trout (Salmo trutta) deleterious (Pfingsten 1988, p. 16). boxes may present a curiosity to stream (Mayasich et al. 2003, p. 20). Species Because many populations within the recreationists, hellbenders occupying experts presume nonnative trout species Missouri DPS of eastern hellbender are the nests are susceptible to disturbance, directly impact eastern hellbenders by already stressed by habitat degradation, persecution, and collection if the nest predating on eggs, larvae, and subadults compensation for high adult mortality boxes are not properly camouflaged. (Briggler et al. 2007, p. 23). through high recruitment of juveniles is Lastly, the eastern hellbender even less likely. Although the (including the Missouri DPS) is listed Direct Mortality or Permanent Removal magnitude of the threat of removing on Appendix III of the Convention on of Animals individuals from the wild is not known International Trade in Endangered Large numbers of eastern hellbenders with certainty, its occurrence is Species of Wild Fauna and Flora have historically been removed from commonly noted by field researchers, (CITES). CITES is an international some streams within the Missouri DPS suggesting that it is a relatively common agreement among governments with the for scientific and educational purposes occurrence in some portions of the purpose of ensuring that international (Peterson 1985, p. 59; Ingersol 1991, pp. subspecies’ range. Furthermore, as the trade in wild animals and plants does 61, 63). Though there is no number of populations decline and not threaten their survival. Appendix III documentation of collection of eastern become concentrated on public lands, includes native species that at least one hellbenders within the Missouri DPS for locations and animals might be easier to Party country (i.e., a country that is part the pet trade, we presume that find (discussed below in the of CITES) has identified as requiring individuals were also collected for this Conservation Efforts section and the regulation to prevent or restrict purpose based on documentation of the SSA report; Service 2018, p. 56). exploitation. Under Appendix III, that large number of Ozark hellbenders Party country requests the help of other illegally collected for the pet trade Synergistic Effects Parties to monitor and control the trade (Nickerson and Briggler 2007, entire) In some instances, effects from one of that species. and the proximity of the Missouri DPS threat may increase effects of another Summary to Ozark hellbenders. These removals threat, resulting in what is referred to as likely contributed to the population synergistic effects. Synergistic effects In summary, stressors are pervasive declines seen in some streams. The often include an increased susceptibility across the range of the Missouri DPS of current rate of permanent removal of to predation (Moore and Townsend the eastern hellbender. The primary eastern hellbenders is likely 1998, pp. 332–333), disease (Kiesecker stressors affecting the Missouri DPS of significantly lower than it has been and Blaustein 1995, pp. 11050–11051; eastern hellbender include historically. However, collection and Taylor et al. 1999, pp. 539–540), or sedimentation, water quality sale of eastern hellbenders continues to parasites (Kiesecker 2002, pp. 9902– degradation, disease, habitat be a threat, with internet advertisements 9903; Gendron et al. 2003, pp. 472–473). disturbance, small population size, and as recent as 2010 soliciting purchase of In addition, chronic, increased levels of direct mortality. Although augmentation wholesale lots of eastern hellbenders stress hormones have been shown to has the potential to influence the status (Briggler 2010, pers. comm.). Killing of inhibit immune response (Rollins-Smith of the DPS, little data exist as to whether eastern hellbenders by some anglers and and Blair 1993, pp. 156–159; Romero successful sustained reproduction and the removal of individuals for personal and Butler 2007, pp. 93–94). Other recruitment can be achieved and use and the pet trade also continues in stressors present in the eastern whether augmentation is logistically some areas (Briggler et al. 2007, pp. 18, hellbender’s environment (e.g., habitat possible throughout the range. With 59). Even though many eastern modification, degraded water quality) regard to redundancy, there is high hellbenders targeted by scientists and could reduce immune response and vulnerability for DPS-wide extirpation nature enthusiasts are returned to the thereby increase vulnerability to disease due to the low number (four) and stream, the act of searching for eastern and parasites. reduced distribution of populations. hellbenders can result in increased egg Populations of the Missouri DPS and larval mortality. Eastern Conservation Efforts eastern hellbender have declined as hellbenders are typically captured by Beneficial efforts, primarily of much as 77 percent over a twenty-year lifting large shelter rocks and catching population augmentation, were also period in the Big Piney River, individuals by hand. Many researchers ranked by species’ experts as an Gasconade River and Niangua River have speculated that rock lifting to important influence on the Missouri (Wheeler et al. 2003, p. 155). The threats collect eastern hellbenders results in DPS’s status. Captive-rearing increases described above have already resulted adverse impacts to all life stages, the survival rate of young by raising in the functional extirpation of one of especially when done during the them in captivity to 2 to 4 years of age five populations of the eastern breeding season (Williams et al. 1981b, (Briggler 2019, pers. comm.). Once hellbender in Missouri and the p. 26; Lindberg and Soule 1991, p. 8; reared, young are released into the wild declining condition of the remaining Williams 2012, pers. comm.). to augment existing populations or four populations. Of the four remaining As a long-lived species, removing reintroduced into areas where the populations, none are currently healthy, adult eastern hellbenders from stream species has been extirpated. However, contributing to their low resiliency. The populations may be particularly we currently have no data on whether lack of healthy populations, the limited detrimental, as stable populations of released individuals have successfully spatial extent of the Missouri DPS and long-lived species typically have high reproduced or can successfully the likely functional loss of
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population(s) in the event of a included familiarity with the eastern influence on eastern hellbender catastrophic event greatly reduce the hellbender and its habitat, biological population health in Missouri because DPS’s resiliency and redundancy (the needs, and threats. We received various measures have been ability of a species to withstand normal responses from two peer reviewers. implemented to restrict the disclosure of environmental variation, periodic We updated the SSA report based on specific locations of occupied sites. If disturbances, stressors, and catastrophes the peer reviewer’s comments. The the exact location of occupied sites were currently and into the future). Based on changes consisted of clarifications and publically available, we expect the threats currently affecting the Missouri corrections to the SSA report, including threat of illegal collection would be DPS, we expect all populations to typographical edits, and incorporation much higher. Collection, as a threat, is continue to decline in health (Service of omitted references. discussed further above in the Summary 2018, Chapter 6). Additionally, under Public Comments of Biological Status and Threats section two out of three future scenarios, we and the SSA report (Service 2018, pp. expect an additional population to We received eight public comments 48–50) become extirpated within 10 years on the proposed rule and more than five (3) Comment: The commenters stated (Service 2018, Chapter 6). thousand form letters expressing that designating critical habitat would Population resiliency is low due to support for the listing of the eastern not increase the risk of unlawful eastern the unhealthy condition of the four hellbender under the Act. One of the hellbender collection because eastern remaining populations of the Missouri comments received during the public hellbender locations are already widely DPS of eastern hellbender. The comment period did not address or available on the internet via articles functional loss of a population has provide any information concerning the published in scientific journals. These decreased the overall redundancy of the Missouri DPS of the eastern hellbender. articles and other sources identify DPS and the limited geographic extent The remaining commenters did not waterways where eastern hellbenders (5 streams closely located to one provide substantive comments or new live and include maps, verbal another) of the DPS leads to low overall information concerning the proposed descriptions, and capture techniques. redundancy as well. listing of the Missouri DPS of the Our Response: Though the streams in The eastern hellbender SSA report eastern hellbender. We note the SSA which eastern hellbenders occur are (Service 2018, entire) contains a more report, a list of literature referenced, the readily available to the public, the detailed discussion of our evaluation of public comments and the peer reviewer identification of these streams does not the biological status of the eastern reports, all of which helped inform this provide sufficient detail to facilitate hellbender in Missouri and the listing decision, are available to the illegal collection. Disclosure of the exact influences that may affect its continued public on http://www.regulations.gov location of occupied sites within these existence. Our conclusions are based under Docket No. FWS–R3–ES–2018– rivers, however, would facilitate illegal upon the best available scientific and 0056. collection. Therefore, disclosure of this commercial data, including the expert (1) Comment: A commenter suggested information to the public is limited. The opinion of the species’ experts (fishery that, when making a final exact location of some sites has been biologists, aquatic ecologists, and determination, the Service should published in scientific journals, but geneticists from State and Federal consider all feedback it receives at the these sites constitute only a small agencies and academic institutions) and 2019 Hellbender Symposium, a biennial proportion of the total number of sites the SSA team members. Please see the gathering of researchers and species occupied by eastern hellbenders, and proposed listing rule and its supporting experts from across the country. species experts now recommend that materials for a complete list of the Our Response: We received no new exact locations no longer be published species experts and peer reviewers and information at the symposium due to the threat of illegal collection. their affiliations (84 FR 13231, April 4, pertaining to the Missouri DPS of the The designation of critical habitat 2019; Docket No. FWS–R3–ES–2018– eastern hellbender. would result in publishing of site- 0056). Two public commenters expressed specific information and maps in the opposition to the Service’s proposed Federal Register. The Service is already Summary of Comments and determination not to designate critical aware of instances in which the Recommendations habitat for the eastern hellbender. These publication of locality information for In the April 4, 2019, proposed rule comments were generally centered on Ozark hellbender (Cryptobranchus (84 FR 13223), we requested that all five main topics and are addressed alleganiensis bishopi) occupied sites interested parties submit written individually below. resulted in the removal of almost all comments on the proposal by June 3, (2) Comment: The commenters opined individuals from the location. Thus, we 2019. We also contacted appropriate that information in the SSA report have concluded that publishing location Federal and State agencies, scientific demonstrates that collection pressure is information for eastern hellbender experts and organizations, and other among the least influential of the would further facilitate illegal collection interested parties and invited them to primary factors impacting population and result in similar consequences. comment on the proposal. We did not health in Missouri; whereas (4) Comment: The commenters stated receive any requests for a public sedimentation and water quality that designating critical habitat would hearing. impairment are the two strongest and not increase the risk of unlawful eastern together make up 32 percent of the hellbender collection because the Peer Reviewer Comments relative influence of all factors on Service can designate critical habitat In accordance with our peer review population status. This information without revealing exact locations of policy published on July 1, 1994 (59 FR suggests that concerns about Federal eastern hellbenders. 34270), and our August 22, 2016, activities that may degrade habitat and Our Response: When designating memorandum updating and clarifying water quality dramatically outweigh critical habitat, the Service must the role of peer review actions under the concerns about collection pressure. determine the physical or biological Act (16 U.S.C. 1531 et seq.), we solicited Our Response: The commenters stated features that are essential to the expert opinion from five knowledgeable that collection pressure was not ranked conservation of the species and which individuals with scientific expertise that as a factor currently having a high may require special management
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considerations or protection. Essential nexus requiring consultation, critical a species that is ‘‘likely to become an physical and biological features are the habitat has value because it educates endangered species within the features that occur in specific areas and landowners, State and local foreseeable future throughout all or a that are essential to support the life- governments, and the public about the significant portion of its range.’’ The Act history needs of the species. conservation value of an area. requires that we determine whether a Appropriate cover rocks or other Our Response: The benefits provided species meets the definition of crevices are necessary features to fulfill by the designation of critical habitat can ‘‘endangered species’’ or ‘‘threatened the life-cycle needs of the eastern duplicate those already provided to the species’’ because of any of the following hellbender because they provide species without the designation of factors: (A) The present or threatened protection and nesting habitat. Stream critical habitat by the ‘‘jeopardy destruction, modification, or reaches with suitable habitat for the standard,’’ especially in the cases of curtailment of its habitat or range; (B) eastern hellbender are not continuous, species with smaller ranges. The Service Overutilization for commercial, and areas with suitable habitat are often recognizes that, in some instances, recreational, scientific, or educational separated by miles (kilometers) of designation of critical habitat could purposes; (C) Disease or predation; (D) unsuitable habitat (data from mark- provide some benefits to the Missouri The inadequacy of existing regulatory recapture studies indicate that DPS of the eastern hellbender. However, mechanisms; or (E) Other natural or hellbenders rarely move between sites). these benefits do not outweigh the manmade factors affecting its continued Therefore, by mapping the critical increased illegal collection that is likely existence. For a more detailed habitat and describing the physical and to occur if critical habitat maps are discussion on the factors considered biological features essential to the published and the specific locations of when determining whether a species conservation of the species, the Service currently occupied sites are disclosed. meets the definition of ‘‘endangered would disclose the specific location of species’’ or ‘‘threatened species’’ and occupied sites and subject the Missouri Comments From States our analysis on how we determine the DPS of eastern hellbenders to collection. We received a comment letter from foreseeable future in making these (5) Comment: The commenters stated the State of Missouri Department of decisions, please see the Regulatory that designating critical habitat would Conservation that supported our Framework section above. provide significant benefits to the decision to seek Federal listing of the Status Throughout All of Its Range eastern hellbender because the Act Missouri DPS of the eastern hellbender. imposes an additional consultation The State also expressed agreement with After evaluating threats to the species requirement where an action will result our finding that the designation of and assessing the cumulative effect of in the ‘‘destruction or adverse critical habitat was not prudent. They the threats under the section 4(a)(1) modification’’ of critical habitat. did not provide further substantive factors, we have carefully assessed the Our Response: In consultations for information during the comment period best scientific and commercial species with critical habitat, Federal that would influence a change in the information available regarding the past, agencies are required to ensure that Service’s decision from the proposed present, and future threats to the their activities do not destroy or rule. Missouri DPS of the eastern hellbender. adversely modify critical habitat. Our analysis of this information However, once a species is listed under Summary of Changes From the indicates that the most important risk the Act, the provisions prohibiting take Proposed Rule factors affecting the eastern hellbender’s come into effect where the species is As discussed above, we made no current and future status and trends in present. In most cases, ‘‘take’’ refers to changes to this final rule after Missouri are habitat destruction and a direct effect on an individual of the consideration of the comments we modification from sedimentation and species. ‘‘Take’’ may also apply to received. water quality degradation (Factor A), actions that result in modification of the disease and pathogens (Factor C), and habitat of the species where such Distinct Population Segment (DPS) habitat disturbance (Factor A), and these modification may be considered to Analysis factors are the primary causes of the constitute ‘‘harm’’ to the listed species. Please see our proposed listing rule decrease in the population health These prohibitions are completely for the Missouri DPS of the eastern within the Missouri DPS of eastern independent of the designation of hellbender published on April 4, 2019, hellbender now and into the future. The critical habitat. That is, the prohibition for the full description of our DPS unauthorized collection of eastern against take of the listed species applies analysis (84 FR 13223). We did not hellbenders, especially for the pet trade regardless of whether critical habitat is receive substantive additional (Factor B), remains a concern. Other designated. Although eastern information during the open comment factors, such as an overabundance of hellbenders are considered functionally period regarding whether or not the predators (Factor C) or population extirpated in one population within the Missouri DPS of eastern hellbender is a isolation (Factor E), are also affecting Missouri DPS, species experts believe valid distinct population segment. the Missouri DPS of eastern hellbenders that a small number of individuals may but to a lesser degree. Although still be present. Thus, there are no areas Determination of Missouri DPS of conservation efforts, such as population within the eastern hellbender range in Eastern Hellbender Status augmentation, artificial nest boxes, and the Missouri DPS that are considered Section 4 of the Act (16 U.S.C. 1533) listing under the Convention on unoccupied and for which section 7 and its implementing regulations (50 International Trade in Endangered consultation would not apply. CFR part 424) set forth the procedures Species of Fauna and Flora, are being (6) Comment: The commenters stated for determining whether a species meets implemented, it is unclear if they will that given the predicted future impacts the definition of ‘‘endangered species’’ improve population viability in the long to habitat throughout the MACU, the or ‘‘threatened species.’’ The Act defines term. benefits of critical habitat designation an ‘‘endangered species’’ as a species Populations of Missouri DPS eastern far outweigh any concerns about that is ‘‘in danger of extinction hellbender have declined as much as 77 additional collection pressure in the throughout all or a significant portion of percent over a twenty year period in the MACU. Even when there is no Federal its range,’’ and a ‘‘threatened species’’ as Big Piney River, Gasconade River and
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Niangua River (Wheeler et al. 2003, pg. Available Conservation Measures completed, the recovery outline, draft 155). The threats described above have Conservation measures provided to recovery plan, and the final recovery already resulted in the functional species listed as endangered or plan will be available on our website extirpation of one of five populations of threatened species under the Act (http://www.fws.gov/endangered), or the eastern hellbender in Missouri and include recognition, recovery actions, from our Missouri Ecological Services the declining condition of the remaining requirements for Federal protection, and Field Office (see FOR FURTHER four populations. The lack of healthy prohibitions against certain practices. INFORMATION CONTACT). Implementation of recovery actions populations, the limited spatial extent Recognition through listing results in generally needs the participation of a of the Missouri DPS and the likely loss public awareness, and conservation by broad range of partners, including other of population(s) in the event of a Federal, State, Tribal, and local Federal agencies, States, Tribes, catastrophic event greatly reduce the agencies; private organizations; and nongovernmental organizations, DPS’s resiliency and redundancy (the individuals. The Act encourages businesses, and private landowners. ability of eastern hellbenders to cooperation with the States and other withstand normal environmental Examples of recovery actions include countries, and calls for recovery actions variation, periodic disturbances, addressing factors contributing to to be carried out for listed species. The stressors, and catastrophes currently sedimentation (e.g., streambank protection required by Federal agencies and into the future). Based on threats stabilization, restoring riparian and the prohibitions against certain currently affecting the Missouri DPS, we corridors, excluding cattle from activities are discussed, in part, below. streams), research, captive propagation expect all populations to continue to The primary purpose of the Act is the and reintroduction, and outreach and decline in health (Service 2018, Chapter conservation of endangered and 6). Additionally, under two out of three education. The recovery of many listed threatened species and the ecosystems future scenarios, we expect an species cannot be accomplished solely upon which they depend. The ultimate additional population to become on Federal lands because their range goal of such conservation efforts is the extirpated within 10 years (Service may occur primarily or solely on non- recovery of these listed species, so that 2018, Chapter 6). Thus, after assessing Federal lands. To achieve recovery of they no longer need the protective the best available information, we these species requires cooperative measures of the Act. Subsection 4(f) of determine that the Missouri DPS of the conservation efforts on private, State, the Act calls for the Service to develop eastern hellbender is in danger of and Tribal lands. and implement recovery plans for the extinction throughout all of its range. Now that the Missouri DPS of the conservation of endangered and eastern hellbender listing is final, Status Throughout a Significant Portion threatened species. The recovery funding for recovery actions will be of Its Range planning process involves the available from a variety of sources, Under the Act and our implementing identification of actions that are including Federal budgets, State regulations, a species may warrant necessary to halt or reverse the species’ programs, and cost share grants for non- listing if it is in danger of extinction or decline by addressing the threats to its Federal landowners, the academic likely to become so in the foreseeable survival and recovery. The goal of this community, and nongovernmental future throughout all or a significant process is to restore listed species to a organizations. In addition, pursuant to portion of its range. We have point where they are secure, self- section 6 of the Act, the State of determined that the Missouri DPS of the sustaining, and functioning components Missouri will be eligible for Federal eastern hellbender is in danger of of their ecosystems. funds to implement management extinction throughout all of its range, Recovery planning consists of actions that promote the protection or and accordingly, did not undertake an preparing draft and final recovery plans, recovery of the Missouri DPS of the analysis of any significant portion of its beginning with the development of a eastern hellbender. Information on our range. Because we have determined that recovery outline and making it available grant programs that are available to aid the Missouri DPS of the eastern to the public within 30 days of a final species recovery can be found at: http:// hellbender warrants listing as listing determination. The recovery www.fws.gov/grants. endangered throughout all of its range, outline guides the immediate Please let us know if you are our determination is consistent with the implementation of urgent recovery interested in participating in recovery decision in Center for Biological actions and describes the process to be efforts for the Missouri DPS of the Diversity v. Everson, 2020 WL 437289 used to develop a recovery plan. eastern hellbender. Additionally, we (D.D.C. Jan. 28, 2020), in which the Revisions of the plan may be done to invite you to submit any new court vacated the aspect of the 2014 address continuing or new threats to the information on this species whenever it Significant Portion of its Range Policy species, as new substantive information becomes available and any information that provided the Services do not becomes available. The recovery plan you may have for recovery planning undertake an analysis of significant also identifies recovery criteria for purposes (see FOR FURTHER INFORMATION portions of a species’ range if the review of when a species may be ready CONTACT). species warrants listing as threatened for delisting, and methods for Section 7(a) of the Act requires throughout all of its range. monitoring recovery progress, which Federal agencies to evaluate their may include downlisting criteria when actions with respect to any species that Determination of Status appropriate. Recovery plans also is proposed or listed as an endangered Our review of the best available establish a framework for agencies to or threatened species and with respect scientific and commercial information coordinate their recovery efforts and to its critical habitat, if any is indicates that the Missouri DPS of the provide estimates of the cost of designated. Regulations implementing eastern hellbender meets the definition implementing recovery tasks. Recovery this interagency cooperation provision of an endangered species. Therefore, we teams (composed of species experts, of the Act are codified at 50 CFR part are listing the Missouri DPS of the Federal and State agencies, 402. Section 7(a)(4) of the Act requires eastern hellbender as an endangered nongovernmental organizations, and Federal agencies to confer with the species in accordance with sections 3(6) stakeholders) are often established to Service on any action that is likely to and 4(a)(1) of the Act. develop recovery plans. When jeopardize the continued existence of a
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proposed threatened or endangered the prohibitions, which are found in (3) Unauthorized destruction or species or result in destruction or sections 9 and 10 of the Act. alteration of the DPS’ habitat (for adverse modification of its proposed It is our policy, as published in the example, instream dredging, critical habitat. If a species is listed Federal Register on July 1, 1994 (59 FR channelizing, impounding of water, subsequently, section 7(a)(2) of the Act 34272), to identify to the maximum streambank clearing, removing large requires Federal agencies to ensure that extent practicable at the time a species rocks from or flipping large rocks within activities they authorize, fund, or carry is listed, those activities that would or streams, discharging fill material) that out are not likely to jeopardize the would not constitute a violation of actually kills or injures individual continued existence of the species or section 9 of the Act. The intent of this eastern hellbenders in Missouri by destroy or adversely modify its critical policy is to increase public awareness of significantly impairing their essential habitat. If a Federal action may affect a the effect of a final listing on proposed behavioral patterns, including breeding, listed species or its critical habitat, the and ongoing activities within the range feeding, or sheltering; responsible Federal agency must enter of a listed species. (4) Any discharge or water into consultation with the Service. Based on the best available withdrawal within the DPS’ occupied Federal agency actions within the information, the following actions are range that results in the death or injury range of the Missouri DPS of the eastern unlikely to result in a violation of of individual eastern hellbenders by hellbender habitat that may require section 9, if these activities are carried significantly impairing their essential consultation as described in the out in accordance with existing behavioral patterns, including breeding, preceding paragraph include, but are regulations and permit requirements; feeding, or sheltering; and not limited to, management and any this list is not comprehensive: (5) Discharge or dumping of toxic other landscape-altering activities, (1) Activities authorized, funded, or chemicals or other pollutants into particularly those affecting water quality carried out by Federal agencies, when waters supporting the DPS that actually or instream habitat, on Federal lands such activities are conducted in kills or injures individual eastern administered by the U.S. Forest Service accordance with an incidental take hellbenders by significantly impairing and Department of Defense; issuance of statement issued by us under section 7 their essential behavioral patterns, section 404 Clean Water Act (33 U.S.C. of the Act; including breeding, feeding, or 1251 et seq.) permits by the U.S. Army (2) Any action carried out for sheltering. Corps of Engineers; and construction scientific research or to enhance the Questions regarding whether specific and maintenance of roads or highways propagation or survival of the Missouri activities might constitute a violation of by the Federal Highway Administration. DPS of the eastern hellbender that is section 9 of the Act should be directed The Act and its implementing conducted in accordance with the to the Missouri Ecological Services regulations set forth a series of general conditions of a permit issued by the Field Office, 101 Park DeVille Drive, prohibitions and exceptions that apply Service under 50 CFR 17.22; and Suite A, Columbia, MO 65203; to endangered wildlife. The prohibitions (3) Any incidental take of Missouri telephone 573–234–2132. of section 9(a)(1) of the Act, codified at eastern hellbenders resulting from an Critical Habitat 50 CFR 17.21, make it illegal for any otherwise lawful activity conducted in person subject to the jurisdiction of the accordance with the conditions of an In our proposed listing rule for the United States to take (which includes incidental take permit issued by the Missouri DPS of the eastern hellbender harass, harm, pursue, hunt, shoot, Service under 50 CFR 17.22. Non- we found that designating critical wound, kill, trap, capture, or collect; or Federal applicants may design a habitat habitat was not prudent, in accordance to attempt any of these) endangered conservation plan (HCP) for the DPS with 50 CFR 424.12(a)(1), because the wildlife within the United States or on and apply for an incidental take permit. Missouri DPS faces a threat of the high seas. In addition, it is unlawful HCPs may be developed for listed unauthorized collection and trade, and to import; export; deliver, receive, carry, species and are designed to minimize designation can reasonably be expected transport, or ship in interstate or foreign and mitigate impacts to the species to to increase the degree of these threats to commerce in the course of commercial the maximum extent practicable. the DPS. Please refer to the proposed activity; or sell or offer for sale in We will review other activities not rule for the full prudency determination interstate or foreign commerce any identified above on a case-by-case basis analysis (84 FR 13223, April 4, 2019; listed species. It is also illegal to to determine whether they may be likely Docket No. FWS–R3–ES–2018–0056). possess, sell, deliver, carry, transport, or to result in a violation of section 9 of the On August 27, 2019, we published a ship any such wildlife that has been Act. We do not consider these lists to be final rule in the Federal Register (84 FR taken illegally. Certain exceptions apply exhaustive and provide them as 45020) to amend our regulations to employees of the Service, the information to the public. concerning the procedures and criteria National Marine Fisheries Service, other Based on the best available we use to designate and revise critical Federal land management agencies, and information, the following activities habitat. That rule became effective on State conservation agencies. may potentially result in a violation of September 26, 2019, but, as stated in We may issue permits to carry out section 9 of the Act; this list is not that rule, the amendments it sets forth otherwise prohibited activities comprehensive: apply to ‘‘rules for which a proposed involving endangered wildlife under (1) Unauthorized killing, collecting, rule was published after September 26, certain circumstances. Regulations handling, or harassing of individual 2019.’’ We published our proposed governing permits are codified at 50 eastern hellbenders at any life stage in critical habitat designation for the CFR 17.22. With regard to endangered Missouri; Missouri DPS of the eastern hellbender wildlife, a permit may be issued for the (2) Sale or offer for sale of any on April 4, 2019 (84 FR 13223); following purposes: For scientific Missouri eastern hellbender, as well as therefore, the amendments set forth in purposes, to enhance the propagation or delivering, receiving, carrying, the August 27, 2019, final rule at 84 FR survival of the species, and for transporting, or shipping any Missouri 45020 do not apply to this final incidental take in connection with eastern hellbender in interstate or determination regarding critical habitat otherwise lawful activities. There are foreign commerce and in the course of for the Missouri DPS of the eastern also certain statutory exemptions from a commercial activity; hellbender.
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The Service’s 2019 revisions to 50 Governments; 59 FR 22951), Executive Great Lakes Regional Office and the CFR 424.12 did not change the language Order 13175 (Consultation and Columbia, Missouri, Ecological Services that allows us to determine that critical Coordination With Indian Tribal Field Office. habitat may not be prudent if ‘‘the Governments), and the Department of List of Subjects in 50 CFR Part 17 species is threatened by taking or other the Interior’s manual at 512 DM 2, we human activity and identification of readily acknowledge our responsibility Endangered and threatened species, critical habitat can be expected to to communicate meaningfully with Exports, Imports, Reporting and increase the degree of such threat to the recognized Federal Tribes on a recordkeeping requirements, species.’’ The Service relied upon this government-to-government basis. In Transportation. language in making the prudency accordance with Secretarial Order 3206 determination for designation of critical of June 5, 1997 (American Indian Tribal Regulation Promulgation habitat for the Missouri DPS of eastern Rights, Federal-Tribal Trust Accordingly, we amend part 17, hellbender. Responsibilities, and the Endangered subchapter B of chapter I, title 50 of the Required Determinations Species Act), we readily acknowledge Code of Federal Regulations, as set forth our responsibilities to work directly below: National Environmental Policy Act with tribes in developing programs for We have determined that healthy ecosystems, to acknowledge that PART 17—ENDANGERED AND environmental assessments and tribal lands are not subject to the same THREATENED WILDLIFE AND PLANTS environmental impact statements, as controls as Federal public lands, to defined under the authority of the remain sensitive to Indian culture, and ■ 1. The authority citation for part 17 National Environmental Policy Act to make information available to tribes. continues to read as follows: We have no records of the Missouri DPS (NEPA; 42 U.S.C. 4321 et seq.), need not Authority: 16 U.S.C. 1361–1407; 1531– be prepared in connection with listing of the eastern hellbender occurring on 1544; and 4201–4245, unless otherwise a species as an endangered or tribal lands. noted. threatened species under the References Cited Endangered Species Act. We published ■ 2. Amend § 17.11(h) by adding an a notice outlining our reasons for this A complete list of references cited in entry for ‘‘Hellbender, eastern [Missouri determination in the Federal Register this final rule is available on the DPS]’’ to the List of Endangered and on October 25, 1983 (48 FR 49244). internet at http://www.regulations.gov Threatened Wildlife in alphabetical and upon request from the Missouri order under Amphibians to read as set Government-to-Government Ecological Services Field Office (see FOR forth below: Relationship With Tribes FURTHER INFORMATION CONTACT). In accordance with the President’s § 17.11 Endangered and threatened wildlife. memorandum of April 29, 1994 Authors (Government-to-Government Relations The primary authors of this final rule * * * * * with Native American Tribal are the staff members of the Service’s (h) * * *
Listing citations and Common name Scientific name Where listed Status applicable rules
******* AMPHIBIANS
******* Hellbender, eastern [Missouri DPS] ...... Cryptobranchus alleganiensis Missouri ...... E 86 FR [Insert Federal Register page alleganiensis. where the document begins]; 3/9/ 2021.
*******
Martha Williams, DEPARTMENT OF COMMERCE ACTION: Final rule. Principal Deputy Director Exercising the SUMMARY: Delegated Authority of the Director U.S. Fish National Oceanic and Atmospheric The Assistant Administrator and Wildlife Service. Administration for Fisheries, National Oceanic and Atmospheric Administration (NOAA), [FR Doc. 2021–04629 Filed 3–8–21; 8:45 am] 50 CFR Part 300 on behalf of the International Pacific BILLING CODE 4333–15–P Halibut Commission (IPHC), publishes [Docket No. 210303–0037] as regulations the 2021 annual management measures governing the Pacific halibut fishery that have been RIN 0648–BK30 recommended by the IPHC and accepted Pacific Halibut Fisheries; Catch by the Secretary of State. This action is Sharing Plan intended to enhance the conservation of Pacific halibut and further the goals and AGENCY: National Marine Fisheries objectives of the Pacific Fishery Service (NMFS), National Oceanic and Management Council (PFMC) and the Atmospheric Administration (NOAA), North Pacific Fishery Management Commerce. Council (NPFMC).
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DATES: The IPHC’s 2021 annual programs for three fisheries that harvest 85 FR 37024, June 19, 2020). The management measures took effect halibut in Alaska: the subsistence, sport, Secretary of State accepted the annual February 18, 2021. The 2021 and commercial fisheries. The PFMC management measures, including the management measures are effective has exercised this authority by following changes to sections of the until superseded. developing a catch sharing plan 2021 IPHC regulations: ADDRESSES: Additional requests for governing the allocation of halibut and 1. New commercial halibut fishery information regarding this action may management of sport fisheries on the opening and closing dates in Section 9; be obtained by contacting the U.S. West Coast. 2. Minor changes to Section 12 to International Pacific Halibut The IPHC apportions catch limits for ensure the regulatory text of that section Commission, 2320 W. Commodore Way, the Pacific halibut fishery among aligns with the fishing season dates Suite 300, Seattle, WA 98199–1287; or regulatory areas (Figure 1): Area 2A established in Section 9; Sustainable Fisheries Division, NMFS (Oregon, Washington, and California), 3. New halibut catch limits in all Alaska Region, P.O. Box 21668, Juneau, Area 2B (British Columbia), Area 2C regulatory areas. The catch limits are AK 99802; or Sustainable Fisheries (Southeast Alaska), Area 3A (Central presented in two tables in Section 5 that Division, NMFS West Coast Region, Gulf of Alaska), Area 3B (Western Gulf distinguish between limits resulting 1201 NE Lloyd Blvd., Suite 1100, of Alaska), and Area 4 (subdivided into from Commission decisions and those Portland, OR 97232. This final rule also 5 areas, 4A through 4E, in the Bering that are from catch limits that are the is accessible via the internet at the Sea and Aleutian Islands of Western responsibility of the respective United Federal eRulemaking portal at http:// Alaska). States and Canada governments; www.regulations.gov, identified by Subsistence and sport halibut fishery 4. New management measures for docket number NOAA–NMFS–2021– regulations for Alaska are codified at 50 Area 2C and Area 3A guided sport 0017. CFR part 300. Commercial halibut fisheries in Section 29; and fisheries off Alaska are subject to the 5. An addition to regulatory language FOR FURTHER INFORMATION CONTACT: For Individual Fishing Quota (IFQ) Program in Section 22 to clarify that authorized waters off Alaska, Kurt Iverson, 907– and Community Development Quota representatives of the IPHC may sample 586–7210; or, for waters off the U.S. (CDQ) Program (50 CFR part 679) halibut that are being unloaded and West Coast, Kathryn Blair, 503–231– regulations, and the area-specific catch weighed. 6858. sharing plans (CSPs) for Areas 2C, 3A, Pursuant to regulations at 50 CFR SUPPLEMENTARY INFORMATION: and Areas 4C, 4D, and 4E. 300.62, the 2021 IPHC annual The NPFMC implemented a CSP management measures are published in Background among commercial IFQ and CDQ the Federal Register to provide notice of The IPHC has recommended halibut fisheries in IPHC Regulatory their regulatory effectiveness and to regulations that would govern the Areas 4C, 4D, and 4E (Area 4, Western inform persons subject to the Pacific halibut fishery in 2021, pursuant Alaska) through rulemaking, and the regulations of their restrictions and to the Convention between Canada and Secretary of Commerce approved the requirements. Because NMFS publishes the United States for the Preservation of plan on March 20, 1996 (61 FR 11337). the regulations applicable to the entire the Halibut Fishery of the North Pacific The Area 4 CSP regulations were Convention area, these regulations Ocean and Bering Sea (Convention), codified at 50 CFR 300.65, and were include some provisions relating to and signed at Ottawa, Ontario, on March 2, amended on March 17, 1998 (63 FR affecting Canadian fishing and fisheries. 1953, as amended by a Protocol 13000). New annual regulations NMFS may implement more restrictive Amending the Convention (signed at pertaining to the Area 4 CSP also may regulations for the fishery for halibut or Washington, DC, on March 29, 1979). be implemented through IPHC action, components of it; therefore, anglers are As provided by the Northern Pacific subject to acceptance by the Secretary of advised to check the current Federal Halibut Act of 1982 (Halibut Act) at 16 State. and IPHC regulations prior to fishing. U.S.C. 773b, the Secretary of State, with The NPFMC recommended and the concurrence of the Secretary of NMFS implemented through Catch Limits Commerce, may accept or reject, on rulemaking a CSP for guided sport The IPHC recommended to the behalf of the United States, regulations (charter) and commercial IFQ halibut governments of Canada and the United recommended by the IPHC in fisheries in IPHC Regulatory Area 2C States fishery catch limits (FCEY) for accordance with the Convention and Area 3A on January 13, 2014 (78 FR 2021 totaling 30,340,000 lb (17,661.99 (Halibut Act, Sections 773–773k). The 75844, December 12, 2013). The Area 2C mt). Overall, this represents a 10.4 Secretary of State, with the concurrence and 3A CSP regulations are codified at percent increase over catch limits of the Secretary of Commerce, accepted 50 CFR 300.65. The CSP defines an implemented in 2020. The catch limits the 2021 IPHC regulations as provided annual process for allocating halibut in most regulatory areas increased, with by the Halibut Act. between the commercial and charter the exception of the combined Areas The Halibut Act provides the fisheries so that each sector’s allocation 4CDE, which decreased slightly relative Secretary of Commerce with the varies in proportion to halibut to the 2020 catch limits. A description authority and general responsibility to abundance, specifies a public process of the process the IPHC used to set these carry out the requirements of the for setting annual management catch limits follows. Convention and the Halibut Act. The measures, and authorizes limited annual In 2020, the IPHC conducted its Regional Fishery Management Councils leases of commercial IFQ for use in the annual stock assessment using a range may develop, and the Secretary of charter fishery as guided angler fish of updated data sources as described in Commerce may implement, regulations (GAF). detail in the IPHC overview of data governing harvesting privileges among The IPHC held its annual meeting sources for the Pacific halibut stock U.S. fishermen in U.S. waters that are in remotely by video conference on assessment, harvest policy, and related addition to, and not in conflict with, January 25 through 29, 2021, and analyses (IPHC–2021–AM097–06; approved IPHC regulations. The NPFMC recommended a number of changes to available at www.iphc.int). To evaluate has exercised this authority in the previous IPHC regulations (85 FR the Pacific halibut stock, the IPHC used developing halibut management 14586, March 13, 2020, and revisions at an ‘‘ensemble’’ of four equally weighted
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models, comprised of two long time- estimate reflects updated calculations distribution of halibut under 26 inches series models, and two short time-series recommended during stock assessment across the entire coastwide area. models incorporating data from 1996 to external review and review by the For 2021, the IPHC adopted a TCEY the present. Each time-series length Scientific Review Board, as well as totaling 39,000,000 lb (17,690.10 mt) used data series that are divided either developments in the IPHC Management coastwide. This corresponds to a fishing by four geographical regions or Strategy Evaluation. intensity of approximately F43 percent, aggregated into coastwide summaries. The IPHC’s current interim which is similar to the projected fishing These models incorporate data from the management procedure strives to intensity of approximately F42 percent 2020 IPHC Fishery Independent Setline maintain the total mortality of halibut used by the IPHC to establish the 2020 Survey (FISS), the 2020 commercial across its range from all sources based TCEY. The 2021 TCEY is 2,400,000 lb halibut fishery, the most recent NMFS on a reference level of fishing intensity (1,088.62 mt) greater than the TCEY trawl survey, sex-specific recreational so that the Spawning Potential Ratio adopted in 2020. age composition data from Area 3A, (SPR) is equal to 43 percent. The The IPHC noted this management weight-at-age and male/female sex ratio reference fishing intensity of F43 approach represents a relatively estimates by region in the directed percent SPR seeks to allow a level of conservative level of harvest that commercial fisheries and in the FISS, fishing intensity that is expected to considers the inherent uncertainties in commercial fishery logbook result in approximately 43 percent of the stock assessment models. The IPHC information, and age distribution the spawning stock biomass per recruit notes that under a broad range of catch information for bycatch, sport, and compared to an unfished stock (i.e., no limits, including highly restrictive catch sublegal discard removals. fishing mortality). Lower values indicate limits, the halibut stock is likely to As has been the case since 2012, the higher fishing intensity. The 2020 stock experience a continued decrease in results of the ensemble models are assessment and estimates of fishing spawning stock biomass given the best integrated and incorporate uncertainty intensity were enhanced by newly available scientific information. In in natural mortality rates, available data on the male/female sex making its recommendation, the IPHC environmental effects on recruitment, ratio for the 2019 commercial fishery considered likely stock status, and and other structural and parameter landings. Combined with similar data uncertainties in the status of the stock categories. The data and assessment collected from the 2017 and 2018 as well as the significant social and models used by the IPHC are reviewed commercial fisheries, the refined and economic impacts of catch limits among by the IPHC’s Scientific Review Board quantified information on the sex ratio areas. comprised of non-IPHC scientists who affected the treatment of the stock At a 39,000,000 lb TCEY, the IPHC provide an independent scientific assessment data for the directed estimates that the spawning stock review of the stock assessment data and commercial fishery in the stock biomass will likely decrease over the models and provide recommendations assessment models; it did not change period from 2022 to 2024 relative to to IPHC staff and to the Commissioners. the treatment or sex ratio estimates of The Scientific Review Board did not 2021. Specifically, the IPHC estimates mortalities associated with the identify any substantive errors in the there is a 65 percent probability that the recreational, subsistence, or non- data or methods used in the 2021 stock spawning stock biomass will decrease in directed halibut fisheries. Additional assessment. NMFS believes the IPHC’s 2022 relative to 2021, and that there is information on the status of the halibut data and assessments models constitute a 39 percent probability that the best available science on the status of resource under these catch limit decrease in 2022 will be at least 5 the Pacific halibut resource. alternatives is provided in the Analysis percent of the 2021 spawning stock The IPHC’s data, including the FISS, (see ADDRESSES). biomass. The factors that the IPHC indicate that the Pacific halibut stock The IPHC harvest decision table considered in making their TCEY declined continuously from the late (Table 3 in: Summary of the Data, Stock recommendations are described in the 1990s to around 2012, largely as a result Assessment, and Harvest Decision Table 2021 Annual Meeting Report (IPHC– _ of decreasing size at a given age (size- for the Pacific Halibut Stock at the End 2021–AM097 R) and the key at-age), higher harvest rates in early of 2020; IPHC–2021–AM097–08) recommendations are briefly 2000s, as well as somewhat weaker provides a comparison of the relative summarized here. recruitment strengths than those risk of a decrease in stock biomass, This final rule does not establish the observed during the 1980s. Results from status, or fishery metrics, for a range of combined commercial and recreational the 2020 stock assessment incorporate alternative harvest levels for 2021. The catch limit for Area 2B (British data from an expansion of the FISS harvest decision table employs two Columbia), which is subject to throughout the survey range over the metrics of fishing mortality: (1) The rulemaking by the Canada and British 2011–2019 period. Among other things, Total Constant Exploitation Yield Columbia governments. However, the improvements in the setline spatial (TCEY), which includes harvests and IPHC’s recommendation for the Area 2B coverage have helped gain a greater incidental wastage from directed catch limit is directly related to the understanding of the degree of spatial commercial fisheries, plus mortality current and future U.S. catch limits and temporal Pacific halibut density, estimates from sport, subsistence, established by this final rule and is and has helped reduce the uncertainty personal use, and estimates of non- therefore discussed herein. The IPHC in the weight per unit effort (WPUE) and directed discard mortality of halibut recommended a 2021 TCEY of 7,000,000 number per unit effort (NPUE) indices. over 26 inches; and, (2) Total Mortality, lb (3,175.15 mt) for Area 2B, which Overall, the biomass of spawning which includes all the above sources of equates to 19.1 percent of the total females is estimated to have increased mortality, plus estimates of non-directed coastwide TCEY. The IPHC made this gradually to 2016, then decreased to discard mortality of halibut less than 26 recommendation after considering approximately 192,000,000 lb inches (U26). Although U26 halibut recent historic harvests in Area 2B, the (87,243.96 mt) at the beginning of 2021. mortality is factored into the stock distribution of the TCEY in Area 2B as This level is currently estimated to be assessment and harvest strategy estimated from the FISS under the 33 percent (with a 95% credible interval calculations, there is currently no current interim management procedure, of 22% to 52%) of unfished levels. This reliable tool for describing the annual and other factors described in the 2021
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IPHC Annual Meeting Report (IPHC– apportioned the remaining TCEY to the The IPHC also considered the Catch 2021–AM097_R). Alaska regulatory areas (Areas 2C Sharing Plan for Area 4CDE developed The IPHC recommended an allocation through Area 4) after considering the by the NPFMC in its catch limit to Area 2A that would provide a TCEY distribution of harvestable biomass of recommendation. The Area 4CDE catch of 1,650,000 lb (748.43 mt) with a halibut based on the Fishery limit is determined by subtracting combined commercial, subsistence, and Independent Setline Survey, as well as estimates of the Area 4CDE subsistence recreational catch limit of 1,510,000 lb 2020 harvest rates, the harvests, commercial discard mortality, (684.92 mt). This allocation is larger recommendations from the IPHC’s and non-directed discard mortality of than the catch limit that would apply to advisory boards, public input, and halibut over 26 inches from the area Area 2A under the adopted fishing social and economic factors. The only TCEY. When the resulting Area 4CDE intensity of F43 percent and the catch limit is greater than 1,657,600 lb proportion of the stock as estimated U.S. area with a decreased TCEY ¥ (751.87 mt), a direct allocation of 80,000 from the FISS under the current interim relative to 2020 is Area 2C ( 0.9 management procedure. To achieve the percent; see Table 1). Areas 3A, 4A, 4B, lb (36.29 mt) is made to Area 4E to Area 2A and Area 2B allocations and and 4CDE received increases over 2020 provide CDQ fishermen in that area still maintain the target coastwide levels that ranged from +2.5 percent in with additional harvesting opportunity. fishing intensity of F43 percent, the Areas 4CDE to +17.1 percent in Area After this 80,000 lb allocation is IPHC recommended an overall 4A. The TCEY in Area 3B remained the deducted from the catch limit, the reduction in catch limits in other IPHC same for 2021 as in 2020. The IPHC remainder is divided among Areas 4C, regulatory areas in U.S. waters that are determined that the 2021 catch limit 4D, and 4E according to the percentages intended to maintain total mortality to recommendations are consistent with its specified in the CSP. Those percentages the adopted fishing intensity of F43 conservation objectives for the halibut are 46.43 percent each to 4C and 4D, percent. stock and its management objectives for and 7.14 percent to 4E. For 2021, the After the allocations for Areas 2A and the halibut fisheries. IPHC recommended a catch limit for 2B are accounted for, the IPHC Area 4CDE of 1,670,000 lb (757.50 mt).
TABLE 1—PERCENT CHANGE IN TCEY MORTALITY LIMITS FROM 2020 TO 2021 BY IPHC REGULATORY AREA
2020 Total 2021 Total Change from Regulatory area mortality limit mortality limit 2020 (lb) (lb) (percent)
2A ...... 1,650,000 1,650,000 0.0 2B ...... 6,830,000 7,000,000 2.5 2C ...... 5,850,000 5,800,000 ¥0.9 3A ...... 12,200,000 14,000,000 14.8 3B ...... 3,120,000 3,120,000 0.0 4A ...... 1,750,000 2,050,000 17.1 4B ...... 1,310,000 1,400,000 6.9 4CDE ...... 3,900,000 3,980,000 2.1 Coastwide ...... 36,600,000 39,000,000 6.6
Commercial Halibut Fishery Opening time for IPHC staff to review the Oregon, and California and implement and Closing Dates complete record of 2021 commercial annual management measures for Area catch data for use in the stock 2A as recommended by the PFMC in the The IPHC considers advice from the assessment process. It also takes into CSP. These annual management IPHC’s two advisory boards, as well as account the administrative tasks that are measures include the sport fishery direct testimony from the public, when linked to halibut regulations developed allocations and management measures selecting opening and closing dates for independently by the domestic partners. for Area 2A which are not implemented the commercial halibut fishery. The For Area 2A, the IPHC recommended through the IPHC. Public comments will opening date for all IPHC regulatory that the non-treaty directed commercial be accepted for 30 days following areas is March 6, 2021, which is eight fishery will open for 58 hours, publication of the proposed rule and days earlier than the 2020 opening date beginning at 0800 hours on June 22 and NMFS will address any comments of March 14. The closing date for the closing at 1800 hours on June 24. After received in a final rule. The proposed commercial halibut fisheries in all this first opening, if the IPHC and final rules for the Area 2A CSP will regulatory areas is December 7, 2021, determines that the fishing limit has not be available on the NOAA Fisheries which is 22 days later than the 2020 been exceeded, it may announce a West Coast Region’s website at https:// closing date of November 15. By second fishing period of up to three www.fisheries.noaa.gov/action/2021- adopting a longer fishing season, the fishing days to begin on Tuesday two pacific-halibut-catch-sharing-plan and IPHC was persuaded by considerable weeks after the first period. Specific also at www.regulations.gov. public testimony that cited the fishing period limits (vessel quota) will Catch Sharing Plan for Area 2C and increased harvest flexibility and be determined and communicated by Area 3A potential market advantages of a longer IPHC. season. No detrimental conservation In 2014, NMFS implemented a CSP Area 2A Catch Sharing Plan effects were identified by the change. for Area 2C and Area 3A. The CSP The new dates also take into account the The NMFS West Coast Region has defines an annual process for allocating anticipated time required to fully published a proposed rule to approve halibut between the charter and harvest the commercial halibut catch the Pacific Halibut Catch Sharing Plan commercial fisheries in Area 2C and limits, seasonal holidays, and adequate (CSP) for Area 2A off Washington, Area 3A, and establishes allocations for
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each fishery. To allow flexibility for Charter Halibut Management Measures the process of reviewing the analysis for individual commercial and charter for Area 2C and Area 3A various alternatives for the upcoming fishery participants, the CSP also Guided (charter) recreational halibut 2021 fishing year. Because the 2021 authorizes annual transfers of anglers are managed under different charter season was expected to be commercial halibut IFQ as GAF to regulations than unguided recreational similarly impacted by reduced charter charter halibut permit holders for halibut anglers in Areas 2C and 3A in angler effort as the 2020 season, the harvest in the charter fishery. Under the Alaska. According to Federal Committee requested the analysis CSP, the IPHC recommends combined regulations at 50 CFR 300.61, a charter should contain elements that would catch limits (CCLs) for the charter and vessel angler means a person, paying or allow a consideration of options that commercial halibut fisheries in Area 2C non-paying, receiving sport fishing could address this likelihood. After reviewing all the analyses of the effects and Area 3A. Each CCL includes guide services for halibut. Sport fishing of the alternative measures on estimated estimates of discard mortality (wastage) guide services means assistance, for charter removals, the committee made for each fishery. The CSP was compensation or with the intent to conservative recommendations for receive compensation, to a person who implemented to achieve the halibut preferred management measures to the is sport fishing, to take or attempt to fishery management goals of the NPFMC for 2021 that are intended to take halibut by accompanying or NPFMC. More information is provided provide harvest opportunity and physically directing the sport fisherman in the final rule implementing the CSP stimulate charter business while also in sport fishing activities during any (78 FR 75844, December 12, 2013). maintaining total charter harvests part of a charter vessel fishing trip. A Implementing regulations for the CSP within the 2021 allocations for both are at 50 CFR 300.65. The Area 2C and charter vessel fishing trip is the time Areas 2C and 3A. The NPFMC Area 3A CSP allocation tables are period between the first deployment of considered the recommendations of the located in Tables 1 through 4 of subpart fishing gear into the water from a committee along with public testimony E of 50 CFR part 300. charter vessel by a charter vessel angler to develop its recommendation to the and the offloading of one or more IPHC, and the IPHC took action At its January 2021 meeting, the IPHC charter vessel anglers or any halibut recommended a CCL of 4,410,000 lb consistent with the NPFMC’s from that vessel. The charter fishery recommendations. The NPFMC has (2,000.34 mt) for Area 2C. Following the regulations described below apply only CSP allocations in Tables 1 and 3 of used this process to select and to charter vessel anglers receiving sport recommend annual management subpart E of 50 CFR part 300, the charter fishing guide services during a charter fishery is allocated 810,000 lb (367.41 measures to the IPHC since 2012. vessel fishing trip for halibut in Area 2C The IPHC recognizes the role of the mt) of the CCL and the remainder of the or Area 3A. These regulations do not NPFMC to develop policy and CCL, 3,600,000 lb (1,632.93 mt), is apply to unguided recreational anglers regulations that allocate the Pacific allocated to the commercial fishery. in any regulatory area in Alaska, or halibut resource among fishermen in Wastage in the amount of 70,000 lb guided anglers in areas other than Areas and off Alaska, and that NMFS has (31.75 mt) was deducted from the 2C and 3A. developed numerous regulations to commercial allocation to obtain the The NPFMC formed the Charter support the NPFMC’s goals of limiting commercial catch limit of 3,530,000 lb Halibut Management Committee as an charter harvests. For 2021, the IPHC (1,601.18 mt). The commercial industry advisory body to provide concluded that in Area 3A, with a 14 allocation (including wastage) increased recommendations for annual percent increase in the catch limit from by 120,000 lb (54.43 mt) or 3.4 percent, management measures intended to limit 2020, and factoring in a drop in fishing from the 2020 allocation of 3,480,000 lb charter harvest to the charter catch effort relative to years prior to 2020, the (1,578.50 mt). The charter allocation for allocation. The committee is composed 2021 management measures should be 2021 increased by 30,000 lb (13.60 mt), of representatives from the charter similar to the revised measures adopted or 3.8 percent more than the 2020 fishing industry in Areas 2C and 3A. in 2020, with the addition of a closure charter sector allocation of 780,000 lb The 2020 charter fishing season was to halibut retention on all Wednesdays. (353.80 mt). greatly impacted by the coronavirus For Area 2C, the 2021 charter catch pandemic and the resulting unexpected limits are also higher than 2020. The IPHC recommended a CCL of and substantial drop in fishing effort, 11,140,000 lb (5,053.02 mt) for Area 3A. However, the effect of management which in turn affected the anticipated measures over the 2018–2020 period has Following the CSP allocations in Tables results of the pre-season analysis and 2 and 4 of subpart E of 50 CFR part 300, resulted in under-harvests of the charter adopted management measures for that allocation by 18.9 percent, 11.6 percent, the charter fishery is allocated 1,950,000 year. In May and June of 2020, the and 36.0 percent, respectively. lb (885.51.64 mt) of the CCL and the NPFMC and IPHC responded with Consequently, the IPHC determined that remainder of the CCL, 9,190,000 lb revised management measures that were the charter management measures in (4,168.51 mt), is allocated to the published on June 19, 2020 (85 FR Area 2C could be slightly less restrictive commercial fishery. Wastage in the 37024). The revised management than the revised 2020 measures. The amount of 240,000 lb (108.86 mt) was measures relaxed the halibut size limits IPHC determined that limiting charter deducted from the commercial in both Area 2C and 3A, and in Area 3A harvests by implementing the allocation to obtain the commercial the new regulations rescinded an annual management measures discussed below catch limit of 8,950,000 lb (4,059.65 mt). limit on retained halibut and allowed would meet the conservation and The commercial allocation (including halibut retention on all days of the allocation objectives. wastage) increased by about 1,850,000 week. Preliminary estimates indicate lb (839.15 mt) or 25.2 percent, from the that the final 2020 charter halibut Management Measures for Charter 2020 allocation of 7,340,000 lb (3,329.37 harvests were 36.0 percent below the Vessel Fishing in Area 2C mt). The charter allocation increased by Area 2C allocation, and 6.6 percent As noted above, the preliminary 240,000 lb (108.86 mt), or 14.0 percent, below the Area 3A allocation. estimate of 2020 charter removals in from the 2020 allocation of 1,710,000 lb In November 2020, the Charter Area 2C was below the 2020 charter (775.65 mt). Halibut Management Committee began allocation by 280,465 lb (127.22 mt) or
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36.0 percent, indicating that the IPHC for the charter halibut fishery in offloaded, or at the end of the calendar management measures were effective at Area 3A in 2020. The NPFMC and IPHC day, whichever occurs first. Charter limiting harvest by charter vessel considered information on charter operators are still able to conduct anglers to the charter allocation, but removals in 2020 and for previous years, overnight trips and anglers may retain a given the sharp drop in angler effort in as well as the projections of charter bag limit of halibut on two calendar 2020, could have been less restrictive harvest, and increase in the charter days, but operators are not allowed to than the revised measures. The two allocation, and a consideration for a begin another overnight trip until the primary management measures in Area reduction in effort in 2021. With this day after the trip ends. GAF halibut are 2C in 2020 were a daily bag limit of 1 information, the NPFMC and IPHC exempt from the trip limit. Therefore, halibut per charter angler, and size determined that slightly more restrictive GAF could be used to harvest halibut on limits where retained halibut were management measures in Area 3A, a second trip in a day, but only if required to be less than or equal to 38 relative to the revised 2020 measures, exclusively GAF halibut were harvested inches (96.5 cm), which was revised in were appropriate to limit charter on that trip. June to 45 inches (114.3 cm), or greater removals to the 2021 allocation. Day-of-Week Closures in Area 3A than or equal to 80 inches (203.2 cm). For 2021, the IPHC recommended the The effect of these regulations was to following management measures for The NPFMC and the IPHC limit both the number and pounds of Area 3A: (1) A two-fish bag limit with recommended a closure on retaining retained halibut. The analysis also a 32-inch (81.3 cm) maximum size limit halibut by charter vessel anglers on all indicates that in most years since 2014 on one of the halibut; (2) a one-trip per Wednesdays for Area 3A in 2021. Only when the CSP was implemented, the day limit for charter vessels and for the retention of GAF halibut will be Area 2C harvest has been less than the charter halibut permits for the entire allowed on charter vessels on allocation. When these considerations season; and, (3) prohibition on halibut Wednesdays; all other halibut that are were balanced with the combined retention by charter vessel anglers on all caught while fishing on a charter vessel increase in charter allocation in 2021 Wednesdays. The projected charter must be released. The Wednesday and a reduced charter angler effort harvest for 2021 under this combination closures are expected to effectively relative to the pre-2020 period, the IPHC of recommended measures is 1,853,000 decrease the charter halibut harvest, concluded that less restrictive lb (840.51 mt), which is 97,000 lb (44.0 relative to previous years. management measures for Area 2C in mt) and 5.0 percent below the charter Other Regulatory Amendments 2021 are appropriate. allocation. Each of these management Specifically, for 2021 in Area 2C, the measures is described in more detail Minor Revisions To Address Changes for IPHC recommended the continuation of below. the Application of Halibut Fishing a one-fish daily bag limit with a reverse Season Dates Size Limit for Halibut Retained on a slot limit that prohibits a person on Charter Vessel in Area 3A As noted above, the regulatory text in board a charter vessel referred to in 50 Section 9 establishes the opening and CFR 300.65 and fishing in Area 2C from The 2021 charter halibut fishery in closing dates of the commercial halibut taking or possessing any halibut, with Area 3A will be managed under a two- fishery. Subsections 12(3) and 12(4) head on, that is greater than 50 inches fish daily bag limit in which one of the address when the fishery shall close, (127.0 cm) and less than 72 inches retained halibut may be of any size and and formerly named a specific date of (182.9 cm), as measured in a straight one of the retained halibut must be 32 November 15. The text in subsections line, passing over the pectoral fin from inches or less, as measured in a straight 12(3) and 12(4) now refers back to the the tip of the lower jaw with mouth line, passing over the pectoral fin from fishery closure dates established in closed, to the extreme end of the middle the tip of the lower jaw to the extreme Section 9, so that the dates in Section of the tail. These measures, combined end of the middle of the tail. This is the 9 and Section 12 are aligned. with a reduction in fishing effort that is same as the revised regulations adopted estimated to be 35 percent below the in June 2020, and an increase from a 28 Clarifying That IPHC May Obtain pre-2020 levels, are projected to yield inch (71.1 cm) maximum size limit that Samples During Halibut Offloads and 786,000 lb (356.52 mt) of charter was in place from 2016 through 2019. Weighing removals, which is 24,000 lb (10.87 mt) This daily bag and size limit will be To ensure regulatory compliance, and 3.0 percent below the charter combined with additional restrictions to Section 22 authorizes officers to allocation. limit charter halibut removals to the supervise the offloading and weighing 2021 allocation. Management Measures for Charter of halibut from fishing vessels. Section Vessel Fishing in Area 3A Trip Limit for Charter Vessels 22 is amended by adding subsection Harvesting Halibut in Area 3A 22(2) to clarify that authorized The preliminary estimate of charter representatives of the IPHC may also removals in Area 3A in 2020 was below Charter halibut permits and charter access the offloading and weighing of the charter allocation by 113,303 lb vessels in 2021 are only authorized for halibut in order to obtain biological (51.39 mt), or 6.6 percent. Starting in use to catch and retain halibut on one samples. 2014, charter vessel anglers in Area 3A charter halibut fishing trip per day in have been limited to a two-fish daily bag Area 3A. If no halibut are retained Annual Halibut Management Measures limit with a maximum size limit on one during a charter vessel fishing trip, the The following annual management fish. One effect of the maximum size charter halibut permit and vessel may measures for the 2021 Pacific halibut limit has been that the number of fish be used to take an additional trip to fishery are those recommended by the harvested per angler has steadily catch and retain halibut that day. These IPHC and accepted by the Secretary of decreased, but the average weight of regulations have been in place each year State, with the concurrence of the harvested fish has increased as many since 2016, and have proven to be Secretary of Commerce. anglers opted to maximize the size of effective in controlling halibut harvests. retained fish. For purposes of the trip limit in Area 1. Short Title This final rule changes the revised 3A in 2021, a charter vessel fishing trip These Regulations may be cited as the management measures adopted by the will end when anglers or halibut are International Pacific Halibut
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Commission (IPHC) Fishery Regulations (e) ‘‘Commission’’ or ‘‘IPHC’’ means Fisheries regulations published in 50 (2021). the International Pacific Halibut CFR part 300; Commission; (s) ‘‘tender’’ means any vessel that 2. Application (f) ‘‘daily bag limit’’ means the buys or obtains fish directly from a (1) These Regulations apply to maximum number of Pacific halibut a catching vessel and transports it to a persons and vessels fishing for Pacific person may take in any calendar day port of landing or fish processor; halibut in, or possessing Pacific halibut from Convention waters; (t) ‘‘VMS transmitter’’ means a NOAA taken from, the maritime area as defined (g) ‘‘fishing’’ means the taking, Fisheries-approved vessel monitoring in Section 3. harvesting, or catching of fish, or any system transmitter that automatically (2) Sections 3 to 8 and 30 apply activity that can reasonably be expected determines a vessel’s position and generally to all Pacific halibut fishing. to result in the taking, harvesting, or transmits it to a NOAA Fisheries- (3) Sections 8 to 23 apply to catching of fish, including specifically approved communications service commercial fishing for Pacific halibut. the deployment of any amount or provider.1 (4) Section 24 applies to Indigenous component part of gear anywhere in the (2) In these Regulations, all bearings fisheries in British Columbia. maritime area; are true and all positions are determined (5) Section 25 applies to customary (h) ‘‘fishing period limit’’ means the by the most recent charts issued by the and traditional fishing in Alaska. maximum amount of Pacific halibut that United States National Ocean Service or (6) Sections 26 to 29 apply to may be retained and landed by a vessel the Canadian Hydrographic Service. recreational (also called sport) fishing during one fishing period; 4. IPHC Regulatory Areas for Pacific halibut. (i) ‘‘land’’ or ‘‘offload’’ with respect to The following areas within the IPHC (7) These Regulations do not apply to Pacific halibut, means the removal of Convention waters shall be defined as fishing operations authorized or Pacific halibut from the catching vessel; IPHC Regulatory Areas for the purposes conducted by the Commission for (j) ‘‘license’’ means a Pacific halibut of the Convention (see Figure 1): fishing license issued by the research purposes. (1) IPHC Regulatory Area 2A includes Commission pursuant to section 15; 3. Definitions all waters off the states of California, (k) ‘‘maritime area,’’ in respect of the Oregon, and Washington; (1) In these Regulations, fisheries jurisdiction of a Contracting (2) IPHC Regulatory Area 2B includes (a) ‘‘authorized officer’’ means any Party, includes without distinction areas all waters off British Columbia; State, Federal, or Provincial officer within and seaward of the territorial sea (3) IPHC Regulatory Area 2C includes authorized to enforce these Regulations and internal waters of that Party; all waters off Alaska that are east of a including, but not limited to, the (l) ‘‘net weight’’ of a Pacific halibut line running 340° true from Cape National Marine Fisheries Service means the weight of Pacific halibut that Spencer Light (58°11′56″ N latitude, (NOAA Fisheries), Department of is without gills and entrails, head-off, 136°38′26″ W longitude) and south and Fisheries and Oceans (DFO), Alaska washed, and without ice and slime. If a east of a line running 205° true from Wildlife Troopers (AWT), United States Pacific halibut is weighed with the head said light; Coast Guard (USCG), Washington on or with ice and slime, the required (4) IPHC Regulatory Area 3A includes Department of Fish and Wildlife conversion factors for calculating net all waters between Area 2C and a line (WDFW), the Oregon State Police (OSP), weight are a 2 percent deduction for ice extending from the most northerly point and California Department of Fish and and slime and a 10 percent deduction on Cape Aklek (57°41′15″ N latitude, Wildlife (CDFW); for the head; 155°35′00″ W longitude) to Cape Ikolik (b) ‘‘authorized clearance personnel’’ (m) ‘‘operator,’’ with respect to any (57°17′17″ N latitude, 154°47′18″ W means an authorized officer of the vessel, means the owner and/or the longitude), then along the Kodiak Island United States of America, a master or other individual on board and coastline to Cape Trinity (56°44′50″ N representative of the Commission, or a in charge of that vessel; latitude, 154°08′44″ W longitude), then designated fish processor; (n) ‘‘overall length’’ of a vessel means 140° true; (c) ‘‘charter vessel’’ outside of Alaska the horizontal distance, rounded to the (5) IPHC Regulatory Area 3B includes waters means a vessel used for hire in nearest foot, between the foremost part all waters between Area 3A and a line recreational (sport) fishing for Pacific of the stem and the aftermost part of the extending 150° true from Cape Lutke halibut, but not including a vessel stern (excluding bowsprits, rudders, (54°29′00″ N latitude, 164°20′00″ W without a hired operator, and in Alaska outboard motor brackets, and similar longitude) and south of 54°49′00″ N waters means a vessel used while fittings or attachments); latitude in Isanotski Strait; providing or receiving recreational (o) ‘‘person’’ includes an individual, (6) IPHC Regulatory Area 4A includes (sport) fishing guide services for Pacific corporation, firm, or association; all waters in the Gulf of Alaska west of halibut; (p) ‘‘regulatory area’’ means an IPHC Area 3B and in the Bering Sea west of (d) ‘‘commercial fishing’’ means Regulatory Area referred to in section 4; the closed area defined in section 10 fishing, the resulting catch of which is (q) ‘‘setline gear’’ means one or more that are east of 172°00′00″ W longitude sold or bartered; or is intended to be stationary, buoyed, and anchored lines and south of 56°20′00″ N latitude; sold or bartered, other than (i) with hooks attached; (7) IPHC Regulatory Area 4B includes recreational (sport) fishing; (ii) treaty (r) ‘‘sport fishing’’ or ‘‘recreational all waters in the Bering Sea and the Gulf Indian ceremonial and subsistence fishing’’ means all fishing other than (i) of Alaska west of IPHC Regulatory Area fishing as referred to in section 23, (iii) commercial fishing; (ii) treaty Indian 4A and south of 56°20′00″ N latitude; Indigenous groups fishing in British ceremonial and subsistence fishing as (8) IPHC Regulatory Area 4C includes Columbia as referred to in section 24; referred to in section 23; (iii) Indigenous all waters in the Bering Sea north of and (iv) customary and traditional groups fishing in British Columbia as fishing as referred to in section 25 and referred to in section 24; and (iv) 1 Call NOAA Enforcement Division, Alaska customary and traditional fishing as Region, at 907–586–7225 between the hours of 0800 defined by and regulated pursuant to and 1600 local time for a list of NOAA Fisheries- NOAA Fisheries regulations published referred to in section 25 and defined in approved VMS transmitters and communications at 50 CFR part 300; and regulated pursuant to NOAA service providers.
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IPHC Regulatory Area 4A and north of and west of IPHC Regulatory Area 4C, longitude, and south of 65°34′00″ N the closed area defined in section 10 and west of 168°00′00″ W longitude; latitude. which are east of 171°00′00″ W and longitude, south of 58°00′00″ N latitude, 5. Mortality and Fishery Limits ° ′ ″ (10) IPHC Regulatory Area 4E and west of 168 00 00 W longitude; (1) The Commission has adopted the (9) IPHC Regulatory Area 4D includes includes all waters in the Bering Sea north and east of the closed area defined following distributed mortality (TCEY) all waters in the Bering Sea north of ° ′ ″ IPHC Regulatory Areas 4A and 4B, north in section 10, east of 168 00 00 W limits:
Distributed mortality limits (TCEY) (net weight) IPHC regulatory area Tonnes Million pounds (t) (Mlb)
Area 2A (California, Oregon, and Washington) ...... 748 1.65 Area 2B (British Columbia) ...... 3,175 7.00 Area 2C (southeastern Alaska) ...... 2,631 5.80 Area 3A (central Gulf of Alaska) ...... 6,350 14.00 Area 3B (western Gulf of Alaska) ...... 1,415 3.12 Area 4A (eastern Aleutians) ...... 930 2.05 Area 4B (central/western Aleutians) ...... 635 1.40 Areas 4CDE (Bering Sea) ...... 1,805 3.98
Total ...... 17,690 39.00
(2) The fishery limits resulting from Contracting Party catch sharing that each Contracting Party may the IPHC-adopted distributed mortality arrangements are as follows, recognizing implement more restrictive limits: (TCEY) limits and the existing
Fishery limits (net weight) IPHC regulatory area Tonnes Million pounds (t) (Mlb) *
Area 2A (California, Oregon, and Washington) ...... 685 1.51 Non-treaty directed commercial (south of Pt. Chehalis) ...... 116 * 256,122 Non-treaty incidental catch in salmon troll fishery ...... 21 * 45,198 Non-treaty incidental catch in sablefish fishery (north of Pt. Chehalis) ...... 32 * 70,000 Treaty Indian commercial ...... 225 * 496,300 Treaty Indian ceremonial and subsistence (year-round) ...... 15 * 32,200 Recreational—Washington ...... 127 * 279,414 Recreational—Oregon ...... 132 * 291,506 Recreational—California ...... 18 * 39,260 Area 2B (British Columbia) ...... 2,790 6.15 Commercial fishery ...... 2,372 5.23 Recreational fishery ...... 417 0.92 Area 2C (southeastern Alaska) (combined commercial/guided recreational) ...... 2,000 4.41 Commercial fishery (3.53 Mlb catch and 0.70 Mlb incidental mortality) ...... 1,633 3.60 Guided recreational fishery (includes catch and incidental mortality) ...... 367 0.81 Area 3A (central Gulf of Alaska) (combined commercial/guided recreational) ...... 5,053 11.14 Commercial fishery (8.95 Mlb catch and 0.24 Mlb incidental mortality) ...... 4,169 9.19 Guided recreational fishery (includes catch and incidental mortality) ...... 885 1.95 Area 3B (western Gulf of Alaska) ...... 1,161 2.56 Area 4A (eastern Aleutians) ...... 753 1.66 Area 4B (central/western Aleutians) ...... 558 1.23 Areas 4CDE ...... 757 1.67 Area 4C (Pribilof Islands) ...... 335 0.738 Area 4D (northwestern Bering Sea) ...... 335 0.738 Area 4E (Bering Sea flats) ...... 88 0.194
Total ...... 13,757 30.33 * Allocations resulting from the IPHC Regulatory Area 2A Catch Share Plan are listed in pounds.
6. In-Season Actions (a) Will not result in exceeding the Halibut Fishery of the Northern Pacific fishery limit established preseason for Ocean and Bering Sea, and applicable (1) The Commission is authorized to each IPHC Regulatory Area; domestic law of either Canada or the establish or modify regulations during United States of America; and the season after determining that such (b) is consistent with the Convention action: between Canada and the United States (c) is consistent, to the maximum of America for the Preservation of the extent practicable, with any domestic
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catch sharing plans or other domestic against commercial fishing period regulations promulgated by NOAA allocation programs developed by the limits, Individual Vessel Quotas (IVQ), Fisheries. This fishery will occur governments of Canada or the United Individual Transferable Quota (ITQ), between the dates and times listed in States of America. Community Development Quotas paragraphs (2) and (3) of this section. (2) In-season actions may include, but (CDQ), or Individual Fishing Quotas (6) Notwithstanding paragraph (4), are not limited to, establishment or (IFQ), and are not subject to size limits and paragraph (6) of section 12, an modification of the following: in these regulations, but should still be incidental catch fishery is authorized (a) Closed areas; recorded in the landing record. during salmon troll seasons in IPHC (b) fishing periods; (4) Any Pacific halibut that bears a Regulatory Area 2A in accordance with (c) fishing period limits; Commission external tag will not count regulations promulgated by NOAA (d) gear restrictions; against recreational (sport) daily bag Fisheries. This fishery will occur (e) recreational (sport) bag limits; limits or possession limits, may be between the dates and times listed in (f) size limits; or retained outside of recreational (sport) paragraphs (2) and (3) of this section. (g) vessel clearances. fishing seasons, and are not subject to (3) In-season changes will be effective size limits in these regulations. 10. Closed Area at the time and date specified by the (5) Any Pacific halibut that bears a All waters in the Bering Sea north of Commission. Commission external tag will not count 55°00′00″ N latitude in Isanotski Strait (4) The Commission will announce against daily bag limits, possession that are enclosed by a line from Cape in-season actions under this section by limits, or fishery limits in the fisheries Sarichef Light (54°36′00″ N latitude, providing notice to major Pacific halibut described in section 23, paragraph 164°55′42″ W longitude) to a point at processors; Federal, State, United States (1)(c), section 24, or section 25. 56°20′00″ N latitude, 168°30′00″ W of America treaty Indian, and Provincial ° ′ ″ 9. Fishing Periods longitude; thence to a point at 58 21 25 fishery officials; and the media. N latitude, 163°00′00″ W longitude; (1) The fishing periods for each IPHC 7. Careful Release of Pacific Halibut thence to Strogonof Point (56°53′18″ N Regulatory Area apply where the fishery latitude, 158°50′37″ W longitude); and (1) All Pacific halibut that are caught limits specified in section 5 have not then along the northern coasts of the and are not retained shall be been taken. Alaska Peninsula and Unimak Island to immediately released outboard of the (2) Unless the Commission specifies the point of origin at Cape Sarichef roller and returned to the sea with a otherwise, commercial fishing for Light are closed to Pacific halibut minimum of injury by: Pacific halibut in all IPHC Regulatory fishing and no person shall fish for (a) Hook straightening; Areas may begin no earlier in the year Pacific halibut therein or have Pacific (b) cutting the gangion near the hook; than 1200 local time on 6 March. halibut in his/her possession while in or (3) All commercial fishing for Pacific those waters except in the course of a (c) carefully removing the hook by halibut in all IPHC Regulatory Areas continuous transit across those waters. twisting it from the Pacific halibut with shall cease for the year at 1200 local All waters in Isanotski Strait between a gaff. time on 7 December. 55°00′00″ N latitude and 54°49′00″ N (2) Except that paragraph (1) shall not (4) The first fishing period in the latitude are closed to Pacific halibut prohibit the possession of Pacific IPHC Regulatory Area 2A non-tribal fishing. halibut on board a vessel that has been directed commercial fishery 2 shall brought aboard to be measured to begin at 0800 on the fourth Tuesday in 11. Closed Periods determine if the applicable size limit of June and terminate at 1800 local time on (1) No person shall engage in fishing the Pacific halibut is met and, if not the subsequent Thursday, unless the for Pacific halibut in any IPHC legal-sized, is promptly returned to the Commission specifies otherwise. If the Regulatory Area other than during the sea with a minimum of injury. Commission determines that the fishery fishing periods set out in section 9 in limit specified for IPHC Regulatory Area 8. Retention of Tagged Pacific Halibut respect of that area. 2A in Section 5 has not been exceeded, (1) Nothing contained in these it may announce a second fishing period (2) No person shall land or otherwise Regulations prohibits any vessel at any of up to three fishing days to begin on retain Pacific halibut caught outside a time from retaining and landing a Tuesday two weeks after the first fishing period applicable to the IPHC Pacific halibut that bears a Commission period, and, if necessary, a third fishing Regulatory Area where the Pacific external tag at the time of capture, if the period of up to three fishing days to halibut was taken. Pacific halibut with the tag still attached begin on Thursday four weeks after the (3) Subject to paragraphs (7), (8), (9), is reported at the time of landing and first period. and (10) of section 18, these Regulations made available for examination by a (5) Notwithstanding paragraph (4), do not prohibit fishing for any species representative of the Commission or by and paragraph (6) of section 12, an of fish other than Pacific halibut during an authorized officer. incidental catch fishery 3 is authorized the closed periods. (2) After examination and removal of during the sablefish seasons in IPHC (4) Notwithstanding paragraph (3), no the tag by a representative of the Regulatory Area 2A in accordance with person shall have Pacific halibut in his/ Commission or an authorized officer, her possession while fishing for any the Pacific halibut: 2 The non-tribal directed fishery is restricted to other species of fish during the closed (a) May be retained for personal use; waters that are south of Point Chehalis, periods. ° ′ or Washington, (46 53.30 N latitude) under (5) No vessel shall retrieve any Pacific regulations promulgated by NOAA Fisheries and (b) may be sold only if the Pacific published in the Federal Register. halibut fishing gear during a closed halibut is caught during commercial 3 The incidental fishery during the directed, fixed period if the vessel has any Pacific Pacific halibut fishing and complies gear sablefish season is restricted to waters that are halibut on board. with the other commercial fishing north of Point Chehalis, Washington, (46°53.30′ N (6) A vessel that has no Pacific halibut latitude) under regulations promulgated by NOAA provisions of these Regulations. Fisheries at 50 CFR 300.63. Landing restrictions for on board may retrieve any Pacific (3) Any Pacific halibut that bears a Pacific halibut retention in the fixed gear sablefish halibut fishing gear during the closed Commission external tag will not count fishery can be found at 50 CFR 660.231. period after the operator notifies an
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authorized officer or representative of announced the reopening of that area for 14. Fishing Period Limits the Commission prior to that retrieval. Pacific halibut fishing. (1) It shall be unlawful for any vessel (7) After retrieval of Pacific halibut (7) Notwithstanding the fishery limits to retain more Pacific halibut than gear in accordance with paragraph (6), described in section 5, the total authorized by that vessel’s license in the vessel shall submit to a hold allowable catch of Pacific halibut that any fishing period for which the inspection at the discretion of the may be taken in the IPHC Regulatory Commission has announced a fishing authorized officer or representative of Area 4E directed commercial fishery is period limit. the Commission. equal to the combined annual fishery (2) The operator of any vessel that (8) No person shall retain any Pacific limits specified for the IPHC Regulatory fishes for Pacific halibut during a halibut caught on gear retrieved in Areas 4D and 4E CDQ fisheries and any fishing period when fishing period accordance with paragraph (6). IPHC Regulatory Area 4D IFQ received limits are in effect must, upon (9) No person shall possess Pacific by transfer by a CDQ organization. The commencing an offload of Pacific halibut on board a vessel in an IPHC annual IPHC Regulatory Area 4D fishery halibut to a commercial fish processor, Regulatory Area during a closed period limit will decrease by the equivalent completely offload all Pacific halibut on unless that vessel is in continuous amount of CDQ and IFQ received by board said vessel to that processor and transit to or within a port in which that transfer by a CDQ organization taken in ensure that all Pacific halibut is Pacific halibut may be lawfully sold. IPHC Regulatory Area 4E in excess of weighed and reported on State fish 12. Application of Commercial Fishery the annual IPHC Regulatory Area 4E tickets. Limits fishery limit. (3) The operator of any vessel that (8) Notwithstanding the fishery limits (1) Notwithstanding the fishery limits fishes for Pacific halibut during a described in section 5, the total described in section 5, regulations fishing period when fishing period allowable catch of Pacific halibut that pertaining to the division of the IPHC limits are in effect must, upon may be taken in the IPHC Regulatory Regulatory Area 2A fishery limit commencing an offload of Pacific Area 4D directed commercial fishery is between the directed commercial halibut other than to a commercial fish equal to the combined annual fishery fishery and the incidental catch fishery processor, completely offload all Pacific limits specified for IPHC Regulatory as described in paragraphs (5) and (6) of halibut on board said vessel and ensure Areas 4C and 4D. The annual IPHC section 9 will be promulgated by NOAA that all Pacific halibut are weighed and Regulatory Area 4C fishery limit will Fisheries and published in the Federal reported on State fish tickets. decrease by the equivalent amount of (4) The provisions of paragraph (3) are Register. (2) The Commission shall determine Pacific halibut taken in IPHC Regulatory not intended to prevent retail over-the- and announce to the public the date on Area 4D in excess of the annual IPHC side sales to individual purchasers so which the fishery limit for IPHC Regulatory Area 4D fishery limit. long as all the Pacific halibut on board Regulatory Area 2A will be taken. is ultimately offloaded and reported. 13. Fishing in Regulatory IPHC (5) When fishing period limits are in (3) Notwithstanding the fishery limits Regulatory Areas 4D and 4E described in section 5, the commercial effect, a vessel’s maximum retainable fishing in IPHC Regulatory Area 2B will (1) Section 13 applies only to any catch will be determined by the close only when all Individual Vessel person fishing for, or any vessel that is Commission based on: (a) the vessel’s overall length in feet Quotas (IVQ) and Individual used to fish for, IPHC Regulatory Area 4E Community Development Quota and associated length class; Transferable Quotas (ITQ) assigned by (b) the average performance of all DFO are taken, or on the date when (CDQ) Pacific halibut, IPHC Regulatory Area 4D CDQ Pacific halibut, or IPHC vessels within that class; and fishing must cease as specified in (c) the remaining fishery limit. Section 9, whichever is earlier. Regulatory Area 4D IFQ received by transfer by a CDQ organization provided (6) Length classes are shown in the (4) Notwithstanding the fishery limits following table: described in section 5, IPHC Regulatory that the total annual Pacific halibut catch of that person or vessel is landed Areas 2C, 3A, 3B, 4A, 4B, 4C, 4D, and Overall length Vessel 4E will each close only when all at a port within IPHC Regulatory Areas (in feet) class Individual Fishing Quotas (IFQ) and all 4E or 4D. CDQ issued by NOAA Fisheries have (2) A person may retain Pacific 1–25 ...... A been taken, or on the date when fishing halibut taken with setline gear that are 26–30 ...... B must cease as specified in Section 9, smaller than the size limit specified in 31–35 ...... C 36–40 ...... D whichever is earlier. section 19, provided that no person may sell or barter such Pacific halibut. 41–45 ...... E (5) If the Commission determines that 46–50 ...... F the fishery limit specified for IPHC (3) The manager of a CDQ 51–55 ...... G Regulatory Area 2A in section 5 would organization that authorizes persons to 56+ ...... H be exceeded in an additional directed harvest Pacific halibut in the IPHC commercial fishing period as specified Regulatory Area 4E or 4D CDQ fisheries (7) Fishing period limits in IPHC in paragraph (4) of section 9, the fishery or IFQ received by transfer by a CDQ Regulatory Area 2A apply only to the limit for that area shall be considered to organization must report to the directed Pacific halibut fishery referred have been taken and the directed Commission the total number and to in paragraph (4) of section 9. commercial fishery closed as announced weight of undersized Pacific halibut by the Commission. taken and retained by such persons 15. Licensing Vessels for IPHC (6) When under paragraphs (1), (2), pursuant to section 13, paragraph (2). Regulatory Area 2A and (5) the Commission has announced This report, which shall include data (1) No person shall fish for Pacific a date on which the fishery limit for and methodology used to collect the halibut from a vessel, nor possess IPHC Regulatory Area 2A will be taken, data, must be received by the Pacific halibut on board a vessel, used no person shall fish for Pacific halibut Commission prior to 1 November of the either for commercial fishing or as a in that area after that date for the rest year in which such Pacific halibut were charter vessel in IPHC Regulatory Area of the year, unless the Commission has harvested. 2A, unless the Commission has issued
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a license valid for fishing in IPHC next weekday in March if 15 March is (5) The vessel clearance required Regulatory Area 2A in respect of that a Saturday or Sunday. under paragraph (1) prior to fishing in vessel. (11) Applications are submitted on IPHC Regulatory Area 4C or 4D may be (2) A license issued for a vessel the IPHC Secretariat web page. obtained only at St. Paul or St. George, operating in IPHC Regulatory Area 2A (12) Information on the ‘‘Application Alaska, from an authorized officer of the shall be valid only for operating either for Vessel License for the Pacific Halibut United States, a representative of the as a charter vessel or a commercial Fishery’’ form must be accurate. Commission, or a designated fish vessel, but not both. (13) The ‘‘Application for Vessel processor by VHF radio and allowing (3) A vessel with a valid IPHC License for the Pacific Halibut Fishery’’ the person contacted to confirm visually Regulatory Area 2A commercial license form shall be completed by the vessel the identity of the vessel. cannot be used to recreationally (sport) owner. (6) The vessel operator shall specify fish for Pacific halibut in IPHC (14) Licenses issued under this the specific regulatory area in which Regulatory Area 2A. section shall be valid only during the fishing will take place. (4) A license issued for a vessel year in which they are issued. (7) Before unloading any Pacific operating in the commercial fishery in (15) A new license is required for a halibut caught in IPHC Regulatory Area IPHC Regulatory Area 2A shall be valid vessel that is sold, transferred, renamed, 4A, a vessel operator may obtain the for one of the following: or for which the documentation is clearance required under paragraph (1) (a) The directed commercial fishery changed. only in Dutch Harbor or Akutan, Alaska, during the fishing periods specified in (16) The license required under this by contacting an authorized officer of paragraph (4) of section 9; section is in addition to any license, the United States of America, a (b) the incidental catch fishery during however designated, that is required representative of the Commission, or a the sablefish fishery specified in under the laws of the United States of designated fish processor. paragraph (5) of section 9; or America or any of its States. (8) Before unloading any Pacific (c) the incidental catch fishery during (17) The United States of America halibut caught in IPHC Regulatory Area the salmon troll fishery specified in may suspend, revoke, or modify any 4B, a vessel operator may obtain the paragraph (6) of section 9. license issued under this section under clearance required under paragraph (1) (5) A vessel with a valid license for policies and procedures in U.S. Code only in Nazan Bay on Atka Island or the IPHC Regulatory Area 2A incidental Title 15, CFR part 904. Adak, by contacting an authorized catch fishery during the sablefish officer of the United States of America, 16. Vessel Clearance in IPHC Regulatory fishery described in paragraph (4)(b) a representative of the Commission, or Area 4 may also apply for or be issued a license a designated fish processor by VHF for the directed commercial fishery (1) The operator of any vessel that radio or in person. described in paragraph (4)(a). fishes for Pacific halibut in IPHC (9) Before unloading any Pacific (6) A license issued in respect to a Regulatory Areas 4A, 4B, 4C, or 4D must halibut caught in IPHC Regulatory Areas vessel referred to in paragraph (1) of this obtain a vessel clearance before fishing 4C and 4D, a vessel operator may obtain section must be carried on board that in any of these areas, and before the the clearance required under paragraph vessel at all times and the vessel landing of any Pacific halibut caught in (1) only in St. Paul, St. George, Dutch operator shall permit its inspection by any of these areas, unless specifically Harbor, or Akutan, Alaska, either in any authorized officer. exempted in paragraphs (10), (13), (14), person or by contacting an authorized (7) The Commission shall issue a (15), or (16). officer of the United States of America, license in respect to a vessel from its (2) An operator obtaining a vessel a representative of the Commission, or office in Seattle, Washington, upon clearance required by paragraph (1) a designated fish processor. The receipt of a completed ‘‘Application for must obtain the clearance in person clearances obtained in St. Paul or St. Vessel License for the Pacific Halibut from the authorized clearance personnel George, Alaska, can be obtained by VHF Fishery’’ form. and sign the IPHC form documenting radio and allowing the person contacted (8) A vessel operating in the directed that a clearance was obtained, except to confirm visually the identity of the commercial fishery in IPHC Regulatory that when the clearance is obtained via vessel. Area 2A must have submitted its VHF radio referred to in paragraphs (5), (10) Any vessel operator who ‘‘Application for Vessel License for the (8), and (9), the authorized clearance complies with the requirements in Pacific Halibut Fishery’’ form no later personnel must sign the IPHC form section 17 for possessing Pacific halibut than 2359 local time on 30 April, or the documenting that the clearance was on board a vessel that was caught in first weekday in May if 30 April is a obtained. more than one regulatory area in IPHC Saturday or Sunday. (3) The vessel clearance required Regulatory Area 4 is exempt from the (9) A vessel operating in the under paragraph (1) prior to fishing in clearance requirements of paragraph (1) incidental catch fishery during the IPHC Regulatory Area 4A may be of this section, provided that: sablefish fishery in IPHC Regulatory obtained only at Nazan Bay on Atka (a) The operator of the vessel obtains Area 2A must have submitted its Island, Dutch Harbor, or Akutan, a vessel clearance prior to fishing in ‘‘Application for Vessel License for the Alaska, from an authorized officer of the IPHC Regulatory Area 4 in either Dutch Pacific Halibut Fishery’’ form no later United States of America, a Harbor, Akutan, St. Paul, St. George, than 2359 local time on 29 May, or the representative of the Commission, or a Adak, or Nazan Bay on Atka Island by next weekday in May if 29 May is a designated fish processor. contacting an authorized officer of the Saturday or Sunday. (4) The vessel clearance required United States of America, a (10) A vessel operating in the under paragraph (1) prior to fishing in representative of the Commission, or a incidental catch fishery during the IPHC Regulatory Area 4B may only be designated fish processor. The clearance salmon troll fishery in IPHC Regulatory obtained at Nazan Bay on Atka Island or obtained in St. Paul, St. George, Adak, Area 2A must have submitted its Adak, Alaska, from an authorized officer or Nazan Bay on Atka Island can be ‘‘Application for Vessel License for the of the United States of America, a obtained by VHF radio and allowing the Pacific Halibut Fishery’’ form no later representative of the Commission, or a person contacted to confirm visually the than 2359 local time on 15 March, or the designated fish processor. identity of the vessel. This clearance
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will list the areas in which the vessel Data Clerk) between the hours of 0600 (5) The markings specified in will fish; and and 0000 (midnight) local time within paragraph (4) shall be in characters at (b) before unloading any Pacific 72 hours before fishing for Pacific least four inches in height and one-half halibut from IPHC Regulatory Area 4, halibut in IPHC Regulatory Areas 4A, inch in width in a contrasting color the vessel operator obtains a vessel 4B, 4C, or 4D and receives a VMS visible above the water and shall be clearance from Dutch Harbor, Akutan, confirmation number. maintained in legible condition. St. Paul, St. George, Adak, or Nazan Bay (6) All gear marker buoys carried on on Atka Island by contacting an 17. Fishing Multiple Regulatory Areas board or used by a Canadian vessel used authorized officer of the United States of (1) Except as provided in this section, for Pacific halibut fishing shall be: America, a representative of the no person shall possess at the same time (a) Floating and visible on the surface Commission, or a designated fish on board a vessel Pacific halibut caught of the water; and processor. The clearance obtained in St. in more than one IPHC Regulatory Area. (b) legibly marked with the Paul or St. George can be obtained by (2) Pacific halibut caught in more than identification plate number of the vessel VHF radio and allowing the person one of the IPHC Regulatory Areas 2C, engaged in commercial fishing from contacted to confirm visually the 3A, 3B, 4A, 4B, 4C, 4D, or 4E may be which that setline is being operated. identity of the vessel. The clearance possessed on board a vessel at the same (7) No person on board a vessel used obtained in Adak or Nazan Bay on Atka time only if: to fish for any species of fish anywhere Island can be obtained by VHF radio. (a) Authorized by NOAA Fisheries in IPHC Regulatory Area 2A during the (11) Vessel clearances shall be regulations published at 50 CFR Section 72-hour period immediately before the obtained between 0600 and 1800, local 679.7(f)(4); and fishing period for the directed time. (b) the operator of the vessel identifies commercial fishery shall catch or (12) No Pacific halibut shall be on the regulatory area in which each possess Pacific halibut anywhere in board the vessel at the time of the Pacific halibut on board was caught by those waters during that Pacific halibut clearances required prior to fishing in separating Pacific halibut from different fishing period unless, prior to the start IPHC Regulatory Area 4. areas in the hold, tagging Pacific of the Pacific halibut fishing period, the (13) Any vessel that is used to fish for halibut, or by other means. vessel has removed its gear from the Pacific halibut only in IPHC Regulatory water and has either: 18. Fishing Gear Area 4A and lands its total annual (a) Made a landing and completely Pacific halibut catch at a port within (1) No person shall fish for Pacific offloaded its catch of other fish; or IPHC Regulatory Area 4A is exempt halibut using any gear other than hook (b) submitted to a hold inspection by from the clearance requirements of and line gear, an authorized officer. paragraph (1). (a) except that vessels licensed to (8) No vessel used to fish for any (14) Any vessel that is used to fish for catch sablefish in IPHC Regulatory Area species of fish anywhere in IPHC Pacific halibut only in IPHC Regulatory 2B using sablefish trap gear as defined Regulatory Area 2A during the 72-hour Area 4B and lands its total annual in the Condition of Licence can retain period immediately before the fishing Pacific halibut catch at a port within Pacific halibut caught as bycatch under period for the directed commercial IPHC Regulatory Area 4B is exempt regulations promulgated by DFO; or fishery may be used to catch or possess from the clearance requirements of (b) except that a person may retain Pacific halibut anywhere in those waters paragraph (1). Pacific halibut taken with longline or during that Pacific halibut fishing (15) Any vessel that is used to fish for single pot gear if such retention is period unless, prior to the start of the Pacific halibut only in IPHC Regulatory authorized by NOAA Fisheries Pacific halibut fishing period, the vessel Areas 4C or 4D or 4E and lands its total regulations published at 50 CFR part has removed its gear from the water and annual Pacific halibut catch at a port 679. has either: within IPHC Regulatory Areas 4C, 4D, (2) No person shall possess Pacific (a) Made a landing and completely 4E, or the closed area defined in section halibut taken with any gear other than offloaded its catch of other fish; or 10, is exempt from the clearance hook and line gear, (b) submitted to a hold inspection by requirements of paragraph (1). (a) except that vessels licensed to an authorized officer. (16) Any vessel that carries a NOAA catch sablefish in IPHC Regulatory Area (9) No person on board a vessel used Fisheries observer, a NOAA Fisheries 2B using sablefish trap gear as defined to fish for any species of fish anywhere electronic monitoring system, or a by the Condition of Licence can retain in IPHC Regulatory Areas 2B, 2C, 3A, transmitting VMS transmitter while Pacific halibut caught as bycatch under 3B, 4A, 4B, 4C, 4D, or 4E during the 72- fishing for Pacific halibut in IPHC regulations promulgated by DFO; or hour period immediately before the Regulatory Areas 4A, 4B, 4C, or 4D and (b) except that a person may possess opening of the Pacific halibut fishing until all Pacific halibut caught in any of Pacific halibut taken with longline or season shall catch or possess Pacific these IPHC Regulatory Areas is landed, single pot gear if such possession is halibut anywhere in those areas until is exempt from the clearance authorized by NOAA Fisheries the vessel has removed all of its gear requirements of paragraph (1) of this regulations published at 50 CFR part from the water and has either: section, provided that: 679. (a) Made a landing and completely (a) The operator of the vessel (3) No person shall possess Pacific offloaded its entire catch of other fish; complies with NOAA Fisheries’ halibut while on board a vessel carrying or observer or electronic monitoring any trawl nets. (b) submitted to a hold inspection by regulations published at 50 CFR Subpart (4) All gear marker buoys carried on an authorized officer. E, or vessel monitoring system board or used by any United States of (10) No vessel used to fish for any regulations published at 50 CFR America vessel used for Pacific halibut species of fish anywhere in IPHC 679.28(f)(3), (4) and (5); and fishing shall be marked with one of the Regulatory Areas 2B, 2C, 3A, 3B, 4A, (b) the operator of the vessel notifies following: 4B, 4C, 4D, or 4E during the 72-hour NOAA Fisheries Office for Law (a) The vessel’s State license number; period immediately before the opening Enforcement at 800–304–4846 (select or of the Pacific halibut fishing season may option 1 to speak to an Enforcement (b) the vessel’s registration number. be used to catch or possess Pacific
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halibut anywhere in those areas until 2A must use either the WDFW representative of the Commission upon the vessel has removed all of its gear Voluntary Sablefish Logbook, Oregon demand; from the water and has either: Department of Fish and Wildlife (d) kept on board the vessel when (a) Made a landing and completely (ODFW) Fixed Gear Logbook, or the engaged in Pacific halibut fishing, offloaded its entire catch of other fish; logbook provided by IPHC. during transits to port of landing, and or (2) The logbook referred to in until the offloading of all Pacific halibut (b) submitted to a hold inspection by paragraph (1) must include the is completed; an authorized officer. following information: (e) submitted to the DFO within seven (11) Notwithstanding any other (a) The name of the vessel and the days of offloading; and provision in these Regulations, a person State (ADFG, WDFW, ODFW, or CDFW) (f) submitted to the Commission may retain, possess and dispose of or Tribal ID number; within seven days of the final offload if Pacific halibut taken with trawl gear (b) the date(s) upon which the fishing not previously collected by a only as authorized by Prohibited gear is set or retrieved; Commission employee. Species Donation regulations of NOAA (c) the latitude and longitude (8) No person shall make a false entry Fisheries. coordinates or a direction and distance in a log referred to in this section. from a point of land for each set or day; 19. Size Limits 21. Receipt and Possession of Pacific (d) the number of skates deployed or Halibut (1) No person shall take or possess retrieved, and number of skates lost; and any Pacific halibut that: (e) the total weight or number of (1) No person shall receive Pacific (a) With the head on, is less than 32 Pacific halibut retained for each set or halibut caught in IPHC Regulatory Area inches (81.3 cm) as measured in a day. 2A from a United States of America straight line, passing over the pectoral (3) The logbook referred to in vessel that does not have on board the fin from the tip of the lower jaw with paragraph (1) shall be: license required by section 15. the mouth closed, to the extreme end of (a) Maintained on board the vessel; (2) No person shall possess on board the middle of the tail, as illustrated in (b) updated not later than 24 hours a vessel a Pacific halibut other than Figure 2; or after 0000 (midnight) local time for each whole or with gills and entrails (b) with the head removed, is less day fished and prior to the offloading or removed, except that this paragraph than 24 inches (61.0 cm) as measured sale of Pacific halibut taken during that shall not prohibit the possession on from the base of the pectoral fin at its fishing trip; board a vessel of: most anterior point to the extreme end (c) retained for a period of two years (a) Pacific halibut cheeks cut from of the middle of the tail, as illustrated by the owner or operator of the vessel; Pacific halibut caught by persons in Figure 2. (d) open to inspection by an authorized to process the Pacific halibut (2) No person on board a vessel authorized officer or any authorized on board in accordance with NOAA fishing for, or tendering, Pacific halibut representative of the Commission upon Fisheries regulations published at 50 in any IPHC Regulatory Area shall demand; and CFR part 679; possess any Pacific halibut that has had (e) kept on board the vessel when (b) fillets from Pacific halibut its head removed, except that Pacific engaged in Pacific halibut fishing, offloaded in accordance with section 21 halibut frozen at sea with its head during transits to port of landing, and that are possessed on board the removed may be possessed on board a until the offloading of all Pacific halibut harvesting vessel in the port of landing vessel by persons in IPHC Regulatory is completed. up to 1800 local time on the calendar Areas 2B, 2C, 3A, 3B, 4A, 4B, 4C, 4D, (4) The log referred to in paragraph (1) day following the offload 4; and and 4E if authorized by Federal does not apply to the incidental Pacific (c) Pacific halibut with their heads regulations. halibut fishery during the salmon troll removed in accordance with section 19. (3) The size limit in paragraph (1)(b) season in IPHC Regulatory Area 2A (3) No person shall offload Pacific will not be applied to any Pacific defined in paragraph (6) of section 9. halibut from a vessel unless the gills halibut that has had its head removed (5) The operator of any Canadian and entrails have been removed prior to after the operator has landed the Pacific vessel fishing for Pacific halibut shall offloading.5 halibut. maintain an accurate record in the (4) It shall be the responsibility of a vessel operator who lands Pacific 20. Logs British Columbia Integrated Groundfish Fishing Log. halibut to continuously and completely (1) The operator of any U.S. vessel (6) The log referred to in paragraph (5) offload at a single offload site all Pacific fishing for Pacific halibut that has an must include the following information: halibut on board the vessel. overall length of 26 feet (7.9 meters) or (a) The name of the vessel and the (5) A registered buyer (as that term is greater shall maintain an accurate log of DFO vessel registration number; defined in regulations promulgated by Pacific halibut fishing operations. The (b) the date(s) upon which the fishing NOAA Fisheries and codified at 50 CFR operator of a vessel fishing in waters in gear is set and retrieved; part 679) who receives Pacific halibut and off Alaska must use one of the (c) the latitude and longitude harvested in IFQ and CDQ fisheries in following logbooks: The Groundfish/IFQ coordinates for each set; IPHC Regulatory Areas 2C, 3A, 3B, 4A, Longline and Pot Gear Daily Fishing (d) the number of skates deployed or 4B, 4C, 4D, and 4E, directly from the Logbook, in electronic or paper form, retrieved, and number of skates lost; and vessel operator that harvested such provided by NOAA Fisheries; the (e) the total weight or number of Pacific halibut must weigh all the Alaska hook-and-line logbook provided Pacific halibut retained for each set. Pacific halibut received and record the by Petersburg Vessel Owners (7) The log referred to in paragraph (5) Association or Alaska Longline shall be: 4 DFO has more restrictive regulations; therefore, Fisherman’s Association; the Alaska (a) Maintained on board the vessel; section 21 paragraph (2)(b) does not apply to fish Department of Fish and Game (ADFG) (b) retained for a period of two years caught in IPHC Regulatory Area 2B or landed in British Columbia. longline-pot logbook; or the logbook by the owner or operator of the vessel; 5 DFO did not adopt this regulation; therefore, provided by IPHC. The operator of a (c) open to inspection by an section 21 paragraph (3) does not apply to fish vessel fishing in IPHC Regulatory Area authorized officer or any authorized caught in IPHC Regulatory Area 2B.
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following information on Federal catch Federal catch reports: The date; locality; (a) Subarea 2A–1 includes the usual reports: Date of offload; name of vessel; name of vessel; the name(s) of the and accustomed fishing areas for Pacific vessel number (State, Tribal or Federal, person(s) from whom the Pacific halibut Coast treaty tribes off the coast of not IPHC vessel number); scale weight was purchased; and the scale weight Washington and all inland marine obtained at the time of offloading, obtained at the time of offloading of all waters of Washington north of Point including the scale weight (in pounds) Pacific halibut on board the vessel Chehalis (46°53.30′ N lat.), including of Pacific halibut purchased by the including the pounds purchased, Puget Sound. Boundaries of a tribe’s registered buyer, the scale weight (in pounds in excess of IVQs or ITQs, fishing area may be revised as ordered pounds) of Pacific halibut offloaded in pounds retained for personal use, and by a United States Federal court. excess of the IFQ or CDQ, the scale pounds discarded as unfit for human (b) Section 15 (Licensing Vessels for weight of Pacific halibut (in pounds) consumption. All Pacific halibut must IPHC Regulatory Area 2A) does not retained for personal use or for future be weighed with the head on and the apply to commercial fishing for Pacific sale, and the scale weight (in pounds) of head-on weight must be recorded on the halibut in Subarea 2A–1 by Indian Pacific halibut discarded as unfit for Provincial fish tickets or Federal catch tribes. human consumption. All Pacific halibut reports as specified in this paragraph, (c) Ceremonial and subsistence harvested in IFQ or CDQ fisheries in unless the Pacific halibut is frozen at sea fishing for Pacific halibut in Subarea Areas IPHC Regulatory 2C, 3A, 3B, 4A, and exempt from the head-on landing 2A–1 is permitted with hook and line 4B, 4C, 4D, and 4E, must be weighed requirement at section 19(2). gear from 1 January through 31 with the head on and the head-on (9) No person shall make a false entry December. weight must be recorded on Federal on a State or Provincial fish ticket or a (2) In IPHC Regulatory Area 2C, the catch reports as specified in this Federal catch or landing report referred Metlakatla Indian Community has been paragraph, unless the Pacific halibut is to in paragraphs (5), (6), and (8) of this authorized by the United States frozen at sea and exempt from the head- section. Government to conduct a commercial on landing requirement at section 19(2). (10) A copy of the fish tickets or catch Pacific halibut fishery within the (6) The first recipient, commercial reports referred to in paragraphs (5), (6), Annette Islands Reserve. Fishing fish processor, or buyer in the United and (8) shall be: periods for this fishery are announced States of America who purchases or (a) Retained by the person making by the Metlakatla Indian Community receives Pacific halibut directly from the them for a period of three years from the and the Bureau of Indian Affairs. vessel operator that harvested such date the fish tickets or catch reports are Landings in this fishery are accounted Pacific halibut must weigh and record made; and with the commercial landings for IPHC all Pacific halibut received and record (b) open to inspection by an Regulatory Area 2C. the following information on State fish authorized officer or any authorized tickets: The date of offload; vessel (3) Section 7 (careful release of Pacific representative of the Commission. halibut), section 18 (fishing gear), except number (State or Federal, not IPHC (11) No person shall possess any paragraphs (7) and (8) of section 18, vessel number) or Tribal ID number; Pacific halibut taken or retained in section 19 (size limits), section 20 (logs), total weight obtained at the time of contravention of these Regulations. offload including the weight (in pounds) (12) When Pacific halibut are landed and section 21 (receipt and possession of Pacific halibut purchased; the weight to other than a commercial fish of Pacific halibut) apply to commercial (in pounds) of Pacific halibut offloaded processor, the records required by fishing for Pacific halibut by Indian in excess of the IFQ, CDQ, or fishing paragraph (6) shall be maintained by the tribes. period limits; the weight of Pacific operator of the vessel from which that (4) Regulations in paragraph (3) of this halibut (in pounds) retained for Pacific halibut was caught, in section that apply to State fish tickets personal use or for future sale; and the compliance with paragraph (10). apply to Tribal tickets that are weight (in pounds) of Pacific halibut (13) No person shall tag Pacific authorized by WDFW and ADFG. discarded as unfit for human halibut unless the tagging is authorized (5) Commercial fishing for Pacific consumption. All Pacific halibut by IPHC permit or by a Federal or State halibut is permitted with hook and line harvested in fisheries in IPHC agency. gear between the dates specified in Regulatory Areas 2A, 2C, 3A, 3B, 4A, section 9 paragraphs (2) and (3), or until 4B, 4C, 4D, and 4E must be weighed 22. Supervision of Unloading and the applicable fishery limit specified in with the head on and the head-on Weighing section 5 is taken, whichever occurs weight must be recorded on State fish (1) The unloading and weighing of first. tickets as specified in this paragraph, Pacific halibut may be subject to the 24. Indigenous Groups Fishing for Food, unless the Pacific halibut is frozen at sea supervision of authorized officers to Social and Ceremonial Purposes in and exempt from the head-on landing assure the fulfillment of the provisions British Columbia requirement at section 19(2). of these Regulations. (7) For Pacific halibut landings made (2) The unloading and weighing of (1) Fishing for Pacific halibut for food, in Alaska, the requirements as listed in Pacific halibut may be subject to social and ceremonial purposes by paragraphs (5) and (6) can be met by sampling by an authorized Indigenous groups in IPHC Regulatory recording the information in the representative of the Commission. Area 2B shall be governed by the Interagency Electronic Reporting Fisheries Act of Canada and regulations Systems, eLandings, in accordance with 23. Fishing by United States Indian as amended from time to time. NOAA Fisheries regulation published at Tribes 25. Customary and Traditional Fishing 50 CFR part 679. (1) Pacific halibut fishing in IPHC in Alaska (8) The master or operator of a Regulatory Area Subarea 2A–1 by Canadian vessel that was engaged in members of United States treaty Indian (1) Customary and traditional fishing Pacific halibut fishing must weigh and tribes located in the State of Washington for Pacific halibut in IPHC Regulatory record all Pacific halibut on board said shall be regulated under regulations Areas 2C, 3A, 3B, 4A, 4B, 4C, 4D, and vessel at the time offloading commences promulgated by NOAA Fisheries and 4E shall be governed pursuant to and record on Provincial fish tickets or published in the Federal Register. regulations promulgated by NOAA
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Fisheries and published in 50 CFR part (3) In California, Oregon, or 29. Recreational (Sport) Fishing for 300. Washington, no person shall fillet, Pacific Halibut—IPHC Regulatory Areas (2) Customary and traditional fishing mutilate, or otherwise disfigure a Pacific 2C, 3A, 3B, 4A, 4B, 4C, 4D, 4E is authorized from 1 January through 31 halibut in any manner that prevents the (1) In Convention waters in and off December. determination of minimum size or the Alaska: 89 26. Recreational (Sport) Fishing for number of fish caught, possessed, or (a) The recreational (sport) fishing Pacific Halibut—General landed. season is from 1 February to 31 December. (1) No person shall engage in (4) The possession limit on a vessel (b) The daily bag limit is two Pacific recreational (sport) fishing for Pacific for Pacific halibut in the waters off the halibut of any size per day per person halibut using gear other than a single coast of Washington is the same as the unless a more restrictive bag limit line with no more than two hooks daily bag limit. The possession limit for applies in Commission regulations or attached; or a spear. Pacific halibut on land in Washington is Federal regulations at 50 CFR 300.65. (2) Any size limit promulgated under two daily bag limits. (c) No person may possess more than IPHC or domestic regulations shall be (5) The possession limit on a vessel two daily bag limits. measured in a straight line passing over for Pacific halibut caught in the waters (d) No person shall possess on board the pectoral fin from the tip of the lower off the coast of Oregon is the same as the a vessel, including charter vessels and jaw with the mouth closed, to the daily bag limit. The possession limit for pleasure craft used for fishing, Pacific extreme end of the middle of the tail as Pacific halibut on land in Oregon is halibut that have been filleted, depicted in Figure 2. mutilated, or otherwise disfigured in (3) Any Pacific halibut brought aboard three daily bag limits. any manner, except that each Pacific a vessel and not immediately returned (6) The possession limit on a vessel halibut may be cut into no more than 2 to the sea with a minimum of injury will for Pacific halibut caught in the waters ventral pieces, 2 dorsal pieces, and 2 be included in the daily bag limit of the off the coast of California is one daily cheek pieces, with a patch of skin on person catching the Pacific halibut. bag limit. The possession limit for (4) No person may possess Pacific each piece, naturally attached. Pacific halibut on land in California is (e) Pacific halibut in excess of the halibut on a vessel while fishing in a one daily bag limit. closed area. possession limit in paragraph (1)(c) of (5) No Pacific halibut caught by (7) Specific regulations describing this section may be possessed on a recreational (sport) fishing shall be fishing periods, fishery limits, fishing vessel that does not contain recreational offered for sale, sold, traded, or bartered. dates, and daily bag limits are (sport) fishing gear, fishing rods, hand (6) No Pacific halibut caught in promulgated by NOAA Fisheries and lines, or gaffs. recreational (sport) fishing shall be published in the Federal Register. (f) Pacific halibut harvested on a possessed on board a vessel when other charter vessel fishing trip in IPHC 28. Recreational (Sport) Fishing for Regulatory Areas 2C or 3A must be fish or shellfish aboard said vessel are Pacific Halibut—IPHC Regulatory Area destined for commercial use, sale, trade, retained on board the charter vessel on 2B or barter. which the Pacific halibut was caught (7) The operator of a charter vessel until the end of the charter vessel (1) In all waters off British fishing trip as defined at 50 CFR 300.61. shall be liable for any violations of these Columbia: 67 Regulations committed by an angler on (g) Guided angler fish (GAF), as board said vessel. In Alaska, the charter (a) The recreational (sport) fishing described at 50 CFR 300.65, may be vessel guide, as defined in 50 CFR season will open on 1 February unless used to allow a charter vessel angler to 300.61 and referred to in 50 CFR 300.65, more restrictive regulations are in place; harvest additional Pacific halibut up to 300.66, and 300.67, shall be liable for (b) the recreational (sport) fishing the limits in place for unguided anglers, any violation of these Regulations season will close when the recreational and are exempt from the requirements committed by an angler on board a (sport) fishery limit allocated by DFO is in paragraphs (2) and (3) of this section. (2) For guided recreational (sport) charter vessel. taken, or 31 December, whichever is fishing (as referred to in 50 CFR 300.65) 27. Recreational (Sport) Fishing for earlier; and in IPHC Regulatory Area 2C: Pacific Halibut—IPHC Regulatory Area (c) the daily bag limit is two Pacific (a) No person on board a charter 2A halibut of any size per day per person. vessel (as referred to in 50 CFR 300.65) (1) The Commission shall determine (2) In British Columbia, no person shall catch and retain more than one and announce closing dates to the shall fillet, mutilate, or otherwise Pacific halibut per calendar day. public for any area in which the fishery disfigure a Pacific halibut in any (b) No person on board a charter limits promulgated by NOAA Fisheries manner that prevents the determination vessel (as referred to in 50 CFR 300.65) shall catch and retain any Pacific are estimated to have been taken. of minimum size or the number of fish halibut that with head on is greater than (2) When the Commission has caught, possessed, or landed. determined that a subquota under 50 inches (127.0 cm) and less than 72 paragraph (7) of this section is estimated (3) The possession limit for Pacific inches (182.9 cm) as measured in a to have been taken, and has announced halibut in the waters off the coast of straight line, passing over the pectoral a date on which the season will close, British Columbia is three Pacific 67 no person shall recreational (sport) fish halibut. 8 NOAA Fisheries could implement more restrictive regulations for the recreational (sport) for Pacific halibut in that area after that fishery or components of it, therefore, anglers are 6 date for the rest of the year, unless a DFO could implement more restrictive advised to check the current Federal or State reopening of that area for recreational regulations for the recreational (sport) fishery, regulations prior to fishing. therefore anglers are advised to check the current (sport) Pacific halibut fishing is 9 Charter vessels are prohibited from harvesting Federal or Provincial regulations prior to fishing. Pacific halibut in IPHC Regulatory Areas 2C and 3A scheduled in accordance with the Catch 7 For regulations on the experimental recreational during one charter vessel fishing trip under Sharing Plan for IPHC Regulatory Area fishery implemented by DFO check the current regulations promulgated by NOAA Fisheries at 50 2A, or announced by the Commission. Federal or Provincial regulations. CFR 300.66.
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fin from the tip of the lower jaw with (c) A ‘‘charter halibut permit’’ (as 50 CFR 300.61 as the time period mouth closed, to the extreme end of the referred to in 50 CFR 300.67) may only between the first deployment of fishing middle of the tail. be used for one charter vessel fishing gear into the water by a charter vessel (3) For guided recreational (sport) trip in which Pacific halibut are caught angler (as defined at 50 CFR 300.61) and fishing (as referred to in 50 CFR 300.65) and retained per calendar day. A charter the offloading of one or more charter in IPHC Regulatory Area 3A: vessel fishing trip is defined at 50 CFR vessel anglers or any Pacific halibut 300.61 as the time period between the from that vessel. For purposes of this (a) No person on board a charter first deployment of fishing gear into the trip limit, a charter vessel fishing trip vessel (as referred to in 50 CFR 300.65) water by a charter vessel angler (as ends at 2359 (Alaska local time) on the shall catch and retain more than two defined at 50 CFR 300.61) and the same calendar day that the fishing trip Pacific halibut per calendar day. offloading of one or more charter vessel began, or when any anglers or Pacific (b) At least one of the retained Pacific anglers or any Pacific halibut from that halibut are offloaded, whichever comes halibut must have a head-on length of vessel. For purposes of this trip limit, a first. no more than 32 inches (81.3 cm) as charter vessel fishing trip ends at 2359 measured in a straight line, passing over (Alaska local time) on the same calendar (e) No person on board a charter the pectoral fin from the tip of the lower day that the fishing trip began, or when vessel may catch and retain Pacific jaw with mouth closed, to the extreme any anglers or Pacific halibut are halibut on any Wednesday. end of the middle of the tail. If a person offloaded, whichever comes first. 30. Previous Regulations Superseded recreational (sport) fishing on a charter (d) A charter vessel on which one or vessel in IPHC Regulatory Area 3A more anglers catch and retain Pacific These Regulations shall supersede all retains only one Pacific halibut in a halibut may only make one charter previous regulations of the Commission, calendar day, that Pacific halibut may vessel fishing trip per calendar day. A and these Regulations shall be effective be of any length. charter vessel fishing trip is defined at each succeeding year until superseded.
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Classification the Federal Register provide the DEPARTMENT OF COMMERCE affected public with notice that the IPHC Regulations IPHC management measures are in National Oceanic and Atmospheric These IPHC annual management effect. Furthermore, no other law Administration measures are a product of an agreement requires prior notice and public between the United States and Canada comment for this rule. Because prior 50 CFR Part 635 and are published in the Federal notice and an opportunity for public Register to provide notice of their [Docket No. 191125–0090; RTID 0648– comment are not required to be XA895] effectiveness and content. Pursuant to provided for these portions of this rule Section 4 of the Northern Pacific by 5 U.S.C. 553, or any other law, the Atlantic Highly Migratory Species; Halibut Act of 1982, 16 U.S.C. 773b, the analytical requirements of the Commercial Aggregated Large Coastal Secretary of State, with the concurrence Regulatory Flexibility Act, 5 U.S.C. 601 Sharks and Hammerhead Sharks in the of the Secretary of Commerce, may et seq., are not applicable. Accordingly, Western Gulf of Mexico Sub-Region; ‘‘accept or reject’’ but not modify these Closure recommendations of the IPHC. These no Regulatory Flexibility Analysis is regulations become effective upon that required for this portion of the rule and AGENCY: National Marine Fisheries acceptance. The notice-and-comment none has been prepared. This final rule Service (NMFS), National Oceanic and and delay-in-effectiveness date has been determined to be not Atmospheric Administration (NOAA), provisions of the Administrative significant for the purposes of Executive Commerce. Order 12866. Procedure Act (APA), 5 U.S.C. 553(b) ACTION: Temporary rule; closure. and (d), are inapplicable to IPHC Authority: 16 U.S.C. 773 et seq. management measures because these SUMMARY: NMFS is closing the regulations involves a foreign affairs Dated: March 3, 2021. commercial fishery for the aggregated function of the United States, 5 U.S.C. Samuel D. Rauch, III, large coastal sharks (LCS) and 553(a)(1). As stated above, the Secretary Deputy Assistant Administrator for hammerhead shark management groups of State has no discretion to modify the Regulatory Programs, National Marine in the western Gulf of Mexico sub- recommendations of the IPHC. The Fisheries Service. region. This action is necessary because additional time necessary to comply [FR Doc. 2021–04821 Filed 3–8–21; 8:45 am] the commercial landings of sharks in the with the notice-and-comment and BILLING CODE 3510–22–P aggregated LCS management group in delay-in-effectiveness requirements of the western Gulf of Mexico sub-region the APA would disrupt coordinated for the 2021 fishing season have reached international conservation and 80 percent of the available commercial management of the halibut fishery quota, and the aggregated LCS and pursuant to the Convention and the hammerhead shark management groups Northern Pacific Halibut Act of 1982. quotas are linked under the regulations. The publication of these regulations in This closure will affect anyone
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commercially fishing for sharks in the closure until and if NMFS announces, eastern Gulf of Mexico sub-regions is western Gulf of Mexico sub-region. via a notice in the Federal Register, that drawn along 88°00′ W long DATES: The commercial fishery for the additional quota is available and the (§ 635.27(b)(1)(ii)). Persons fishing aggregated LCS and hammerhead shark season is reopened, the fisheries for all aboard vessels issued a commercial management groups in the western Gulf linked species and/or management shark limited access permit (LAP) under of Mexico sub-region are closed groups are closed, even across fishing § 635.4 may still retain sharks in the effective 11:30 p.m. local time March 8, years. aggregated LCS and/or hammerhead 2021, until the end of the 2021 fishing On December 1, 2020 (85 FR 77007), shark management groups in the eastern season on December 31, 2021, or until NMFS announced that for 2021, the Gulf of Mexico sub-region (east of 88°00′ and if NMFS announces via a notice in commercial western Gulf of Mexico W long). the Federal Register that additional aggregated LCS sub-regional quota was During the closure, retention of sharks quota is available and the season is 72.0 metric tons (mt) dressed weight in the aggregated LCS and/or reopened. (dw) (158,724 pounds (lb) dw) and the hammerhead shark management groups western Gulf of Mexico hammerhead in the western Gulf of Mexico sub- FOR FURTHER INFORMATION CONTACT: sharks sub-regional quota was 11.9 mt region is prohibited for persons fishing Lauren Latchford, lauren.latchford@ dw (26,301 lb dw). Dealer reports aboard vessels issued a commercial noaa.gov, and Derek Kraft derek.kraft@ received through March 3, indicate that shark LAP under § 635.4. However, noaa.gov at 301–427–8503; fax 301– 81 percent (58.2 mt dw) of the available persons aboard a commercially 713–1917. western Gulf of Mexico aggregated LCS permitted vessel that is also properly SUPPLEMENTARY INFORMATION: The management group sub-regional quota permitted to operate as a charter vessel Atlantic shark fisheries are managed has been landed and that less than 6 or headboat for HMS, has a shark under the 2006 Consolidated Atlantic percent (<1.0 mt dw) of the available endorsement, and is engaged in a for- Highly Migratory Species (HMS) Fishery western Gulf of Mexico hammerhead hire trip could fish under the Management Plan (FMP), its sharks sub-regional quota has been recreational retention limits for sharks amendments, and implementing landed. Dealer reports, however also and ‘‘no sale’’ provisions (§ 635.22 (c)). regulations (50 CFR part 635) issued indicate that daily landing rates of Persons aboard a commercially under authority of the Magnuson- aggregated LCS in the sub-region are permitted vessel that possesses a valid Stevens Fishery Conservation and increasing. Based on these dealer shark research permit under § 635.32 Management Act (16 U.S.C. 1801 et reports, the western Gulf of Mexico may continue to harvest and sell seq.). aggregated LCS management group sub- aggregated LCS and/or hammerhead Under § 635.5(b)(1), dealers must regional quota has exceeded 80 percent sharks in the western Gulf of Mexico electronically submit reports on sharks of the available quota on March 3, 2021. sub-region pursuant to the terms and that are first received from a vessel on Thus, closure of the commercial western conditions of the shark research permit, a weekly basis through a NMFS- Gulf of Mexico aggregated LCS fishery is if a NMFS-approved observer is onboard approved electronic reporting system. warranted at this time under the and the shark research fishery, as Reports must be received by no later regulations. While the western Gulf of applicable, is open. than midnight, local time, of the first Mexico hammerhead shark sub-regional During this closure, a shark dealer Tuesday following the end of the quota has reached less than 6 percent of issued a permit pursuant to § 635.4 may reporting week unless the dealer is the available quota, it is linked to the not purchase or receive aggregated LCS otherwise notified by NMFS. Under aggregated LCS fishery, and therefore, and/or hammerhead sharks in the § 635.28(b)(4), the quotas of certain under the regulations closes when the western Gulf of Mexico sub-region from species and/or management groups are aggregated LCS management group in a vessel issued an Atlantic shark LAP, linked. If quotas are linked, when the the western Gulf of Mexico sub-region except that a permitted shark dealer or specified quota threshold for one closes. Accordingly, NMFS is closing processor may possess aggregated LCS management group or species is reached the commercial aggregated LCS and and/or hammerhead sharks in the and that management group or species hammerhead shark management groups western Gulf of Mexico sub-region that is closed, the linked management group in the western Gulf of Mexico sub- were harvested, off-loaded, and sold, or species closes at the same time region as of 11:30 p.m. local time March traded, or bartered prior to the effective (§ 635.28(b)(3)). The quotas for the 8, 2021. date of the closure and were held in aggregated LCS and hammerhead shark All other shark species or storage consistent with § 635.28(b)(6). management groups in the western Gulf management groups in the western Gulf Additionally, a permitted shark dealer of Mexico sub-region are linked of Mexico sub-region that are currently may possess aggregated LCS and/or (§ 635.28(b)(4)(iii)). open remain open at this time, hammerhead sharks in the western Gulf Under § 635.28(b)(3), when NMFS including the commercial blacktip of Mexico sub-region that were calculates that the landings for any sharks, non-blacknose small coastal harvested by a vessel issued a valid linked species and/or management sharks, blue sharks, smoothhound shark research fishery permit per group have reached or are projected to sharks, and pelagic sharks other than § 635.32 with a NMFS-approved reach a threshold of 80 percent of the porbeagle or blue sharks. observer onboard during the trip the available quota, and are projected to The boundary between the Gulf of sharks were taken on as long as the LCS reach 100 percent of the relevant quota Mexico region and the Atlantic region is research fishery quota remains open. by the end of the fishing season, NMFS defined at § 635.27(b)(1) as a line Similarly, a shark dealer issued a permit will file for publication with the Office beginning on the East Coast of Florida pursuant to § 635.4 may, in accordance of the Federal Register a notice of an at the mainland at 25°20.4′ N lat, with relevant State regulations, overall, regional, and/or sub-regional proceeding due east. Any water and purchase or receive aggregated LCS and/ closure, as applicable, for the linked land to the south and west of that or hammerhead sharks in the western species and/or management groups that boundary is considered for the purposes Gulf of Mexico sub-region if the sharks will be effective no fewer than 4 days of monitoring and setting quotas, to be were harvested, off-loaded, and sold, from date of filing for public inspection. within the Gulf of Mexico region. The traded, or bartered from a vessel that From the effective date and time of the boundary between the western and fishes only in State waters and that has
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not been issued an Atlantic Shark LAP, DEPARTMENT OF COMMERCE the IFQ Program published in the HMS Angling permit, or HMS Charter/ Federal Register, November 9, 1993 (58 Headboat permit pursuant to § 635.4. National Oceanic and Atmospheric FR 59375) and subsequent amendments. Administration This announcement is consistent with Classification § 679.23(g)(1), which requires that the 50 CFR Part 679 Pursuant to 5 U.S.C. 553(b)(B), the directed fishing season for sablefish Assistant Administrator for Fisheries, [Docket No. 210210–0018 and 210217–0141] managed under the IFQ Program be specified by the Administrator, Alaska NOAA (AA), finds that providing prior RTID 0648–XA883 notice and public comment for this Region, and announced by publication in the Federal Register. This method of action is impracticable and contrary to Fisheries of the Exclusive Economic season announcement was selected to the public interest because the fishery is Zone Off Alaska; Sablefish Managed facilitate coordination between the currently underway and any delay in Under the Individual Fishing Quota Program sablefish season, chosen by the this action would result in overharvest Administrator, Alaska Region, and the of the quotas for these species and AGENCY: National Marine Fisheries halibut season, adopted by the management groups and thus would be Service (NMFS), National Oceanic and International Pacific Halibut inconsistent with fishery management Atmospheric Administration (NOAA), Commission (IPHC). The directed requirements and objectives. The Commerce. fishing season for sablefish with fixed regulations implementing the 2006 ACTION: Temporary rule; opening. gear managed under the IFQ Program Consolidated HMS FMP and will open 1200 hours, A.l.t., March 6, amendments provide for inseason SUMMARY: NMFS is opening directed 2021, and will close 1200 hours, A.l.t., retention limit adjustments and fishery fishing for sablefish with fixed gear December 7, 2021. This period runs closures to respond to the unpredictable managed under the Individual Fishing concurrently with the IFQ season for nature of availability on the fishing Quota (IFQ) Program and the Pacific halibut announced by the IPHC. grounds, the migratory nature of the Community Development Quota (CDQ) The IFQ and CDQ halibut season will be Program. The season will open 1200 species, and regional variations. NMFS specified by a separate publication in hours, Alaska local time (A.l.t.), March is not able to give notice sooner nor the Federal Register of annual 6, 2021, and will close 1200 hours, would sooner notice be practicable management measures pursuant to 50 A.l.t., December 7, 2021. This period is CFR 300.62. given the structure of the regulations, the same as the 2021 commercial which close the fisheries under halibut fishery opening dates adopted Classification specified regulatory criteria or by the International Pacific Halibut thresholds. Furthermore, closures need NMFS issues this action pursuant to Commission. The IFQ and CDQ halibut section 305(d) of the Magnuson-Stevens to be based on near real-time data to season is specified by a separate balance fishing opportunities against the Act. This action is required by 50 CFR publication in the Federal Register of part 679, which was issued pursuant to management goal of preventing quota annual management measures. section 304(b), and is exempt from overharvests. Similarly, affording prior DATES: Effective 1200 hours, A.l.t., review under Executive Order 12866. notice and opportunity for public March 6, 2021, until 1200 hours, A.l.t., Pursuant to 5 U.S.C. 553(b)(B), there comment on this action is contrary to December 7, 2021. is good cause to waive prior notice and the public interest because if a quota is FOR FURTHER INFORMATION CONTACT: an opportunity for public comment on exceeded, the stock may be negatively Allyson Olds, 907–586–7228. this action, as notice and comment affected and fishermen ultimately could SUPPLEMENTARY INFORMATION: Beginning would be impracticable and contrary to experience reductions in the available in 1995, fishing for Pacific halibut and the public interest, as it would delay the quota and a lack of fishing opportunities sablefish with fixed gear in the IFQ opening of the sablefish fishery thereby in future seasons. For these reasons, the regulatory areas defined in 50 CFR 679.2 increasing bycatch and regulatory AA also finds good cause to waive the has been managed under the IFQ discards between the sablefish fishery 30-day delay in effective date pursuant Program. The IFQ Program is a and the halibut fishery, and preventing to 5 U.S.C. 553(d)(3). This action is regulatory regime designed to promote the accomplishment of the management required under § 635.28(b)(3) and the conservation and management of objective for simultaneous opening of § 635.28(b)(4) and is exempt from these fisheries and to further the these two fisheries. NMFS was unable to review under Executive Order 12866. objectives of the Magnuson-Stevens publish a notice providing time for Fishery Conservation and Management Authority: 16 U.S.C. 1801 et seq. public comment because the most Act and the Northern Pacific Halibut recent, relevant data only became Dated: March 4, 2021. Act. Persons holding quota share receive available as of March 3, 2021. Jennifer M. Wallace, an annual allocation of IFQ. Persons Authority: 16 U.S.C. 1801 et seq. Acting Director, Office of Sustainable receiving an annual allocation of IFQ Dated: March 4, 2021. Fisheries, National Marine Fisheries Service. are authorized to harvest IFQ species Jennifer M. Wallace, [FR Doc. 2021–04876 Filed 3–4–21; 4:15 pm] within specified limitations. Further Acting Director, Office of Sustainable BILLING CODE 3510–22–P information on the implementation of the IFQ Program, and the rationale Fisheries, National Marine Fisheries Service. supporting it, are contained in the [FR Doc. 2021–04840 Filed 3–4–21; 4:15 pm] preamble to the final rule implementing BILLING CODE 3510–22–P
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Proposed Rules Federal Register Vol. 86, No. 44
Tuesday, March 9, 2021
This section of the FEDERAL REGISTER • Fax: (703) 518–6319. Include • Liquidity and asset liability contains notices to the public of the proposed ‘‘[Your name] Comments on Notice of management. issuance of rules and regulations. The Proposed Rulemaking Regarding Examiners assign composite and purpose of these notices is to give interested CAMELS Rating System’’ on the cover component CAMEL ratings using a scale persons an opportunity to participate in the page. that ranges from ‘‘1’’ to ‘‘5.’’ The highest rule making prior to the adoption of the final • rules. USPS/Hand Delivery/Courier: rating is a ‘‘1,’’ indicating the strongest Address to Melane Conyers-Ausbrooks, performance and risk management Secretary of the Board, National Credit practices, and the least degree of NATIONAL CREDIT UNION Union Administration, 1775 Duke supervisory concern. The lowest rating ADMINISTRATION Street, Alexandria, Virginia 22314– is a ‘‘5,’’ indicating the weakest 3428. performance, inadequate risk 12 CFR Parts 700, 701, 703, 704, and Public Inspection: All public management practices, and the highest 713 comments will be made available on the degree of supervisory concern. When NCUA’s website (http://www.ncua.gov/ evaluating these components, examiners RIN 3133–AF32 Legal/Regs/Pages/PropRegs.aspx) as use their professional judgement and submitted, except for those we cannot consider both qualitative and CAMELS Rating System post for technical reasons. The NCUA quantitative factors when analyzing a will not edit or remove any identifying credit unions performance. AGENCY: National Credit Union or contact information from the public In 1997, members of the Federal Administration (NCUA). comments submitted. Financial Institution Examination ACTION: Proposed rule with request for 3 FOR FURTHER INFORMATION CONTACT: Council (FFIEC), with the exception of comments. Thomas Fay, Director of Capital Markets the NCUA, proposed and subsequently adopted revisions to the Uniform SUMMARY: The Board is proposing to add at (703) 518–1179 or Robert Bruneau, Financial Institutions Rating System the ‘‘S’’ (Sensitivity to Market Risk) Senior Capital Markets Specialist at 703 (UFIRS) and a Policy Statement that component to the existing CAMEL 945–2491, Office of Examination and reaffirmed the five CAMEL rating rating system and redefine the ‘‘L’’ Insurance, or Marvin Shaw, Staff system components and added a sixth (Liquidity Risk) component, thus Attorney Office of General Counsel at component, Sensitivity to Market Risk updating the rating system from CAMEL (703) 518–6554. (‘‘S’’), to address price and interest rate to CAMELS. The proposal to add the SUPPLEMENTARY INFORMATION: risks (IRR).4 The NCUA opted not to use ‘‘S’’ component will enhance I. Background the ‘‘S’’ component and retained its transparency and allow the NCUA, State existing CAMEL rating system based on Supervisory Authorities, and federally The NCUA adopted its current rating the relative lack of complexity in the insured credit unions to better system, known as CAMEL, in 1987.1 consolidated balance sheets of credit distinguish between liquidity risk (‘‘L’’) The current CAMEL rating is based unions at the time. However, since and sensitivity to market risk (‘‘S’’). The upon an evaluation of five critical 1997, credit unions have increased in amendment would also enhance elements of a credit union’s operations: size and complexity by significantly consistency between the regulation of Capital adequacy, asset quality, increasing their mortgage-related assets credit unions and other financial management, earnings, and liquidity from 19 percent of total assets to 42 institutions. The Board is proposing to and asset-liability management. CAMEL percent at September 2020. implement the addition of the ‘‘S’’ is designed to take into account and The NCUA has made several pertinent rating component and a redefined ‘‘L’’ reflect all significant financial, modifications to the CAMEL rating rating as early as the first quarter of operational, and management factors system since 1997. These involve 2022. examiners assess in their evaluation of 5 a credit union’s performance and risk changes to financial ratios, adding and DATES: Comments must be received on profile. subsequently eliminating a CAMEL or before May 10, 2021. matrix,6 accommodating the adoption of Under this system, the NCUA assigns Prompt Corrective Action (PCA),7 and ADDRESSES: You may submit comments each credit union a composite CAMEL by any of the following methods (Please rating based on the agency’s evaluation send comments by one method only): 3 At the time, the FFIEC was comprised of the • and rating of five components of an Federal Deposit Insurance Corporation (FDIC), the Federal eRulemaking Portal: http:// institution’s financial condition and Board of Governors of the Federal Reserve (Federal www.regulations.gov. Follow the operations. As specified in the 2007 Reserve), and the Office of Comptroller of the instructions for submitting comments. Letter to Credit Unions,2 these Currency (OCC), the NCUA, and the Office of Thrift • NCUA Website: http:// Supervision (OTS). OTS merged into OCC as a components address a credit union’s: result of the Dodd Frank Wall Street Reform and www.ncua.gov/ • _ Capital adequacy; Consumer Protection Act. See Section 312 of Public RegulationsOpinionsLaws/proposed • Law 111–203. _ Asset quality; regs/proposed regs.html. Follow the • Management; 4 62 FR 752, (Jan. 6, 1997). 5 instructions for submitting comments. • Earnings; and Letter to Credit Unions 00–CU–08 (Nov. 2000). • Email: Send messages to 6 NCUA Letter to Credit Unions 07–CU–12 (Dec. [email protected]. Use the subject 2007). 1 NCUA Letter No. 93. Letter to Credit Unions, 7 In 1998, Congress enacted the Credit Union line: ‘‘[Your name] Comments on Notice (September 25, 1987). Membership Access Act (‘‘CUMAA’’). (Pub. L. 105– of Proposed Rulemaking Regarding 2 NCUA Letter to Credit Unions 07–CU–12 (Dec. 219, 112 Stat. 913 (1998). CUMAA amended the CAMELS Rating System.’’ 2007). Federal Credit Union Act (‘‘the Act’’) to require the
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incorporating the NCUA’s risk-focused regarding credit unions’ sensitivity to component will not have any adverse exam approach.8 market risk and liquidity risk exposures. effect on a credit union’s CAMEL As balance sheets of credit unions The proposed addition would make the composite rating. The proposed have become larger and more complex, NCUA’s rating system more consistent separation of sensitivity to market risk the NCUA consistently provided with the other financial institution and liquidity risk into individual supervision and guidance regarding regulators’ ratings system both at the CAMELS rating components will reduce exposures to market risk to the credit federal and state levels.13 potential rating inconsistencies. union industry. The NCUA also advised Separating the ‘‘S’’ and ‘‘L’’ Currently, examiners combine the risk credit unions that IRR was a supervisory component ratings will allow NCUA to evaluation of these related, but separate, priority from 2012 through 2019. enhance the: risk areas into the ‘‘L’’ component. The Since 2012, the Board implemented • Monitoring of sensitivity to market separation into two components regulations that introduced standards risk and liquidity risk in the credit provides greater clarity of the and expectations affecting examiner union system; assessment of each risk area. The Board • procedures and the NCUA’s IRR Communication of specific anticipates the agency can make this assessment requirements. The NCUA’s concerns to individual credit unions; transition smoothly and without IRR rule became effective for credit and significant disruption to the exam 9 • unions in September 2012. The rule Allocation of resources. process or agency operations as early as requires credit unions that have more Evaluating, rating, and disclosing the first quarter of 2022. than $50 million in assets to maintain assessments of interest rate and a written IRR policy and an effective liquidity risks to credit union III. Summary of the Proposed Rule risk management program. The NCUA management is a long-standing The Board is proposing to add the ‘‘S’’ also finalized its derivatives rule in examination procedure at the NCUA. component to the existing CAMEL April 2014 providing authority for The proposed change to add the ‘‘S’’ rating system and redefine the current qualified federal credit unions to use provides greater transparency into the ‘‘L’’ component. Evaluation of these as financial derivatives to conduct hedging NCUA’s evaluation and conclusions individual components will enhance the activities to better optimize their regarding these two risks. communication and monitoring of interest rate risk management.10 In 2015, the NCUA Office of Inspector credit unions’ sensitivity to market risk The NCUA also implemented its General (OIG) recommended the and liquidity risk. The Board is revised IRR supervision program in addition of an ‘‘S’’ component to better requesting comments on this proposal, January 2017 11 incorporating the capture a credit union’s sensitivity to such as, but not limited to, the regulatory requirements from parts 741 market risk and improve clarity and definitions of both the ‘‘L’’ and ‘‘S’’ (IRR) and 703 (derivatives), enhancing transparency in the CAMEL rating components and the criteria for each of 14 examiner guidance, improving the system. The NCUA OIG also the specific 1–5 assigned ratings. For consistency of IRR ratings, and to recommended the NCUA revise its ‘‘L’’ example, the Board may consider identify outlier credit unions with component rating to reflect only modifying the rating descriptions used excessive risk levels. liquidity factors. for the ‘‘L’’ and ‘‘S’’ ratings used by the Also in 2015, the NCUA initiated a II. Rationale for Proposed Rule other banking agencies rating system comprehensive restructuring of its (The Uniform Financial Institutions The NCUA’s existing CAMEL rating supervision activities through the Rating System (UFIRS)), detailed below process addresses both sensitivity to Enterprise Solution Modernization in Sections IIA and IIB of this market risk and liquidity risk within the program (ESM). The ESM is a multi-year proposal.15 ‘‘L’’ component.12 While there is an introduction of emerging and secure interrelationship between sensitivity to technology solutions supporting the A. ‘‘S’’ Component for Sensitivity to market risk and liquidity risk, there are NCUA’s examination, data collection, Market Risk also differences that support separating and reporting efforts to improve key, The sensitivity to market risk reflects the risks into distinct components. The integrated business processes. The the exposure of a credit union’s current proposed rule would enhance the NCUA planned the implementation of and prospective earnings level and existing CAMEL rating system by the OIG’s 2015 CAMELS economic capital position arising from adding an ‘‘S’’ component to assess recommendations as part of the changes in market prices and the sensitivity to market risk and modify the development of a new examination general level of interest rates. Effective ‘‘L’’ component to include only platform, known as the Modern risk management programs include liquidity evaluation content and rating Examination and Risk Identification comprehensive interest rate risk criteria. Tool, or MERIT. The NCUA anticipates policies, appropriate and identifiable Adding an ‘‘S’’ component and completing the transition from its legacy risk limits, clearly defined risk modifying the ‘‘L’’ component will examination software to MERIT (which mitigation strategies, and a suitable provide greater clarity and transparency has been configured to support the ‘‘S’’ governance framework. in ‘‘CAMELS’’) in 2021. Other revisions Sensitivity to Market Risk ratings are NCUA to adopt, by regulation, a system of prompt to examiner supervision guidance and based on, but not limited to, the corrective action (PCA) consisting of minimum procedures will also be updated as part capital standards and corresponding remedies to following evaluation factors: improve the net worth of federally-insured ‘‘natural of the transition. • Sensitivity of a credit union’s person’’ credit unions. In general, the NCUA Board expects current and future earnings and 8 NCUA Letter to Credit Unions –03–CU–04 that adopting a sixth CAMELS rating economic value of capital to adverse (March 2003). changes in market prices and interest 9 77 FR 5155 (Feb. 2, 2012). 13 The banking regulators (Federal Reserve, FDIC, 10 rates; 79 FR 5228 (Jan 31, 2014). and OCC) each include the ‘‘S’’ component to • Management’s ability to identify, 11 Revised Interest Rate Risk Supervision √ evaluate sensitivity to market place risk. In National Credit Union Administration (ncua.gov) addition, 24 state supervisory authorities adopted measure, monitor, and control exposure 16–CU–08/October 2016. the ‘‘S’’ component. 12 NCUA Letter to Credit Unions 07–CU–12, 14 OIG–15–11 Review of NCUA’s Interest Rate 15 https://www.fdic.gov/regulations/laws/rules/ CAMEL Rating System. (Dec. 2007). Risk Program. 5000-900.html.
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to market risk considering a credit • The nature and complexity of scale of ‘‘1’’ to ‘‘5’’ using the same rating union’s size, complexity, and risk interest rate risk exposure. descriptions for ‘‘S’’ as the other profile; and Examiners will rate a credit union’s banking agencies. ‘‘S’’ CAMELS rating component on a
‘‘S’’ rating Description
1 ...... • Market risk sensitivity is well controlled and that there is minimal potential that the earnings performance or capital position will be adversely affected; • Risk management practices are strong for the size, sophistication, and market risk accepted by the institution; and • The level of earnings and capital provide substantial support for the degree of market risk taken by the institution. 2 ...... • Market risk sensitivity is adequately controlled and that there is only moderate potential that the earnings performance or capital position will be adversely affected; • Risk management practices are satisfactory for the size, sophistication, and market risk accepted by the institution; and • The level of earnings and capital provide adequate support for the degree of market risk taken by the institution. 3 ...... • Control of market risk sensitivity needs improvement or that there is significant potential that the earnings performance or capital position will be adversely affected; • Risk management practices need to be improved given the size, sophistication, and level of market risk accepted by the in- stitution; and • The level of earnings and capital may not adequately support the degree of market risk taken by the institution. 4 ...... • Control of market risk sensitivity is unacceptable or that there is high potential that the earnings performance or capital po- sition will be adversely affected; • Risk management practices are deficient for the size, sophistication, and level of market risk accepted by the institution; and • The level of earnings and capital provide inadequate support for the degree of market risk taken by the institution. 5 ...... • Control of market risk sensitivity is unacceptable or that the level of market risk taken by the institution is an imminent threat to its viability; and • Risk management practices are wholly inadequate for the size, sophistication, and level of market risk accepted by the in- stitution.
The Board also requests comments on liquidity to timely meet its financial commensurate with the complexity of the proposal to describing the ‘‘L’’ obligations and member share and loan the balance sheet and its capital component and the criteria used in demands. These practices should reflect adequacy. This includes evaluating the determining the 1–5 assigned ratings. the credit union’s ability to manage reporting mechanisms in place to B. ‘‘L’’ Component for Liquidity Risk unplanned changes in funding sources, monitor and control risk, management’s changes in market conditions affecting response when risk exposure In evaluating the adequacy of a credit its ability to quickly liquidate assets approaches or exceeds the credit union’s liquidity profile, examiners with minimal loss, ensure liquidity is union’s risk limits, and the prescribed consider the current and prospective maintained at a reasonable cost and sources of liquidity compared to corrective action taken when necessary. limit reliance on funding sources that funding needs and the adequacy of Examiners will rate a credit union’s liquidity risk management relative to a may not be available in times of ‘‘L’’ CAMELS rating component on a credit union’s size, complexity, and risk financial stress or adverse changes in scale of ‘‘1’’ to ‘‘5’’ using the same rating profile. A credit union’s liquidity risk market conditions. descriptions for ‘‘L’’ as the other management practices should ensure A credit union’s liquidity risk banking agencies. the credit union maintains sufficient management practices should also be
‘‘L’’ rating Description
1 ...... • Strong liquidity levels and well-developed funds management practices; and • The institution has reliable access to sufficient sources of funds on favorable terms to meet present and anticipated liquidity needs. 2 ...... • Satisfactory liquidity levels and funds management practices; • The institution has access to sufficient sources of funds on acceptable terms to meet present and anticipated liquidity needs; and • Modest weaknesses may be evident in funds management practices. 3 ...... • Liquidity levels or funds management practices in need of improvement; and • Institutions rated 3 may lack ready access to funds on reasonable terms or may evidence significant weaknesses in funds management practices. 4 ...... • Deficient liquidity levels or inadequate funds management practices; and • Institutions rated 4 may not have or be able to obtain a sufficient volume of funds on reasonable terms to meet liquidity needs. 5 ...... • Liquidity levels or funds management practices so critically deficient that the continued viability of the institution is threat- ened; and • Institutions rated 5 require immediate external financial assistance to meet maturing obligations or other liquidity needs.
The CAMEL rating system is not set Code of Federal Regulations (CFR). to safely support additional regulatory forth in a separate section or part in the NCUA regulations regularly refer to flexibility, or CAMEL composite ‘‘4’’ or NCUA’s regulations. Rather, references CAMEL composite ‘‘1’’ or ‘‘2’’ rated ‘‘5’’ rated credit unions, which warrant to CAMEL appear in several parts in the credit unions, which indicate the ability increased regulatory scrutiny.
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The Board is planning technical burdens or modify any existing § 700.2 [Amended] amendments to the following sections in paperwork burdens. ■ 2. In § 700.2, amend the definition of which the term ‘‘CAMEL’’ appears by ‘‘troubled condition’’, by removing the C. Executive Order 13132 changing the term to ‘‘CAMELS.’’ These word, ‘‘CAMEL’’, and adding, in its sections include: Executive Order 13132 encourages place, the word, ‘‘CAMELS’’, wherever • Section 700.2 definition of independent regulatory agencies to it appears. ‘‘Troubled condition’’ consider the impact of their actions on • Section 701.14 Change in official or state and local interests. In adherence to PART 701—ORGANIZATION AND senior executive officer in credit fundamental federalism principles, the OPERATION OF FEDERAL CREDIT unions that are newly chartered or are NCUA, an independent regulatory UNIONS in troubled condition agency as defined in 44 U.S.C. 3502(5), ■ • 3. The authority citation for part 701 Section 701.23 Purchase, sale, and voluntarily complies with the executive continues to read as follows: pledge of eligible obligations order. This rule will not have a • Section 703.13 Permissible substantial direct effect on the states, on Authority: 12 U.S.C. 1752(5), 1755, 1756, 1757, 1758, 1759, 1761a, 1761b, 1766, 1767, investment activities the connection between the national • 1782, 1784, 1786, 1787, 1788, 1789. Section Section 703.14 Permissible government and the states, or on the investments 701.6 is also authorized by 15 U.S.C. 3717. • distribution of power and Section 701.31 is also authorized by 15 Section 703.108 Eligibility responsibilities among the various • Section 704.4 Prompt corrective U.S.C. 1601 et seq.; 42 U.S.C. 1981 and 3601– levels of government. The NCUA has 3610. Section 701.35 is also authorized by 42 action determined this rule does not constitute U.S.C. 4311–4312. • Section 713.6 Fidelity Bond and a policy that has federalism Insurance Coverage for FCUS—What § 701.14 [Amended] implications for purposes of the is the permissible deductible? ■ executive order. 4. Amend § 701.14(b) by removing the In addition to amendments in the word, ‘‘CAMEL’’, and adding, in its CFR, the Board notes the agency will D. Assessment of Federal Regulations place, the word, ‘‘CAMELS’’, wherever modify certain documents and systems and Policies on Families it appears. related to its supervisory activities to The NCUA has determined that this reflect the addition of the ‘‘S’’ CAMEL § 701.23 [Amended] proposed rule will not affect family rating component. ■ 5. Amend § 701.23(b)(2) by removing well-being within the meaning of the word, ‘‘CAMEL’’, and adding, in its IV. Regulatory Procedures Section 654 of the Treasury and General place, the word, ‘‘CAMELS.’’ Government Appropriations Act, A. Regulatory Flexibility Act 1999.19 PART 703—INVESTMENT AND The Regulatory Flexibility Act DEPOSIT ACTIVITIES requires the NCUA to prepare an List of Subjects ■ analysis to describe any significant 12 CFR Part 700 6. The authority citation for part 703 economic impact a regulation may have continues to read as follows: on a substantial number of small Credit unions. Authority: 12 U.S.C. 1757(7), 1757(8), and entities.16 For purposes of this analysis, 12 CFR Part 701 1757(15). the NCUA considers small credit unions to be those having under $100 million Credit unions. Insurance. Reporting § 703.13 [Amended] in assets.17 This rule would not affect and recordkeeping requirements. ■ 7. Amend § 703.13(d)(3)(iii) by removing the word, ‘‘CAMEL’’, and FCUs regardless of asset size because it 12 CFR Part 703 is not adding any substantive adding, in its place, the word, requirement. Accordingly, the Credit unions. Investments. Reporting ‘‘CAMELS.’’ and recordkeeping requirements. associated cost is minimal. The NCUA § 703.14 [Amended] certifies the rule will not have a 12 CFR Part 704 ■ 8. Amend § 703.14 by removing the significant economic impact on small word, ‘‘CAMEL’’, and adding, in its credit unions. Corporate Credit Unions, Prompt Corrective Action. place, the word, ‘‘CAMELS’’, wherever B. Paperwork Reduction Act it appears. 12 CFR Part 713 The Paperwork Reduction Act of 1995 PART 704—CORPORATE CREDIT (‘‘PRA’’) applies to rulemakings in Bonds. Credit unions. Insurance. UNIONS which an agency by rule creates a new By the National Credit Union ■ paperwork burden on regulated entities Administration Board on January 14, 2021 9. The authority citation for part 704 or modifies an existing burden.18 For continues to read as follows: Melane Conyers-Ausbrooks, purposes of the PRA, a paperwork Authority: 12 U.S.C. 1766(a), 1781, 1789. burden may take the form of either a Secretary of the Board. reporting or a recordkeeping For the reasons discussed above, the § 704.4 [Amended] requirement, both referred to as Board proposes to amend 12 CFR parts ■ 10. Amend § 704.4(d)(3)(ii) by information collections. This proposed 700, 701, 703, 704, and 713 as follows: removing the word, ‘‘CAMEL’’, and rule imposes no new paperwork-related adding, in its place, the word, requirements. Therefore, this proposed PART 700—DEFINITIONS ‘‘CAMELS.’’ rule will not create new paperwork ■ 1. The authority citation for part 700 PART 713—FIDELITY BOND AND 16 5 U.S.C. 603(a). continues to read as follows: INSURANCE COVERAGE FOR 17 FEDERAL INSURED CREDIT UNIONS Interpretive Ruling and Policy Statement Authority: 12 U.S.C. 1752, 1757(6), 1766. (‘‘IRPS’’) 03–2, 68 FR 31949 (May 29, 2003) as amended by IRPS 13–1, 78 FR 4032 (Jan. 18, 2013). ■ 11. The authority citation for part 713 18 44 U.S.C. 3507(d); 5 CFR part 1320. 19 Public Law 105–277, 112 Stat. 2681 (1998). continues to read as follows:
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Authority: 12 U.S.C. 1761a, 1761b, proposed rulemaking is NCUA–2021– that generally outweigh the associated 1766(a), 1766(h), 1789(a)(11). 0010. Follow the instructions for costs. On August 7, 1998, Congress enacted § 713.6 [Amended] submitting comments. • Fax: (703) 518–6319. Include the Credit Union Membership Access ■ 12. Amend § 713.6 by removing the ‘‘[Your name] Comments on Act (CUMAA).1 CUMAA addressed word, ‘‘CAMEL’’, and adding, in its ‘‘Simplification of Risk Based Capital credit union capital adequacy standards place, the word, ‘‘CAMELS’’, wherever Requirements’’ in the transmittal. by adding section 216 to the Federal it appears. • Mail: Address to Melane Conyers Credit Union Act (FCUA).2 Section 216 [FR Doc. 2021–01396 Filed 3–8–21; 8:45 am] Ausbrooks, Secretary of the Board, directed the Board to adopt a regulation BILLING CODE 7535–01–P National Credit Union Administration, to establish a system of prompt 1775 Duke Street, Alexandria, Virginia corrective action (PCA) to restore the net 22314–3428. worth of all FICUs if they are NATIONAL CREDIT UNION • Hand Delivery/Courier: Same as inadequately capitalized. Section 216 ADMINISTRATION mail address. requires supervisory actions indexed to Public inspection: All public five statutory net worth categories, 12 CFR Parts 702 and 703 comments are available on the Federal ranging from well capitalized to [NCUA–2021–0010] eRulemaking Portal at http:// critically undercapitalized. The www.regulations.gov as submitted, mandatory actions and conditions RIN 3133–AF35 except as may not be possible for triggering conservatorship and liquidation are expressly prescribed by Simplification of Risk Based Capital technical reasons. Public comments will statute.3 To supplement the mandatory Requirements not be edited to remove any identifying or contact information. actions, section 216 charged the NCUA AGENCY: National Credit Union Due to social distancing measures in with developing discretionary actions Administration. effect, the usual opportunity to inspect which are comparable to the ACTION: Advance notice of proposed paper copies of comments in the discretionary safeguards available under rulemaking. NCUA’s law library is not currently section 38 of the Federal Deposit available. After social distancing Insurance Act—the statute that applies SUMMARY: The National Credit Union measures are relaxed, visitors may make PCA to other federally insured Administration (NCUA) Board (Board) an appointment to review paper copies depository institutions.4 is issuing this advance notice of by calling (703) 518–6540 or emailing Section 216(d)(1) of the FCUA proposed rulemaking (ANPR) to solicit [email protected]. requires that the NCUA’s PCA system comments on two approaches to FOR FURTHER INFORMATION CONTACT: include, in addition to the statutorily simplify its risk-based capital Policy: Thomas Fay, Director, Division defined net worth ratio requirement, ‘‘a requirements. The Board’s risk-based of Capital Markets, Office of risk-based net worth requirement’’ for capital requirements are set forth in a credit unions that are complex, as Examination and Insurance, at (703) 5 final rule dated October 29, 2015, which 518–1179; Legal: Rachel Ackmann, at defined by the Board. The FCUA directs the NCUA to base its definition is currently scheduled to become (703) 548–2601 or Ariel Pereira, at (703) of ‘‘complex’’ credit unions ‘‘on the effective on January 1, 2022. The 548–2778; or by mail at National Credit portfolios of assets and liabilities of delayed effective date has provided the Union Administration, 1775 Duke credit unions.’’ 6 If a credit union is not Board with additional time to evaluate Street, Alexandria, Virginia 22314. classified as complex, as defined by the the capital standards for federally- SUPPLEMENTARY INFORMATION: insured credit unions (FICUs) that are NCUA, it is not subject to a risk-based I. Background net worth requirement. The NCUA classified as ‘‘complex’’ (those with total II. This ANPR assets greater than $500 million). The III. Legal Authority implemented the regulatory PCA system first approach would replace the risk- IV. Risk-Based Leverage Ratio (RBLR) mandated by section 216 through a final 7 based capital rule with a Risk-based V. Complex Credit Union Leverage Ratio rule published on February 18, 2000. Leverage Ratio (RBLR) requirement, (CCULR) The NCUA’s PCA regulations are which uses relevant risk attribute VI. Timeline codified in 12 CFR part 702. thresholds to determine which complex VII. Conclusion Following the 2007–2009 recession, the NCUA substantially reevaluated the credit unions would be required to hold I. Background capital adequacy standards codified in additional capital (buffers). The second Capital adequacy standards are a approach would retain the 2015 risk- part 702. On October 29, 2015, the prudential tool to protect the safety and Board published a final rule based capital rule but enable eligible soundness of individual credit unions complex FICUs to opt-in to a ‘‘complex restructuring the PCA regulations (2015 and the credit union system as a whole. Final Rule).8 The overarching intent of credit union leverage ratio’’ (CCULR) Capital serves as a buffer for credit framework to meet all regulatory capital unions to prevent institutional failure 1 Public Law 105–219, 112 Stat. 913 (1998). requirements. The CCULR approach during times of stress. During a financial 2 The FCUA is codified at 12 U.S.C. 1751 et seq. would be modeled on the ‘‘Community crisis, a buffer can mean the difference Section 216 of the act is codified at 12 U.S.C. Bank Leverage Ratio’’ framework, which between the financial institution 1790d. is available to certain banks. 3 12 U.S.C. 1790d(e), (f), (g), (i); 12 U.S.C. surviving or failing. Higher levels of 1786(h)(1)(F), 1787(a)(3)(A). DATES: Comments must be received on capital insulate credit unions from the 4 12 U.S.C. 1790d(b)(1)(A). Section 38 of the FDI or before May 10, 2021. effects of adverse developments in Act, 12 U.S.C. 1831o, was added by section 131 of ADDRESSES: You may submit comments, assets and liabilities, allowing credit the Federal Deposit Insurance Corporation Improvement Act, Public Law 102–242, 105 Stat. by any of the following methods (Please unions to continue to serve as credit 2236 (1991). send comments by one method only): providers during times of stress without 5 • 12 U.S.C. 1790d(d)(1). Federal eRulemaking Portal: http:// government intervention. Higher levels 6 12 U.S.C. 1790d(d). www.regulations.gov. The docket of capital also reduce the probability of 7 65 FR 8560 (Feb. 18, 2000). number for this advance notice of a systemic crisis, producing benefits 8 80 FR 66626 (Oct. 29, 2015).
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the 2015 Final Rule was to reduce the capital requirements of the 2015 Final entirety. The RBLR approach uses likelihood that a relatively small Rule. The 2018 Supplemental Rule also relevant risk attribute thresholds to number of high-risk credit unions delayed the effective date of the 2015 determine which complex FICUs would would exhaust their capital and cause Final Rule for one year (from January 1, be required to hold an additional capital large losses to the National Credit Union 2019, to January 1, 2020). buffer above what is currently specified Share Insurance Fund (NCUSIF). Under The effective date was delayed a in the PCA regulations. The CCULR the FCUA, FICUs are collectively second time through a final rule approach would retain the 2015 Final responsible for replenishing losses to published on December 17, 2019 (2019 Rule, but would enable eligible complex the NCUSIF.9 Supplemental Rule).14 The amendments FICUs to opt-into a framework to meet The 2015 Final Rule restructured the are now scheduled to become effective all regulatory capital requirements. NCUA’s current capital adequacy on January 1, 2022. The delay has Accordingly, the two approaches regulations and made various revisions, provided credit unions and the NCUA outlined are mutually exclusive, and the including amending the agency’s risk- with additional time to implement the CCULR would not be available under based net worth requirement, by 2015 Final Rule. Further, as explained the RBLR. replacing a credit union’s risk-based net in the 2019 Supplemental Rule, the This ANPR also poses questions worth ratio with a risk-based capital delay provided the Board additional designed to garner critical insight into ratio.10 The risk-based capital time to evaluate the NCUA’s capital how stakeholders view the implicit requirements in the 2015 Final Rule are standards for credit unions.15 The 2019 tradeoff between a reduction in the more consistent with the NCUA’s risk- Supplemental Rule provided several complexity and burden of the capital based capital ratio measure for corporate examples of issues the Board would requirements in exchange for holding credit unions, and are more comparable consider during the delay, including potentially higher amounts of to the risk-based capital measures asset securitization, the implementation mandatory capital above the seven implemented by the Federal Deposit of the Financial Accounting Standards percent net worth ratio necessary to be Insurance Corporation (FDIC), Board of Board’s final current expected credit classified as well capitalized. The Board Governors of the Federal Reserve loss (CECL) methodology, and would benefit from hearing the views of System (Federal Reserve Board), and amendments to the 2015 Final Rule for FICUs on these possible enhancements Office of the Comptroller of Currency subordinated debt. Additionally, the now, to allow time to disseminate one (OCC) (collectively, the other banking delay provided additional time for the of these approaches before the 2015 agencies).11 NCUA to prepare for internal Final Rule is scheduled to take effect. The risk-based capital provisions of modernization projects to support the The Board also invites any other the 2015 Final Rule apply only to credit 2015 Final Rule.16 The proposed rule recommendations that might similarly unions that are ‘‘complex,’’ which the also stated the Board would use the provide regulatory relief without rule defined as those with total assets delay to consider whether a community diminishing the efficacy of its capital 12 over $100 million. On November 6, bank leverage ratio (CBLR) analog regulation and standards. 2018,13 the Board published a should be integrated into the NCUA’s III. Legal Authority supplemental final rule that raised the capital standards.17 threshold level for a ‘‘complex’’ credit The Board is issuing this ANPR union to $500 million (2018 II. This ANPR pursuant to its authority under the Supplemental Rule). Therefore, only The ANPR is an invitation from the FCUA. Under the FCUA, the NCUA is credit unions with over $500 million in Board to participate in shaping potential the chartering and supervisory authority assets are now subject to the risk-based changes to the 2015 Final Rule. The for Federal credit unions and the federal Board has interacted with stakeholders supervisory authority for state-chartered 9 See 12 U.S.C. 1782(c)(2)(A). The FCUA requires on the subject of capital requirements FICUs.18 The FCUA grants the NCUA a that each FICU pay an insurance premium equal to going back to 1998, when Congress broad mandate to issue regulations a percentage of the FICU’s insured shares to governing both Federal credit unions establish sufficient reserves in the NCUSIF to pay established the PCA requirements for potential share insurance claims, and to provide FICUs. There have been several NCUA and all FICUs. For example, section 120 assistance in connection with the liquidation or rulemakings regarding capital of the FCUA is a general grant of threatened liquidation of FICUs in troubled requirements since 1998. Stakeholders regulatory authority and authorizes the condition. Board to prescribe rules and regulations 10 have made it clear to the Board that any For purposes of this ANPR, the term ‘‘risk- 19 based net worth requirement’’ is used in reference capital requirements should be: Tailored for the administration of the FCUA. to the statutory requirement for the Board to design to the unique risks of credit unions; Other provisions of the FCUA, such as a capital standard that accounts for variations in the simple in structure; and, designed to section 216, confer specific rulemaking risk profile of complex credit unions. The term authority to address prescribed issues or ‘‘risk-based capital ratio’’ is used to refer to the avoid unnecessary regulatory burden. 20 specific standards established in the 2015 Final This consistent feedback, tempered by circumstances. Accordingly, the Rule to function as criteria for the statutory risk- the Board’s ongoing commitment to FCUA grants the Board broad based net worth requirement. The term ‘‘risk-based rulemaking authority to protect the capital ratio’’ is also used by the other banking adapt and improve capital standards based upon stakeholder input and safety and soundness of the credit union agencies and the international banking community industry and the NCUSIF. This ANPR is when referring to the types of risk-based lessons learned, remains a driving requirements that are addressed in the 2015 Final impetus behind this ANPR. being issued under both the general Rule. This change in terminology throughout the As noted above, this ANPR invites ANPR is intended only to reduce confusion for the 18 comments on the RBLR and CCULR 12 U.S.C. 1752–1775. reader. 19 12 U.S.C. 1766(a). 11 The Federal Reserve Board and OCC issued a approaches to the risk-based capital 20 Other provisions of the FCUA providing the joint final rule on October 11, 2013 (78 FR 62018), requirements. The RBLR approach Board with specific rulemaking authority include and the FDIC issued a substantially identical would replace the 2015 Final Rule in its section 207 (12 U.S.C. 1787), which is a specific interim final rule on September 10, 2013 (78 FR grant of authority over share insurance coverage, 55340). On April 14, 2014 (79 FR 20754), the FDIC 14 conservatorships, and liquidations. Section 209 (12 adopted the interim final rule as a final rule with 84 FR 68781 (Dec. 17, 2019). U.S.C. 1789) grants the Board plenary regulatory no substantive changes. 15 Id. at 68782. authority to issue rules and regulations necessary or 12 See, supra note 8. 16 Id. appropriate to carry out its role as share insurer for 13 83 FR 55467 (Nov. 6, 2018). 17 Id. all FICUs.
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rulemaking authority conferred by (1) Complies with all applicable ratio as the RBLR measurement, which section 120 of the FCUA and as statutory and legal requirements, is already a well-established, simplified, discussed in this preamble, the more including the statutory PCA and observable measurement. The net specific grant of authority under section requirements; worth ratio would be supplemented 216. (2) is easier to understand and use; with mandatory capital buffers when and certain risk factors are triggered. This IV. Risk-Based Leverage Ratio (RBLR) (3) effectively identifies risk approach, illustrated in the chart below, A. Overview of RBLR Approach characteristics that trigger would require an extra cushion of commensurate capital requirements. capital buffers over and above the seven As an alternative to the 2015 Final The RBLR approach would utilize percent net worth ratio standard for Rule, the Board is seeking comment on certain risk characteristics to determine classification as well capitalized when a simplified capital framework that the required capital level. This approach certain characteristics inherent in a satisfies the risk-based net worth differs from the 2015 Final Rule, where FICU’s balance sheet exceed specified requirement for complex FICUs. The all assets and certain off-balance sheet thresholds. The amount of the capital Board’s intention for the RBLR approach activities are categorized into risk buffer would be a discreet percentage of is to simplify the regulatory risk-based groups and then risk-weighted to net worth-to-total assets over seven capital requirements, while ensuring the produce a risk-based ratio. The Board is percent and would be a mandatory overall capital framework: also considering using the net worth capital requirement.
The Board is considering basing the thresholds that would trigger a capital into a three-tiered system of minimum RBLR risk factors on the asset categories buffer. The buffer amount might also leverage ratios for all complex FICUs. from the 2015 Final Rule, which utilize vary based on the level of the applicable The minimum leverage ratio necessary higher risk weightings. For example, threshold. For example, if a FICU held to be well capitalized under RBLR there are a number of risk-based capital a certain amount of commercial loans as would remain at seven percent, with categories under the 2015 Final Rule a percentage of assets that triggered a two higher tiers applied to those that receive a risk weighting greater than ‘‘Buffer A’’ capital requirement, then the complex credit unions exhibiting 100 percent. These categories include: FICU would be required to hold a higher quantified amounts of higher relative • Non-current loans, net worth ratio to maintain a well- risk. The defining risk attributes would • commercial loans exceeding 50 capitalized classification. However, if a be a function of the types and percent of assets, second and higher threshold were concentration of underlying assets. • junior lien real estate loans established for commercial loans, then it Basing the RBLR on the net worth exceeding 20 percent of assets, is possible that the FICU will be ratio would significantly reduce the Call • mortgage servicing rights, and required to hold an additional amount Report requirements and utilize a • other investment activities. of capital above the first buffer amount measurement that FICUs are already The Board may also consider other (Buffer B). familiar with. However, while an RBLR asset concentration risk factors in The Board’s intention is that the approach would be simpler, it may also developing risk thresholds. RBLR will streamline compliance with result in a higher capital requirement for As previously mentioned, the Board capital requirements without sacrificing certain FICUs that have riskier assets seeks a reduction in the administrative the safety and efficacy of the overall when compared to the risk-based capital burden of categorizing all assets and off- capital regime. As envisioned, the framework. The Board welcomes input balance balances into risk categories. greater simplicity would come from on which asset types and concentrations The RBLR approach would identify converting the current computational stakeholders view as most significant to certain risk factors and establish framework for complex credit unions establish capital buffers in excess of the
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seven percent threshold. The Board also design of the approach and the relevant 4. Trading assets plus trading welcomes views on the practicality of legal and policy considerations. liabilities of five percent or less of its having discreet thresholds above seven The Board would be required to total consolidated assets; and percent to guard against higher risk, and evaluate the ability of non-LICU 5. Not an advanced approaches striking the right balance between complex credit unions to use a banking organization.26 adequate buffers and the efficient subordinated debt instrument for the The CBLR Final Rule refers to the allocation of capital. RBLR, as the FCUA includes a depository institutions and depository definition of ‘‘net worth,’’ which only Question 1: The Board invites institution holding companies that meet allows LICUs to include such comments on the merits of these regulatory criteria as ‘‘qualifying instruments in their net worth. The incorporating the RBLR approach as an community banking organizations.’’ potential absence of utility for non-LICU alternative to the risk-based capital Qualifying community banking complex credit unions and the framework under the 2015 Final Rule. organizations that opt into the CBLR structural changes resulting from the What risk characteristics should be framework are considered to be in repeal of the 2015 Final Rule may incorporated into the RBLR? Are the compliance with the other banking require amendments to the higher risk-weighted asset categories agencies’ generally applicable risk-based Subordinated Debt Rule. However, the from the risk-based capital framework and leverage capital requirements. Board notes the Subordinated Debt rule the correct starting point, or should the Further, for the purposes of section 38 would not need to be modified with 27 Board consider a different approach? of the Federal Deposit Insurance Act, respect to non-complex LICUs and new these qualifying banking organizations Question 2: The Board invites credit unions. Changes to the will have met the well-capitalized ratio comments on what risk thresholds Subordinated Debt rule would be requirements. In exchange, the should be used for the risk factors. What focused on moving the rule from its qualifying banking organization must measurements should be used and how current location in the 2015 risk-based maintain a greater amount of capital would the measurement be reported and capital rule, removing references to the than normally required to be deemed monitored? Should there be more than risk-based capital rule, and amending well capitalized. Qualifying community one capital buffer for a risk factor based the rule for possible use by complex banking organizations may opt into or on the measurement? How would credit unions of Subordinated Debt to out of the CBLR framework at any time. multiple measurements be combined or meet any proposed RBLR. The CBLR Final Rule includes a two- weighted to determine the threshold? Question 4: The Board invites quarter grace period during which a Question 3: The Board invites comments on how a non-LICU complex qualifying community banking comments on what capital buffers over credit union may be able to apply organization that temporarily fails to the well-capitalized seven percent subordinated debt towards an RBLR meet any of the qualifying criteria, capital calculation. threshold should be used? including the greater than nine percent V. Complex Credit Union Leverage leverage ratio requirement, will still be B. Impact of RBLR on Subordinated Ratio (CCULR) deemed well capitalized. However, the Debt Final Rule Section 201 of the Economic Growth, qualifying community banking The Board recognizes that any Regulatory Relief, and Consumer organization must maintain a leverage changes to the regulatory capital Protection Act directed the other ratio greater than eight percent. At the framework have potential consequences banking agencies to propose a end of the grace period, the banking for other NCUA rulemakings. Other than simplified, alternative measure of organization must meet all qualifying the changes required to implement any capital adequacy for certain federally criteria to remain in the CBLR regulatory capital framework changes, insured banks.23 On November 13, framework or otherwise must comply the Board believes the RBLR approach 2019, the other banking agencies issued with and report under the generally would require the NCUA to modify its a final rule implementing this statutory applicable risk-based and leverage recent final rulemaking regarding directive (CBLR Final Rule).24 capital requirements. Similarly, a subordinated debt (Subordinated Debt The CBLR is an optional framework to banking organization that fails to Rule).21 The Subordinated Debt Rule is the risk-based capital requirements for maintain a leverage ratio greater than a direct amendment to the 2015 Final depository institutions and depository eight percent will not be permitted to Rule. As such, elimination of the 2015 institution holding companies that meet use the grace period and must comply Final Rule would alter the form and the following criteria: with the generally applicable capital structure of the Subordinated Debt Rule. 1. A leverage ratio (equal to tier 1 requirements and file the appropriate Further, the current Subordinated Debt capital divided by average total regulatory reports. Rule allows a complex credit union that consolidated assets) of greater than nine In March 2020, the CBLR was is not designated as a ‘‘low-income percent; 25 temporarily set to eight percent by credit union’’ (LICU) to issue 2. Total consolidated assets of less statute.28 Accordingly, effective the subordinated debt to include in the risk- than $10 billion; second quarter of 2020, the CBLR based capital numerator.22 In an RBLR 3. Total off-balance sheet exposures of requirement was eight percent or approach, non-LICU complex credit 25 percent or less of its total greater.29 Banking organizations are still unions may or may not be able to apply consolidated assets; subordinated debt towards a capital 26 Advanced approaches banking organizations 23 Public Law 115–174 (May 24, 2018). Section are generally those with at least $250 billion in total calculation, depending on the ultimate 201 is codified at 12 U.S.C. 5371 note. consolidated assets or at least $10 billion in total 24 84 FR 61776 (Nov. 13, 2019). on-balance sheet foreign exposure, and depository 21 The final rule was approved by the Board at the 25 Under section 4012 of Public Law 116–136 institution subsidiaries of those firms. December 17, 2020 meeting. See, https:// (Mar. 27, 2020), the CBLR was temporarily set to 27 As noted previously, this is the statute that www.ncua.gov/files/agenda-items/ 8 percent. See, 85 FR 22924 (Apr. 23, 2020). Under applies PCA to federally insured depository AG20201217Item5b.pdf. the statute, the temporary CBLR of 8 percent institutions, as defined under the Federal Deposit 22 Subject to a 20 percent per annum discounting expired on December 31, 2020. The CBLR will Insurance Act. of outstanding Subordinated Debt once the transition back to 9 percent during calendar year 28 Supra, note 22. remaining maturity is less than five years. 2021. See, 85 FR 22930 (Apr. 23, 2020). 29 See, 85 FR 22924 (Apr. 23, 2020).
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subject to a two-quarter grace period if eligibility. Should the Board adopt the VI. Timeline they do not meet any of the eligibility same qualifying criteria as established As discussed above, the 2015 Final criteria and may remain under the CBLR by the other banking agencies for the Rule will be effective January 1, 2022. framework, provided that their leverage CBLR? In recommending qualifying The Board expects that any final rule ratio is above seven percent during the criteria regarding a credit union’s risk developed in response to this ANPR grace period. Beginning in 2021, the profile, please provide information on would be issued before the effective CBLR requirement will be 8.5 percent or how the qualifying criteria should be date of the 2015 Final Rule. greater and the minimum requirement considered in conjunction with the Accordingly, the Board expects that any during the grace period will be 7.5 calibration of the CCULR level under notice of proposed rulemaking issued in percent.30 Beginning in 2022, the CBLR question 7, below. response to this ANPR would be issued requirement will return to nine percent Question 7: What assets and liabilities by midyear of 2021. Once comments are and the minimum requirement during on a FICU’s Call Report should the received, the Board will evaluate the the grace period will return to eight Board consider in determining the net comments and direct NCUA staff to percent. worth threshold? How should each of move forward in drafting any proposed In the preamble to the 2019 these items be weighted? Supplemental Rule, the Board explained rule to meet this timeline. that it might consider a capital standard Question 8: What are the advantages VII. Conclusion analog to the CBLR framework and disadvantages of using the net The Board is committed to tailoring developed by the other banking worth ratio as the measure of capital agencies—referred to in this ANPR as adequacy under the CCULR? Should the its capital requirements to the unique CCULR. The CCULR approach would be Board consider alternative measures for features of credit unions. The two based on the principles of the CBLR the CCULR? For example, instead of the approaches outlined in this ANPR are framework and, for complex credit existing net worth definition, the CCULR designed to accomplish this goal unions that meet specified qualifying could use the risk-based capital ratio without reducing the effectiveness of criteria and have opted into the numerator from the 2015 Final Rule, the Board’s capital standards. The RBLR approach, would provide relief from the similar to the ‘‘Tier 1 Capital’’ measure approach would replace the 2015 Final requirement to calculate a risk-based used for banking institutions. Rule risk-based capital requirements capital ratio, as implemented by the Question 9: Should all complex credit using relevant risk attribute thresholds 2015 Final Rule. In exchange, the unions be eligible for the CCULR, or that would require additional capital qualifying complex credit union would should the Board limit eligibility to a buffers. The CCULR would enable be required to maintain a higher net subset of these credit unions? For eligible complex FICUs to opt-into a worth ratio than is otherwise required example, the Board could consider framework to meet all regulatory capital for the well-capitalized classification. limiting eligibility to the CCULR requirements. The Board invites This is a similar trade-off to the one approach to only complex credit unions comments on these two options, as well made by qualifying community banking with less than $10 billion in total assets. as on any other recommendations that might similarly accomplish the goals organizations under the CBLR. Question 10: The Board invites As noted above, the 2015 Final Rule outlined in this ANPR. All comments comment on the procedures a qualifying is scheduled to take effect on January 1, will be considered in the development complex credit union would use to opt 2022. Accordingly, a CCULR approach of a future proposed rule. into or out of the CCULR approach. would be parallel to the 2015 Final Rule What are commenters’ views on the By the National Credit Union and would not take effect until January Administration Board, this 14th day of frequency with which a qualifying 1, 2022. Qualifying complex credit January, 2021. complex credit union may opt into or unions would not be able to opt into the Melane Conyers Ausbrooks, out of the CCULR approach? What are proposed CCULR approach prior to this the operational or other challenges Secretary of the Board. effective date. associated with switching between [FR Doc. 2021–01397 Filed 3–8–21; 8:45 am] In designing the CCULR, the Board frameworks? BILLING CODE P would seek to further the goal of the FCUA’s PCA requirements by requiring Question 11: The Board invites that complex credit unions continue to comment on the treatment for a hold capital commensurate with their complex credit union that no longer DEPARTMENT OF TRANSPORTATION meets the definition of a qualifying risks, while minimizing the burden Federal Aviation Administration associated with complying with the complex credit union after opting into the CCULR approach. Should the Board NCUA’s risk-based capital requirement. 14 CFR Part 39 The Board welcomes comments on a consider requiring complex credit possible adoption of the CCULR and, in unions that no longer meet the [Docket No. FAA–2020–0991; Project particular, seeks input on the following qualifying criteria to begin to calculate Identifier AD–2020–00539–A] issues: their assets immediately according to RIN 2120–AA64 Question 5: The Board invites the risk-based capital ratio? Should the comments on the merits of Board provide a grace period for these Airworthiness Directives; Mooney incorporating the CCULR in its capital credit unions to come back into International Corporation Airplanes adequacy regulations. Should the NCUA compliance with the CCULR and, if so, capital framework be amended to adopt how long of a grace period is AGENCY: Federal Aviation an ‘‘off-ramp’’ such as the CCULR to the appropriate? What other alternatives Administration (FAA), DOT. risk-based capital requirements of the should the Board consider with respect ACTION: Notice of proposed rulemaking 2015 Final Rule? to a complex credit union that no longer (NPRM). Question 6: The Board invites meets the definition of a qualifying comment on the criteria for CCULR complex credit union and why? Is SUMMARY: The FAA proposes to adopt a notification that a credit union will not new airworthiness directive (AD) for 30 See, 85 FR 22930 (Apr. 23, 2020). meet the qualifying criteria necessary? certain Mooney International
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Corporation (Mooney) Model M20V Comments Invited turbocharger right-hand (RH) exhaust airplanes. This proposed AD was The FAA invites you to send any crossover tube. In one instance, this prompted by reports of short circuit and written relevant data, views, or contact caused arcing of the alternator arcing of the alternator main power arguments about this proposal. Send main power cable and created a hole in cable in the engine compartment. This your comments to an address listed the RH exhaust crossover tube, which condition, if unaddressed, could result under ADDRESSES. Include ‘‘Docket No. may result in a fire hazard. A damaged in a fire hazard, loss of engine thrust FAA–2020–0991; Project Identifier AD– crossover tube may also decrease control, and reduced control of the 2020–00539–A’’ at the beginning of your effectiveness of the turbochargers and airplane. This proposed AD would comments. The most helpful comments cause complete loss of engine power at require inspecting the alternator main reference a specific portion of the higher altitudes (above 9,000 ft. above power cable and the exhaust crossover proposal, explain the reason for any sea level). This condition, if not tube for damage, replacing damaged recommended change, and include addressed, could result in an inflight parts as necessary, and installing an supporting data. The FAA will consider fire and loss of engine thrust control, additional alternator cable clamp. The all comments received by the closing which may lead to reduced control of FAA is proposing this AD to address the date and may amend this proposal the airplane. unsafe condition on these products. because of those comments. Related Service Information Under 1 DATES: The FAA must receive comments Except for Confidential Business CFR Part 51 on this proposed AD by April 23, 2021. Information (CBI) as described in the The FAA reviewed Mooney ADDRESSES: following paragraph, and other You may send comments, International Corporation Service using the procedures found in 14 CFR information as described in 14 CFR 11.35, the FAA will post all comments Bulletin M20–340C, dated February 14, 11.43 and 11.45, by any of the following 2020 (SB M20–340C). The service methods: received, without change, to https:// www.regulations.gov, including any information specifies inspecting the • Federal eRulemaking Portal: Go to personal information you provide. The alternator main power cable and the https://www.regulations.gov. Follow the agency will also post a report exhaust crossover tube for damage and instructions for submitting comments. replacing damaged parts as necessary. • summarizing each substantive verbal Fax: (202) 493–2251. contact received about this NPRM. The service information also contains • Mail: U.S. Department of procedures for modifying the alternator Transportation, Docket Operations, Confidential Business Information main power cable routing by installing M–30, West Building Ground Floor, CBI is commercial or financial an additional alternator cable clamp, Room W12–140, 1200 New Jersey information that is both customarily and part number MS21919WCJ6. Avenue SE, Washington, DC 20590. actually treated as private by its owner. This service information is reasonably • Hand Delivery: Deliver to Mail Under the Freedom of Information Act available because the interested parties address above between 9 a.m. and 5 (FOIA) (5 U.S.C. 552), CBI is exempt have access to it through their normal p.m., Monday through Friday, except from public disclosure. If your course of business or by the means Federal holidays. comments responsive to this NPRM identified in the ADDRESSES section. For service information identified in contain commercial or financial FAA’s Determination this NPRM, contact Mooney information that is customarily treated International Corporation, 165 Al as private, that you actually treat as The FAA is issuing this NPRM after Mooney Road, North Kerrville, TX private, and that is relevant or determining the unsafe condition 78028; phone: (800) 456–3033; email: responsive to this NPRM, it is important described previously is likely to exist or [email protected]. You may view that you clearly designate the submitted develop in other products of the same this service information at the FAA, comments as CBI. Please mark each type design. Airworthiness Products Section, page of your submission containing CBI Operational Safety Branch, 901 Locust, as ‘‘PROPIN.’’ The FAA will treat such Proposed AD Requirements in This Kansas City, MO 64106. For information marked submissions as confidential NPRM on the availability of this material at the under the FOIA, and they will not be This proposed AD would require FAA, call (816) 329–4148. placed in the public docket of this accomplishing the actions specified in NPRM. Submissions containing CBI Examining the AD Docket the service information described should be sent to Jacob Fitch, Aviation previously, except as discussed under You may examine the AD docket at Safety Engineer, Fort Worth ACO ‘‘Differences Between this Proposed AD https://www.regulations.gov by Branch, FAA, 10101 Hillwood Pkwy., and the Service Information.’’ searching for and locating Docket No. Fort Worth, TX 76177. Any commentary FAA–2020–0991; or in person at Docket that the FAA receives which is not Differences Between This Proposed AD Operations between 9 a.m. and 5 p.m., specifically designated as CBI will be and the Service Information placed in the public docket for this Monday through Friday, except Federal SB M20–340C specifies sending a rulemaking. holidays. The AD docket contains this compliance card to Mooney upon NPRM, any comments received, and Background completing the actions in the service other information. The street address for information. This proposed AD would Docket Operations is listed above. The FAA received a report that two Mooney Model M20V airplanes had not require that action. FOR FURTHER INFORMATION CONTACT: short circuit arcing of the alternator Costs of Compliance Jacob Fitch, Aviation Safety Engineer, main power cable in the engine Fort Worth ACO Branch, FAA, 10101 compartment. Mooney determined the The FAA estimates that this AD, if Hillwood Pkwy., Fort Worth, TX 76177; alternator main power cable was adopted as proposed, would affect 18 phone: (817) 222–4130; fax: (817) 222– incorrectly positioned with slack in the airplanes of U.S. registry. 5245; email: [email protected]. cable and allowed contact between the The FAA estimates the following SUPPLEMENTARY INFORMATION: alternator main power cable and costs to comply with this proposed AD:
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ESTIMATED COSTS
Cost per Cost on U.S. Action Labor cost Parts cost product operators
Inspect the cable and exhaust crossover tube .5 work-hour × $85 per hour = $42.50 ...... $0 $42.50 $765 for damage. Install additional cable clamp ...... 5 work-hour × $85 per hour = $42.50 ...... 10 52.50 945
The FAA estimates the following based on the results of the proposed determining the number of aircraft that costs to do any necessary repairs/ inspection. The agency has no way of might need these repairs/replacements: replacements that would be required
ON-CONDITION COSTS
Cost per Action Labor cost Parts cost product
Replace alternator main power cable ...... 8 work-hours × $85 per hour = $680 ...... $1,000 $1,680 Replace exhaust crossover tube ...... 8 work-hours × $85.00 per hour = $680 ...... 2,500 3,180
The FAA has included all known (1) Is not a ‘‘significant regulatory (d) Subject costs in its cost estimate. According to action’’ under Executive Order 12866, Joint Aircraft System Component Code the manufacturer, however, some of the (2) Would not affect intrastate 2400, Electrical Power System. aviation in Alaska, and costs of this proposed AD may be (e) Unsafe Condition covered under warranty, thereby (3) Would not have a significant reducing the cost impact on affected economic impact, positive or negative, This AD was prompted by reports of short on a substantial number of small entities circuit and arcing of the alternator main operators. power cable in the engine compartment. The under the criteria of the Regulatory Authority for This Rulemaking FAA is issuing this AD to prevent arcing of Flexibility Act. the alternator main power cable in the engine Title 49 of the United States Code List of Subjects in 14 CFR Part 39 compartment. This condition, if not specifies the FAA’s authority to issue addressed, could result in an inflight fire and rules on aviation safety. Subtitle I, Air transportation, Aircraft, Aviation loss of engine thrust control, which may lead section 106, describes the authority of safety, Incorporation by reference, to reduced control of the airplane. the FAA Administrator. Subtitle VII: Safety. (f) Compliance Aviation Programs, describes in more The Proposed Amendment Comply with this AD before further flight detail the scope of the Agency’s Accordingly, under the authority after the effective date of this AD, unless authority. delegated to me by the Administrator, already done. The FAA is proposing this rulemaking the FAA proposes to amend 14 CFR part (g) Required Actions under the authority described in 39 as follows: (1) Inspect the alternator main power cable Subtitle VII, Part A, Subpart III, Section and the exhaust crossover tube for burn 44701: General requirements. Under PART 39—AIRWORTHINESS marks, chafing, holes, and cracks, and that section, Congress charges the FAA DIRECTIVES replace any cable and crossover tube that has with promoting safe flight of civil a burn mark, chafing, a hole, or a crack. aircraft in air commerce by prescribing ■ 1. The authority citation for part 39 (2) Install an additional alternator cable regulations for practices, methods, and continues to read as follows: clamp part number MS21919WCJ6 and procedures the Administrator finds Authority: 49 U.S.C. 106(g), 40113, 44701. ensure correct routing of the alternator main necessary for safety in air commerce. power cable by following steps 1.5. through This regulation is within the scope of § 39.13 [Amended] 1.9. of the Instructions in Mooney ■ 2. The FAA amends § 39.13 by adding International Corporation Service Bulletin that authority because it addresses an M20–340C, dated February 14, 2020. unsafe condition that is likely to exist or the following new airworthiness develop on products identified in this directive: (h) Special Flight Permit rulemaking action. Mooney International Corporation: Docket A special flight permit may be issued with No. FAA–2020–0991; Project Identifier the following limitations: Regulatory Findings AD–2020–00539–A. (1) Flights must not carry passengers; The FAA determined that this (2) Operation in daytime visual (a) Comments Due Date meteorological conditions only; proposed AD would not have federalism The FAA must receive comments on this (3) Straight and level flight must be implications under Executive Order airworthiness directive (AD) by April 23, maintained; 13132. This proposed AD would not 2021. (4) Operation in areas of known turbulence have a substantial direct effect on the prohibited; and States, on the relationship between the (b) Affected ADs (5) Altitude limited to 9,000 ft. above sea national government and the States, or None. level. on the distribution of power and (c) Applicability (i) Alternative Methods of Compliance responsibilities among the various This AD applies to Mooney International (AMOCs) levels of government. Corporation Model M20V airplanes, serial (1) The Manager, Fort Worth ACO Branch, For the reasons discussed above, I numbers 33–0001 through 33–0018, FAA, has the authority to approve AMOCs certify this proposed regulation: certificated in any category. for this AD, if requested using the procedures
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found in 14 CFR 39.19. In accordance with helicopter to add an operating limitation for Model 206B helicopters—inserting 14 CFR 39.19, send your request to your when a litter kit is installed to prohibit RFMS BHT–206B–FMS–8, dated principal inspector or local Flight Standards flight with the doorpost removed to December 30, 2009, into RFM BHT– District Office, as appropriate. If sending prevent loss of structural integrity of the 206B–FM–1, dated July 2, 2009; and for information directly to the manager of the certification office, send it to the attention of fuselage. Since issuance of the NPRM, Model 206B3 helicopters—inserting the person identified in Related Information. the FAA has determined that an unsafe RFMS BHT–206B3–FMS–2, dated (2) Before using any approved AMOC, condition no longer exists. Accordingly, December 30, 2009, into RFM BHT– notify your appropriate principal inspector, the NPRM is withdrawn. 206B3–FM–1, dated March 24, 2010. or lacking a principal inspector, the manager DATES: The FAA is withdrawing the The proposed actions were intended to of the local flight standards district office/ proposed rule published May 13, 2011 add an operating limitation when a litter certificate holding district office. (76 FR 27958), as of March 9, 2021. kit is installed to prohibit flight with the (j) Related Information ADDRESSES: doorpost removed to prevent loss of structural integrity of the fuselage. (1) For more information about this AD, Examining the AD Docket contact Jacob Fitch, Aviation Safety Engineer, Actions Since the NPRM Was Issued Fort Worth ACO Branch, FAA, 10101 You may examine the AD docket on Hillwood Pkwy., Fort Worth, TX 76177; the internet at https:// Since issuance of the NPRM, phone: (817) 222–4130; fax: (817) 222–5245; www.regulations.gov by searching for reevaluation of current fleet safety data email: [email protected]. and locating Docket No. FAA–2011– indicates that there is not an unsafe (2) For service information identified in 0449; or in person at Docket Operations condition and AD action is no longer this AD, contact Mooney International between 9 a.m. and 5 p.m., Monday necessary. There are no recent records Corporation, 165 Al Mooney Road, North Kerrville, TX 78028; phone: (800) 456–3033; through Friday, except Federal holidays. of safety issues related to the unsafe email: [email protected]. You may view The AD docket contains this AD action, condition previously described. this referenced service information at the any comments received, and other Therefore, the FAA has determined that FAA, Airworthiness Products Section, information. The street address for AD action is not required. Withdrawal Operational Safety Branch, 901 Locust, Docket Operations is U.S. Department of of the NPRM constitutes only such Kansas City, MO 64106. For information on Transportation, Docket Operations, action and does not preclude the agency the availability of this material at the FAA, M–30, West Building Ground Floor, from issuing future rulemaking on this call (816) 329–4148. Room W12–140, 1200 New Jersey issue, nor does it commit the agency to Issued on March 1, 2021. Avenue SE, Washington, DC 20590. any course of action in the future. Ross Landes, FOR FURTHER INFORMATION CONTACT: The FAA’s Aircraft Certification Deputy Director for Regulatory Operations, Kristi Bradley, Aviation Safety Engineer, Service has also changed its Compliance & Airworthiness Division, General Aviation & Rotorcraft Section, organizational structure. The new Aircraft Certification Service. International Validation Branch, FAA, structure replaces product directorates [FR Doc. 2021–04591 Filed 3–8–21; 8:45 am] 10101 Hillwood Pkwy., Fort Worth, TX with functional divisions. We have BILLING CODE 4910–13–P 76177; telephone (817) 222–5110; email revised some of the office titles and [email protected]. nomenclature throughout this proposed SUPPLEMENTARY INFORMATION: AD to reflect the new organizational DEPARTMENT OF TRANSPORTATION changes. Additional information about Discussion the new structure can be found in the Federal Aviation Administration The FAA has issued an NPRM that Notice published on July 25, 2017 (82 proposed to amend 14 CFR part 39 by FR 34564). 14 CFR Part 39 adding an AD that would apply to the Lastly, the identification of specified products. The NPRM was [Docket No. FAA–2011–0449; Project ‘‘Directorate Identifier 2010–SW–021– published in the Federal Register on Identifier AD–2020–01464–R] AD’’ has been changed to ‘‘Project May 13, 2011 (76 FR 27958). The NPRM Identifier AD 2020–01464–R.’’ RIN 2120–AA64 was prompted by the need for Airworthiness Directives; Bell corresponding operating limitations Comments Helicopter Textron Canada Helicopters prohibiting flight, including hover, with the litter doorpost removed when The FAA gave the public the AGENCY: Federal Aviation certain litter kits are installed. opportunity to comment on the NPRM. Administration (FAA), DOT. The NPRM proposed to require The FAA received no comments on the NPRM or on the determination of the ACTION: Proposed rule; withdrawal. revising the existing RFM for your helicopter by inserting into the cost to the public. SUMMARY: The FAA is withdrawing a Operating Limitations, Section 1, of the FAA’s Conclusions notice of proposed rulemaking (NPRM) existing RFM for your helicopter the that proposed to adopt a new following statement: ‘‘Flight, including Upon further consideration, the FAA airworthiness directive (AD) that would hover, with litter doorpost removed is has determined that the NPRM is have applied to certain Bell Helicopter prohibited.’’ This revision would have unnecessary. Accordingly, the NPRM is Textron Canada Model 206A, 206B, and been made by pen and ink changes, withdrawn. 206B3 helicopters. The NPRM was inserting a copy of this AD into the Regulatory Findings prompted by the need for corresponding existing RFM for your helicopter, or operating limitations prohibiting flight, inserting a copy of the RFM Supplement Since this action only withdraws an including hover, with the litter doorpost (RFMS) dealing with Litter Kits into the NPRM, it is neither a proposed nor a removed when certain litter kits are existing RFM for your helicopter as final rule. This action therefore is not installed. The NPRM would have follows: For Model 206A helicopters— covered under Executive Order 12866, required revising the Operating inserting RFMS BHT–206A–FMS–8, the Regulatory Flexibility Act, or DOT Limitations, Section 1, of the existing dated December 30, 2009, into RFM Regulatory Policies and Procedures (44 Rotorcraft Flight Manual (RFM) for your BHT–206A–FM–1, dated July 2, 2009; FR 11034, February 26, 1979).
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List of Subjects in 14 CFR Part 39 similar pleadings to the Federal Energy municipalities, electric cooperatives, Air transportation, Aircraft, Aviation Regulatory Commission, Office of the and others. Secretary, 888 First Street NE, 3. The Hydropower Regulatory safety, Incorporation by reference, 1 Safety. Washington, DC 20426. Efficiency Act of 2013 (2013 HREA) • Delivery of filings other than by was signed into law on August 9, 2013. The Withdrawal eFiling or the U.S. Postal Service should As explained below, changes ■ Accordingly, the notice of proposed be delivered to the Federal Energy implemented in response to the 2013 rulemaking, Docket No. FAA–2011– Regulatory Commission, Office of the HREA form the basis for these proposed 0449, which was published in the Secretary, 12225 Wilkins Avenue, revisions to the Commission’s Federal Register on May 13, 2011 (76 Rockville, Maryland 20852. regulations. FR 27958), is withdrawn. Instructions: For detailed instructions A. Qualifying Conduits on submitting comments and additional Issued on February 26, 2021. information on the rulemaking process, 4. The 2013 HREA amended section Gaetano A. Sciortino, see the Comment Procedures section of 30 of the FPA to create a subset of small Deputy Director for Strategic Initiatives, this document. conduit facilities that are categorically Compliance & Airworthiness Division, excluded from the licensing and FOR FURTHER INFORMATION CONTACT: Aircraft Certification Service. exemption requirements of the FPA. In Heather Campbell (Technical [FR Doc. 2021–04508 Filed 3–8–21; 8:45 am] September 2014, the Commission issued Information) Office of Energy Projects, BILLING CODE 4910–13–P Order No. 800, which became effective Federal Energy Regulatory February 23, 2015, defining a Commission, 888 First Street NE, ‘‘qualifying conduit hydropower Washington, DC 20426, (202) 502– facility’’ at section 4.30(b)(26) of its DEPARTMENT OF ENERGY 6182, [email protected] regulations.2 Subsequently, section 30 Kelly Houff (Technical Information) Federal Energy Regulatory of the FPA was amended by the Office of Energy Projects, Federal Commission America’s Water Infrastructure Act of Energy Regulatory Commission, 888 2018.3 18 CFR Parts 4 and 5 First Street NE, Washington, DC 5. In accordance with section 20426, (202) 502–6063, kelly.houff@ 30(a)(2)(A),4 any person, State, or [Docket No. RM20–21–000] ferc.gov municipality proposing to construct a John Matkowski (Technical Information) Removing Profile Drawing ‘‘qualifying conduit hydropower Office of Energy Projects, Federal facility’’ must file a notice of intent Requirement for Qualifying Conduit Energy Regulatory Commission, 888 Notices of Intent and Revising Filing demonstrating the facility meets the First Street NE, Washington, DC following ‘‘qualifying criteria’’: 5 Requirements for Major Hydroelectric 20426, (202) 502–8576, • Projects 10 MW or Less Be located on and use only the [email protected] hydroelectric potential of a non- AGENCY: Federal Energy Regulatory Rachael Warden (Legal Information) federally-owned conduit; Commission, Department of Energy. Office of the General Counsel, Federal • have a proposed installed capacity ACTION: Notice of proposed rulemaking. Energy Regulatory Commission, 888 that does not exceed 40 Megawatts First Street NE, Washington, DC (MW); 6 and SUMMARY: The Federal Energy 20426, (202) 502–8717, • be proposed for construction and, Regulatory Commission (Commission) is [email protected] as of the date of enactment of the 2013 proposing to revise its regulations SUPPLEMENTARY INFORMATION: HREA, not be licensed under, or governing the filing requirements for exempted from, the licensing Table of Contents qualifying conduits and certain major requirements of Part I of the FPA. hydroelectric power projects. Paragraph Numbers 6. Under the 2013 HREA, as amended Specifically, the Commission is I. Background and Discussion—1. by the America’s Water Infrastructure proposing to remove the requirement A. Qualifying Conduits—4. Act of 2018,7 the Commission is that a notice of intent to construct a B. Major Projects Greater Than 5 MW and required to determine whether proposed qualifying conduit include a profile up to and Including 10 MW—9. projects meet the criteria to be drawing showing the source of the II. Regulatory Requirements—16. considered qualifying conduit hydroelectric potential in instances A. Information Collection Statement—16. hydropower facilities. Qualifying where a dam would be constructed in B. Environmental Analysis—29. conduit hydropower facilities are not C. Regulatory Flexibility Act—30. association with the facility and extend required to be licensed or exempted by the licensing requirements that D. Comment Procedures—34. E. Document Availability—38. currently apply to major projects up to 1 Public Law 113–23, 127 Stat. 493 (2013). 5 MW to major projects 10 MW or less, I. Background and Discussion 2 See Revisions and Technical Corrections to consistent with the amended definition Conform the Commission’s Regulations to the 1. By this Notice of Proposed Hydropower Regulatory Efficiency Act of 2013, of a small hydroelectric power project in Rulemaking, the Federal Energy Order No. 800, 79 FR 59105 (Oct. 1, 2014), 148 the Hydropower Regulatory Efficiency Regulatory Commission (Commission or FERC ¶ 61,197 (2014). Act of 2013. FERC) proposes to amend Parts 4 and 5 3 Public Law 115–270, 132 Stat. 3765 (2018). DATES: Comments are due May 10, 2021 of its regulations governing the filing 4 16 U.S.C. 823a(a)(2)(A). 5 ADDRESSES: You may send comments, Id. 823a(a)(3)(C). The qualifying conduit requirements for qualifying conduits hydropower facility must also meet the identified by RM20–21–000, by one of and certain major hydroelectric power requirements for a small conduit facility as defined the following methods: projects. in section 30(a)(3)(A) of the FPA. Id. 823a(a)(3)(A). • Electronic Filing (eFiling) at the 2. The Commission, under Part I of 6 The 2013 HREA required that qualifying conduit Commission’s website: http:// the Federal Power Act (FPA), licenses hydropower facilities not exceed 5 MW. This limit was revised to 40 MW at section 3002(2) in the www.ferc.gov. hydropower projects that are developed America’s Water Infrastructure Act of 2018 • U.S. Postal Service Mail: Persons by non-Federal entities including (codified at 16 U.S.C. 823a(a)(3)(C)(ii)). unable to file electronically may mail individuals, private entities, states, 7 Public Law 115–270, 132 Stat. 3765.
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the Commission; however, the entity (PURPA) 12 provided that certain goal of facilitating the speed at which proposing to construct a facility that hydropower projects that produce 5,000 such hydropower projects could be meets the criteria must file a Notice of kilowatts, or 5 MW, or less of power built. Order 800 amended the Intent (NOI) to Construct a Qualifying were exempted from the licensing Commission’s regulations to reflect the Conduit Hydropower Facility with the requirements of Part 1 of the FPA. 10-MW limit.15 Commission that demonstrates the 10. In 1981, the Commission adopted 14. As a result of these changes, the facility meets the qualifying criteria the 5-MW demarcation for certain major Commission’s limit for license discussed above. hydroelectric projects required to be application provisions no longer 7. The NOI must contain: An licensed under Part 1 of the FPA to parallels the limit for exemptions. We introductory statement; a statement that parallel PURPA’s 5-MW demarcation continue to believe that a parallel the proposed project will use the regarding exemptions.13 Part 4 of the demarcation is appropriate to ‘‘expedite hydroelectric potential of a non- Commission’s regulations includes three hydropower development by easing the federally owned conduit; a statement relevant licensing subparts: (1) Subpart burden of preparing an application for that the proposed facility has not been E—Application for License for Major license and by assisting the Commission licensed or exempted on or before Unconstructed Project and Major in more rapid processing of August 9, 2013; a description of the Modified Project (see 18 CFR 4.40); (2) applications.’’ 16 Moreover, the 5-MW facility proposal; project drawings; the Subpart F—Application for License for limit in the Commission’s regulations preliminary permit project number of Major Project—Existing Dam (see 18 could be burdensome to projects greater the proposed facility, if applicable; and CFR 4.50); and (3) Subpart G— than 5 MW and up to and including 10 verification in a sworn notarized Application for License for Minor Water MW, in terms of the cost and time 8 statement or an unsworn statement. Power Projects and Major Water Power associated with the additional filing Specifically with respect to the project Projects 5 MW or Less (see 18 CFR 4.60; requirements of Subparts E and F. 14 drawings, the NOI must include a plan 4.61). Subparts E and F apply to 15. Therefore, the Commission (or overhead view); a location map projects greater than 5 MW, and include proposes to amend Parts 4 and 5 of its showing the facilities and their additional filing requirements beyond regulations to extend the licensing and relationship to the nearest town; and if Subpart G, which applies to projects amendment filing requirements that a dam would be constructed in less than or equal to 5 MW. currently apply to major projects up to 11. Likewise, Part 4 of Commission’s association with the facility, a profile 5 MW to major projects 10 MW or less, regulations include two subparts that drawing showing that the conduit, and consistent with the amended definition rely on the same 5-MW limit to not the dam, creates the hydroelectric of a small hydroelectric power project in 9 determine minimum filing requirements potential. the 2013 HREA.17 8. On June 18, 2015, in Soldier for an application for license solely for Canyon Filter Plant,10 the Commission transmission lines that transmit power II. Regulatory Requirements stated: from a licensed water power projects as A. Information Collection Statement In determining whether a proposed well amendments to licensed water 18 qualifying conduit hydropower facility meets power projects: 16. The Paperwork Reduction Act the requirement of FPA section 30(a) that it (1) Subpart H—Application for requires each federal agency to seek and use ‘‘only the hydroelectric potential of a License for Transmission Line Only (see obtain the Office of Management and non-federally owned conduit’’ and (if it 18 CFR 4.71); and (2) Subpart L— Budget’s (OMB) approval before meets the other section 30(a) requirements) is Application for Amendment of License undertaking a collection of information thus excluded from the licensing (see 18 CFR 4.201), respectively. directed to ten or more persons or requirements of the FPA, we see no reason 12. Part 5 of the Commission’s contained in a rule of general to apply a different, more stringent standard regulations rely on the 5-MW limit to than was established in 1980 for small applicability. OMB regulations require conduit facility exemptions. We view small determine minimum filing requirements approval of certain information conduit facilities and qualifying conduits as for applications for license for water collection requirements contemplated simply generating hydroelectricity by using power projects filed and processed by proposed rules.19 Upon approval of the water within a conduit operated for the using the integrated licensing process a collection of information, OMB will distribution of water for agricultural, (see 18 CFR 5.18). assign an OMB control number and an municipal, or industrial consumption and 13. The 2013 HREA amended section expiration date. Respondents subject to not primarily for the generation of electricity. 405 to increase the limit for exemptions the filing requirements of a rule will not Whether, or in what proportion, the conduit’s to 10,000 kilowatts, or 10 MW, with the ability to generate hydropower is due to the be penalized for failing to respond to the conduit’s gradient or the head from an collection of information unless the 12 upstream dam is not relevant.11 16 U.S.C. 2705. collection of information displays a 13 Regulations Governing Applications for License This holding indicates that the profile for Major Unconstructed Projects and Major valid OMB control number. drawings are no longer relevant and Modified Projects; Applications for License for 17. Public Reporting Burden: In this should not be required as part of the Transmission Line Only and Applications for NOPR, the Commission proposes to Amendment to License, Order No. 184, 46 FR 55926 revise its regulations governing the NOI submittal. Consequently, the (Nov. 13, 1981), FERC Stats. & Regs. ¶ 30,308 (1981) Commission proposes to amend its (cross-referenced at 17 FERC ¶ 61,122); Regulations filing requirements for qualifying regulations to remove this requirement. Governing Applications for License for Minor Water conduits and for major hydroelectric Power Projects and Major Water Power Projects 5 Megawatts or Less, Order No. 185, 46 FR 55944 B. Major Projects Greater Than 5 MW 15 (Nov. 13, 1981), FERC Stats. & Regs. ¶ 30,309 (1981) See Order No. 800, 148 FERC ¶ 61,197 (2014). and up to and Including 10 MW 16 (cross-referenced at 17 FERC ¶ 61,121). Applications for License for Minor Water Power 9. Section 405 of the Public Utility 14 The Commission has maintained a distinction Projects and Major Water Power Projects 5 Regulatory Policies Act of 1978 between major and minor projects based on section Megawatts or Less, 46 FR 9637 (Jan. 29, 1981), FERC 10(i) of the FPA. However, the license application Stats. & Regs. ¶ 32,106 (1981) (cross-referenced at 14 procedures set forth in § 4.61 of the Commission’s FERC ¶ 61,042). 8 18 CFR 4.401 (2020). regulations apply to both minor projects and major 17 Section 4.32(a)(5)(ii), which contains a cross- 9 Id. 4.401(f). projects less than 5 MW (with the exception of reference to § 4.61, will also be revised. 10 151 FERC ¶ 61,228 (2015). Exhibit E for unconstructed projects). These 18 44 U.S.C. 3501–3521. 11 Id. P 13. proposed changes do not affect minor projects. 19 See 5 CFR 1320.11 (2020).
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power projects greater than 5 MW and with the FERC–500 and FERC–505 of a small hydroelectric power project in up to and including 10 MW. information collections, are intended to the 2013 HREA. Both proposed 18. This proposed rule would modify align the Commission’s filing revisions will represent a slight decrease certain reporting and recordkeeping requirements for qualifying conduits in the reporting requirements and requirements included in FERC–500 with Commission precedent and to align burden information for FERC–500 and 20 (OMB Control No 1902–0058) and the Commission’s filing requirements FERC–505. FERC–505 (OMB Control No. 1902– for major projects greater than 5 MW 21 20. The estimated burden and cost for 0115). and up to and including 10 MW to be 19. The proposed revisions to the the requirements contained in this consistent with the amended definition Commission’s regulations, associated NOPR follow.
ANNUAL CHANGES PROPOSED BY THE NOPR IN DOCKET NO. RM20–21–000
Number of Total 22 Total annual burden hours Number of responses number of Avg. burden hrs. & cost respondents per per response 23 & total annual cost respondent responses
(1) (2) (1) × (2) = (3) (4) (3) × (4) = 5
FERC–500 ...... 3 1 3 320 hours reduction $83.00 ... 960 hours/$79,680 reduction FERC–505 ...... 8 1 8 10 hours reduction $83.00 ..... 80 hours/$6,640 reduction
Total ...... 1,040 hours/$86,320 reduction
21. Titles: FERC–500 (Application for 27. Internal Review: The Commission security concerns, comments should be License/Relicense for Water Projects has reviewed the proposed revisions sent directly to www.reginfo.gov/public/ with More than 5 Megawatt (MW) and has determined that they are do/PRAMain. Comments submitted to Capacity) and FERC–505 (Small necessary. These requirements conform OMB should be sent within 30 days of Hydropower Projects and Conduit to the Commission’s need for efficient publication of this notice in the Federal Facilities including License/Relicense, information collection, communication, Register and should refer to FERC–500 Exemption, and Qualifying Conduit and management within the energy (OMB Control No 1902–0058) and Facility Determination). industry. The Commission has assured FERC–505 (OMB Control No. 1902– 22. Action: Revisions to information itself, by means of internal review, that 0115). collections FERC–500 and FERC–505. there is specific, objective support for 23. OMB Control Nos.: 1902–0058 the burden estimates associated with the B. Environmental Analysis (FERC–500) and 1902–0115 (FERC– information collection requirements. 29. The Commission is required to 505). 28. Interested persons may obtain prepare an Environmental Assessment 24. Respondents: Municipalities, information on the reporting or an Environmental Impact statement businesses, private citizens, and for- requirements by contacting the Federal for any action that may have a profit and not-for-profit institutions. Energy Regulatory Commission at one of significant effect on the human 25. Frequency of Information: the following methods: environment.24 Excluded from this Ongoing. • USPS at: Federal Energy Regulatory requirement are rules that are clarifying, 26. Necessity of Information: The Commission, Ellen Brown, Office of corrective, or procedural, or that do not revised regulations would remove the the Executive Director, 888 First substantially change the effect of Commission’s requirement for notices of Street NE, Washington, DC 20426 intent to construct a qualifying conduit • Hard copy communication other than legislation or the regulations being 25 to include a profile drawing, consistent USPS: Federal Energy Regulatory amended. This proposed rule with Commission precedent, and would Commission, Ellen Brown, Office of proposes to revise the filing align the Commission’s filing the Executive Director, 12225 Wilkins requirements for qualifying conduit requirements for major projects greater Avenue, Rockville, Maryland 20852 projects and revise the filing than 5 MW and up to and including 10 • email to [email protected] requirements for license applications for MW to be consistent with the amended • phone (202) 502–8663, or by fax (202) major hydroelectric projects with an definition of a small hydroelectric 273–0873 installed capacity of 10 MW or less. power project in the 2013 HREA. The Please send comments concerning the Because this proposed rule is revised regulations would affect only collection of information and the procedural and does not substantially the number of entities that would file associated burden estimates to: Office of change the effect of the regulations applications with the Commission for Information and Regulatory Affairs, being amended, preparation of an these two project types, and would Office of Management and Budget Environmental Assessment or reduce information collection [Attention: Federal Energy Regulatory Environmental Impact Statement is not requirements. Commission Desk Officer]. Due to required.
20 FERC–500 includes the reporting and Relicense, Exemption, and Qualifying Conduit average salary plus benefits for one FERC full-time recordkeeping requirements for ‘‘Application for Facility Determination.’’ equivalent (FTE) is $172,329/year (or $83.00/hour). License/Relicense for Water Projects with More 22 We consider the filing of an application or 24 Regulations Implementing the National than 5 Megawatt (MW) Capacity.’’ notice of intent to be a ‘‘response.’’ Environmental Policy Act of 1969, Order No. 486, 21 FERC–505 includes the reporting and 23 Commission staff estimates that the industry’s 52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs. ¶ 30,783 (1987) (cross-referenced at 41 FERC recordkeeping requirements for ‘‘Small Hydropower skill set and cost (for wages and benefits) for FERC– ¶ 61,284). Projects and Conduit Facilities including License/ 500 and FERC–505 are approximately the same as the Commission’s average cost. The FERC 2020 25 18 CFR 380.4(a)(2)(ii) (2020).
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C. Regulatory Flexibility Act requirements for major hydroelectric www.ferc.gov). At this time, the 30. The Regulatory Flexibility Act of projects with an installed capacity Commission has suspended access to 1980 (RFA) 26 generally requires a greater than 5 MW and up to and the Commission’s Public Reference description and analysis of proposed including 10 MW, thus reducing the Room due to the President’s March 13, rules that will have significant burden on small hydro developers going 2020 proclamation declaring a National economic impact on a substantial forward. Emergency concerning the Novel 33. Accordingly, pursuant to section number of small entities. The RFA Coronavirus Disease (COVID–19). 605(b) of the RFA, the Commission mandates consideration of regulatory 39. From the Commission’s Home certifies that this proposed rule would alternatives that accomplish the stated Page on the internet, this information is not have a significant economic impact objectives of a proposed rule and available on eLibrary. The full text of on a substantial number of small minimize any significant economic this document is available on eLibrary entities. impact on a substantial number of small in PDF and Microsoft Word format for entities.27 In lieu of preparing a D. Comment Procedures viewing, printing, and/or downloading. To access this document in eLibrary, regulatory flexibility analysis, an agency 34. The Commission invites interested may certify that a proposed rule will not type the docket number excluding the persons to submit comments on the last three digits of this document in the have a significant economic impact on matters and issues proposed in this a substantial number of small entities.28 docket number field. notice to be adopted, including any 40. User assistance is available for 31. The Small Business related matters or alternative proposals Administration’s (SBA) Office of Size eLibrary and the Commission’s website that commenters may wish to discuss. during normal business hours from the Standards develops the numerical Comments are due May 10, 2021. 29 Commission’s Online Support at (202) definition of a small business. The Comments must refer to Docket No. SBA size standard for electric utilities is 502–6652 (toll free at 1–866–208–3676) RM20–21–000, and must include the or email at [email protected], based on the number of employees, commenter’s name, the organization including affiliates.30 Under SBA’s or the Public Reference Room at (202) they represent, if applicable, and their 502–8371, TTY (202) 502–8659. Email current size standards, a hydroelectric address. power generator (NAICS code 221111) 31 the Public Reference Room at 35. The Commission encourages [email protected]. is small if, including its affiliates, it comments to be filed electronically via employs 500 or fewer people.32 The the eFiling link on the Commission’s List of Subjects in 18 CFR Parts 4 and Commission, however, currently does website at http://www.ferc.gov. The 5 not require information regarding the Commission accepts most standard Administrative practice and number of individuals employed by word processing formats. Documents procedure, Electric power, Reporting hydroelectric generators to administer created electronically using word and recordkeeping requirements. Part 1 of the Federal Power Act and processing software should be filed in By direction of the Commission. therefore is unable to estimate the native applications or print-to-PDF number of small entities under the SBA format and not in a scanned format. Issued: February 18, 2021. definition. Regardless, the Commission Commenters filing electronically do not Kimberly D. Bose, anticipates that the proposed rule will need to make a paper filing. Secretary. affect few entities. 36. Commenters that are not able to In consideration of the foregoing, the 32. As noted earlier, the proposed rule file comments electronically must send Commission proposes to revise parts 4 will only affect entities filing notices of an original of their comments to the and 5, chapter I, title 18, Code of intent to construct a qualifying conduit Commission via USPS or another Federal Regulations, as follows: in instances where a dam would be preferred carrier. For submission sent constructed in association with the via USPS, filings should mailed to: PART 4—LICENSES, PERMITS, facility and entities filing licensing or Federal Energy Regulatory Commission, EXEMPTIONS, AND DETERMINATION amendment applications for major Office of the Secretary, 888 First Street OF PROJECT COSTS hydroelectric projects with an installed NE, Washington, DC 20426. Submission capacity of greater than 5 MW and up of filings other than by USPS should be ■ 1. The authority citation for part 4 to and including 10 MW. From 2013 to mailed to: Federal Energy Regulatory continues to read as follows: 2020, the Commission received Commission, Office of the Secretary, Authority: 16 U.S.C. 791a–825r; 42 U.S.C. approximately 140 total notices to 12225 Wilkins Avenue, Rockville, 7101–7352. construct qualifying conduits and 18 Maryland 20852. ■ 2. In § 4.32, revise paragraph (a)(5)(ii) applicable licensing applications. If 37. All comments will be placed in to read as follows: enacted, the proposed revisions would the Commission’s public files and may eliminate the filing requirement for be viewed, printed, or downloaded § 4.32 Acceptance for filing or rejection; profile drawings and reduce the filing remotely as described in the Document information to be made available to the Availability section below. Commenters public; requests for additional studies. 26 5 U.S.C. 601–612. on this proposal are not required to (a) * * * 27 Id. 603(c). serve copies of their comments on other (5) * * * 28 Id. 605(b). commenters. (ii) License for a minor water power 29 13 CFR 121.101 (2020). project and a major water power project 30 Id. 121.201. E. Document Availability 10 MW or less: § 4.61; 31 The North American Industry Classification System (NAICS) is an industry classification system 38. In addition to publishing the full * * * * * that Federal statistical agencies use to categorize text of this document in the Federal ■ 3. In § 4.40, revise paragraph (a) to businesses for the purpose of collecting, analyzing, Register, the Commission provides all read as follows: and publishing statistical data related to the U.S. interested persons an opportunity to economy. United States Census Bureau, North § 4.40 Applicability. American Industry Classification System, https:// view and/or print the contents of this www.census.gov/eos/www/naics/. document via the internet through the (a) Applicability. The provisions of 32 13 CFR 121.201 (Sector 22—Utilities). Commission’s Home Page (http:// this subpart apply to any application for
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an initial license for a major of the filed application to any Federal, project with an installed generating unconstructed project that would have a state, or local agency that so requests. capacity of more than 10 MW—Exhibits total installed capacity of more than 10 * * * * * A, B, C, D, E, F, and G under § 4.41 of megawatts, and any application for an ■ 7. In § 4.61, revise paragraphs (a)(3), this chapter; initial or new license for a major (b) introductory text, and (d)(1) and (2) (2) For any transmission line that, at modified project with a total installed to read as follows: the time the application is filed, is not capacity more than 10 megawatts. An constructed and is proposed to be applicant for license for any major § 4.61 Contents of application. connected to a licensed water power unconstructed or major modified water (a) * * * project with an installed generating power project that would have a total (3) Each application for a license for capacity of 10 MW or less—Exhibits E, installed generating capacity of 10 a water power project 10 megawatts or F, and G under § 4.61 of this chapter; megawatts or less must submit less must include the information and application under subpart G (§§ 4.60 requested in the initial statement and * * * * * and 4.61). lettered exhibits described by ■ 9. In § 4.201, revise paragraphs (b)(1) * * * * * paragraphs (b) through (f) of this and (3) through (5) to read as follows: ■ section, and must be provided in the 4. In § 4.50, revise paragraphs (a)(1) form specified. The Commission § 4.201 Contents of application. and (3) to read as follows: reserves the right to require additional * * * * * § 4.50 Applicability. information, or another filing procedure, (b) * * * if data provided indicate such action to (1) For amendment of a license for a (a) * * * (1) Except as provided in be appropriate. water power project that, at the time the paragraph (a)(2) of this section, the application is filed, is not constructed provisions of this subpart apply to any * * * * * (b) Initial statement. and is proposed to have a total installed application for either an initial license generating capacity of more than 10 or new license for a major project— Before the Federal Energy Regulatory MW—Exhibits A, B, C, D, E, F, and G existing dam that is proposed to have a Commission under § 4.41 of this chapter; total installed capacity of more than 10 megawatts. Application for License for a [Minor * * * * * Water Power Project, or Major Water (3) For amendment of a license for a * * * * * Power Project, 10 Megawatts or Less, as water power project that, at the time the (3) An applicant for license for any Appropriate] application is filed, is not constructed major project—existing dam that would and is proposed to have a total installed * * * * * have a total installed capacity of 10 generating capacity of 10 MW or less, megawatts or less must submit (d) * * * (1) For major unconstructed and but more than 1.5 MW—Exhibits F and application under subpart G (§§ 4.60 major modified projects 10 MW or less. G under § 4.61 of this chapter, and and 4.61). Any application must contain an Exhibit E under § 4.41 of this chapter; * * * * * Exhibit E conforming with the data and (4) For amendment of a license for a ■ 5. Revise the heading to Subpart G to consultation requirements of § 4.41(f) of water power project that, at the time the read as follows: this chapter, if the application is for application for amendment is filed, has license for a water power project which been constructed, and is proposed to Subpart G—Application for License for has or is proposed to have a total have a total installed generating Minor Water Power Projects and Major installed generating capacity greater capacity of 10 MW or less—Exhibit E, F, Water Power Projects 10 Megawatts or than 1.5 MW but not greater than 10 and G under § 4.61 of this chapter; (5) For amendment of a license for a Less MW, and which: water power project that, at the time the ■ 6. In § 4.60, revise paragraphs (a)(2) * * * * * application is filed, has been and (3) and (b) to read as follows: (2) For minor projects and major constructed and is proposed to have a projects at existing dams 10 MW or less. total installed generating capacity of § 4.60 Applicability and notice to agencies. An application for license for either a more than 10 MW—Exhibits A, B, C, D, (a) * * * minor water power project with a total E, F, and G under § 4.51 of this chapter. proposed installed generating capacity (2) Any major project—existing dam, of 1.5 MW or less or a major project— * * * * * as defined in § 4.30(b)(16), that has a existing dam with a proposed total total installed capacity of 10 MW or § 4.401 [Amended] installed capacity of 10 MW or less must less; or ■ 10. In § 4.401, remove paragraph (f)(3). contain an Exhibit E under this (3) Any major unconstructed project subparagraph. See § 4.38 for PART 5—INTEGRATED LICENSE or major modified project, as defined in consultation requirements. The APPLICATION PROCESS § 4.30(b)(15) and (14) respectively, that Environmental Report must contain the ■ has a total installed capacity of 10 MW following information: 11. The authority citation for part 5 or less. continues to read as follows: * * * * * (b) Notice to agencies. The ■ 8. In § 4.71, revise paragraphs (b)(1) Authority: 16 U.S.C. 792–828c, 2601– Commission will supply interested and (2) to read as follows: 2645; 42 U.S.C. 7101–7352. Federal, state, and local agencies with ■ 12. In § 5.18, revise paragraph (a)(5)(i) § 4.71 Contents of application. notice of any application for license for to read as follows: a water power project 10 MW or less * * * * * and request comment on the (b) * * * § 5.18 Application content. application. Copies of the application (1) For any transmission line that, at (a) * * * will be available for inspection at the the time the application is filed, is not (5) * * * Commission’s Public Reference Room. constructed and is proposed to be (i) License for a minor water power The applicant shall also furnish copies connected to a licensed water power project and a major water power project
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10 MW or less: § 4.61 (General FOR FURTHER INFORMATION CONTACT: Register by using the article search instructions, initial statement, and Carol Dobak, U.S. Department of feature at www.federalregister.gov. Exhibits A, F, and G); Education, 400 Maryland Avenue SW, Specifically, through the advanced * * * * * Room 5153, Potomac Center Plaza, search feature at this site, you can limit [FR Doc. 2021–03803 Filed 3–8–21; 8:45 am] Washington, DC 20202–5076. your search to documents published by BILLING CODE 6717–01–P Telephone: (202) 245–7325. Email: the Department. [email protected]. If you use a telecommunications David Cantrell, Deputy Director, Office of Special Education DEPARTMENT OF EDUCATION device for the deaf (TDD) or a text telephone (TTY), call the Federal Relay Programs. Delegated the authority to perform the functions and duties of the Assistant 34 CFR Part 361 Service (FRS), toll free, at 1–800–877– Secretary for Special Education and 8339. [Docket ID ED–2021–OSERS–04] Rehabilitative Services. SUPPLEMENTARY INFORMATION: [FR Doc. 2021–04564 Filed 3–8–21; 8:45 am] Proposed Guidance; Frequently Asked Invitation to Comment: We invite you BILLING CODE 4000–01–P Questions: Criterion for an Integrated to submit comments on the proposed Employment Location in the Definition guidance. See ADDRESSES for of ‘‘Competitive Integrated instructions on how to submit ENVIRONMENTAL PROTECTION Employment’’ and Participant Choice comments. AGENCY Assistance to Individuals with AGENCY: Office of Special Education and Disabilities in Reviewing the Record: On 40 CFR Part 52 Rehabilitative Services, Department of request, we will provide an appropriate Education. [EPA–R03–OAR–2020–0416; FRL–10021– accommodation or auxiliary aid to an 12–Region 3] ACTION: Notice of proposed guidance. individual with a disability who needs assistance to review the comments or Air Plan Approval; Pennsylvania; SUMMARY: The U.S. Department of other documents in the public record for Education seeks public comment on Regulatory Updates to Nonattainment this notice. If you want to schedule an New Source Review (NNSR) Permitting proposed guidance that clarifies the appointment for this type of aid, please Department’s policy on the criterion for Requirements for 2012 PM2.5 National contact the person listed under FOR an integrated employment location in Ambient Air Quality Standard (NAAQS) FURTHER INFORMATION CONTACT. the definition of ‘‘competitive integrated Background: The Department AGENCY: Environmental Protection employment,’’ for purposes of the State describes the background for the Agency (EPA). Vocational Rehabilitation (VR) Services proposed guidance, and our reasons for ACTION: Proposed rule. program. The proposed guidance proposing the guidance, in the proposed clarifies, updates, and supersedes the guidance document. The proposed SUMMARY: The Environmental Protection Department’s guidance titled Frequently guidance is available at https:// Agency (EPA) is proposing to approve a Asked Questions: Integrated Location rsa.ed.gov/sub-regulatory-guidance/rsa- state implementation plan (SIP) revision Criteria of the Definition of frequently-asked-questions-criterion- submitted by the Commonwealth of ‘‘Competitive Integrated Employment’’ integrated-employment-location. The Pennsylvania, on March 10, 2020. This issued on January 17, 2017. proposed guidance is not a ‘‘significant revision pertains to the Pennsylvania DATES: We must receive your comments guidance document’’ under Executive Department of Environmental Protection on or before April 8, 2021. Order 13891. Agency’s (PADEP) amendments to 25 ADDRESSES: Submit your comments Accessible Format: On request to the Pa. Code Chapters 121 (General through the Federal eRulemaking portal. program contact person listed under FOR Provisions) and 127 (Construction, We will not accept comments submitted FURTHER INFORMATION CONTACT, Modification, Reactivation and by fax or by email or those submitted individuals with disabilities can obtain Operation of Sources) to implement after the comment period. To ensure this document in an accessible format. Federal nonattainment new source that we do not receive duplicate copies, The Department will provide the review (NNSR) provisions for the 2012 please submit your comments only requestor with an accessible format that annual fine particulate matter (PM2.5) once. In addition, please include the may include Rich Text Format (RTF) or national ambient air quality standard docket ID at the top of your comments. text format (txt), a thumb drive, an MP3 (NAAQS). This action is being taken • Federal eRulemaking Portal: Go to file, braille, large print, audiotape, or under the Clean Air Act (CAA). www.regulations.gov to submit your compact disc, or other accessible format. DATES: Written comments must be comments electronically. Information Electronic Access to This Document: received on or before April 8, 2021. on using Regulations.gov, including The official version of this document is ADDRESSES: Submit your comments, instructions for accessing agency the document published in the Federal identified by Docket ID No. EPA–R03– documents, submitting comments, and Register. You may access the official OAR–2020–0416 at https:// viewing the docket, is available on the edition of the Federal Register and the www.regulations.gov, or via email to site under ‘‘Help.’’ Code of Federal Regulations at [email protected]. For comments Privacy Note: The Department’s www.govinfo.gov. At this site you can submitted at Regulations.gov, follow the policy is to make all comments received view this document, as well as all other online instructions for submitting from members of the public available for documents of this Department comments. Once submitted, comments public viewing in their entirety on the published in the Federal Register, in cannot be edited or removed from Federal eRulemaking Portal at text or portable document format (PDF). Regulations.gov. For either manner of www.regulations.gov. Therefore, To use PDF you must have Adobe submission, EPA may publish any commenters should be careful to Acrobat Reader, which is available free comment received to its public docket. include in their comments only at the site. Do not submit electronically any information that they wish to make You may also access documents of the information you consider to be publicly available. Department published in the Federal confidential business information (CBI)
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or other information whose disclosure is complex mixture of components, January 2013 decision in NRDC v. EPA,2 restricted by statute. Multimedia including sulfate, nitrate, ammonium, areas classified as nonattainment for any submissions (audio, video, etc.) must be elemental carbon, organic compounds, PM2.5 NAAQS are required to comply accompanied by a written comment. and inorganic material. There are with the parts of CAA subpart 4 section The written comment is considered the substantial health effects associated 189(e) 3 that require the control of major official comment and should include with exposure to PM2.5 emissions. sources of PM10 precursors (and hence discussion of all points you wish to Epidemiological studies have shown a under the court decision, PM2.5 make. EPA will generally not consider significant correlation between elevated precursors) ‘‘except where the comments or comment contents located PM2.5 levels and premature mortality. Administrator determines that such outside of the primary submission (i.e. Other important health effects sources do not contribute significantly on the web, cloud, or other file sharing associated with PM2.5 exposure include to PM10 levels which exceed the system). For additional submission aggravation of respiratory and standard in the area.’’ The 2016 methods, please contact the person cardiovascular disease, lung disease, Implementation Rule amended the identified in the FOR FURTHER decreased lung function, asthma attacks, definitions of (1) ‘‘regulated NSR INFORMATION CONTACT section. For the and certain cardiovascular problems. pollutant’’ with regard to PM2.5 full EPA public comment policy, Individuals particularly sensitive to precursors; (2) ‘‘major stationary information about CBI or multimedia PM2.5 exposure include older adults, source’’ with regard to major sources of submissions, and general guidance on people with heart and lung disease, and direct PM2.5 emissions and PM2.5 making effective comments, please visit children. See 70 FR 65984 (November 1, precursors locating in PM2.5 http://www2.epa.gov/dockets/ 2005). nonattainment areas classified as commenting-epa-dockets. EPA has revised the NAAQS for PM2.5 moderate and serious; and (3) FOR FURTHER INFORMATION CONTACT: on multiple occasions, most recently in ‘‘significant’’ with regard to emissions of Amy Johansen, Permits Branch (3AD10), 2012. On December 14, 2012, the annual direct PM2.5 and its precursors. primary standard for PM was lowered Air & Radiation Division, U.S. 2.5 C. EPA’s Findings of Failure To Submit Environmental Protection Agency, from 15 micrograms per meter cubed Region III, 1650 Arch Street, (mg/m3) to 12 mg/m3. See 78 FR 3087 On April 6, 2018, EPA issued its final Philadelphia, Pennsylvania 19103. The (January 15, 2013). The existing 24-hour Findings of Failure to Submit PM2.5 SIP telephone number is (215) 814–2156. standards (primary and secondary) were revisions (Findings) to three states, Ms. Johansen can also be reached via retained at 35 mg/m3, as was the annual including Pennsylvania. See 83 FR electronic mail at johansen.amy@ secondary standard of 15 mg/m3. Upon 14759. EPA’s Findings apply to states epa.gov. promulgation of the 2012 PM2.5 NAAQS, with overdue SIP revisions for areas EPA formally classified all of Delaware initially designated as nonattainment SUPPLEMENTARY INFORMATION: On March County and Lebanon County, and classified as moderate for the 2012 10, 2020, the Commonwealth of Pennsylvania as moderate PM2.5 NAAQS on April 15, 2015, which Pennsylvania formally submitted a SIP nonattainment for the 2012 annual included both Delaware and Lebanon revision to the Pennsylvania SIP. This PM standard. See 80 FR 2206 (January County, Pennsylvania. In its Findings, SIP submission amends PADEP’s 25 Pa. 2.5 15, 2015).1 EPA found that Pennsylvania failed to Code Chapters 121 (relating to general submit a timely revision to their SIP as provisions) and 127, Subchapter E B. Purpose of SIP Revision required to satisfy CAA requirements for (relating to new source review). This For areas designated as nonattainment implementation of the 2012 PM2.5 proposed SIP revision establishes that for one or more NAAQS, the SIP must NAAQS for those counties. emissions of volatile organic include preconstruction permit Specific to this rulemaking is compounds (VOC) and ammonia are requirements for new or modified major PADEP’s remedying its previous failure precursors to PM2.5 for new and stationary sources of such to submit revisions to its NNSR modified major sources emitting PM 2.5 nonattainment pollutant(s), commonly requirements related to the 2012 PM2.5 in Pennsylvania nonattainment areas; referred to as ‘‘Nonattainment New NAAQS. PADEP was required to submit establishes a significance level for PM2.5; Source Review.’’ See CAA section its NNSR SIP revision to EPA for proposes emission offset ratios for 172(c)(5). approval by October 15, 2016. See 83 FR emissions of VOC and ammonia as PADEP’s SIP revision revises NNSR 14759 (April 6, 2018). PADEP did not PM2.5 precursors; and amends relevant permit requirements for major sources meet this deadline, hence EPA’s definitions. The relevant PADEP of PM2.5. Specifically, PADEP’s 25 Pa. issuance of its April 6, 2018 Findings, regulations were adopted by PADEP and Code Chapters 121 and 127 have been which became effective as of May 7, became effective upon publication on amended to implement additional 2018. As a result of EPA’s Findings, December 21, 2019. provisions pertaining to PM2.5 PADEP was given 18 months after the For more information related to EPA’s precursors, as promulgated in EPA’s effective date of EPA’s Findings to proposed approval of this SIP revision, rule entitled Fine Particulate Matter submit all applicable moderate area please refer to EPA’s Technical Support National Ambient Air Quality requirements or the imposition of Document (TSD), located in Docket ID Standards: State Implementation Plan sanctions would occur for the affected No. EPA–R03–OAR–2020–0416 at Requirements (2016 Implementation moderate 2012 PM2.5 nonattainment https://www.regulations.gov. Rule). 81 FR 58010 (August 24, 2016). area, the Delaware County and Lebanon I. Background As required by EPA’s 2016 County, Pennsylvania nonattainment Implementation Rule, which areas.4 This proposed SIP revision A. 2012 PM2.5 NAAQS implements the D.C. Circuit court’s Airborne particulate matter with a 2 706 F.3d 428 (D.C. Cir. 2013). nominal aerodynamic diameter of 2.5 1 EPA subsequently issued Additional Air Quality 3 This requirement was codified in 40 CFR micrometers or less are ‘‘fine particles,’’ Designations and Technical Amendment to Correct 51.165(a)(13). See 81 FR 58010 (August 24, 2016). Inadvertent Error in Air Quality Designations for 4 Because EPA’s April 6, 2018 Findings became and are also known as PM2.5. See 77 FR the 2012 Primary Annual Fine Particle (PM2.5), effective on May 7, 2018, the 18-month sanctions 44198 (July 27, 2012). Fine particles in which impacted Delaware and Lebanon counties. clock for PADEP to submit its NNSR SIP revision the atmosphere are made up of a 80 FR 18535, 18549 (April 7, 2015). ended on November 7, 2019.
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updates PADEP’s regulations to include B. EPA’s Analysis review) 127.202, 127.203(a), and the required PM2.5 NNSR provisions in For additional information related to 127.210(a) (relating to Effective date, response to EPA’s 2016 Implementation EPA’s analysis of revisions to 25 Pa. Facilities subject to special permit Rule requirements. See 81 FR 58010 Code, please refer to Section 6 of EPA’s requirements, and Offset ratios, (August 24, 2016) and 40 CFR 51.165. TSD, located in Docket ID No. EPA– respectively) to determine if the As a result of EPA’s Findings, R03–OAR–2020–0416 at https:// revisions meet current applicable Pennsylvania was required to either www.regulations.gov. requirements for a PM2.5 NNSR permit submit and obtain EPA approval of Under EPA’s 2016 Implementation program. 25 Pa. Code 121.1—(1) redesignation requests for the 2012 Rule, which in part implements the D.C. contains revisions to clarify that 25 Pa. PM2.5 standard, or to submit a complete Circuit Court’s January 2013 decision in Code applies to major polluting SIP submission addressing PM2.5 NRDC v. EPA,7 areas classified as facilities that will emit PM2.5 or its precursors under NNSR. These precursors in areas designated as nonattainment for any PM2.5 NAAQS rulemaking actions were required to be are required to comply with the parts of nonattainment for PM2.5; (2) the submitted to EPA by November 7, 2019 CAA subpart 4 section 189(e) 8 that definition of ‘‘major facility’’ has been to avoid mandatory sanctions under require the control of major stationary updated to include a 70 tpy emissions CAA section 179. After it issued its sources of PM precursors (and hence threshold for PM2.5 and all precursors to Findings, EPA subsequently 10 under the court decision, PM PM2.5 in a serious nonattainment area; redesignated both Lebanon and 2.5 precursors) ‘‘except where the (3) the definition of ‘‘regulated NSR Delaware County, Pennsylvania to Administrator determines that such pollutant’’ has been updated to include attainment for the 2012 PM NAAQS, 2.5 sources do not contribute significantly sulfur dioxide (SO2), VOC, and which became effective on October 30, to PM levels which exceed the ammonia in all PM2.5 nonattainment 2019. 84 FR 51420 (September 30, 2019, 10 standard in the area.’’ As mentioned areas; (4) revisions were made to the effective on October 30, 2019). As stated previously, the 2016 Implementation definition of ‘‘significant’’ to include in our redesignation document, EPA’s emission rates for PM at 10 tpy and Rule amended the definitions of (1) 2.5 redesignation nullified the failure to emission rates for PM precursors as ‘‘regulated NSR pollutant’’ with regard 2.5 submit findings and stopped the follows: 40 tpy of SO , 40 tpy of VOC, to PM precursors; (2) ‘‘major 2 sanctions clock. 2.5 40 tpy of ammonia, and 40 tpy of stationary source’’ with regard to major However, in addition to PADEP nitrogen oxides (NO ). EPA finds these sources of direct PM emissions and X submitting redesignation requests (now 2.5 revisions approvable. Section PM precursors locating in PM approved by EPA), it also drafted 2.5 2.5 127.202(a)—Effective date, was nonattainment areas classified as regulatory provisions in response to amended to establish that emission of moderate and serious; and (3) EPA’s Final 2016 Implementation Rule, VOC and ammonia will be regulated as 5 ‘‘significant’’ with regard to emissions of as it relates to NNSR. On March 10, PM2.5 precursors after the effective date 2020, PADEP submitted those regulatory direct PM2.5 and its precursors. 25 Pa. of the adoption of the proposed changes to EPA for approval into the Code Chapters 121 (General Provisions) rulemaking. The proposed amendments Pennsylvania SIP. and 127 (Construction, Modification, to 25 Pa. Code Chapters 121 and 127, Reactivation and Operation of Sources); became effective December 21, 2019. II. Summary of SIP Revision and EPA specifically, Subchapter E (related to Analysis Section 127.203(a)—Facilities subject to new source review) are subject to these special permit requirements, was A. Summary of SIP Revision new regulatory requirements. Delaware amended to add ‘‘significant air quality County and Lebanon County, 3 impact’’ levels for PM2.5 at 0.2mg/m for PADEP’s Environmental Quality Pennsylvania were classified as Board (EQB) adopted changes to 25 Pa. the annual averaging time and 1.2 mg/m3 moderate nonattainment areas for the Code Chapters 121 and 127 and those for the 24-hour averaging time. PADEP’s 2012 PM NAAQS.9 The major source changes became effective upon 2.5 annual averaging time is more stringent permitting threshold for a moderate publication in the Pennsylvania Bulletin than what EPA requires in 40 CFR PM nonattainment area is 100 tons per on December 21, 2019. PADEP 2.5 51.165(b)(2), therefore, EPA finds this year (tpy) of direct PM or any PM submitted those changes as a SIP 2.5 2.5 more stringent requirement approvable. precursor, and 70 tpy for a serious PM revision to EPA for inclusion in the 2.5 Section 127.210(a)—Offset ratios, nonattainment area.10 Pennsylvania SIP on March 10, 2020, establishes offset ratios for VOC and As more fully discussed in Section 6 via the EPA State Planning electronic ammonia at a ratio of 1:1 for flue of the TSD for this proposed approval, Collaboration System (SPeCS). emissions and fugitive emissions. EPA For areas designated as nonattainment EPA evaluated the revised portions of finds the addition of offset ratios to be for one or more NAAQS, the SIP must 25 Pa. Code Chapters 121 (General approvable. Provisions) and 127 (Construction, include preconstruction permit III. Proposed Action requirements for new or modified major Modification, Reactivation and stationary sources of such Operation of Sources); specifically, EPA’s review of this material nonattainment pollutant(s), commonly Sections 121.1 (Definitions) and indicates that PADEP’s March 10, 2020 referred to as NNSR. CAA 172(c)(5). Subchapter E (related to new source SIP submittal is approvable and meets PADEP’s 25 Pa. Code Chapters 121 and the requirements of 40 CFR 51.165 and 7 127 address NNSR permit requirements 706 F.3d 428 (D.C. Cir. 2013). are in accordance with CAA section 8 This requirement was codified in 40 CFR 110. EPA is proposing to approve the for major sources of PM2.5, as amended, 51.165(a)(13). See 81 FR 58010 (August 24, 2016). March 10, 2020 submittal, which to implement additional provisions 9 On January 15, 2015, EPA designated all of pertaining to precursors, as promulgated Delaware County and Lebanon County as moderate included revisions to 25 Pa. Code in EPA’s final 2016 Implementation nonattainment for the 2012 annual PM2.5 standard. Chapters 121 (General Provisions) and Rule.6 See 80 FR 2206 (January 15, 2015). 127 (Construction, Modification, 10 While Delaware County and Lebanon County Reactivation and Operation of Sources), were not classified as serious nonattainment areas 5 as a revision to the Pennsylvania SIP. See 84 FR 51420 (September 30, 2019, effective for the PM2.5 NAAQS, PADEP has revised 25 Pa. on October 30, 2019). Code to include the lower emissions threshold of EPA is soliciting public comments on 6 See 81 FR 58010 (August 24, 2016). 70 tpy for direct PM2.5 and all four PM2.5 precursors. the issues discussed in this document.
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These comments will be considered Order 13132 (64 FR 43255, August 10, Quality Management District before taking final action. 1999); (EDCAQMD) and the South Coast Air • Is not an economically significant Quality Management District IV. Incorporation by Reference regulatory action based on health or (SCAQMD) portions of the California In this document, EPA is proposing to safety risks subject to Executive Order State Implementation Plan (SIP). These include in a final EPA rule regulatory 13045 (62 FR 19885, April 23, 1997); revisions concern emissions of volatile text that includes incorporation by • Is not a significant regulatory action organic compounds (VOC) from reference. In accordance with subject to Executive Order 13211 (66 FR architectural coatings and a rule that requirements of 1 CFR 51.5, EPA is 28355, May 22, 2001); provides definitions for certain terms • proposing to incorporate by reference Is not subject to requirements of that are necessary for the certain subsections of 25 Pa. Code Section 12(d) of the National implementation of local rules that Chapters 121 (General Provisions) and Technology Transfer and Advancement regulate sources of air pollution. We are 127 (Construction, Modification, Act of 1995 (15 U.S.C. 272 note) because proposing to approve the rules to Reactivation and Operation of Sources) application of those requirements would regulate these emission sources under as identified and discussed in Section II be inconsistent with the CAA; and the Clean Air Act (CAA or the Act). We • of this preamble. Does not provide EPA with the are taking comments on this proposal EPA has made, and will continue to discretionary authority to address, as and plan to follow with a final action. appropriate, disproportionate human make, these materials generally DATES: Any comments must arrive by available through https:// health or environmental effects, using April 8, 2021. practicable and legally permissible www.regulations.gov and at the EPA ADDRESSES: methods, under Executive Order 12898 Submit your comments, Region III Office (please contact the identified by Docket ID No. EPA–R09– person identified in the FOR FURTHER (59 FR 7629, February 16, 1994). In addition, this proposed OAR–2020–0543 at http:// INFORMATION CONTACT section of this www.regulations.gov, or via email to preamble for more information). rulemaking, pertaining to Pennsylvania’s NNSR requirements Arnold Lazarus, at lazarus.arnold@ epa.gov. For comments submitted at V. Statutory and Executive Order under the 2012 PM2.5 NAAQS, does not Reviews have tribal implications as specified by Regulations.gov, follow the online Executive Order 13175 (65 FR 67249, instructions for submitting comments. Under the CAA, the Administrator is Once submitted, comments cannot be required to approve a SIP submission November 9, 2000), because the SIP is not approved to apply in Indian country edited or removed from Regulations.gov. that complies with the provisions of the For either manner of submission, the CAA and applicable Federal regulations. located in the state, and EPA notes that it will not impose substantial direct EPA may publish any comment received 42 U.S.C. 7410(k); 40 CFR 52.02(a). to its public docket. Do not submit Thus, in reviewing SIP submissions, costs on tribal governments or preempt tribal law. electronically any information you EPA’s role is to approve state choices, consider to be Confidential Business provided that they meet the criteria of List of Subjects in 40 CFR Part 52 Information (CBI) or other information the CAA. Accordingly, this action Environmental protection, Air whose disclosure is restricted by statute. merely approves state law as meeting pollution control, Incorporation by Multimedia submissions (audio, video, Federal requirements and does not reference, Intergovernmental relations, etc.) must be accompanied by a written impose additional requirements beyond Nitrogen dioxide, Particulate matter, comment. The written comment is those imposed by state law. For that Reporting and recordkeeping considered the official comment and reason, this proposed action: should include discussion of all points • requirements, Sulfur oxides, Volatile Is not a ‘‘significant regulatory organic compounds. you wish to make. The EPA will action’’ subject to review by the Office generally not consider comments or Dated: March 3, 2021. of Management and Budget under comment contents located outside of the Executive Orders 12866 (58 FR 51735, Diana Esher, primary submission (i.e., on the web, October 4, 1993) and 13563 (76 FR 3821, Acting Regional Administrator, Region III. cloud, or other file sharing system). For January 21, 2011); [FR Doc. 2021–04824 Filed 3–8–21; 8:45 am] additional submission methods, please • Is not an Executive Order 13771 (82 BILLING CODE 6560–50–P contact the person identified in the FOR FR 9339, February 2, 2017) regulatory FURTHER INFORMATION CONTACT section. action because it is not a significant For the full EPA public comment policy, regulatory action under Executive Order ENVIRONMENTAL PROTECTION information about CBI or multimedia 12866; AGENCY submissions, and general guidance on • Does not impose an information making effective comments, please visit 40 CFR Part 52 collection burden under the provisions http://www.epa.gov/dockets/ of the Paperwork Reduction Act (44 [EPA–R09–OAR–2020–0543; FRL–10020– commenting-epa-dockets. U.S.C. 3501 et seq.); 96–Region 9] FOR FURTHER INFORMATION CONTACT: • Is certified as not having a Arnold Lazarus, EPA Region IX, 75 Air Plan Approval; California; El significant economic impact on a Hawthorne St., San Francisco, CA Dorado County Air Quality substantial number of small entities 94105. By phone: (415) 972–3024 or by Management District; South Coast Air under the Regulatory Flexibility Act (5 email at [email protected]. Quality Management District U.S.C. 601 et seq.); SUPPLEMENTARY INFORMATION: • Does not contain any unfunded AGENCY: Environmental Protection Throughout this document, ‘‘we,’’ ‘‘us’’ mandate or significantly or uniquely Agency (EPA). and ‘‘our’’ refer to the EPA. affect small governments, as described ACTION: Proposed rule. in the Unfunded Mandates Reform Act Table of Contents of 1995 (Pub. L. 104–4); SUMMARY: The Environmental Protection I. The State’s Submittal • Does not have Federalism Agency (EPA) is proposing to approve A. What rules did the State submit? implications as specified in Executive revisions to the El Dorado County Air B. Are there other versions of these rules?
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C. What is the purpose of the submitted III. Incorporation by Reference were adopted by the local air agencies rules? IV. Statutory and Executive Order Reviews and submitted by the California Air II. The EPA’s Evaluation and Action Resources Board (CARB). A. How is the EPA evaluating the rules? I. The State’s Submittal B. Do the rules meet the evaluation criteria? A. What rules did the State submit? C. EPA Recommendations To Further Improve the Rules Table 1 lists the rules addressed by D. Public Comment and Proposed Action this proposal with the dates that they
TABLE 1—SUBMITTED RULES
Revised/ Local agency Rule No. Rule title amended Submitted
EDCAQMD ...... 215 Architectural Coatings...... 08/25/2020 09/21/2020 SCAQMD ...... 102 Definition of Terms ...... 01/10/2020 09/16/2020
On November 9, 2020, the EPA the rule with CARB’s ‘‘Suggested the 1997 and the 2008 8-hour ozone determined that the submittals for Control Measure for Architectural National Ambient Air Quality Standards EDCAQMD Rule 215 and SCAQMD Coatings,’’ approved in 2007, and (NAAQS) and Moderate for the 2015 8- Rule 102 met the completeness criteria lowering many of the rule’s VOC limits. hour ozone NAAQS (40 CFR 81.305). in 40 CFR part 51 Appendix V, which The technical support document (TSD) Because there is no relevant EPA CTG must be met before formal EPA review. has more information about this rule. document for architectural coatings and The purpose of the submitted rule because there are no major architectural B. Are there other versions of these revisions for SCAQMD Rule 102 is to rules? coating sources within the EDCAQMD, clarify and update definitions in the architectural coatings are not subject to There is a previous version of rule. The revisions, submitted on RACT requirements. However, EDAQMD Rule 215 in the SIP, which September 16, 2020, add the following architectural coatings are subject to was adopted on September 27, 1994, five compounds to the list of exempt other VOC content limits and control submitted to EPA by CARB on compounds: measures described in the TSD. The November 30, 1994, and approved into • Methyl formate • SCAQMD regulates an ozone the SIP on January 1, 1996 (61 FR propylene carbonate nonattainment area classified as • 1,1,1,2,3,3,3-heptafluoropropane 37390). Extreme for the 1997, 2008 and 2015 8- There is a previous version of (HFC–227ea) • trans-1,3,3,3-tetrafluoropropene hour ozone NAAQS (40 CFR 81.305). SCAQMD Rule 102 in the SIP, which However, the revisions to the SCAQMD was amended on December 3, 2004, (HFO–1234ze) • definitions rule do not have a direct summited to EPA by CARB on June 16, trans-1-chloro-3,3,3-trifluoropropene 1 effect on air pollution emissions and are 2006, and approved into the SIP on (HFO-1233zd) intended to improve clarity and January 8, 2007 (72 FR 656). II. The EPA’s Evaluation and Action enforceability of other SCAQMD rules, C. What is the purpose of the submitted A. How is the EPA evaluating the rules? and thus are not subject to RACT rules? requirements. SIP rules must be enforceable (see VOCs contribute to the production of CAA section 110(a)(2)), must not Guidance and policy documents that ground-level ozone, smog and interfere with applicable requirements we used to evaluate enforceability, particulate matter, which harm human concerning attainment and reasonable revision/relaxation and rule stringency health and the environment. Section further progress or other CAA requirements for the applicable criteria 110(a) of the CAA requires states to requirements (see CAA section 110(l)), pollutants include the following: submit regulations that control VOC and must not modify certain SIP control 1. ‘‘State Implementation Plans; General emissions. Architectural coatings are requirements in nonattainment areas Preamble for the Implementation of Title I of coatings that are applied to stationary without ensuring equivalent or greater the Clean Air Act Amendments of 1990,’’ (57 structures and their accessories. They emissions reductions (see CAA section FR 13498, April 16, 1992 and 57 FR 18070, include house paints, stains, industrial 193). April 28, 1992). maintenance coatings, traffic coatings, Generally, SIP rules must require 2. ‘‘Issues Relating to VOC Regulation and many other products. VOCs are Reasonably Available Control Cutpoints, Deficiencies, and Deviations’’ emitted from the coatings during Technology (RACT) for each category of (‘‘the Bluebook,’’ U.S. EPA, May 25, 1988; application and curing, and from the sources covered by a Control revised January 11, 1990). associated solvents used for thinning Techniques Guidelines (CTG) document 3. ‘‘Guidance Document for Correcting and clean-up. as well as each major source of VOCs in Common VOC & Other Rule Deficiencies’’ The EDCAQMD Rule 215 controls ozone nonattainment areas classified as (‘‘the Little Bluebook,’’ EPA Region 9, August VOC emissions from architectural Moderate or above (see CAA section 21, 2001). coatings by establishing VOC limits on 182(b)(2)). The EDCAQMD has been 4. National Volatile Organic Compound architectural coatings supplied, sold, designated as Severe nonattainment for Emission Standards for Architectural offered for sale, manufactured, blended, Coatings, 40 CFR 59, Subpart D. or repackaged for use within the 1 The Environmental Protection Agency lists this 5. CARB ‘‘Suggested Control Measure for EDCAQMD, as well as architectural compound as trans 1-chloro-3,3,3-trifluoroprop-1- Architectural Coatings,’’ Approved 2007. ene. See 40 CFR 51.100(s)(1). It is identical to the coatings applied or solicited for version that SCAQMD lists. They both have the 6. Code of Federal Regulations, Title 40, application within the District. The same Chemical Abstract Services registry number of Chapter C, Part 51, Subpart F, § Section revisions to Rule 215 include aligning 102687–65–0 and molecular formula of C3H2ClF3. 51.100 (s) (1), ‘‘Definitions’’ (40 CFR 51.100).
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B. Do the rules meet the evaluation • Does not impose an information FEDERAL COMMUNICATIONS criteria? collection burden under the provisions COMMISSION These rules are consistent with CAA of the Paperwork Reduction Act (44 47 CFR Part 73 requirements and relevant guidance U.S.C. 3501 et seq.); regarding enforceability, stringency, and • Is certified as not having a [MB Docket No. 21–50; RM–11875; DA 21– SIP revisions. The TSDs have more significant economic impact on a 159; FR ID 17524] information on our evaluation. substantial number of small entities under the Regulatory Flexibility Act (5 Television Broadcasting Cape C. EPA Recommendations To Further Girardeau, Missouri Improve the Rules U.S.C. 601 et seq.); • Does not contain any unfunded AGENCY: Federal Communications The TSD for Rule 215 describes a Commission. suggested rule revision that we mandate or significantly or uniquely ACTION: Proposed Rule. recommend for the next time the local affect small governments, as described in the Unfunded Mandates Reform Act agency modifies the rule. SUMMARY: of 1995 (Pub. L. 104–4); The Video Division has before it a petition for rulemaking filed D. Public Comment and Proposed • Does not have federalism Action November 27, 2020 (Petition) by Gray implications as specified in Executive Television Licensee, LLC (Petitioner), As authorized in section 110(k)(3) of Order 13132 (64 FR 43255, August 10, the licensee of KFVS–TV (CBS), channel the Act, the EPA proposes to fully 1999); 11 (KFVS or Station), Cape Girardeau, approve the submitted rules because • Is not an economically significant Missouri. The Petitioner requests the they fulfill all relevant requirements. regulatory action based on health or substitution of channel 32 for channel We will accept comments from the safety risks subject to Executive Order 11 at Cape Girardeau, Missouri in the public on this proposal until April 8, 13045 (62 FR 19885, April 23, 1997); DTV Table of Allotments. In support of 2021. If we take final action to approve • Is not a significant regulatory action its channel substitution request, the the submitted rules, our final action will Petitioner states that the Commission incorporate these rules into the federally subject to Executive Order 13211 (66 FR has recognized that VHF channels have enforceable SIP. 28355, May 22, 2001); certain propagation characteristics • III. Incorporation by Reference Is not subject to requirements of which may cause reception issues for Section 12(d) of the National some viewers, and also that the In these rules, the EPA is proposing Technology Transfer and Advancement to include in a final EPA rule regulatory ‘‘reception of VHF signals require larger Act of 1995 (15 U.S.C. 272 note) because antennas . . . relative to UHF text that includes incorporation by application of those requirements would reference. In accordance with channels.’’ According to the Petitioner, be inconsistent with the Clean Air Act; ‘‘many of its viewers experience requirements of 1 CFR 51.5, the EPA is and proposing to incorporate by reference significant difficulty receiving KFVS– • the EDCAQMD Rule 215 and the Does not provide the EPA with the TV’s signal’’ and its channel SCAQMD Rule 102 described in Table discretionary authority to address substitution proposal will allow KFVS 1 of this preamble. The EPA has made, disproportionate human health or ‘‘to deliver a more reliable over-the-air and will continue to make, these environmental effects with practical, signal to viewers.’’ The Petitioner materials available through appropriate, and legally permissible further states that operation on channel www.regulations.gov and at the EPA methods under Executive Order 12898 32 will not result in any predicted loss Region IX Office (please contact the (59 FR 7629, February 16, 1994). of service and would result in a person identified in the FOR FURTHER In addition, the SIP is not approved substantial increase in signal INFORMATION CONTACT section of this to apply on any Indian reservation land receivability for KFVS viewers. We preamble for more information). or in any other area where the EPA or believe that the Petitioner’s channel an Indian tribe has demonstrated that a substitution proposal warrants IV. Statutory and Executive Order consideration. Channel 32 can be Reviews tribe has jurisdiction. In those areas of Indian country, the rule does not have substituted for channel 11 at Cape Under the Clean Air Act, the tribal implications and will not impose Girardeau, Missouri as proposed, in Administrator is required to approve a substantial direct costs on tribal compliance with the principal SIP submission that complies with the governments or preempt tribal law as community coverage requirements of provisions of the Act and applicable specified by Executive Order 13175 (65 the Commission’s rules at coordinates federal regulations. 42 U.S.C. 7410(k); FR 67249, November 9, 2000). 37–27–46.0 N and 89–30–14.0 W. In 40 CFR 52.02(a). Thus, in reviewing SIP addition, we find that this channel submissions, the EPA’s role is to List of Subjects in 40 CFR Part 52 change meets the technical approve state choices, provided that requirements set forth in our they meet the criteria of the Clean Air Environmental protection, Air regulations. We believe that the Act. Accordingly, this proposed action pollution control, Incorporation by Petitioner’s channel substitution merely proposes to approve state law as reference, Intergovernmental relations, proposal warrants consideration. meeting federal requirements and does Ozone, Particulate matter, Reporting Channel 32 can be substituted for not impose additional requirements and recordkeeping requirements, channel 11 at Cape Girardeau, Missouri beyond those imposed by state law. For Volatile organic compounds. as proposed, in compliance with the that reason, this proposed action: Authority: 42 U.S.C. 7401 et seq. principal community coverage • Is not a ‘‘significant regulatory Dated: February 26, 2021. requirements of the Commission’s rules action’’ subject to review by the Office at coordinates 37–27–46.0 N and 89–30– of Management and Budget under Deborah Jordan, 14.0 W. In addition, we find that this Executive Orders 12866 (58 FR 51735, Acting Regional Administrator, Region IX. channel change meets the technical October 4, 1993) and 13563 (76 FR 3821, [FR Doc. 2021–04585 Filed 3–8–21; 8:45 am] requirements set forth in our January 21, 2011); BILLING CODE 6560–50–P regulations.
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DATES: Comments must be filed on or Commission proposes to amend 47 CFR DATES: The comment period for the before April 8, 2021 and reply part 73 as follows: revised notice of proposed rulemaking comments on or before April 23, 2021. published at 86 FR 1452 is extended by PART 73—RADIO BROADCAST ADDRESSES: Federal Communications 30 days to April 8, 2021. SERVICE Commission, Office of the Secretary, 45 ADDRESSES: You may submit data, L Street NE, Washington, DC 20554. In ■ 1. The authority citation for part 73 information, or comments regarding the addition to filing comments with the continues to read as follows: revised proposed rule to designate FCC, interested parties should serve critical habitat for the Arctic ringed seal, Authority: 47 U.S.C. 154, 155, 301, 303, identified by NOAA–NMFS–2013–0114, counsel for petitioner as follows: Joan 307, 309, 310, 334, 336, and 339. Stewart, Esq., Wiley Rein LLP, 1776 by either of the following methods: Street NW, Washington, DC 20006. ■ 2. In § 73.622 in paragraph (i) amend • Electronic Submission: Submit all the Post-Transition Table of DTV FOR FURTHER INFORMATION CONTACT: electronic comments via the Federal Allotments under Missouri by revising eRulemaking Portal. Go to Andrew Manley, Media Bureau, at (202) the entry for Cape Girardeau to read as 418–0596 or [email protected]. www.regulations.gov and enter NOAA– follows: NMFS–2013–0114 in the Search box. SUPPLEMENTARY INFORMATION: This is a Click on the ‘‘Comment’’ icon, complete synopsis of the Commission’s Notice of § 73.622 Digital television table of allotments. the required fields, and enter or attach Proposed Rulemaking, MB Docket No. your comments. * * * * * 21–50; RM–11875; DA 21–159, adopted • Mail: Submit written comments to (i) * * * February 12, 2021, and released Jon Kurland, Assistant Regional February 12, 2021. The full text of this Community Channel No. Administrator for Protected Resources, document is available for download at Alaska Region NMFS, Attn: Records https://www.fcc.gov/edocs. To request Office, P.O. Box 21668, Juneau, AK materials in accessible formats (braille, ***** 99082–1668. large print, computer diskettes, or audio Instructions: NMFS may not consider recordings), please send an email to Missouri comments sent by any other method, to [email protected] or call the Consumer & any other address or individual, or Government Affairs Bureau at (202) ***** received after the end of the comment 418–0530 (VOICE), (202) 418–0432 period. All comments received are a (TTY). Cape Girardeau ...... 22, 32 part of the public record and will This document does not contain generally be posted for public viewing information collection requirements ***** on www.regulations.gov without change. subject to the Paperwork Reduction Act All personal identifying information of 1995, Public Law 104–13. In addition, [FR Doc. 2021–04634 Filed 3–8–21; 8:45 am] (e.g., name, address), confidential therefore, it does not contain any BILLING CODE 6712–01–P business information, or otherwise proposed information collection burden sensitive information submitted ‘‘for small business concerns with fewer voluntarily by the sender will be than 25 employees,’’ pursuant to the DEPARTMENT OF COMMERCE publicly accessible. NMFS will accept Small Business Paperwork Relief Act of anonymous comments (enter ‘‘N/A’’ in 2002, Public Law 107–198, see 44 U.S.C. National Oceanic and Atmospheric Administration the required fields if you wish to remain 3506(c)(4). Provisions of the Regulatory anonymous). Flexibility Act of 1980, 5 U.S.C. 601– 50 CFR Parts 223 and 226 The revised proposed rule and 612, do not apply to this proceeding. supporting documents are available at Members of the public should note [Docket No. 210303–0035] www.regulations.gov, and on the NMFS that all ex parte contacts are prohibited RIN 0648–BC56 website at www.fisheries.noaa.gov/ from the time a Notice of Proposed action/designation-critical-habitat- Rulemaking is issued to the time the Endangered and Threatened Species; arctic-subspecies-ringed-seal. matter is no longer subject to Designation of Critical Habitat for the FOR FURTHER INFORMATION CONTACT: Commission consideration or court Arctic Subspecies of the Ringed Seal; Tammy Olson, NMFS Alaska Region, review, see 47 CFR 1.1208. There are, Extension of Public Comment Period (907) 271–2373; or Jon Kurland, NMFS however, exceptions to this prohibition, Alaska Region, (907) 586–7638. which can be found in Section 1.1204(a) AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and SUPPLEMENTARY INFORMATION: On of the Commission’s rules, 47 CFR January 8, 2021, NMFS published a 1.1204(a). Atmospheric Administration (NOAA), Commerce. revised proposed rule to designate See Sections 1.415 and 1.420 of the critical habitat for the threatened Arctic Commission’s rules for information ACTION: Proposed rule; extension of comment period. ringed seal under the ESA (86 FR 1452). regarding the proper filing procedures The proposed designation comprises an for comments, 47 CFR 1.415 and 1.420. SUMMARY: NMFS hereby extends the area of marine habitat in the northern List of Subjects in 47 CFR Part 73 public comment period by 30 days for Bering, Chukchi, and Beaufort seas. An the revised proposed rule, published in area north of the Beaufort Sea shelf is Television. the Federal Register on January 8, 2021, proposed for exclusion from the Federal Communications Commission. to designate critical habitat for the proposed designation based on national Thomas Horan, threatened Arctic subspecies of the security impacts. The revised proposed Chief of Staff, Media Bureau. ringed seal (Pusa hispida hispida) under rule opened a 60-day public comment the Endangered Species Act (ESA). The period to end on March 9, 2021. NMFS Proposed Rule end of the public comment period is received two requests to extend the For the reasons discussed in the extended from March 9, 2021, to April comment period in order to provide preamble, the Federal Communications 8, 2021. additional time to prepare comments in
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a thorough manner. We considered the threatened Beringia distinct population anonymous comments (enter ‘‘N/A’’ in requests and concluded that we can segment (DPS) of the Pacific bearded the required fields if you wish to remain accommodate a 30-day extension of the seal subspecies (Erignathus barbatus anonymous). comment period for the revised nauticus) under the Endangered Species The proposed rule and supporting proposed rule without significantly Act (ESA). The end of the public documents are at www.regulations.gov, delaying the completion of the final comment period is extended from and on the NMFS website at rule. We are therefore extending the March 9, 2021, to April 8, 2021. www.fisheries.noaa.gov/action/ comment period for the revised DATES: The comment period for the designation-critical-habitat-beringia- proposed rule by 30 days to April 8, notice of proposed rulemaking distinct-population-segment-bearded- 2021. published at 86 FR 1433, and corrected seal. Authority: 16 U.S.C. 1531 et seq. at 86 FR 7242, is extended by 30 days to April 8, 2021. FOR FURTHER INFORMATION CONTACT: Dated: March 3, 2021. Tammy Olson, NMFS Alaska Region, Samuel D. Rauch III, ADDRESSES: You may submit data, information, or comments regarding the (907) 271–2373; or Jon Kurland, NMFS Deputy Assistant Administrator for Alaska Region, (907) 586–7638. Regulatory Programs, National Marine proposed rule to designate critical Fisheries Service. habitat for the Beringia DPS of the SUPPLEMENTARY INFORMATION: On [FR Doc. 2021–04819 Filed 3–8–21; 8:45 am] bearded seal, identified by NOAA– January 8, 2021, NMFS published a BILLING CODE 3510–22–P NMFS–2020–0029, by either of the proposed rule to designate critical following methods: habitat for the threatened Beringia DPS • Electronic Submission: Submit all of the bearded seal under the ESA (86 DEPARTMENT OF COMMERCE electronic comments via the Federal FR 1433; corrected at 86 FR 7242). The eRulemaking Portal. Go to proposed designation comprises an area National Oceanic and Atmospheric www.regulations.gov and enter NOAA– of marine habitat in the northern Bering, Administration NMFS–2020–0029 in the Search box. Chukchi, and Beaufort seas. The Click on the ‘‘Comment’’ icon, complete proposed rule opened a 60-day public 50 CFR Parts 223 and 226 the required fields, and enter or attach comment period to end on March 9, [Docket No. 210303–0034] your comments. 2021. NMFS received two requests to • Mail: Submit written comments to extend the comment period in order to RIN 0648–BJ65 Jon Kurland, Assistant Regional provide additional time to prepare Administrator for Protected Resources, comments in a thorough manner. We Endangered and Threatened Species; Alaska Region NMFS, Attn: Records considered the requests and concluded Designation of Critical Habitat for the Office, P.O. Box 21668, Juneau, AK that we can accommodate a 30-day Beringia Distinct Population Segment 99082–1668. extension of the comment period for the of the Bearded Seal; Extension of Instructions: NMFS may not consider proposed rule without significantly Public Comment Period comments sent by any other method, to delaying the completion of the final AGENCY: National Marine Fisheries any other address or individual, or rule. We are therefore extending the Service (NMFS), National Oceanic and received after the end of the comment comment period for the proposed rule Atmospheric Administration (NOAA), period. All comments received are a by 30 days to April 8, 2021. part of the public record and will Commerce. Authority: 16 U.S.C. 1531 et seq. ACTION: Proposed rule; extension of generally be posted for public viewing Dated: March 3, 2021. comment period. on www.regulations.gov without change. All personal identifying information Samuel D. Rauch III, SUMMARY: NMFS hereby extends the (e.g., name, address), confidential Deputy Assistant Administrator for public comment period by 30 days for business information, or otherwise Regulatory Programs, National Marine the proposed rule, published in the sensitive information submitted Fisheries Service. Federal Register on January 8, 2021, to voluntarily by the sender will be [FR Doc. 2021–04825 Filed 3–8–21; 8:45 am] designate critical habitat for the publicly accessible. NMFS will accept BILLING CODE 3510–22–P
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Notices Federal Register Vol. 86, No. 44
Tuesday, March 9, 2021
This section of the FEDERAL REGISTER vegetables. AMS is revising these U.S. DEPARTMENT OF AGRICULTURE contains documents other than rules or Standards for Grades using the proposed rules that are applicable to the procedures that appear in part 36 of Submission for OMB Review; public. Notices of hearings and investigations, Title 7 of the Code of Federal Comment Request committee meetings, agency decisions and Regulations (7 CFR part 36). rulings, delegations of authority, filing of March 4, 2021. petitions and applications and agency Background The Department of Agriculture has statements of organization and functions are submitted the following information examples of documents appearing in this AMS periodically reviews the grade collection requirement(s) to OMB for section. standards for usefulness in serving the review and clearance under the industry. More recently developed grade Paperwork Reduction Act of 1995, standards use a single term, such as Public Law 104–13. Comments are DEPARTMENT OF AGRICULTURE ‘‘U.S. Grade A’’ or ‘‘U.S. Grade B,’’ to requested regarding whether the describe each level of quality within a Agricultural Marketing Service collection of information is necessary grade standard. Older grade standards for the proper performance of the [Doc. No. AMS–SC–19–0058, SC–21–326] used dual nomenclature, such as ‘‘U.S. functions of the agency, including Grade A or U.S. Fancy’’ and ‘‘U.S. Grade whether the information will have United States Standards for Grades of B or U.S. Extra Standard’’ to describe practical utility; the accuracy of the Frozen Corn on the Cob the same level of quality. The terms agency’s estimate of burden including AGENCY: Agricultural Marketing Service, ‘‘U.S. Fancy,’’ and ‘‘U.S. Extra the validity of the methodology and USDA. Standard’’ have been removed and the assumptions used; ways to enhance the terms ‘‘U.S. Grade A,’’ U.S. Grade B,’’ ACTION: Final Notice. quality, utility and clarity of the and ‘‘Substandard (Sstd)’’ are used information to be collected; and ways to SUMMARY: The Agricultural Marketing exclusively. minimize the burden of the collection of Service (AMS) of the Department of AMS also made editorial changes to information on those who are to Agriculture (USDA) has revised the U.S. these grade standards, updating section respond, including through the use of Standards for Grades of Frozen Corn on headings omitted in previous revisions, appropriate automated, electronic, the Cob. and adding language and allowances for mechanical, or other technological DATES: Effective April 8, 2021. mixed color varieties to align the collection techniques or other forms of FOR FURTHER INFORMATION CONTACT: standards with use of mixed color information technology. Brian E. Griffin, USDA, Specialty Crops varieties by industry. The addition of Comments regarding this information Inspection Division, 100 Riverside language and allowances differentiating collection received by April 8, 2021 will Parkway, Suite 101, Fredericksburg, VA between conventional sweet and be considered. Written comments and 22406; by phone (202) 748–2155; fax supersweet types incorporates language recommendations for the proposed (202) 690–1527; or email Brian.Griffin@ from USDA internal guidance information collection should be usda.gov. Copies of the U.S. Standards documents A–412, September 1967 submitted within 30 days of the for Grades of Frozen Corn on the Cob Frozen Whole Kernel Whole-Grain Corn publication of this notice on the are available on the Specialty Crops Evaluation of Tenderness and Maturity, following website www.reginfo.gov/ Inspection Division website at and A–493, October 1997, Interpretative public/do/PRAMain. Find this www.ams.usda.gov/grades-standards/ Guide for Frozen Supersweet Whole particular information collection by vegetables. Kernel Corn to Determine: Tenderness selecting ‘‘Currently under 30-day and Maturity; and Flavor. These internal Review—Open for Public Comments’’ or SUPPLEMENTARY INFORMATION: Section USDA documents were created with the by using the search function. 203(c) of the Agricultural Marketing Act intention of incorporating them into the An agency may not conduct or of 1946 (7 U.S.C. 1621–1627) as standards. sponsor a collection of information amended, directs and authorizes the unless the collection of information On October 21, 2020, AMS published Secretary of Agriculture ‘‘to develop and displays a currently valid OMB control a notice inviting comments on proposed improve standards of quality, condition, number and the agency informs revisions to the U.S. Standards for quantity, grade, and packaging, and potential persons who are to respond to Grades of Frozen Corn on the Cob in the recommend and demonstrate such the collection of information that such Federal Register (85 FR 66926). No standards in order to encourage persons are not required to respond to comments were received. This revision uniformity and consistency in the collection of information unless it to these grade standards provides commercial practices.’’ displays a currently valid OMB control common language for trade and better AMS is committed to carrying out this number. authority in a manner that facilitates the reflects the current marketing of frozen marketing of agricultural commodities corn on the cob. Food Safety and Inspection Service and makes copies of official standards Authority: 7 U.S.C. 1621–1627. Title: Common or Usual Name for available upon request. The U.S. Raw Meat and Poultry Products Standards for Grades of Fruits and Bruce Summers, Containing Added Solutions. Vegetables that no longer appear in the Administrator, Agricultural Marketing OMB Control Number: 0583–0152. Code of Federal Regulations are Service. Summary of Collection: The Food maintained by AMS at: [FR Doc. 2021–04880 Filed 3–8–21; 8:45 am] Safety and Inspection Service (FSIS) has www.ams.usda.gov/grades-standards/ BILLING CODE P been delegated the authority to exercise
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the functions of the Secretary as quality, utility and clarity of the Total Burden Hours: 135,526. provided in the Federal Meat Inspection information to be collected; and ways to Ruth Brown, Act (FMIA) (21 U.S.C. 601 et seq.) and minimize the burden of the collection of the Poultry Products Inspection Act information on those who are to Departmental Information Collection Clearance Officer. (PPIA) (21 U.S.C. 451 et seq.). These respond, including through the use of statutes mandate that FSIS protect the appropriate automated, electronic, [FR Doc. 2021–04853 Filed 3–8–21; 8:45 am] public by ensuring that meat and mechanical, or other technological BILLING CODE 3410–30–P poultry products are safe, wholesome, collection techniques or other forms of unadulterated, and properly labeled and information technology. DEPARTMENT OF AGRICULTURE packaged. FSIS regulations establish a Comments regarding this information common or usual name for raw meat collection received by April 8, 2021 will Forest Service and poultry products that do not meet be considered. Written comments and standard or identity regulations and to recommendations for the proposed Information Collection; National which solutions have been added. information collection should be Woodland Owner Survey Products with added solutions are submitted within 30 days of the sometimes called referred to as publication of this notice on the AGENCY: Forest Service, USDA. ‘‘enhanced products.’’ following website www.reginfo.gov/ ACTION: Notice; request for comment. Need and use of the Information: FSIS public/do/PRAMain. Find this requires establishments that particular information collection by SUMMARY: In accordance with the manufacture products containing added selecting ‘‘Currently under 30-day Paperwork Reduction Act of 1995, the solutions to label the products with a Review—Open for Public Comments’’ or Forest Service is seeking comments descriptive designation that provides an by using the search function. from all interested individuals and accurate description of the raw meat or An agency may not conduct or organizations on the renewal of the poultry component, the percentage of sponsor a collection of information National Woodland Owner Survey added solution incorporated into the unless the collection of information information collection. raw meat or poultry product, and the displays a currently valid OMB control DATES: Comments must be received in individual ingredients or multi- number and the agency informs writing on or before May 10, 2021 to be ingredient components in the solution potential persons who are to respond to assured of consideration. Comments listed in the descending order of the collection of information that such received after that date will be predominance by weight on the product persons are not required to respond to considered to the extent practicable. label. FSIS also requires that the the collection of information unless it ADDRESSES: Comments concerning this product name and the descriptive displays a currently valid OMB control notice should be addressed to Brett designation be printed in a single easy- number. Butler, Research Forester, USDA Forest to-read type style and color and on a Service, 160 Holdsworth Way, Amherst, single-color contrasting background. Food and Nutrition Service MA 01003. Comments may also be Description of Respondents: Business Title: Supplemental Nutrition submitted by email to: brett.butler2@ or other for-profit. Assistance Program Repayment Demand usda.gov. Comments submitted in Number of Respondents: 6,100. Frequency of Responses: and Program Disqualification. response to this notice may be made Recordkeeping; Reporting: On occasion. OMB Control Number: 0584–0492. available to the public through relevant Total Burden Hours: 61,000. Summary of Collection: Section 13(b) websites and upon request. For this of the Food and Nutrition Act of 2008, reason, please do not include in your Ruth Brown, as amended (7 U.S.C. 2202(b)), and comments information of a confidential Departmental Information Collection Supplemental Nutrition Assistance nature, such as sensitive personal Clearance Officer. Program (SNAP) regulations at 7 CFR information or proprietary information. [FR Doc. 2021–04822 Filed 3–8–21; 8:45 am] 273.18(a)(2) require State agencies to If you send an email comment, your BILLING CODE 3410–DM–P initiate collection action. State agencies email address will be automatically must provide an affected household captured and included as part of the with written notification informing the comment that is placed in the public DEPARTMENT OF AGRICULTURE over-issued household of the claim and docket and made available on the demanding repayment. internet. Please note that responses to Submission for OMB Review; Need and Use of the Information: this public comment request containing Comment Request State agency personnel will collect the any routine notice about the March 4, 2021. information from individuals collecting confidentiality of the communication The Department of Agriculture has SNAP benefits. The State agencies must will be treated as public comments that submitted the following information maintain all records associated with this may be made available to the public collection requirement(s) to OMB for collection for a period of three years so notwithstanding the inclusion of the review and clearance under the that FNS can review documentation routine notice. Paperwork Reduction Act of 1995, during compliance reviews and other The public may request an electronic Public Law 104–13. Comments are audits. Without the information, FNS copy of the draft supporting statement requested regarding; whether the would not be able to correct accidental and/or any comments received. collection of information is necessary or fraudulent overpayment errors in the Requests should be emailed to for the proper performance of the SNAP Program. [email protected]. functions of the agency, including Description of Respondents: 53 State, FOR FURTHER INFORMATION CONTACT: whether the information will have Local, or Tribal Government (SLT); Brett Butler, Research Forester, practical utility; the accuracy of the 559,785 Individuals/Households (I/H). Northern Research Station, 413–545– agency’s estimate of burden including Number of Respondents: 559,838. 1387. Individuals who use the validity of the methodology and Frequency of Responses: Reporting, telecommunication devices for the assumptions used; ways to enhance the Recordkeeping; On occasion. hearing-impaired (TDD) may call the
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Federal Information Relay Service • Resource uses and management envelope will be sent to the potential (FIRS) at 1–800–877–8339 twenty-four activities; and respondents. The cover letter will hours a day, every day of the year, • Where applicable, landowner reiterate the purpose of this information including holidays. demographics. collection and provide respondents with SUPPLEMENTARY INFORMATION: Separate survey instruments are being all legally required information. Third, Title: National Woodland Owner developed for rural and urban a reminder will be mailed to thank Survey. landowners. For rural landowners, a respondents and encourage non- OMB Number: 0596–0078. subset of ownerships will be sent survey respondents to reply. Those who have Type of Request: Information instruments addressing the following yet to respond will be sent a new Collection Renewal. topics, in addition to the core questions questionnaire, cover letter, and pre-paid Abstract: There are an estimated 823 from the base survey instrument: return envelope. The primary survey • Wildfires; instrument will be paper forms with the million acres of forestland across the • Invasive species; option for completing the survey United States. Of this forestland, over • Climate change; half is owned by millions of • electronically online. Telephone Land owner values; and interviews will be used for follow-up corporations, families, individuals, and • Decision making. with non-respondents. other private groups. Understanding the The NWOS provides widely cited Forest Service researchers will attitudes and behaviors of these private benchmarks for the number, extent, and coordinate all components of this ownerships is critical for understanding characteristics of owners of forestland in information collection. Forest Service the current and future state of the the United States. These results have personnel with assistance provided by nation’s forests. The Forest Service been used to assess the sustainability of cooperators at the Family Forest conducts the National Woodland Owner forest resources at national, regional, Research Center located at the Survey (NWOS) to increase our and state levels; to implement and University of Massachusetts Amherst understanding of: assess forest-land owner assistance will conduct the mail portion of the • Who owns and manages the programs; and to answer a variety of survey, cognitive interviews, and focus forestland of the United States; questions with topics ranging from groups. The U.S. Department of • Why they own/manage it; forestland fragmentation to the Agriculture, National Agricultural • How they have used it; and economics of timber production. This is Statistics Service will conduct the • How they intend to use it. the only effort to collect in-depth telephone follow-ups. Data will be This information is used by policy information about owners of forestland compiled and edited by Forest Service analysts, foresters, educators, and at the national scale. It provides and Family Forest Research Center researchers to facilitate planning and longitudinal data to track ownership personnel. Forest Service researchers implementation of forest policies and trends and allows for comparisons and cooperators will analyze the programs. across regions of the country. collected data. National, regional, and The Forest Service’s direction and The respondents will be a statistically state-level results will be publicly authority to conduct the NWOS is from selected group of individuals, families, available and electronically distributed. the Resources Planning Act of 1974 and partnerships, corporations, nonprofit This information collection will the Forest and Rangeland Renewable organizations, and other private groups generate scientifically-based, Resources Research Act of 1978. These that own forestland in the United States. statistically-reliable, up-to-date acts assign responsibility for inventory A well distributed, random set of information about the owners of and assessment of forest and related sampling points has been established forestland in the United States. Results renewable resources to the Secretary of across the country. At each point, of these efforts will provide more Agriculture, and these responsibilities remotely sensed data, such as aerial reliable information on this important are subsequently delegated to the Forest photographs, will be used to identify and dynamic segment of the United Service. Additionally, the importance of forested points. For the forested points, States population, thus facilitating more an ownership survey in this inventory public records will be used to identify complete assessments of the country’s and assessment process has been the owners of record—the names and forestland resources and improved highlighted in the 2014 Farm Bill, the addresses of the landowners we will planning and implementation of forestry Agricultural Research, Extension, and contact. The target number of programs on state, regional, and Education Reform Act of 1998, and the respondents per state is 250 over the recommendations of the 1998 Second national levels. full, 2019–2023, data collection cycle. Affected Public: Individuals and Blue Ribbon Panel on the Forest The NWOS will utilize a mixed-mode Households and the Private Sector Inventory and Analysis program. survey technique involving cognitive (Businesses and Non-Profit Previous iterations of the NWOS were interviews, focus groups, self- Organizations). conducted in 1978, 1993, 2002–2006, administered questionnaires, and Estimate of Burden per Response: 25 2011–2013, and 2017–2018. Data telephone interviews. Cognitive minutes. collection for the current iteration is interviews will be used to test specific Estimated Annual Number of planned for 2019–2023. Initial approval questions. Focus groups will be used to Respondents: 3,558. for the current data collection cycle of provide more in-depth understanding of Estimated Annual Number of the NWOS expires on October 31, 2021. the responses and to explore new areas Responses per Respondent: 1. If renewed, the current NWOS data of inquiry. Estimated Total Annual Burden on collection cycle will be completed in Implementation of the self- Respondents (hours): 2,118. 2023. administered survey will involve up to Information will be collected related four contacts. First, a pre-notice Comment Is Invited to: postcard will be sent to all potential Comment is invited on: (1) Whether • The characteristics of the land respondents describing this information this collection of information is holdings; collection and why the information is necessary for the stated purposes and • Attitudes and perceptions of the being collected. Second, a questionnaire the proper performance of the functions owners and managers; with a cover letter and pre-paid return of the Agency, including whether the
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information will have practical or Building, Room 4636, Washington, DC • Cover Crop (Code 340); scientific utility; (2) the accuracy of the 20250. In your comment, specify the • Dry Hydrant (Code 432); Agency’s estimate of the burden of the docket ID NRCS–2020–0008. • Dust Management for Pen Surfaces collection of information, including the All comments will be available on (Code 375); validity of the methodology and http://www.regulations.gov. • Energy Efficient Agricultural assumptions used; (3) ways to enhance The copies of the proposed revised Operation (Code 374); the quality, utility, and clarity of the standards are available through http:// • Fence (Code 382); information to be collected; and (4) www.regulations.gov by accessing • Grazing Land Mechanical ways to minimize the burden of the Docket No. NRCS–2020–0008. Treatment (Code 548); • collection of information on Alternatively, the proposed revised Land Reclamation; • respondents, including the use of standards can be downloaded or printed Abandoned Mined Land (Code automated, electronic, mechanical, or from http://go.usa.gov/TXye. 543); • On-Farm Secondary Containment other technological collection FOR FURTHER INFORMATION CONTACT: Mr. Facility (Code 319); techniques or other forms of information Clarence Prestwich; telephone: (202) • technology. Precision Land Forming and 720–2972; or email: Smoothing (Code 462); All comments received in response to [email protected]. • this notice, including names and Recreation Land Improvement and SUPPLEMENTARY INFORMATION: addresses when provided, will be a Protection (Code 566); • Roof Runoff Structure (Code 558); matter of public record. Comments will Background • be summarized and included in the Sinkhole Treatment (Code 527); NRCS is planning to revise the • Sprinkler System (Code 442); submission to the Office of Management conservation practice standards in the • and Budget for approval. Stream Crossing (Code 578); National Handbook of Conservation • Waste Separation Facility (Code Alexander L. Friend, Practices (NHCP). This notice provides 632); Deputy Chief, Research & Development. an overview of the planned changes and • Waste Transfer (Code 634); • [FR Doc. 2021–04788 Filed 3–8–21; 8:45 am] gives the public an opportunity to Wastewater Treatment—Milk House provide comments on the specific BILLING CODE 3411–15–P (Code 627); conservation practice standards that • Wetland Creation (Code 658); and NRCS is changing. • Windbreak/Shelterbelt DEPARTMENT OF AGRICULTURE NRCS State Conservationists who Establishment and Renovation (Code choose to adopt these practices in their 380). Natural Resources Conservation States will incorporate these practices The following are highlights of some Service into the respective electronic Field of the proposed changes to each Office Technical Guide. These practices standard: [Docket No. NRCS–2020–0008] may be used in conservation systems Agrichemical Handling Facility (Code Proposed Revisions to the National that treat highly erodible land (HEL) or 309): Minor revisions were made for Handbook of Conservation Practices on land determined to be a wetland. improved organization and for clarity. for the Natural Resources Section 343 of the Federal Agriculture Some flexible membrane liner Conservation Service Improvement and Reform Act of 1996 thicknesses were changed. The requires NRCS to make available for minimum storage volume of the AGENCY: Natural Resources public review and comment all Agrichemical Handling Facility was Conservation Service (NRCS), U.S. proposed revisions to conservation changed to 1.1 times the volume of Department of Agriculture (USDA). practice standards used to carry out HEL largest storage container within the ACTION: Notice of availability; request and wetland provisions of the law. containment area, plus the displacement for comment. volume that is occupied by all the other Revisions to the National Handbook of tanks within and below the height of the Conservation Practices SUMMARY: NRCS is giving notice that it containment wall or dike. intends to issue a series of revised The amount of the proposed changes Air Filtration and Scrubbing (Code conservation practice standards in the varies considerably for each of the 371): Formatting and writing style were National Handbook of Conservation conservation practice standards updated to meet current agency Practices (NHCP). NRCS is also giving addressed in this notice. To fully requirements. Minor revisions were the public an opportunity to provide understand the proposed changes, made for clarity and readability comments on specified conservation individuals are encouraged to compare purposes and to update citations for practice standards in NHCP. these changes with each standard’s existing references. Major changes were DATES: We will consider comments that current version, which can be found at: made to the Plans and Specifications to we receive by April 8, 2021. http://www.nrcs.usda.gov/wps/portal/ identify needed information and to ADDRESSES: We invite you to submit nrcs/detailfull/national/technical/cp/ remove requirements of supplying comments on this notice. You may ncps/?cid=nrcs143_026849. supporting documentation with plans submit comments through the: NRCS is requesting comments on the and specifications. • Federal eRulemaking Portal: Go to following conservation practice Channel Bed Stabilization (Code 584): http://www.regulations.gov and search standards: Minor changes were made, mostly for docket ID NRCS–2020–0008. Follow • Agrichemical Handling Facility requiring more specific channel and the instructions for submitting (Code 309); sedimentation information in the Plans comments. • Air Filtration and Scrubbing (Code and Specifications section. • Mail, or Hand Delivery: Mr. 371); Contour Orchard and Other Perennial Clarence Prestwich, National • Channel Bed Stabilization (Code Crops (Code 331): The standard was Agricultural Engineer, Conservation 584); edited for clarity. Minor revisions were Engineering Division, NRCS, USDA, • Contour Orchard and Other made for clarity and readability 1400 Independence Avenue, South Perennial Crops (Code 331); purposes. Definition was edited for
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improved explanation. Paragraphs in Agricultural Operation’’ to reflect the standards into a single standard makes General Criteria and Considerations energy efficiency purpose. The standard sense logically and allows for were edited for improved has been rewritten to focus on the eliminating one of the standards. The understanding. energy efficiency criteria, fire and new standard retains the number Code Cover Crop (Code 340): Minor electrical safety, flexibility, and 566, and titled, Recreation Land wording changes were made throughout manufacturer’s requirements. The Improvement and Protection to better for clarification. In the Purpose section, requirement for an ASABE S612 Type 2 reflect the elements of the two standards specific soil health resource concerns energy audit has been revised to allow being combined. CPS 562 will be were added as two purpose statements other assessment methods. Criteria was archived. CPS 566 is not a standard on soil organic matter quantity and added to support Prescriptive Upgrades likely to be used under NRCS aggregate instability, soil organic matter to simplify and streamline administered programs, such as EQIP, quality, and habitat for soil organisms. implementation of some instances of the but is a useful standard for Watersheds In the General Criteria section, the practice. Criteria was added for heat and Protection and Flood Prevention Act reference to when cover crops are air transfer systems and equipment. (Pub. L. 83–566) work in those locations established has been better defined. One Fence (Code 382): Formatting and with the potential for development of change added ‘‘no mechanically harvest writing style were updated to meet recreational facilities. of cover crops’’ to clarify that cover current agency requirements. Minor Roof Runoff Structure (Code 558): crops can be grazed but not harvested revisions were made for clarity and One purpose was rewritten to remove otherwise. In the Additional Criteria readability purposes. References were references to foundation protection section, a change established criteria for updated based on literature review. since that is not an established resource grazing cover crops to improve organic Grazing Land Mechanical Treatment concern and now just addresses soil matter. (Code 548): The definition was changed erosion. Minor wording changes were Dry Hydrant (Code 432): The revised by removing the equipment listed. made to the Criteria section for clarity standard expands the purpose of dry Added equipment list to criteria and specificity. Changes were made to hydrant to include providing access of separated by soil or plant disturbances. the Additional Criteria section to available water for additional purposes Reduced safe slope work from 30 to 20 Capture Water for Other Uses to address including livestock water, small acreage percent. water quality for reuse of captured water irrigation, wetland management, and Land Reclamation, Abandoned Mined and criteria modified for storage of the other purposes where water is needed in Land (Code 543): The criteria in Land captured water. limited quantities on a periodic basis in Reclamation, Currently Mined Land Sinkhole Treatment (Code 527): The addition to the purpose of providing (Code 544) and Land Reclamation, name was changed from Karst Sinkhole access to an available water source for Toxic Discharge Control (Code 455), Treatment to Sinkhole Treatment. Safety fire suppression. The revised standard is were added to criteria for Land hazard was addressed as well as minor intended to be more flexible regarding Reclamation, Abandoned Mined Land to wording changes to improve clarity. the use of the standard and encouraging put all of the related technical criteria Sprinkler System (Code 442): landowners to install dry hydrants to into one standard. The definition, Formatting and writing style were meet needs in addition to fire purpose, and conditions where the updated to meet current agency suppression. Criteria were divided to practice applies were updated to reflect requirements. Minor revisions were separately address fire suppression and the intent of the practice. The criteria made for clarity and readability other purposes. Criteria were revised to were updated to include the current purposes. Updated Tables to meet be more general. environmental and personal safety laws current industry standards. Modified Dust Management for Pen Surfaces and requirements. Plans and the Land Slope section to allow for (Code 375): The name of this standard Specifications were updated to include pivot systems that may not meet the has been changed from ‘‘Dust Control the required level of detail. slope requirement but meet the run-off from Animal Activity on Open Lot On-Farm Secondary Containment and application rate requirements. Surfaces’’ to ‘‘Dust Management for Pen Facility (Code 319): Formatting and Added a section for Mobile Drip Surfaces’’ to reflect that it is now writing style were updated to meet Irrigation (MDI). MDI is a type of entirely a management standard and to current agency requirements. The irrigation that is partially sprinkler and simplify the name. Formatting and redundant purpose was removed since partially drip type irrigation and it was writing style were updated to meet both were to protect water quality. decided that MDI criteria is more current agency requirements. Specific Technical requirements were added or applicable to the standard. criteria, considerations, and references revised, as needed, to be consistent with Stream Crossing (Code 578): This to water application via solid set other referenced codes within the standard has a few major changes sprinkler systems were removed from standard. including that it increases siting the standard because it is now covered Precision Land Forming and flexibility, and the addition of vented in Sprinkler System (Code 442). Specific Smoothing (Code 462): The standard has fords as an alternative where frequent criteria related to increased stocking been combined with CPS 466-Land overtopping is expected. density to supply additional moisture to Smoothing since both standards are Waste Separation Facility (Code 632): the pen surface for reducing dust similar in practice. Minor revisions Safety was moved to the beginning of potential were added. New references were made. Clarity was added regarding the General Criteria section to were added, and minor revisions were grading plan and soil health. emphasize the need for safety on all made for clarity and readability Recreation Land Improvement and separation technologies. Wording was purposes and to update citations for Protection (Code 566): CPS 566, added to address location of the existing references. originally titled Recreation Land facilities and the requirement to manage Energy Efficient Agricultural Grading and Shaping, is being combined the 25-year, 24-hour storm event. The Operation (Code 374): The standard has with CPS 562, Recreation Area sections on Separator selection and been revised extensively. The name has Improvement, and renamed CPS 566, Separation efficiency were revised to been changed from ‘‘Farmstead Energy Recreation Land Improvement and reference NRCS guidance document Improvement’’ to ‘‘Energy Efficient Protection. Combining the two National Engineering Handbook (NEH),
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Part 637, Chapter 4. Direction was DEPARTMENT OF COMMERCE website, which is accessible via added to the Storage or Treatment of www.trade.gov/ftz. Separated Solids section to design Foreign-Trade Zones Board For further information, contact storage facilities for separated solids in Christopher Wedderburn at accordance with the appropriate NRCS [B–16–2021] [email protected]. standard. A consideration on the Dated: March 4, 2021. biosecurity of separation facilities was Foreign-Trade Zone (FTZ) 185— Andrew McGilvray, added. Culpeper, Virginia; Notification of Waste Transfer (Code 634): Proposed Production Activity; Merck & Executive Secretary. Formatting and writing style were Co., Inc. (Pharmaceutical Products); [FR Doc. 2021–04863 Filed 3–8–21; 8:45 am] updated to meet current agency Elkton, Virginia BILLING CODE 3510–DS–P requirements. Minor revisions were Merck & Co., Inc. (Merck), submitted made for clarity and readability a notification of proposed production DEPARTMENT OF COMMERCE purposes. The structural design activity to the FTZ Board for its facility requirements were updated to align in Elkton Virginia. The notification Foreign-Trade Zones Board with changes made to the National conforming to the requirements of the Engineering Manual. The criteria for regulations of the FTZ Board (15 CFR [B–17–2021] reception pit size, pipe clean-outs and 400.22) was received on March 2, 2021. Foreign-Trade Zone (FTZ) 93—Raleigh/ pipeline velocity were revised. Merck already has authority to Wastewater Treatment—Milk House Durham, North Carolina; Notification of produce pharmaceutical products (Code 627): Added a new conservation Proposed Production Activity; Liebel- within Subzone 185C. The current practice standard developed to better Flarsheim Company, LLC (Diagnostic request would a add finished product address the technical complexities of Imaging Contrast Media), Raleigh, and foreign status materials to the scope treating greywater from cleaning the North Carolina of authority. Pursuant to 15 CFR milking equipment. The practice 400.14(b), additional FTZ authority Liebel-Flarsheim Company, LLC standard is based on several university would be limited to the specific foreign- (Liebel-Flarsheim) submitted a extension publications referenced in the status materials and specific finished notification of proposed production standard and NRCS field experience. Wetland Creation (Code 658): The product described in the submitted activity to the FTZ Board for its facility standard revision removed soils as a notification (as described below) and in Raleigh, North Carolina. The purpose and added an additional subsequently authorized by the FTZ notification conforming to the purpose of creating a native plant Board. requirements of the regulations of the community adapted to growth and Production under FTZ procedures FTZ Board (15 CFR 400.22) was regeneration in anerobic conditions. could exempt Merck from customs duty received on March 2, 2021. Establishment of hydric soil was payments on the foreign-status materials The Liebel-Flarsheim facility is removed as a purpose because anaerobic used in export production. On its located within FTZ 93. The facility is soil conditions is an outcome, not a domestic sales, for the foreign-status used for the production of diagnostic purpose. The new practice standard materials/components noted below and imaging contrast media. Pursuant to 15 Wildlife Habitat Planting (Code 420) is in the existing scope of authority, Merck CFR 400.14(b), FTZ activity would be listed as appropriate for vegetative would be able to choose the duty rates limited to the specific foreign-status establishment when wildlife habitat is a during customs entry procedures that material/component and specific purpose. This allows the use of Wetland applies to PRIMAXIN/TIENAM finished product described in the Creation (Code 658) when the purpose (imipenem/cilastatin) (duty-free). Merck submitted notification (as described is to establish a unique plant would be able to avoid duty on foreign- below) and subsequently authorized by community without targeting a single status components which become scrap/ the FTZ Board. species of wildlife or guild. waste. Customs duties also could Production under FTZ procedures Windbreak/Shelterbelt Establishment possibly be deferred or reduced on could exempt Liebel-Flarsheim from and Renovation (Code 380): Two foreign-status production equipment. customs duty payments on the foreign- practice standards were combined, and The materials sourced from abroad are status component used in export Code 380 now includes windbreak BIS (2, 4-Dichlorophenyl) production. On its domestic sales, for renovation as well as establishment. The Chlorophosphate and Enol Phosphate the foreign-status material/component definition, purpose, conditions where (duty rate 6.5%). The request indicates noted below, Liebel-Flarsheim would be practice applies, and considerations that the materials are subject to duties able to choose the duty rate during under Section 301 of the Trade Act of customs entry procedures that applies to sections were updated. Criteria sections ® were added to address renovation; 1974 (Section 301), depending on the Dotarem (gadoterate meglumine) (duty- several other sections were moved to the country of origin. The applicable free). Liebel-Flarsheim would be able to Considerations section. The Plans and Section 301 decisions require subject avoid duty on the foreign-status Specifications section were expanded to merchandise to be admitted to FTZs in material/component which becomes align with conservation plan privileged foreign status (19 CFR scrap/waste. Customs duties also could requirements, and operations and 146.41). possibly be deferred or reduced on maintenance sections were expanded to Public comment is invited from foreign-status production equipment. clarify requirements. References were interested parties. Submissions shall be The material/component sourced added. addressed to the Board’s Executive from abroad is dodecane tetraacetic acid Secretary and sent to: [email protected]. The (DOTA) (duty rate—6.5%). The request Terry Cosby, closing period for their receipt is April indicates that the material/component is Acting Chief, Natural Resources Conservation 19, 2021. subject to duties under Section 301 of Service. A copy of the notification will be the Trade Act of 1974 (Section 301), [FR Doc. 2021–05005 Filed 3–8–21; 8:45 am] available for public inspection in the depending on the country of origin. The BILLING CODE 3410–16–P ‘‘Reading Room’’ section of the Board’s applicable Section 301 decisions require
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subject merchandise to be admitted to Oman.1 Domestic interested parties 2 Assessment FTZs in privileged foreign status (19 requested an administrative review for CFR 146.41). Al Samna Metal Manufacturing & Commerce will instruct U.S. Customs Public comment is invited from Trading Company LLC (Al Samna); and Border Protection (CBP) to assess interested parties. Submissions shall be Bollore Logistics (Oman) LLC (Bollore antidumping duties on all appropriate addressed to the Board’s Executive Logistics); Transworld Shipping Trading entries at a rate equal to the cash deposit Secretary and sent to: [email protected]. The & Logistics Services LLC (Transworld of estimated antidumping duties closing period for their receipt is April Shipping), and Al Jazeera Steel Products required at the time of entry, or 19, 2021. Co. SAOG (Al Jazeera). Pursuant to the withdrawal from warehouse, for A copy of the notification will be domestic interested parties’ request, consumption, during the period available for public inspection in the Commerce initiated an administrative December 1, 2019, through November ‘‘Reading Room’’ section of the Board’s review with respect to Al Samna, 30, 2020, in accordance with 19 CFR website, which is accessible via Bollore Logistics, and Transworld 351.212(c)(1)(i). Commerce intends to www.trade.gov/ftz. Shipping, in accordance with section issue assessment instructions to CBP no earlier than 35 days after publication of For further information, contact Diane 751(a) of the Tariff Act of 1930, as 3 this notice in the Federal Register. Finver at [email protected] or amended (the Act). However, we did (202) 482–1367. not initiate an administrative review for Notification to Importers Al Jazeera based on its request to defer Dated: March 4, 2021. the administrative review pursuant to This notice serves as a final reminder Andrew McGilvray, 19 CFR 351.213(c), which the domestic to importers of their responsibility Executive Secretary. interested parties did not contest.4 under 19 CFR 351.402(f)(2) to file a [FR Doc. 2021–04864 Filed 3–8–21; 8:45 am] Subsequent to the initiation of the certificate regarding the reimbursement BILLING CODE 3510–DS–P administrative review, the domestic of antidumping duties prior to interested parties timely withdrew their liquidation of the relevant entries request for an administrative review of during this review period. Failure to DEPARTMENT OF COMMERCE the remaining three companies, as comply with this requirement could discussed below. No other party result in the presumption that International Trade Administration requested an administrative review of reimbursement of antidumping duties [A–523–812] these companies. occurred and the subsequent assessment Rescission of Administrative Review of doubled antidumping duties. Circular Welded Carbon-Quality Steel Pursuant to 19 CFR 351.213(d)(1), Notification Regarding Administrative Pipe From Oman: Rescission of Protective Orders Antidumping Duty Administrative Commerce will rescind an Review; 2019–2020 administrative review, in whole or in This notice also serves as a final part, if the party that requested a review reminder to parties subject to AGENCY: Enforcement and Compliance, withdraws its request within 90 days of administrative protective order (APO) of International Trade Administration, the date of publication of the notice of their responsibility concerning the Department of Commerce. initiation. The request for an return or destruction of proprietary SUMMARY: The Department of Commerce administrative review of Al Samna, information disclosed under APO in (Commerce) is rescinding the Bollore Logistics, and Transworld accordance with 19 CFR 351.305(a)(3), administrative review of the Shipping was withdrawn by the 5 which continues to govern business antidumping duty order on circular established deadline. As a result, proprietary information in this segment welded carbon-quality steel pipe from Commerce is rescinding this review in of the proceeding. Timely written Oman for the period of review its entirety, in accordance with 19 CFR notification of the return or destruction December 1, 2019, through November 351.213(d)(1). Further, as noted in the of APO materials or conversion to 30, 2020, based on the timely Initiation Notice, Commerce deferred judicial protective order is hereby withdrawal of the request for review. the administrative review for one year requested. Failure to comply with the with respect to Al Jazeera.6 DATES: Applicable March 9, 2021. regulations and terms of an APO is a violation which is subject to sanction. FOR FURTHER INFORMATION CONTACT: 1 See Antidumping or Countervailing Duty Order, Dennis McClure, AD/CVD Operations, Finding, or Suspended Investigation; Opportunity Notification to Interested Parties Office VIII, Enforcement and to Request Administrative Review, 85 FR 77431 (December 2, 2020). This notice is issued and published in Compliance, International Trade 2 The domestic interested parties are Wheatland accordance with sections 751(a)(1) and Administration, U.S. Department of Tube Company and Bull Moose Tube. Commerce, 1401 Constitution Avenue 3 See Initiation of Antidumping and 777(i)(l) of the Act, and 19 CFR NW, Washington, DC 20230; telephone: Countervailing Duty Administrative Reviews, 86 FR 351.213(d)(4). (202) 482–5973. 8166 (February 4, 2021) (Initiation Notice). Dated: March 3, 2021. 4 See Initiation Notice, 86 FR at 8175. SUPPLEMENTARY INFORMATION: James Maeder, 5 See Domestic Interested Parties’ Letter, Background ‘‘Circular Welded Carbon Quality Steel Pipe from Deputy Assistant Secretary for Antidumping Oman: Partial Withdrawal of Request for and Countervailing Duty Operations. On December 2, 2020, Commerce Administrative Review,’’ dated February 23, 2021. [FR Doc. 2021–04870 Filed 3–8–21; 8:45 am] 6 See Initiation Notice, 86 FR at 8175. As a result published a notice of opportunity to BILLING CODE 3510–DS–P request an administrative review of the of the uncontested deferment request, Commerce intends to conduct its administrative review of Al administrative review covering the period antidumping duty order on circular Jazeera for the period December 1, 2019 through welded carbon-quality steel pipe from November 30, 2020, within the subsequent December 1, 2020, through November 30, 2021.
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DEPARTMENT OF COMMERCE DATES: The mission, originally the best decision for the health, safety, scheduled for June 21–24, 2021, is and welfare of the participants. The new International Trade Administration postponed to June 20–23, 2022. deadline for applications has been SUPPLEMENTARY INFORMATION: extended to Friday, December 17, 2021. Notice of Amendment for US–UK FIP Amendment to Revise Trade Mission Applications may be accepted after that Trade Mission to the United Kingdom Dates, and Deadline for Submitting date if space remains and scheduling Applications. AGENCY: International Trade constraints permit. Interested U.S. Administration, Department of Background companies and trade associations/ organizations that have not already Commerce. The United States Department of submitted an application are ACTION: Notice. Commerce, International Trade encouraged to do so. The schedule is Administration, is amending the Notice updated as follows: SUMMARY: The International Trade published at 85 FR 56578 (September Administration, United States 14, 2020), regarding the dates of ITA’s Proposed Timetable Department of Commerce, is planned U.S.–UK Financial Innovation announcing amended dates and Partnership Trade Mission to the United * Note: The final schedule and deadline for submitting applications for Kingdom, which have been modified potential site visits will depend on the the US–UK Financial Innovation from June 21–24, 2021 to June 20–23, availability of host government and Partnership Trade Mission to the United 2022. The Department has been closely business officials, specific goals of Kingdom previously announced and monitoring COVID–19 developments mission participants, and ground published in the Federal Register. and believes postponing the mission is transportation.
Monday, June 20, 2022 ...... • Trade Mission Participants Arrive. • No Host Dinner/Delegation Meet Up/Evening Activity (i.e., London Eye). Tuesday, June 21, 2022 ...... • Opening Breakfast at Winfield House (Regents Park). • FCA Sandbox Discussion (Stratford). • Level 39 Accelerator Show Round and Visit with Key Tenants (Canary Wharf). • Evening Reception—TBC Bank/Venue in Canary Wharf. Wednesday, June 22, 2022 ...... • 7:30 a.m. Opening of London Stock Exchange Networking, Ceremony, and Information on Listing on the Exchange (St Paul’s). • Bank of England Show Round and Discussion (Bank). • Delegation: Lunch on Own (Bank/Various); DAS: Programming with DIT Counterparts (Whitehall). • FIP Roundtable Discussion with HMG, FinTech Alliance at U.S. Embassy (Vauxhall). • Evening Reception (Sponsored/Venue TBC). Thursday, June 23, 2022 ...... • Pitch Fest Half Day Forum at U.S. Embassy (Vauxhall). • Official Trade Mission Program Concludes.
The U.S. Department of Commerce (202) 482–7941, Eli.Corso-Phinney@ order on welded line pipe from the will review applications and make trade.gov Republic of Turkey (Turkey) would be selection decisions on a comparative Brian Beams, Deputy Team Leader likely to lead to continuation or basis in accordance with the Notice Financial Services, U.S. Commercial recurrence of countervailable subsidies published at 85 FR 56578 (September Service Northern New Jersey, (862) at the levels as indicated in the ‘‘Final 14, 2020), The applicants selected will 235–5267, [email protected] Results of Sunset Review’’ section of be notified as soon as possible. this notice. Gemal Brangman, Contacts Senior Advisor, Trade Missions, ITA Events DATES: Applicable March 9, 2021. Management Task Force. FOR FURTHER INFORMATION CONTACT: Alex Vincent Tran, International Trade Wood, AD/CVD Operations, Office II, Specialist, Office of Finance and [FR Doc. 2021–04807 Filed 3–8–21; 8:45 am] Enforcement and Compliance, Insurance Industries, Washington, DC, BILLING CODE 3510–DR–P International Trade Administration, (202) 482–2967, Vincent.Tran@ U.S. Department of Commerce, 1401 trade.gov DEPARTMENT OF COMMERCE Constitution Avenue NW, Washington, Gemal Brangman, Senior Advisor, Trade DC 20230; telephone: (202) 482–1959. Missions, Trade Events Management International Trade Administration Task Force, Washington, DC, (202) SUPPLEMENTARY INFORMATION: 482–3773, Gemal.Brangman@ [C–489–823] Background trade.gov Welded Line Pipe From the Republic of On December 1, 2015, Commerce Chrystal Denys, Commercial Specialist, Turkey: Final Results of the Expedited published the countervailing duty order U.S. Commercial Service London, +44 First Sunset Review of the on welded line pipe from Turkey in the (0) 207 891 3419, Chrystal.Denys@ Countervailing Duty Order Federal Register.1 On November 3, trade.gov 2020, Commerce published the notice of AGENCY: Enforcement and Compliance, Peter Sexton, Director, Global Financial initiation of the first five-year (sunset) International Trade Administration, Services Team, U.S. Commercial review of the Order, pursuant to section Department of Commerce. Service New York City, (212) 809– 751(c) of the Tariff Act of 1930, as 2647, [email protected] SUMMARY: As a result of this expedited Eli Corso-Phinney, International Trade sunset review, the Department of 1 See Welded Line Pipe from the Republic of Specialist, Office of Western and Commerce (Commerce) finds that Turkey: Countervailing Duty Order, 80 FR 75054 Northern Europe, Washington, DC, revocation of the countervailing duty (December 1, 2015) (Order).
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amended (the Act).2 In November 2020, Scope of the Order written description of the scope of the Commerce received notices of intent to Order is dispositive. The merchandise covered by the participate from Axis Pipe and Tube, Order is circular welded carbon and Analysis of Comments Received California Steel Industries, Tex-Tube alloy steel (other than stainless steel) Company, Welspun Tubular LLC, All issues raised in this sunset review pipe of a kind used for oil or gas are addressed in the Issues and Decision Maverick Tube Corporation, IPSCO pipelines (welded line pipe), not more Tubulars Inc., American Cast Iron Pipe Memorandum, including the likelihood than 24 inches in nominal outside of continuation or recurrence of Company (ACIPCO), and Stupp diameter, regardless of wall thickness, Corporation (collectively, domestic countervailable subsidies and the net length, surface finish, end finish, or countervailable subsidy likely to prevail interested parties), within the deadline stenciling. Welded line pipe is normally if the Order were revoked.7 The Issues specified in 19 CFR 351.218(d)(1)(i).3 produced to the American Petroleum and Decision Memorandum is a public The domestic interested parties claimed Institute (API) specification 5L, but can document and is on file electronically interested party status under section be produced to comparable foreign via Enforcement and Compliance’s 771(9)(C) of the Act as manufacturers or specifications, to proprietary grades, or Antidumping and Countervailing Duty 4 producers of the domestic like product. can be non-graded material. All pipe Centralized Electronic Services System On December 3, 2020, Commerce meeting the physical description set (ACCESS). ACCESS is available to received an adequate substantive forth above, including multiple- registered users at http:// response to the Notice of Initiation from stenciled pipe with an API or access.trade.gov. In addition, a complete the domestic interested parties within comparable foreign specification line version of the Issues and Decision the 30-day deadline specified in 19 CFR pipe stencil is covered by the scope of Memorandum can be accessed directly this investigation. 351.218(d)(3)(i).5 Commerce received no at https://enforcement.trade.gov/frn/ substantive response from any The welded line pipe that is subject index.html. The signed and electronic respondent interested parties. to the Order is currently classifiable in versions of the Issues and Decision the Harmonized Tariff Schedule of the Memorandum are identical in content. On December 23, 2020, Commerce United States (HTSUS) under A list of the issues discussed in the notified the U.S. International Trade subheadings 7305.11.1030, decision memorandum is attached at the Commission that it did not receive an 7305.11.5000, 7305.12.1030, Appendix to this notice. adequate substantive response from 7305.12.5000, 7305.19.1030, respondent interested parties.6 7305.19.5000, 7306.19.1010, Final Results of Sunset Review Accordingly, pursuant to section 7306.19.1050, 7306.19.5110, and Pursuant to sections 751(c)(1) and 751(c)(3)(B) of the Act and 19 CFR 7306.19.5150. The subject merchandise 752(b) of the Act, Commerce determines 351.218(e)(1)(ii)(C)(2), Commerce may also enter in HTSUS 7305.11.1060 that revocation of the Order would be conducted an expedited (120-day) and 7305.12.1060. While the HTSUS likely to lead to continuation or sunset review of the Order. subheadings are provided for recurrence of countervailable subsidies convenience and customs purposes, the at the following rates:
Net countervailable Manufacturer/producer/exporter subsidy (percent)
Borusan Istikbal Ticaret, Borusan Mannesmann Boru Sanayi ve Ticaret A.S., Borusan Mannesmann Boru Yatirim Hold- ing A.S., and Borusan Holding A.S ...... 152.98 Toscelik Profil ve Sac Endustrisi A.S., Tosyali Demir Celik Sanayi A.S., Tosyali Dis Ticaret A.S., Tosyali Elektrik Enerjisi Toptan Satis Ith. Ihr. A.S., and Tosyali Holding A.S ...... 1.31 All Others ...... 1.31
Administrative Protective Order (APO) Failure to comply with the regulations Dated: March 2, 2021. and terms of an APO is a violation Christian Marsh, This notice serves as the only which is subject to sanction. reminder to parties subject to APO of Acting Assistant Secretary for Enforcement their responsibility concerning the Notification to Interested Parties and Compliance. disposition of proprietary information Appendix disclosed under APO in accordance Commerce is issuing and publishing with 19 CFR 351.305(a). Timely written the final results and notice in List of Topics Discussed in the Issues and notification of the destruction of APO accordance with sections 751(c), 752(b), Decision Memorandum materials or conversion to judicial and 777(i)(1) of the Act. I. Summary protective order is hereby requested. II. Background
2 See Initiation of Five-Year (Sunset) Reviews, 85 Welded Line Pipe from Turkey,’’ dated November 5 See Domestic Interested Parties’ Substantive FR 69585 (November 3, 2020) (Notice of Initiation). 16, 2020; and American Cast Iron Pipe Company Response. 3 See Axis Pipe and Tube, California Steel and Stupp Corporation’s Letter, ‘‘Welded Line Pipe 6 See Commerce’s Letter, ‘‘Sunset Reviews for from the Republic of Turkey: Notice of Intent to Industries, Tex-Tube Company, Welspun Tubular November 2020,’’ dated December 23, 2020. LLC, and Wheatland Tube Company’s Letter, Participate in Sunset Review,’’ dated November 18, 7 ‘‘Notice of Intent to Participate in the First Five- 2020. See Memorandum, ‘‘Issues and Decision Year Review of the Countervailing Duty Order on 4 See Domestic Interested Parties’ Letter, ‘‘Welded Memorandum for the Expedited First Sunset Certain Welded Line Pipe from Turkey,’’ dated Line Pipe from Turkey: Substantive Response of Review of the Countervailing Duty Order on November 13, 2020; Maverick Tube Corporation Domestic Producers to Commerce’s Notice of Welded Line Pipe from the Republic of Turkey,’’ and IPSCO Tubulars Inc.’s Letter, ‘‘Notice of Intent Initiation of Five-Year (‘‘Sunset’’) Reviews,’’ dated dated concurrently with, and hereby adopted by, to Participate in First Sunset Reviews of the December 3, 2020 (Domestic Interested Parties’ this notice (Issues and Decision Memorandum). Antidumping and Countervailing Duty Orders on Substantive Response) at 2.
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III. Scope of the Order domestic interested party status under and customs purposes, the written IV. History of the Order section 771(9)(C) of the Act, as a description of the scope is dispositive. V. Legal Framework manufacturer of a domestic like product Analysis of Comments Received VI. Discussion of the Issues in the United States.4 On November 25, VII. Final Results of Review 2020, Cornerstone filed its timely VIII. Recommendation All issues raised in this review are substantive response within the 30-day [FR Doc. 2021–04862 Filed 3–8–21; 8:45 am] addressed in the Issues and Decision deadline specified in 19 CFR Memorandum.8 The issues discussed in BILLING CODE 3510–DS–P 5 351.218(d)(3)(i). Commerce received no the Issues and Decision Memorandum substantive responses from any other include the likelihood of continuation interested parties with respect to the DEPARTMENT OF COMMERCE or recurrence of dumping and the Order covered by this sunset review, nor magnitude of the margins of dumping International Trade Administration was a hearing requested. On December likely to prevail if the Order were 23, 2020, Commerce notified the U.S. revoked. The Issues and Decision [A–570–020] International Trade Commission that it Memorandum is a public document and did not receive an adequate substantive is on file electronically via Enforcement response from respondent interested Melamine From the People’s Republic and Compliance’s Antidumping and parties.6 As a result, pursuant to section of China: Final Results of the Countervailing Duty Centralized 751(c)(3)(B) of the Act and 19 CFR Expedited Sunset Review of the Electronic Service System (ACCESS). 351.218(e)(1)(ii)(C)(2), Commerce is Antidumping Duty Order ACCESS is available to registered users conducting an expedited (120-day) at https://access.trade.gov. A list of AGENCY: Enforcement and Compliance, sunset review of the Order. International Trade Administration, topics discussed in the Issues and Department of Commerce. Scope of the Order Decision Memorandum is included as an Appendix to this notice. In addition, SUMMARY: As a result of this expedited The scope of the Order covers melamine (Chemical Abstracts Service a complete version of the Issues and sunset review, the Department of Decision Memorandum can be accessed Commerce (Commerce) finds that (CAS) registry number 108–78–01, 7 directly at http://enforcement.trade.gov/ revocation of the antidumping duty molecular formula C3H6N6). Melamine is a crystalline powder or granule frn/index.html. The signed and (AD) order on melamine from the electronic versions of the Issues and People’s Republic of China (China) typically (but not exclusively) used to manufacture melamine formaldehyde Decision Memorandum are identical in would be likely to lead to continuation content. or recurrence of dumping at the levels resins. All melamine is covered by the indicated in the ‘‘Final Results of scope of the Order irrespective of purity, Final Results of Review Review’’ section of this notice. particle size, or physical form. Melamine that has been blended with Pursuant to sections 751(c)(1) and DATES: Applicable March 9, 2021. other products is included within this 752(c)(1) and (3) of the Act, Commerce FOR FURTHER INFORMATION CONTACT: scope when such blends include determines that revocation of the Order Peter Zukowski, AD/CVD Operations, constituent parts that have been would be likely to lead to continuation Office III, Enforcement and Compliance, intermingled, but that have not been or recurrence of dumping, and that the International Trade Administration, chemically reacted with each other to magnitude of the dumping margins U.S. Department of Commerce, 1401 produce a different product. For such likely to prevail would be weighted- Constitution Avenue NW, Washington, blends, only the melamine component average margins of up to 363.31 percent. DC 20230; telephone: (202) 482–0189. of the mixture is covered by the scope Administrative Protective Order SUPPLEMENTARY INFORMATION: of the Order. Melamine that is otherwise subject to the Order is not excluded Background This notice serves as the only when commingled with melamine from reminder to parties subject to On December 28, 2015, Commerce sources not subject to the Order. Only administrative protective order (APO) of issued the AD order on melamine from the subject component of such their responsibility concerning the China.1 On November 3, 2020, commingled products is covered by the destruction of proprietary information Commerce published the Notice of scope of the Order. disclosed under APO in accordance Initiation of the first sunset review of The subject merchandise is provided with 19 CFR 351.305(a). Timely the Order pursuant to section 751(c) of for in subheading 2933.61.0000 of the notification of the destruction of APO the Tariff Act of 1930, as amended (the Harmonized Tariff Schedule of the materials or conversion to judicial Act).2 On November 10, 2020, United States (HTSUS). Although the protective orders is hereby requested. Commerce received a notice of intent to HTSUS subheading and CAS registry Failure to comply with the regulations participate from Cornerstone Chemical number are provided for convenience and terms of an APO is a violation Company (Cornerstone), a domestic which is subject to sanction. producer of melamine and the petitioner Interested Party Notice Of Intent To Participate,’’ in the underlying investigation, within dated November 10, 2020. Notifications to Interested Parties 4 the deadline specified in 19 CFR Id. 5 See Cornerstone’s Letter, ‘‘Five-Year (‘‘Sunset’’) 3 We are issuing and publishing these 351.218(d)(1)(i). Cornerstone claimed Review Of Antidumping Duty Order On Melamine final results in accordance with sections from The People’s Republic Of China: Domestic 751(c), 752(c), and 777(i)(1) of the Act, 1 See Melamine from the People’s Republic of Interested Party Substantive Response,’’ dated China: Antidumping Duty and Countervailing Duty November 25, 2020. and 19 CFR 351.221(c)(5)(ii). Orders, 80 FR 80751 (December 28, 2015) (Order). 6 See Commerce’s Letter, ‘‘Sunset Reviews for 2 See Initiation of Five-Year (Sunset) Reviews, 85 November 2020,’’ dated December 23, 2020. 8 See Memorandum, ‘‘Issues and Decision FR 69585 (November 3, 2020) (Notice of Initiation). 7 Melamine is also known as 2,4,6-triamino- Memorandum for the Expedited Sunset Review of 3 See Cornerstone’s Letter, ‘‘Five-Year (‘‘Sunset’’) striazine; l,3,5-Triazine-2,4,6-triamine; the Antidumping Duty Order on Melamine from the Review Of Antidumping Duty Order On Melamine Cyanurotriamide; Cyanurotriamine; Cyanuramide; People’s Republic of China,’’ dated concurrently from The People’s Republic Of China: Domestic and by various brand names. with, and hereby adopted by, this notice.
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Dated: March 2, 2021. • Federal Rulemaking Portal: http:// the presenters and workshop leads. Christian Marsh, www.regulations.gov. Attendees participate in field trips (e.g. Acting Assistant Secretary for Enforcement • Mail: Kimberly Hardy, Office of the to NASA, Energy, National Labs) and and Compliance. Chief Administrative Officer, United have opportunities for networking with States Patent and Trademark Office, other educators and invited experts. Appendix P.O. Box 1450, Alexandria, VA 22313– The USPTO also conducts webinars List of Topics Discussed in the Issues and 1450. and workshops for K–12 educators in Decision Memorandum FOR FURTHER INFORMATION CONTACT: conjunction with or subsequent to the I. Summary Requests for additional information NSTI to provide information on IP, II. Background should be directed to Joyce Ward, invention, and STEM topics of interest III. Scope of the Order Education Director, Office of the Chief to K–12 educators. In light of the IV. History of the Order Communications, United States Patent V. Legal Framework pandemic, the NSTI and some of the VI. Discussion of the Issues and Trademark Office, P.O. Box 1450, workshops may take place in virtual Comment 1: Likelihood of Continuation or Alexandria, VA 22313–1450; by environments. Workshops will be Recurrence of Dumping telephone at 571–272–8424; or by email available for educators with less than 3 Comment 2: Magnitude of the Margins to [email protected] with ‘‘0651– years of experience, pre-service Likely to Prevail 0077 comment’’ in the subject line. teachers, higher education faculty, home VII. Final Results of Sunset Review Additional information about this school, and informal educators. USPTO VIII. Recommendation information collection is also available plans to conduct surveys on the NSTI, [FR Doc. 2021–04861 Filed 3–8–21; 8:45 am] at http://www.reginfo.gov under workshops, and the webinars in order to BILLING CODE 3510–DS–P ‘‘Information Collection Review.’’ gain useful feedback from program SUPPLEMENTARY INFORMATION: participants. DEPARTMENT OF COMMERCE I. Abstract II. Method of Collection Since 2014, the USPTO has Patent and Trademark Office Items in this information collection conducted a program entitled ‘‘National are submitted via online electronic Agency Information Collection Summer Teacher Institute on submissions. Innovation, STEM, and Intellectual Activities; Submission to the Office of III. Data Management and Budget (OMB) for Property.’’ The National Summer Review and Approval; National Teacher Institute (NSTI) is a multi-day OMB Control Number: 0651–0077. professional development training Summer Teacher Institute Form Numbers: (NSTI = National opportunity open to all K–12 teachers Summer Teacher Institute) AGENCY: United States Patent and nationwide. NSTI is designed to Trademark Office, Department of increase teachers’ knowledge of making, • NSTI 1 (Summer Teacher Institute Commerce. inventing, creating, and protecting Application) ACTION: Notice of information collection; intellectual property so they can inspire • NSTI 2 (Summer Teacher Institute request for comment. the next generation of innovators and Participant Survey) entrepreneurs. This program accepts • NSTI 3 (Summer Teacher Institute SUMMARY: The United States Patent and applications for participation in the Webinar/Workshop Survey) Trademark Office (USPTO), in NSTI. Interested individuals must accordance with the Paperwork submit an application requesting to Type of Review: Extension and Reduction Act of 1995, invites participate in the program. In the revision of a currently approved comments on the extension and revision application, applicants must certify that information collection. of an existing information collection: they are teachers with at least 3 years’ Affected Public: Individuals or 0651–0077 (National Summer Teacher experience; identify STEM related fields households. Institute). The purpose of this notice is they have taught in the last year; Estimated Number of Respondents: to allow 60 days for public comment identify STEM related fields they plan 7,000 respondents per year. preceding submission of the information to teach in the upcoming year; and collection to OMB. Estimated Number of Responses: acknowledge their commitment to 13,700 responses per year. DATES: To ensure consideration, incorporate the learnings from the NSTI Estimated Time per Response: The comments regarding this information into their curriculum, where applicable, USPTO estimates that it takes the public collection must be received on or before and cooperate with sharing lessons and from approximately 5 minutes (0.08 May 10, 2021. outcomes with teachers and the USPTO. hours) to 30 minutes (0.5 hours), ADDRESSES: Interested persons are The NSTI participants have included depending on the complexity of the invited to submit written comments by teachers in STEM, innovation, situation, to gather the necessary any of the following methods. Do not entrepreneurship, and related fields information, prepare the appropriate submit Confidential Business who will learn about innovative documents, and submit the information Information or otherwise sensitive or strategies to help increase student to the USPTO. protected information: learning and achievement in these fields • Email: InformationCollection@ together with elements of Intellectual Estimated Total Annual Respondent uspto.gov. Include ‘‘0651–0077 Property (IP) and invention education. Burden Hours: 2,999 hours. comment’’ in the subject line of the Outside scientists, engineers, inventors, Estimated Total Annual Respondent message. creators, and entrepreneurs are among (Hourly) Cost Burden: $116,032.
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TABLE 1—TOTAL HOURLY BURDEN FOR INDIVIDUALS OR HOUSEHOLDS RESPONDENTS
Estimated Estimated Estimated Estimated time Estimated Rate 1 annual Item No. Item annual annual for response annual burden ($/hour) respondent respondents responses (hour) (hour/year) cost burden
(a) (b) (a) × (b) = (c) (d) (c) × (d) = (e)
1 ...... Summer Teacher Institute 2,100 2,100 0.50 (30 minutes) 1,050 $38.69 $40,625 Applicants: Application (NSTI 1). 2 ...... Summer Teacher Institute 900 900 0.50 (30 minutes) 450 38.69 17,411 Participants: Application (NSTI 1). Survey (NSTI 2) ...... 900 0.25 (15 minutes) 225 38.69 8,705 Webinar/Workshop Survey ...... 1,800 0.13 (8 minutes) ... 234 38.69 9,053 (NSTI 3). 3 ...... Webinar/Workshop Survey 4,000 8,000 0.13 (8 minutes) ... 1,040 38.69 40,238 (NSTI 3).
Total ...... 7,000 13,700 ...... 2,999 ...... 116,032 1 The USPTO expects that secondary schoolteachers will complete the applications and surveys. The professional hourly rate for secondary school teachers is $31.69, based upon the May 2019 Occupational Labor Statistics Report for secondary school teachers (25–2031); https:// www.bls.gov/oes/current/oes252031.htm.
Estimated Total Annual (Non-hour) publicly available at any time. While the alternate test procedure set forth in Respondent Cost Burden: $0. There are you may ask in your comment to the Decision and Order. no capital start-up, maintenance, withhold personal identifying DATES: The Decision and Order is postage, or recordkeeping costs. information from public view, USPTO effective on March 9, 2021. The Respondent’s Obligation: Required to cannot guarantee that it will be able to Decision and Order will terminate upon obtain or retain benefits. do so. the compliance date of any future IV. Request for Comments Kimberly Hardy, amendment to the test procedure for furnace fans located at title 10 of the The USPTO is soliciting public Information Collections Officer, Office of the Chief Administrative Officer, United States Code of Federal Regulations (‘‘CFR’’), comments to: Patent and Trademark Office. part 430, subpart B, appendix AA that (a) Evaluate whether the proposed [FR Doc. 2021–04787 Filed 3–8–21; 8:45 am] addresses the issues presented in this collection of information is necessary waiver. At such time, ECR must use the BILLING CODE 3510–16–P for the proper performance of the relevant test procedure for these functions of the Agency, including products for any testing to demonstrate whether the information will have compliance with the applicable DEPARTMENT OF ENERGY practical utility; standards, and any other representations (b) Evaluate the accuracy of the [Case Number 2019–001; EERE–2019–BT– of energy use. Agency’s estimate of the burden of the WAV–0004] FOR FURTHER INFORMATION CONTACT: proposed collection of information, Ms. Lucy deButts, U.S. Department of including the validity of the Energy Conservation Program: Energy, Office of Energy Efficiency and methodology and assumptions used; Decision and Order Granting a Waiver Renewable Energy, Building (c) Enhance the quality, utility, and to ECR International, Inc. From the Technologies Office, EE–5B, 1000 clarity of the information to be Department of Energy Furnace Fan Independence Avenue SW, Washington, collected; and Test Procedure DC 20585–0121. Telephone: (202) 287– _ _ (d) Minimize the burden of the AGENCY: Office of Energy Efficiency and 1604. Email: AS Waiver Requests@ collection of information on those who Renewable Energy, Department of ee.doe.gov. are to respond, including through the Energy. Mr. Eric Stas, U.S. Department of Energy, Office of the General Counsel, use of appropriate automated, ACTION: Notification of decision and GC–33, Forrestal Building, 1000 electronic, mechanical, or other order. technological collection techniques or Independence Avenue SW, Washington, other forms of information technology, SUMMARY: The U.S. Department of DC 20585. Telephone: (202) 586–5827. e.g., permitting electronic submission of Energy (‘‘DOE’’) gives notice of a Email: [email protected]. responses. Decision and Order (Case Number SUPPLEMENTARY INFORMATION: In All comments submitted in response 2019–001) that grants to ECR accordance with section 430.27(f)(2) of to this notice are a matter of public International, Inc. (‘‘ECR’’) a waiver Title 10 of the Code of Federal record. USPTO will include or from specified portions of the DOE test Regulations (10 CFR 430.27(f)(2)), DOE summarize each comment in the request procedure for determining the energy hereby provides notice of the issuance to OMB to approve this information consumption of specified furnace fans of its Decision and Order, as set forth collection. Before including an address, basic models, which are belt-driven, below. More specifically, the Decision phone number, email address, or other single-speed, and designed for use in and Order grants ECR a waiver from the personal identifying information in a ‘‘heat-only’’ applications. Under the applicable test procedure at 10 CFR part comment, be aware that the entire Decision and Order, ECR is required to 430, subpart B, appendix AA for comment—including personal test and rate the specified basic models specified basic models of furnace fans, identifying information—may be made of its furnace fans in accordance with and it provides that ECR must test and
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rate such products using the alternate Under EPCA, the energy conservation As soon as practicable after the test procedure set forth in the Decision program consists essentially of four granting of any waiver, DOE will and Order. ECR’s representations parts: (1) Testing, (2) labeling, (3) publish in the Federal Register a notice concerning the energy consumption of Federal energy conservation standards, of proposed rulemaking to amend its the specified furnace fan basic models and (4) certification and enforcement regulations so as to eliminate any need must be based on testing according to procedures. Relevant provisions of for the continuation of such waiver. 10 the provisions and restrictions in the EPCA include definitions (42 U.S.C. CFR 430.27(l). As soon thereafter as alternate test procedure set forth in the 6291), test procedures (42 U.S.C. 6293), practicable, DOE will publish in the Decision and Order, and any such labeling provisions (42 U.S.C. 6294), Federal Register a final rule to that representations must fairly disclose energy conservation standards (42 effect. Id. When DOE amends the test these test results. Further, the U.S.C. 6295), and the authority to procedure to address the issues manufacturer materials (e.g., catalogs, require information and reports from presented in a waiver, the waiver will brochures, and installation and manufacturers (42 U.S.C. 6296). automatically terminate on the date on operation manuals) for the specified The Federal testing requirements which use of that test procedure is furnace fan basic models must make no consist of test procedures that required to demonstrate compliance. 10 representation that the basic models are manufacturers of covered products must CFR 430.27(h)(3). designed to be installed in systems with use as the basis for: (1) Certifying to II. ECR’s Petition for Waiver: Assertions an air conditioner. Distributors, DOE that their products comply with and Determinations retailers, and private labelers are held to the applicable energy conservation the same requirements when making standards adopted pursuant to EPCA (42 By letter dated February 20, 2019, representations regarding the energy U.S.C. 6295(s)), and (2) making ECR filed a petition for waiver and a consumption of these products. (42 representations about the efficiency of petition for interim waiver from the U.S.C. 6293(c)) that product (42 U.S.C. 6293(c)). DOE test procedure applicable to Consistent with 10 CFR 430.27(j), not Similarly, DOE must use these test furnace fans set forth in Appendix AA. later than May 10, 2021, any procedures to determine whether the In its petition, ECR asserted that the manufacturer currently distributing in product complies with relevant furnace fan basic models specified in its commerce in the United States products standards promulgated under EPCA. (42 petition,3 which are belt-driven, single- employing a technology or characteristic U.S.C. 6295(s)) speed, and designed for ‘‘heating-only’’ that results in the same need for a Under 42 U.S.C. 6293, EPCA sets forth applications, have design characteristics waiver from the applicable test the criteria and procedures DOE is that prevent testing of the basic model procedure must submit a petition for required to follow when prescribing or according to the test procedure waiver. Manufacturers not currently amending test procedures for covered prescribed in Appendix AA. ECR distributing such products in commerce products. EPCA requires that any test claimed these basic models are factory- in the United States must petition for procedures prescribed or amended equipped for operation at an external ″ and be granted a waiver prior to the under this section must be reasonably static pressure (‘‘ESP’’) of 0.20 w.c. and distribution in commerce of those designed to produce test results which cannot operate within the ESP range of ″ ″ products in the United States. reflect energy efficiency, energy use or 0.65 –0.70 w.c. required in Appendix Manufacturers may also submit a estimated annual operating cost of a AA. ECR stated that the higher ESP request for interim waiver pursuant to covered product during a representative required for the test reduces airflow, the requirements of 10 CFR 430.27. 10 average use cycle or period of use and which in turn increases the temperature CFR 430.27(j). requires that test procedures not be rise to the high temperature limit, resulting in the unit shutting off before Case #2019–001 unduly burdensome to conduct. (42 U.S.C. 6293(b)(3)) The test procedure for the test can be completed. ECR provided Decision and Order furnace fans is contained the Code of laboratory test data during the course of I. Background and Authority Federal Regulations (‘‘CFR’’) at 10 CFR follow-up communications on May 24, part 430, subpart B, appendix AA, 2019, June 3, 2019, August 5, 2019, and The Energy Policy and Conservation Uniform Test Method for Measuring the November 11, 2019, showing that the 1 Act, as amended (‘‘EPCA’’), authorizes Energy Consumption of Furnace Fans basic models for which a waiver is the U.S. Department of Energy (‘‘DOE’’) (‘‘Appendix AA’’). requested shut off at various ESPs ″ ″ to regulate the energy efficiency of a Any interested person may submit a ranging from 0.30 –0.60 w.c., number of consumer products and petition for waiver from DOE’s test depending on the particular basic certain industrial equipment. (42 U.S.C. procedure requirements. 10 CFR model, with the units shutting down at 2 ″ 6291–6317) Title III, Part B of EPCA, 430.27(a)(1). DOE will grant a waiver an average ESP of 0.47 w.c. Public Law 94–163 (42 U.S.C. 6291– from the test procedure requirements if ECR further asserted that the test 6309, as codified), established the DOE determines either that the basic procedure is not representative of the Energy Conservation Program for model for which the waiver was lower ESPs encountered by heating-only Consumer Products Other Than requested contains a design systems that only have one airflow- Automobiles and sets forth a variety of characteristic that prevents testing of the control setting, as compared to provisions designed to improve energy basic model according to the prescribed combined heating/cooling systems. ECR efficiency for certain types of consumer test procedures, or that the prescribed stated that combined heating/cooling products. These products include test procedures evaluate the basic model 3 furnace fans, the focus of this document. in a manner so unrepresentative of its The specific basic models for which the petition (42 U.S.C. 6295(f)(4)(D)) applies are the Airco and Olsen branded furnace true energy consumption characteristics fans basic models BCLB90S2, BCLB100S2, as to provide materially inaccurate BCLB120S2, BCLB130S2, BCLB145S2, BFLB90–2, 1 All references to EPCA in this document refer comparative data. 10 CFR 430.27(f)(2). BFLB100–2, BFLB120–2, BFLB130NX2, to the statute as amended through the Energy Act BFLB145NX2, BMLB60B2, BMLB80B2, and of 2020, Public Law 116–260 (Dec. 27, 2020). DOE may grant the waiver subject to BMLB90B2. The petition is available at: https:// 2 For editorial reasons, upon codification in the conditions, including adherence to www.regulations.gov/docket?D=EERE-2019-BT- U.S. Code, Part B was redesignated as Part A. alternate test procedures. Id. WAV-0004.
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systems operate at higher ESP than heat- alternate test procedure further specifies Waiver Order, DOE modified the only systems due to the installation of that if the unit under test shuts down suggested alternate test procedure to an evaporator coil as part of an air prior to completion of the test, the ESP require that section 8.6.2 of Appendix conditioning system, and typically range is incrementally reduced by 0.05″ AA be conducted, and results of the require different blower speeds for w.c., and the test is to be re-run. Id. This testing must be used in the calculation heating operation and cooling operation. process is repeated until a range is of FER. 85 FR 50808, 50811–50812 ECR provided information on the reached at which the test can be (August 18, 2020). operating conditions for two field conducted to its conclusion, with a In the Notice of Petition for Waiver, installations of belt-driven, single-speed minimum allowable ESP range of 0.30″– DOE also solicited comments from furnaces that are intended for heating- 0.35″ w.c., which corresponds to the interested parties on all aspects of the only operation, showing field ESP lowest ESP at which shut-off occurred petition and the specified alternate test readings that are lower than the ESP in the ECR data. Id. procedure. 85 FR 50808, 50808 (August required by Appendix AA. As DOE explained in the Notice of 18, 2020). DOE received one comment ECR requested that the specified Petition for Waiver, the alternate test in response to the Notice of Petition for models be tested under the current procedure for the interim waiver did not Waiver, which was from the California Appendix AA, with the following waive the requirements of section 8.6.3 Investor-Owned Utilities (‘‘CA IOUs’’ ).4 modifications: (1) In section 8.6.1, the of Appendix AA as requested by ECR The CA IOUs raised a series of concerns ESP requirement is instead the factory- because, as DOE discussed in the with the Interim Waiver Order and the equipped ESP, increased by 0.08″ w.c. furnace fans test procedure final rule specified alternate test procedure, to accommodate the fact that furnaces published on January 3, 2014 (‘‘January specifically the CA IOUs stated: (1) The are tested for Fan Energy Rating (‘‘FER’’) 2014 Final Rule’’ ), that section is not Interim Waiver Order results in an without the air filter under Appendix applicable to the basic models specified unfair competitive advantage for ECR by AA; (2) sections 8.6.2, Constant in the Interim Waiver Order (i.e., models allowing it to sell lower-cost furnaces as circulation airflow-control setting with only one airflow control setting). compared to other competitors; (2) the measurements, and 8.6.3, Heating Id., see also 79 FR 500, 514 (Jan. 3, alternate test procedure is inconsistent airflow-control setting measurements 2014). In the January 2014 Final Rule, with the requirements of 10 CFR are not required; and (3) calculations in DOE stated that for single-stage units, 430.27(a) in that it effectively creates a section 10.1, Fan Energy Rating (FER), EMax, which is calculated in section new efficiency metric; and (3) based on are modified to account for the absence 8.6.3 of Appendix AA, and EHeat, which manufacturer materials, its seems that of a separate constant circulation is calculated in section 8.6.1.2, are most of the subject furnace fan basic airflow-control setting and heating equivalent because the maximum models are intended for use with an air airflow-control setting. airflow-control setting and the heating conditioner. (CA IOUs, No. 5 at pp. On August 18, 2020, DOE published airflow-control setting in which 1–6) in the Federal Register a notice that measurements are specified to be made In support of its assertion that the announced its receipt of the petition for are the same, and consequently, the alternate test procedure would provide waiver, granted ECR an interim waiver, same value is used for both variables in ECR an unfair competitive advantage, and requested public comments. 85 FR the FER equation. 79 FR 500, 514 (Jan. the CA IOUs referenced the rulemaking 50808 (‘‘Notice of Petition for Waiver’’). 3, 2014). As such, there is no need to for the January 2014 Final Rule in In the Notice of Petition for Waiver, separately perform that calculation in which DOE did not establish a heating- DOE reviewed ECR’s description of the section 8.6.3 of Appendix AA. In only installation type for furnaces. (CA issue and suggested alternative test addition, section 10.1 of Appendix AA IOUs, No. 5 at p. 2). As explained in the method, as well as test data submitted states that for furnace fans for which the April 2, 2013 supplemental notice of by ECR. DOE also reviewed data and maximum airflow-control setting is a proposed rulemaking (SNOPR) for the analyses collected and conducted in default heating airflow-control setting, furnace fans test procedure rulemaking, support of the final rule establishing the QHeat (the airflow in the heating airflow- an industry stakeholder commented that furnace fan test procedure. Field data control setting) is equal to QMax (the it was not aware of any product on the previously analyzed by DOE for a notice airflow in the maximum airflow-control market that would be categorized as a of proposed rulemaking published in setting). Based on the discussion in the heating-only product, adding that this the Federal Register on May 15, 2012 January 2014 Final Rule and installation type could provide ″ indicated that 0.50 w.c. is calculations in section 10.1, the test in manufacturers with a means of gaming representative of field conditions for section 8.6.3 of Appendix AA would not the test procedure by modifying its heating-only furnaces. 77 FR 28674, need to be performed, and, therefore, furnaces to eliminate factory-installed 28686 (May 15, 2012). Based on this DOE found that a waiver was not cooling capabilities, which would allow review, DOE’s Notice of Petition for required regarding sections 8.6.3 or 10.1 such furnaces to be tested at the lower Waiver modified the suggested alternate of Appendix AA. 85 FR 50808, 50811 ESP specified for heating-only units. 78 test procedure in ECR’s petition for (August 18, 2020). FR 19606, 19619 (April 2, 2013). waiver to require that the basic models Regarding the testing in section 8.6.2 Unaware of any products on the market specified in the petition be initially of Appendix AA, DOE noted that the ″ ″ that were heating-only and within the tested at 0.50 –0.55 w.c., rather than testing required under that section is scope of the rulemaking, DOE agreed the 0.28″ w.c. suggested by ECR (which different than that required under ″ that heating-only installation types is the factory-equipped ESP of 0.20 w.c. section 8.6.1.2 (and section 8.6.3) of should be eliminated from for the basic models for which a waiver Appendix AA, in that the burner would ″ consideration. Id. However, DOE would has been requested, increased by 0.08 be firing only in testing performed clarify that nothing in EPCA prohibits w.c. to account for the use of an air filter under the latter section. Because the the manufacture of a furnace fan in the field). 85 FR 50808, 50811 burner must be firing during the section designed for heating-only installations. (August 18, 2020). However, given the 8.6.1.2 testing and must be off during difficulty that a number of the specified the section 8.6.2 testing, it is possible 4 The CA IOU’s comment can be accessed at: ECR basic models may have in operating that the resulting measurements would https://www.regulations.gov/document?D=EERE- at an ESP of 0.50″ –0.55″ w.c., the be different. As a result, in the Interim 2019-BT-WAV-0004-0005.
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In its petition for waiver, ECR asserted procedure and standards. 79 FR 500, accuracy and representativeness of an that it manufactures furnace fan basic 507 (Jan. 3, 2014). As prescribed by adjustment factor, DOE has not added models for use in heating-only Appendix AA and the Interim Waiver an adjustment factor to the test applications. DOE has further found that Order, testing is conducted based on a procedure in this waiver. the subject basic models contain design single reference system curve, with the The CA IOUs also commented that characteristics which prevent testing of reference curve representative of the ECR’s manufacturer materials (e.g., these basic models according to the installation environment. Both websites, marketing materials, product prescribed test procedure at Appendix Appendix AA and the Interim Waiver spec sheets, labels, nameplates) include AA. Absent a waiver, ECR would be Order produce measured results using cooling capacity specifications for unable to test the specified furnace fans, the FER metric. The FER test procedure installation of the basic models subject and as a result, it would be unable to in the alternate test procedure is to the Interim Waiver Order, which distribute these basic models in identical to that specified for furnace would indicate that these basic models commerce. DOE notes if another fans in appendix AA, except for the ESP are intended to be installed in units that manufacturer is distributing a product setting. provide both heating and cooling. (CA employing a technology or characteristic The CA IOUs recommended that IOUs, No. 5 at pp. 4–6). The CA IOUs that results in the same need for a because FER decreases as a function of also stated that because the furnace fans waiver, that manufacturer is directed to ESP (specifically a lower ESP test in question have the same nominal submit a petition for waiver to DOE. 10 condition, as was specified in the horsepower and higher full-load CFR 430.27(j). Upon receiving a petition interim waiver, will result in a lower amperage as direct drive fans that are for waiver from any manufacturer that (i.e., better) FER rating), DOE should designed for use in systems with air manufactures furnace fans designed for specify an adjustment factor to provide conditioning, the furnace fans must be heating-only applications, DOE would for comparative results. Specifically, the designed to move the same amount of evaluate whether such product should CA IOUs suggested multiplying the air at the same pressure. (CA IOUs, No. be required to test according to the same tested FER rating by the ratio of the ESP 5, pp. 5–6) alternate test procedure as prescribed required in Appendix AA to the ESP In response, DOE again notes that ECR for the ECR furnace fans. All achieved during the test. (CA IOUs, No. has provided test data showing that the manufacturers have the same 5, pp. 7–8) As stated in the January 2014 furnace fans covered by the waiver opportunity to apply for a similar Final Rule, the ESP value specified in request were unable to complete testing waiver to test heating-only fans that are Appendix AA is based on field ESP data at the static pressures in the test unable to complete the prescribed test collected in cooling airflow-control procedure currently at Appendix AA. procedure at Appendix AA. settings and is representative of field DOE is also requiring as a condition of ESP in maximum airflow-control the waiver that ECR not make any As noted, the CA IOUs further argued settings. 78 FR 500, 507 (Jan. 3, 2014). representations in any public-facing that by prescribing an ESP for testing However, as discussed previously in materials that these basic models are the specified basic models that is lower this notice, the ESP required in designed to be installed in systems that than the ESP required in Appendix AA, Appendix AA is not representative of provide both heating and cooling. This DOE is functionally establishing a field ESP in heat-only installations condition was also included in the different metric contrary to 10 CFR because heat-only installations will not Interim Waiver Order, and ECR has 430.27(a). DOE does not agree with the typically include an evaporator coil in since updated their literature to comply CA IOUs’ assertion for the reasons that the air stream. Further, ECR has with this requirement. DOE has added follow. Section 430.27(a) provides, in demonstrated through test data that recent copies of the material on Airco relevant part, that in granting a waiver these models cannot even operate at the and Olsen’s websites to this docket or interim waiver, DOE will not change ESP condition in the furnace fan test (EERE–2019–BT–WAV–0004). the energy use or efficiency metric that procedure. A modified rating using an The CA IOUs also questioned ECR’s the manufacturer must use to certify adjustment factor, such as the one assertion that absent a waiver, ECR compliance with the applicable energy suggested by the CA IOUs, would would be at a competitive disadvantage. conservation standard and to make attempt to represent the furnace fan (CA IOUs, No. 5. at pp 3–4) The issue representations about the energy use or efficiency at the ESP condition in the of competitive disadvantage and efficiency of the covered product. 10 Appendix AA test procedure, which, as economic hardship relate to evaluation CFR 430.27(a). In support of its previously discussed, has been of a petition for an interim waiver. DOE assertion, the CA IOUs referenced DOE’s demonstrated to be a condition that will grant an interim waiver from the statement regarding variable-speed these furnace fans cannot and would not test procedure requirements if it appears furnace fans in the January 2014 Final operate at in the field. likely that the petition for waiver will be Rule that it was establishing a test Additionally, the CA IOUs did not granted and/or if DOE determines that it procedure that specifies one reference provide information regarding the would be desirable for public policy system curve (i.e., the curve theoretical rationale for their proposed reasons to grant immediate relief characterized by an ESP value adjustment or whether the accuracy of pending a determination on the petition representing national average operating their proposed adjustment has been for waiver. 10 CFR 430.27(e)(2). Based conditions of a residential duct system validated. Further, DOE is not aware of on DOE’s review presented in the Notice for a furnace fan operating in the any conversion equation that has been of Petition for Waiver, DOE determined maximum airflow-control setting) for validated to accurately predict the that ECR’s petition for waiver likely each installation type because DOE change in FER as ESP varies at a given would be granted in part, and, therefore, cannot set standards based on multiple fan setting, and also notes that granted the interim waiver. 85 FR metrics. (CA IOUs, No. 5 at p. 2, validating an equation for extrapolating 50808, 50812 (August 18, 2020). ECR referencing 79 FR 500, 507 (Jan. 3, to FER at an ESP that is higher than that asserted that substantial economic harm 2014)). However, the discussion that the at which the unit can operate may be and competitive disadvantage would CA IOUs reference was in response to difficult or even not possible (as the unit result absent a favorable determination comments encouraging DOE to establish cannot operate at that point). As a result and that the basic models at issue fulfill a multiple-reference system test of these considerations regarding the a unique need in the market for homes
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that require heating-only solutions. employ the same technology as those Brand Basic model Based on the totality of ECR’s petition, listed in this waiver. 10 CFR 430.27(g). DOE also determined that it was ECR may also submit another petition Airco ...... BFLB145NX2 desirable for public policy reasons to for waiver from the test procedure for Airco ...... BMLB60B2 grant ECR immediate relief pending a additional basic models that employ a Airco ...... BMLB80B2 determination of the petition for waiver. different technology and meet the Airco ...... BMLB90B2 Id. Olsen ...... BCLB90S2 criteria for test procedure waivers. 10 Olsen ...... BCLB100S2 The CA IOUs urged DOE to initiate a CFR 430.27(a)(1). Olsen ...... BCLB120S2 rulemaking to engage stakeholders in an DOE notes that it may modify or Olsen ...... BCLB130S2 update of the test procedure at rescind the waiver at any time upon Olsen ...... BCLB145S2 Appendix AA to address the heating- DOE’s determination that the factual Olsen ...... BFLB90–2 only installation type, if DOE finds that basis underlying the petition for waiver Olsen ...... BFLB100–2 such products do exist, to ensure that all is incorrect, or upon a determination Olsen ...... BFLB120–2 manufacturers are able to test and that the results from the alternate test Olsen ...... BFLB130NX2 certify their products without the need procedure are unrepresentative of the Olsen ...... BFLB145NX2 to apply for a waiver request. (CA IOUs, basic models’ true energy consumption Olsen ...... BMLB60B2 No. 5, p. 9) DOE notes that under 10 Olsen ...... BMLB80B2 characteristics. 10 CFR 430.27(k)(1). Olsen ...... BMLB90B2 CFR 430.27(l), as soon as practicable Likewise, ECR may request that DOE after the granting of any waiver, it will rescind or modify the waiver if the (2) The alternate test procedure for the publish in the Federal Register a notice company discovers an error in the ECR’s basic models listed in paragraph of proposed rulemaking to amend its information provided to DOE as part of (1) of this Order is the test procedure for regulations so as to eliminate any need its petition, determines that the waiver furnace fans prescribed by DOE at 10 for the continuation of such a waiver. is no longer needed, or for other CFR part 430, subpart B, appendix AA As soon thereafter as practicable, DOE appropriate reasons. 10 CFR (‘‘Appendix AA’’), except that the will publish in the Federal Register a 430.27(k)(2). external static pressure (‘‘ESP’’) is final rule to that effect. 10 CFR As set forth above, the test procedure adjusted in section 8.6.1.2 of Appendix 430.27(l). specified in this Decision and Order is For the reasons explained in this AA as described below. All other the same as the test procedure proposed requirements of Appendix AA and document and in the Notice of Petition in the Interim Waiver. However, DOE for Waiver, absent a waiver, the basic DOE’s relevant regulations remain has added conditions regarding the applicable. The change to section 8.6.1.2 models identified by ECR in its petition manufacturer materials associated with cannot be tested and rated for energy reads as follows: the covered models to make clear to 8.6.1.2. Furnace fans for which the consumption on a basis representative consumers and installers that the of their true energy consumption maximum airflow-control setting is a models in question are not intended for default heating airflow-control setting. characteristics. DOE has reviewed the use in systems with air conditioners. alternate procedure specified in the Adjust the main burner or electric interim waiver and concludes that it III. Consultations With Other Agencies heating element controls to the default heat setting designated for the will allow for the accurate measurement In accordance with 10 CFR maximum airflow-control setting. of the energy use of the furnace fans, 430.27(f)(2), DOE consulted with the Burner adjustments shall be made as while alleviating the testing problems Federal Trade Commission staff specified by section 8.4.1 of ASHRAE associated with ECR’s implementation concerning the ECR petition for waiver. of DOE’s applicable furnace fan test 103–2007 (incorporated by reference, procedure for the specified basic IV. Order see § 430.3). Adjust the furnace fan models. After careful consideration of all the controls to the maximum airflow- Thus, DOE is requiring that ECR test materials that were submitted by ECR, control setting. Adjust the external static ″ and rate the specified furnace fan basic the various public-facing materials (e.g., pressure to within the range of 0.50 – ″ models according to the alternate test marketing materials, product 0.55 w.c. by symmetrically restricting procedure set forth in this Decision and specification sheets, and installation the outlet of the test duct. Maintain Order, which is identical to the manuals) for the basic models identified these settings until steady-state procedure provided in the interim in the petition, and comment received, conditions are attained as specified in waiver. Additionally, the Decision and in this matter, it is hereby Ordered that: sections 8.3, 8.4, and 8.5 of this Order is conditioned on all (1) ECR must, as of the date of appendix and the temperature rise ° manufacturer materials (including publication of this Decision and Order (DTMax) is at least 18 F. If at the external brochures, catalogs, installation and in the Federal Register test and rate the static pressure range of 0.50″ –0.55″ w.c. operation manuals, etc.) for the basic following Airco and Olsen branded the unit under test automatically shuts models specified in the Order making furnace fan basic models with the off before the conclusion of a valid test, no representation that these models are alternate test procedure as set forth in reduce external static pressure by an designed to be installed in systems with paragraph (2): increment of 0.05″ w.c. (i.e., to a range air conditioners. of 0.45″ –0.50″ w.c) by symmetrically This Decision and Order is applicable Brand Basic model restricting the outlet of the test duct and only to the basic models listed and does re-run the test. If at the reduced external not extend to any other basic models. Airco ...... BCLB90S2 static pressure range the unit under test DOE evaluates and grants waivers for Airco ...... BCLB100S2 automatically shuts off before the only those basic models specifically set Airco ...... BCLB120S2 conclusion of a valid test, repeat the Airco ...... BCLB130S2 out in the petition, not future models incremental reduction of the ESP range Airco ...... BCLB145S2 ″ that may be manufactured by the Airco ...... BFLB90–2 by 0.5 w.c. until an ESP range is petitioner. ECR may request that DOE Airco ...... BFLB100–2 achieved at which a valid test is extend the scope of this waiver to Airco ...... BFLB120–2 completed. The minimum allowable include additional basic models that Airco ...... BFLB130NX2 external static pressure range is 0.30″
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–0.35″ w.c. Once the external static Assistant Secretary for Energy Efficiency contacts listed for Respondents in the pressure is set, do not adjust the test and Renewable Energy, pursuant to Commission’s list of Corporate Officials. duct for the remainder of the test. delegated authority from the Secretary Any person desiring to intervene or to Measure furnace fan electrical input of Energy. That document with the protest this filing must file in power (E ), fuel or electric resistance Max original signature and date is accordance with Rules 211 and 214 of heat kit input energy (QIN, Max), external maintained by DOE. For administrative the Commission’s Rules of Practice and static pressure (ESPMax), steady-state purposes only, and in compliance with Procedure (18 CFR 385.211, 385.214). efficiency for this setting (EffySS, Max) as requirements of the Office of the Federal specified in sections 11.2 and 11.3 of Register, the undersigned DOE Federal Protests will be considered by the ASHRAE 103–2007, outlet air Register Liaison Officer has been Commission in determining the appropriate action to be taken, but will temperature (TMax,Out), and temperature authorized to sign and submit the rise (DTMax). document in electronic format for not serve to make protestants parties to (3) Representations. ECR may not publication, as an official document of the proceeding. Any person wishing to make representations about the energy the Department of Energy. This become a party must file a notice of use of a basic model listed in paragraph administrative process in no way alters intervention or motion to intervene, as (1) of this Order for compliance, the legal effect of this document upon appropriate. The Respondent’s answer marketing, or other purposes, unless the publication in the Federal Register. and all interventions, or protests must basic model has been tested in be filed on or before the comment date. accordance with the provisions set forth Signed in Washington, DC, on March 4, 2021. The Respondent’s answer, motions to in the Order and such representations Treena V. Garrett, intervene, and protests must be served fairly disclose the results of such on the Complainants. testing. Federal Register Liaison Officer, U.S. (4) This waiver shall remain in effect Department of Energy. The Commission strongly encourages according to the provisions of 10 CFR [FR Doc. 2021–04866 Filed 3–8–21; 8:45 am] electronic filings of comments, protests 430.27. BILLING CODE 6450–01–P and interventions in lieu of paper using (5) DOE issues this waiver on the the ‘‘eFiling’’ link at http:// condition that the statements, www.ferc.gov. Persons unable to file representations, and information DEPARTMENT OF ENERGY electronically may mail similar provided by ECR are valid and on the pleadings to the Federal Energy Federal Energy Regulatory condition that ECR makes no Regulatory Commission, 888 First Street Commission representation on any public-facing NE, Washington, DC 20426. Hand materials, including websites, marketing [Docket No. EL21–56–000] delivered submissions in docketed materials, product spec sheets, labels, proceedings should be delivered to nameplates, etc., that these basic models Louisiana Public Service Commission, Health and Human Services, 12225 are designed to be installed in systems Arkansas Public Service Commission, Wilkins Avenue, Rockville, Maryland that provide both heating and cooling. If Council of the City of New Orleans, 20852. ECR makes any modifications to the Louisiana, v. System Energy controls or configurations of these basic Resources, Inc., Entergy Services, In addition to publishing the full text models, such modifications will render LLC, Entergy Operations, Inc., Entergy of this document in the Federal the waiver invalid with respect to that Corporation; Notice of Complaint Register, the Commission provides all basic model, and ECR will either be interested persons an opportunity to required to use the current Federal test Take notice that on March 2, 2021, view and/or print the contents of this method or submit a new application for pursuant to sections 206, 306, and 309 document via the internet through the a test procedure waiver. DOE may of the Federal Power Act, 16 U.S.C. Commission’s Home Page (https:// rescind or modify this waiver at any 824e, 825e, and 825h and Rule 206 of www.ferc.gov/) using the ‘‘eLibrary’’ time if it determines the factual basis the Federal Energy Regulatory link. Enter the docket number excluding underlying the petition for waiver is Commission’s (Commission) Rules of the last three digits in the docket incorrect, or the results from the Practice and Procedure, 18 CFR 385.206, number field to access the document. At alternate test procedure are Louisiana Public Service Commission, this time, the Commission has unrepresentative of a basic model’s true Arkansas Public Service Commission, suspended access to the Commission’s energy consumption characteristics. 10 and Council of The City of New Orleans, Public Reference Room, due to the CFR 430.27(k)(1). Likewise, ECR may Louisiana (Complainants) filed a formal proclamation declaring a National request that DOE rescind or modify the complaint against System Energy Emergency concerning the Novel waiver if ECR discovers an error in the Resources, Inc. (SERI), Entergy Services, Coronavirus Disease (COVID–19), issued LLC, Entergy Operations, Inc., and information provided to DOE as part of by the President on March 13, 2020. For Entergy Corporation, (collectively, its petition, determines that the waiver assistance, contact the Federal Energy Respondents) alleging that SERI has is no longer needed, or for other Regulatory Commission at violated the obligation of prudent utility appropriate reasons. 10 CFR [email protected], or call 430.27(k)(2). management in operating the Grand Gulf nuclear unit, resulting in large toll-free, (886) 208–3676 or TYY, (202) (6) Granting of this waiver does not 502–8659. release ECR from the various overcharges to its four affiliated certification requirements set forth at 10 customers, Entergy Arkansas, LLC, Comment Date: 5:00 p.m. Eastern CFR part 429. Entergy Louisiana, LLC, Entergy New Time on March 22, 2021. Orleans, LLC, and Entergy Mississippi, Dated: March 3, 2021. Signing Authority LLC and their customers, pursuant to a This document of the Department of Unit Power Sales Agreement, all as Kimberly D. Bose, Energy was signed on March 4, 2021, by more fully explained in the complaint. Secretary. Kelly Speakes-Backman, Principal The Complainants certify that copies [FR Doc. 2021–04852 Filed 3–8–21; 8:45 am] Deputy Assistant Secretary and Acting of the complaint were served on the BILLING CODE 6717–01–P
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DEPARTMENT OF ENERGY staff determine what issues they need to assist you at (866) 208–3676 or evaluate in the environmental [email protected]. Federal Energy Regulatory document. Commission staff will (1) You can file your comments Commission consider all written comments during electronically using the eComment [Docket No. CP21–31–000] the preparation of the environmental feature, which is located on the document. Commission’s website (www.ferc.gov) Texas Eastern Transmission, LP; If you submitted comments on this under the link to FERC Online. Using Notice of Scoping Period Requesting Project to the Commission before the eComment is an easy method for Comments on Environmental Issues opening of this docket on January 15, submitting brief, text-only comments on for the Proposed Perulack Compressor 2021, you will need to file those a project; Units Replacement Project comments in Docket No. CP21–31–000 (2) You can file your comments to ensure they are considered as part of The staff of the Federal Energy electronically by using the eFiling this proceeding. Regulatory Commission (FERC or feature, which is located on the Commission) will prepare an This notice is being sent to the Commission’s website (www.ferc.gov) environmental document, that will Commission’s current environmental under the link to FERC Online. With discuss the environmental impacts of mailing list for this Project. State and eFiling, you can provide comments in a the Perulack Compressor Units local government representatives should variety of formats by attaching them as Replacement Project (Project) involving notify their constituents of this a file with your submission. New construction and operation of facilities proposed Project and encourage them to eFiling users must first create an by Texas Eastern Transmission, LP comment on their areas of concern. account by clicking on ‘‘eRegister.’’ You (Texas Eastern) in Juniata County, If you are a landowner receiving this will be asked to select the type of filing Pennsylvania. The Commission will use notice, a pipeline company you are making; a comment on a this environmental document in its representative may contact you about particular project is considered a decision-making process to determine the acquisition of an easement to ‘‘Comment on a Filing’’; or construct, operate, and maintain the whether the Project is in the public (3) You can file a paper copy of your proposed facilities. The company would convenience and necessity. comments by mailing them to the seek to negotiate a mutually acceptable This notice announces the opening of Commission. Be sure to reference the easement agreement. You are not the scoping process the Commission project docket number (CP21–31–000) required to enter into an agreement. will use to gather input from the public on your letter. Submissions sent via the However, if the Commission approves and interested agencies regarding the U.S. Postal Service must be addressed the Project, the Natural Gas Act conveys Project. As part of the National to: Kimberly D. Bose, Secretary, Federal the right of eminent domain to the Environmental Policy Act (NEPA) Energy Regulatory Commission, 888 company. Therefore, if you and the review process, the Commission takes First Street NE, Room 1A, Washington, company do not reach an easement into account concerns the public may DC 20426. Submissions sent via any agreement, the pipeline company could have about proposals and the other carrier must be addressed to: initiate condemnation proceedings in environmental impacts that could result Kimberly D. Bose, Secretary, Federal court. In such instances, compensation from its action whenever it considers Energy Regulatory Commission, 12225 would be determined by a judge in the issuance of a Certificate of Public Wilkins Avenue, Rockville, Maryland accordance with state law. The Convenience and Necessity. This 20852. gathering of public input is referred to Commission does not subsequently Additionally, the Commission offers a as ‘‘scoping.’’ The main goal of the grant, exercise, or oversee the exercise free service called eSubscription, which scoping process is to focus the analysis of that eminent domain authority. The makes it easy to stay informed of all in the environmental document on the courts have exclusive authority to issuances and submittals regarding the important environmental issues. handle eminent domain cases; the dockets/projects to which you Additional information about the Commission has no jurisdiction over subscribe. These instant email Commission’s NEPA process is these matters. notifications are the fastest way to described below in the NEPA Process Texas Eastern provided landowners receive notification and provide a link and Environmental Document section of with a fact sheet prepared by the FERC to the document files, which can reduce this notice. entitled ‘‘An Interstate Natural Gas By this notice, the Commission Facility On My Land? What Do I Need the amount of time you spend requests public comments on the scope To Know?’’ which addresses typically researching proceedings. Go to https:// of issues to address in the asked questions, including the use of www.ferc.gov/ferc-online/overview to environmental document. To ensure eminent domain and how to participate register for eSubscription. that your comments are timely and in the Commission’s proceedings. This Summary of the Proposed Project properly recorded, please submit your fact sheet along with other landowner comments so that the Commission topics of interest are available for Texas Eastern proposes to abandon receives them in Washington, DC on or viewing on the FERC website and remove four existing compressor before 5:00 p.m. Eastern Time on April (www.ferc.gov) under the Natural Gas units (one GE Frame 5 unit and three 5, 2021. Comments may be submitted in Questions or Landowner Topics link. Clark DC–900 units), install two new written form. Further details on how to compressor units, and construct Public Participation submit comments are provided in the auxiliary appurtenant facilities at its Public Participation section of this There are three methods you can use existing Perulack Compressor Station in notice. to submit your comments to the Juniata County, Pennsylvania. The Your comments should focus on the Commission. Please carefully follow Project would consist of the following potential environmental effects, these instructions so that your new facilities: reasonable alternatives, and measures to comments are properly recorded. The • Installation of two new 18,100- avoid or lessen environmental impacts. Commission encourages electronic filing horsepower (hp) Solar Titan 130 natural Your input will help the Commission of comments and has staff available to gas-fired turbines;
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• installation of related software Commission staff will also evaluate Consultation Under Section 106 of the controls that would limit the total hp of reasonable alternatives to the proposed National Historic Preservation Act each compressor unit to 17,400 hp; Project or portions of the Project and In accordance with the Advisory • installation of a new 585 hp make recommendations on how to Council on Historic Preservation’s Waukesha VGF–H24GL emergency lessen or avoid impacts on the various implementing regulations for section generator; resource areas. Your comments will 106 of the National Historic • construction of a new compressor help Commission staff identify and Preservation Act, the Commission is building to house the two new focus on the issues that might have an using this notice to initiate consultation compressor units; • effect on the human environment and with the applicable State Historic conversion of an existing potentially eliminate others from further compressor building into a storage Preservation Office(s), and to solicit study and discussion in the warehouse; their views and those of other • construction of a new service entry environmental document. government agencies, interested Indian building, two new electric buildings, Following this scoping period, tribes, and the public on the Project’s 4 two natural gas-fired heaters, two space Commission staff will determine potential effects on historic properties. heaters, four new filter/separator whether to prepare an Environmental The environmental document for this vessels, and six new gas coolers; and Assessment (EA) or an Environmental Project will document findings on the • construction of a new stormwater Impact Statement (EIS). The EA or the impacts on historic properties and management retention basin. EIS will present Commission staff’s summarize the status of consultations The general location of the Project independent analysis of the issues. If under section 106. facilities is shown in appendix 1.1 Commission staff prepares an EA, a Environmental Mailing List Land Requirements for Construction Notice of Schedule for the Preparation The environmental mailing list of an Environmental Assessment will be The station is located on includes: Federal, state, and local issued. The EA may be issued for an approximately 48.4 acres property government representatives and allotted public comment period. The owned by Texas Eastern and lies within agencies; elected officials; Native Commission would consider timely a fenced area encompassing American Tribes; and local libraries and comments on the EA before making its approximately 36.9 acres. Construction newspapers. This list also includes all decision regarding the proposed Project. of the Project would disturb 36.1 acres affected landowners (as defined in the of land, including 27.2 acres of land If Commission staff prepares an EIS, a Commission’s regulations) who are within the existing fence line of the Notice of Intent to Prepare an EIS/ potential right-of-way grantors, whose station, 3.4 acres of additional Notice of Schedule will be issued, property may be used temporarily for temporary workspace outside which will open up an additional Project purposes, or who own homes (northwest) of the station fence line, and comment period. Staff will then prepare within certain distances of aboveground 5.5 acres for the temporary construction a draft EIS which will be issued for facilities, and anyone who submits yard outside (south) of the station fence public comment. Commission staff will comments on the Project and includes a line. The proposed additional temporary consider all timely comments received mailing address with their comments. workspace would be in open space on during the comment period on the draft Commission staff will update the property Texas Eastern owns. Following EIS and revise the document, as environmental mailing list as the construction, Texas Eastern would necessary, before issuing a final EIS. analysis proceeds to ensure that maintain its 27.2 acres for permanent Any EA or draft and final EIS will be Commission notices related to this operation of the Project’s facilities; the available in electronic format in the environmental review are sent to all remaining acreage would be restored public record through eLibrary 2 and the individuals, organizations, and and revert to former uses. Commission’s natural gas government entities interested in and/or environmental documents web page potentially affected by the proposed NEPA Process and the Environmental (https://www.ferc.gov/industries-data/ Project. Document natural-gas/environment/ If you need to make changes to your Any environmental document issued environmental-documents). If name/address, or if you would like to by the Commission will discuss impacts eSubscribed, you will receive instant remove your name from the mailing list, that could occur as a result of the email notification when the please complete one of the following: construction and operation of the environmental document is issued. (1) Send an email to proposed Project under the relevant [email protected] With this notice, the Commission is general resource areas: stating your request. You must include asking agencies with jurisdiction by law • Geology and soils; the docket number CP21–31–000 in and/or special expertise with respect to • water resources and wetlands; your request. If you are requesting a • vegetation and wildlife; the environmental issues of this Project change to your address, please be sure • threatened and endangered species; to formally cooperate in the preparation to include your name and the correct • 3 cultural resources; of the environmental document. address. If you are requesting to delete • land use; Agencies that would like to request • your address from the mailing list, air quality and noise; and cooperating agency status should follow please include your name and address • reliability and safety. the instructions for filing comments as it appeared on this notice. This email provided under the Public Participation address is unable to accept comments. 1 The appendices referenced in this notice will section of this notice. not appear in the Federal Register. Copies of appendices were sent to all those receiving this 4 The Advisory Council on Historic Preservation’s notice in the mail and are available at www.ferc.gov 2 For instructions on connecting to eLibrary, refer regulations are at Title 36, Code of Federal using the link called ‘‘eLibrary’’ or from the to the last page of this notice. Regulations, Part 800. Those regulations define Commission’s Public Reference Room, 888 First 3 The Council on Environmental Quality historic properties as any prehistoric or historic Street NE, Washington, DC 20426, or call (202) 502– regulations addressing cooperating agency district, site, building, structure, or object included 8371. For instructions on connecting to eLibrary, responsibilities are at Title 40, Code of Federal in or eligible for inclusion in the National Register refer to the last page of this notice. Regulations, Section 1501.6. of Historic Places.
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(2) Return the attached ‘‘Mailing List future issuances of securities and Act (ICA), 49 U.S.C. App. 1(4), 1(6), Update Form’’ (appendix 2). assumptions of liability, is March 23, 3(1), 13, 15 and 16; Rule 206 of the 2021. Federal Energy Regulatory Additional Information The Commission encourages Commission’s (Commission) Rules of Additional information about the electronic submission of protests and Practice and Procedure, 18 CFR 385.206 Project is available from the interventions in lieu of paper, using the (2020); and Rules 343.1(a) and 343.2(c) Commission’s Office of External Affairs, FERC Online links at http:// of the Commission’s Procedural Rules at (866) 208–FERC, or on the FERC www.ferc.gov. To facilitate electronic Applicable to Oil Pipeline Proceedings, website at www.ferc.gov using the service, persons with internet access 18 CFR 343.1(a) and 343.2(c) (2020), eLibrary link. Click on the eLibrary link, who will eFile a document and/or be Equinor Marketing & Trading (US) Inc. click on ‘‘General Search’’ and enter the listed as a contact for an intervenor (Complainant) filed a formal complaint docket number in the ‘‘Docket Number’’ must create and validate an against Mustang Pipe Line LLC, field. Be sure you have selected an eRegistration account using the (Mustang or Respondent) alleging that appropriate date range. For assistance, eRegistration link. Select the eFiling Mustang has unlawfully allocated please contact FERC Online Support at link to log on and submit the capacity on its system in violation of its [email protected] or (866) intervention or protests. rules and regulations tariff and the 208–3676, or for TTY, contact (202) Persons unable to file electronically proration policy incorporated by 502–8659. The eLibrary link also may mail similar pleadings to the reference therein, the ICA, and the provides access to the texts of all formal Federal Energy Regulatory Commission, Commission’s regulations, all as more documents issued by the Commission, 888 First Street NE, Washington, DC fully explained in the complaint. such as orders, notices, and 20426. Hand delivered submissions in The Complainant certifies that copies rulemakings. docketed proceedings should be of the complaint were served on the Public sessions or site visits will be delivered to Health and Human contacts listed for Respondent in the posted on the Commission’s calendar Services, 12225 Wilkins Avenue, Commission’s list of Corporate Officials. located at https://www.ferc.gov/news- Rockville, Maryland 20852. Any person desiring to intervene or to events/events along with other related In addition to publishing the full text protest this filing must file in information. of this document in the Federal accordance with Rules 211 and 214 of the Commission’s Rules of Practice and Dated: March 3, 2021. Register, the Commission provides all interested persons an opportunity to Procedure (18 CFR 385.211, 385.214). Kimberly D. Bose, Protests will be considered by the Secretary. view and/or print the contents of this document via the internet through the Commission in determining the [FR Doc. 2021–04855 Filed 3–8–21; 8:45 am] Commission’s Home Page (http:// appropriate action to be taken, but will BILLING CODE 6717–01–P not serve to make protestants parties to www.ferc.gov) using the ‘‘eLibrary’’ link. the proceeding. Any person wishing to Enter the docket number excluding the become a party must file a notice of last three digits in the docket number DEPARTMENT OF ENERGY intervention or motion to intervene, as field to access the document. At this appropriate. The Respondent’s answer time, the Commission has suspended Federal Energy Regulatory and all interventions, or protests must access to the Commission’s Public Commission be filed on or before the comment date. Reference Room, due to the The Respondent’s answer, motions to [Docket No. ER21–1254–000] proclamation declaring a National intervene, and protests must be served Emergency concerning the Novel on the Complainants. Genbright LLC; Supplemental Notice Coronavirus Disease (COVID–19), issued That Initial Market-Based Rate Filing The Commission strongly encourages by the President on March 13, 2020. For electronic filings of comments, protests Includes Request for Blanket Section assistance, contact the Federal Energy 204 Authorization and interventions in lieu of paper using Regulatory Commission at the ‘‘eFiling’’ link at http:// This is a supplemental notice in the [email protected] or call www.ferc.gov. Persons unable to file above-referenced proceeding of toll-free, (886) 208–3676 or TYY, (202) electronically may mail similar Genbright LLC’s application for market- 502–8659. pleadings to the Federal Energy based rate authority, with an Dated: March 3, 2021. Regulatory Commission, 888 First Street accompanying rate tariff, noting that Nathaniel J. Davis, Sr., NE, Washington, DC 20426. Hand such application includes a request for Deputy Secretary. delivered submissions in docketed blanket authorization, under 18 CFR [FR Doc. 2021–04844 Filed 3–8–21; 8:45 am] proceedings should be delivered to part 34, of future issuances of securities Health and Human Services, 12225 BILLING CODE 6717–01–P and assumptions of liability. Wilkins Avenue, Rockville, Maryland Any person desiring to intervene or to 20852. protest should file with the Federal DEPARTMENT OF ENERGY In addition to publishing the full text Energy Regulatory Commission, 888 of this document in the Federal First Street NE, Washington, DC 20426, Federal Energy Regulatory Register, the Commission provides all in accordance with Rules 211 and 214 Commission interested persons an opportunity to of the Commission’s Rules of Practice view and/or print the contents of this and Procedure (18 CFR 385.211 and [Docket No. OR21–5–000] document via the internet through the 385.214). Anyone filing a motion to Equinor Marketing & Trading (US) Inc. Commission’s Home Page (http:// intervene or protest must serve a copy v. Mustang Pipe Line LLC; Notice of www.ferc.gov) using the ‘‘eLibrary’’ link. of that document on the Applicant. Complaint Enter the docket number excluding the Notice is hereby given that the last three digits in the docket number deadline for filing protests with regard Take notice that on March 2, 2021, field to access the document. At this to the applicant’s request for blanket pursuant to sections 1(4), 1(6), 3(1), 13, time, the Commission has suspended authorization, under 18 CFR part 34, of 15 and 16 of the Interstate Commerce access to the Commission’s Public
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Reference Room, due to the eComment system at http:// earth embankment; (6) a 55-foot-long, proclamation declaring a National www.ferc.gov/docs-filing/ 27-foot-wide, and 65-foot-high Emergency concerning the Novel ecomment.asp. You must include your reinforced concrete powerhouse integral Coronavirus Disease (COVID–19), issued name and contact information at the end with the spillway housing a vertical by the President on March 13, 2020. For of your comments. For assistance, axis, open flume turbine-generator unit assistance, contact the Federal Energy please contact FERC Online Support at with capacity of 1,200 kW; and (7) Regulatory Commission at [email protected], (866) appurtenant facilities. [email protected] or call 208–3676 (toll free), or (202) 502–8659 On May 19, 2020, the Sanford Project, toll-free, (886) 208–3676 or TYY, (202) (TTY). In lieu of electronic filing, you licensed on December 1, 1987, was 502–8659. may submit a paper copy. Submissions breached. This breach resulted in the Comment Date: 5:00 p.m. Eastern sent via the U.S. Postal Service must be loss of the right embankment and fuse Time on April 1, 2021. addressed to: Kimberly D. Bose, plug and significant erosion of the left bank. However, as licensed, the project Dated: March 3, 2021. Secretary, Federal Energy Regulatory Commission, 888 First Street NE, Room works consisted of: (1) A 1,526-acre Nathaniel J. Davis, Sr., 1A, Washington, DC 20426. reservoir; (2) a 26-foot-high, 1,600-foot- Deputy Secretary. Submissions sent via any other carrier long dam with an integrated 71-foot- [FR Doc. 2021–04835 Filed 3–8–21; 8:45 am] must be addressed to: Kimberly D. Bose, long powerhouse section, a 149-foot- BILLING CODE 6717–01–P Secretary, Federal Energy Regulatory long spillway section controlled by six Commission, 12225 Wilkins Avenue, Taintor gates, and a 1,380-foot-long Rockville, Maryland 20852. The first earth embankment; (3) a masonry DEPARTMENT OF ENERGY page of any filing should include docket powerhouse housing three generating numbers P–2785–103, P–10809–051, units with a total installed capacity of Federal Energy Regulatory and P–10810–057. Comments emailed 3,300 kW; (4) a 40-foot-long, 2.3-kilovolt Commission to Commission staff are not considered transmission line; and (5) appurtenant [Project Nos. 2785–103, 10809–051, 10810– part of the Commission record. facilities. 057] k. Description of Projects Facilities: l. Description of Proceeding: The The Boyce Projects are located on the Commission’s regulations, at 18 CFR Boyce Hydro Power, LLC; Notice of Tittabawassee River with the Secord 6.4, provide that if a licensee shall cause Termination of Licenses by Implied Project being the most upstream, or suffer essential property to be Surrender and Soliciting Comments, followed by the Smallwood Project, removed or destroyed, or become unfit Protests, and Motions To Intervene which is located approximately seven for use, without replacement it is river miles downstream, followed by the deemed to be the intent of a licensee to Take notice that the following non-jurisdictional Edenville dam surrender the license, and the hydroelectric proceeding has been (formerly FERC Project No. 10808), Commission may, and not less than 90 initiated by the Commission: which is located approximately 13 river days after public notice, in its discretion a. Type of Proceeding: Termination of miles downstream of the Smallwood terminate the license by implied Licenses by Implied Surrender. Project, at the confluence of the surrender. b. Project Nos: P–2785–103, P–10809– Tittabawassee and Tobacco Rivers. The The Commission is issuing this notice 051, and P–10810–057. Sanford Project is located approximately of termination by implied surrender c. Date Initiated: February 5, 2021. 11 river miles downstream of Edenville based on case specifics. On May 19, d. Licensee: Boyce Hydro Power, LLC Dam. 2020, the floodwaters of the (Boyce Hydro). The Secord Project was licensed on Tittabawassee and Tobacco Rivers e. Name of Projects: Sanford (P–2785), October 16, 1998. The project works breached the Edenville Dam and the Secord (P–10809) and Smallwood (P– consist of: (1) The 1,100-acre reservoir, downstream Sanford Dam. The Secord 10810) Hydroelectric Projects (Boyce Secord Lake; (2) a 47-foot-long intake and Smallwood Dams were not Projects). structure; (3) an earthen dam with a breached. The breaches and flooding f. Location: The projects are located 1,400-foot-long, 55-foot-high section caused substantial damage to the on the Tittabawasee River in Midland between the left abutment and the surrounding communities, washing out and Gladwin counties, Michigan. powerhouse, a 600-foot-long section major roads, destroying homes, and g. Filed Pursuant to: 18 CFR 6.4. between the spillway and the right forcing the evacuation of thousands of h. Applicant Contact: Mr. Michael A. abutment; (4) a reinforced concrete residents. The Commission’s Division of Swiger, Van Ness Feldman, LLP, 1050 multiple arch spillway with an ogee Dam Safety and Inspections issued Thomas Jefferson Street NW, crest and two Taintor gates; (5) a numerous directives relating to dam and Washington, DC 20007. (202) 298–1800, powerhouse integral with the dam public safety at the Boyce Projects that [email protected]. housing with one Francis vertical-axis Boyce Hydro failed to address. Boyce i. FERC Contact: Rebecca Martin, turbine-generator unit with installed Hydro filed for bankruptcy protection (202) 502–6012, Rebecca.martin@ capacity of 1,200 kilowatts (kW); and (6) on July 31, 2020. Midland and Gladwin ferc.gov. appurtenant facilities. Counties, Michigan, acting through their j. Deadline for filing comments, The Smallwood Project was licensed delegated authority, the Four Lakes Task motions to intervene and protests: June on October 16, 1998. The project works Force, filed condemnation petitions 1, 2021. consist of: (1) The 500-acre reservoir, against Boyce Hydro. On December 23, The Commission strongly encourages Smallwood Lake; (2) a 52-foot-long, 25- 2020, and December 28, 2020, the electronic filing. Please file comments, foot-high, and 50-foot-wide reinforced circuit court judges granted the motions to intervene, and protests using concrete hollow gravity spillway dam at petitions, which resulted in the transfer the Commission’s eFiling system at the base; (3) two 25.3-foot-wide, 10-foot- of all properties associated with the http://www.ferc.gov/docs-filing/ high steel Taintor gates on top of the Secord, Sanford, Smallwood, and the efiling.asp. Commenters can submit spillway crest; (4) a 100-foot-long, 40- non-jurisdictional Edenville Projects to brief comments up to 6,000 characters, foot-high right-side earth embankment; Four Lakes Task Force, retroactively, without prior registration, using the (5) a 550-foot-long, 40-foot-high left-side effective to July 31, 2020.
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m. Location of the Orders Issuing basis. Any filing made by an intervenor Filed Date: 3/2/21. Licenses: These orders may be viewed must be accompanied by proof of Accession Number: 20210302–5160. on the Commission’s website at http:// service on all persons listed in the Comments Due: 5 p.m. ET 3/15/21. www.ferc.gov using the ‘‘eLibrary’’ link. service list prepared by the Commission The filings are accessible in the Enter the docket number excluding the in this proceeding, in accordance with Commission’s eLibrary system (https:// last three digits in the docket number 18 CFR 385.2010. elibrary.ferc.gov/idmws/search/ field to access the document. You may Dated: March 3, 2021. fercgensearch.asp) by querying the also register online at http:// Nathaniel J. Davis, Sr., docket number. www.ferc.gov/docs-filing/ Deputy Secretary. Any person desiring to intervene or esubscription.asp to be notified via protest in any of the above proceedings [FR Doc. 2021–04829 Filed 3–8–21; 8:45 am] email of new filings and issuances must file in accordance with Rules 211 related to this or other pending projects. BILLING CODE 6717–01–P and 214 of the Commission’s For assistance, call 1–866–208–3676 or Regulations (18 CFR 385.211 and email [email protected], for DEPARTMENT OF ENERGY 385.214) on or before 5:00 p.m. Eastern TTY, call (202) 502–8659. Agencies may time on the specified comment date. obtain copies of the application directly Federal Energy Regulatory Protests may be considered, but from the applicant. Commission intervention is necessary to become a n. Individuals desiring to be included party to the proceeding. on the Commission’s mailing list should Combined Notice of Filings eFiling is encouraged. More detailed so indicate by writing to the Secretary information relating to filing of the Commission. Take notice that the Commission has requirements, interventions, protests, o. Comments, Protests, or Motions to received the following Natural Gas service, and qualifying facilities filings Intervene: Anyone may submit Pipeline Rate and Refund Report filings: can be found at: http://www.ferc.gov/ comments, a protest, or a motion to Docket Numbers: RP21–596–000. docs-filing/efiling/filing-req.pdf. For intervene in accordance with the Applicants: Rover Pipeline LLC. other information, call (866) 208–3676 requirements of Rules of Practice and Description: § 4(d) Rate Filing: (toll free). For TTY, call (202) 502–8659. Procedure, 18 CFR 385.210, .211, .214, Summary of Negotiated Rate Capacity respectively. In determining the Release Agreements on 3–2–21 to be Dated: March 3, 2021. appropriate action to take, the effective 3/1/2021. Nathaniel J. Davis, Sr., Commission will consider all protests or Filed Date: 3/2/21. Deputy Secretary. other comments filed, but only those Accession Number: 20210302–5043. [FR Doc. 2021–04830 Filed 3–8–21; 8:45 am] who file a motion to intervene in Comments Due: 5 p.m. ET 3/15/21. BILLING CODE 6717–01–P accordance with the Commission’s Docket Numbers: RP21–597–000. Rules may become a party to the Applicants: Black Hills Shoshone proceeding. Any comments, protests, or Pipeline, LLC. DEPARTMENT OF ENERGY motions to intervene must be received Description: § 4(d) Rate Filing: Annual on or before the specified comment date Adjustment of Lost and Unaccounted Federal Energy Regulatory for the particular application. The For Gas Percentage to be effective Commission Commission invites comments by the 4/1/2021. [Docket No. ER21–1249–000] Four Lakes Task Force, which now Filed Date: 3/2/21. owns the project works for the three Accession Number: 20210302–5074. Vineyard Reliability LLC; Supplemental projects, as well by Michigan Comments Due: 5 p.m. ET 3/15/21. Notice That Initial Market-Based Rate Department of Environment Great Lakes Docket Numbers: RP21–598–000. Filing Includes Request for Blanket and Energy, which would become the Applicants: Direct Energy Business Section 204 Authorization regulator of the facilities should the Marketing, LLC, National Grid. Commission terminate the licenses. Description: Joint Petition For This is a supplemental notice in the p. Agency Comments: Federal, state, Temporary Waiver, et al. of Direct above-referenced proceeding of and local agencies are invited to file Energy Business Marketing, LLC, et al. Vineyard Reliability LLC’s application comments on the described proceeding. under RP21–598. for market-based rate authority, with an If an agency does not file comments Filed Date: 3/2/21. accompanying rate tariff, noting that within the time specified for filing Accession Number: 20210302–5091. such application includes a request for comments, it will be presumed to have Comments Due: 5 p.m. ET 3/9/21. blanket authorization, under 18 CFR no comments. Docket Numbers: RP21–599–000. part 34, of future issuances of securities q. Filing and Service of Responsive Applicants: NextEra Energy and assumptions of liability. Documents: Any filing must (1) bear in Marketing, LLC, Brooklyn Union Gas Any person desiring to intervene or to all capital letters the title Company d/b/a National. protest should file with the Federal ‘‘COMMENTS’’, ‘‘PROTEST’’, or Description: Joint Petition For Energy Regulatory Commission, 888 ‘‘MOTION TO INTERVENE’’ as Temporary Waiver, et al. of NextEra First Street NE, Washington, DC 20426, applicable; (2) set forth in the heading Energy Marketing, LLC, et al. under in accordance with Rules 211 and 214 the name of the applicant and the RP21–599. of the Commission’s Rules of Practice project number of the application to Filed Date: 3/2/21. and Procedure (18 CFR 385.211 and which the filing responds; (3) furnish Accession Number: 20210302–5092. 385.214). Anyone filing a motion to the name, address, and telephone Comments Due: 5 p.m. ET 3/9/21. intervene or protest must serve a copy number of the person commenting, Docket Numbers: RP21–600–000. of that document on the Applicant. protesting or intervening; and (4) Applicants: East Tennessee Natural Notice is hereby given that the otherwise comply with the requirements Gas, LLC. deadline for filing protests with regard of 18 CFR 385.2001 through 385.2005. Description: § 4(d) Rate Filing: CNX to the applicant’s request for blanket All comments, motions to intervene, or Contract 410260—Non-Conforming and authorization, under 18 CFR part 34, of protests must set forth their evidentiary NegRate to be effective 4/1/2021. future issuances of securities and
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assumptions of liability, is March 23, Generator Status of Tumbleweed Solar Applicants: Genbright LLC. 2021. LLC. Description: Baseline eTariff Filing: The Commission encourages Filed Date: 3/3/21. Application for Market-Based Rate electronic submission of protests and Accession Number: 20210303–5141. Authorization, Request for Related interventions in lieu of paper, using the Comments Due: 5 p.m. ET 3/24/21. Waivers to be effective 5/1/2021. FERC Online links at http:// Take notice that the Commission Filed Date: 3/2/21. www.ferc.gov. To facilitate electronic received the following electric corporate Accession Number: 20210302–5173. service, persons with internet access filings: Comments Due: 5 p.m. ET 3/23/21. who will eFile a document and/or be Docket Numbers: EC21–61–000. Docket Numbers: ER21–1255–000. listed as a contact for an intervenor Applicants: Energy Power Investment Applicants: Southwest Power Pool, must create and validate an Company, LLC. Inc. eRegistration account using the Description: Application for Description: § 205(d) Rate Filing: 3789 eRegistration link. Select the eFiling Authorization Under Section 203 of the Flat Ridge 4 Wind GIA to be effective 2/ link to log on and submit the Federal Power Act of Energy Power 24/2021. intervention or protests. Investment Company. Filed Date: 3/3/21. Persons unable to file electronically Filed Date: 3/2/21. Accession Number: 20210303–5027. may mail similar pleadings to the Accession Number: 20210302–5143. Comments Due: 5 p.m. ET 3/24/21. Federal Energy Regulatory Commission, Comments Due: 5 p.m. ET 3/23/21. Docket Numbers: ER21–1256–000. 888 First Street NE, Washington, DC Take notice that the Commission Applicants: PJM Interconnection, 20426. Hand delivered submissions in received the following electric rate L.L.C. docketed proceedings should be filings: Description: § 205(d) Rate Filing: delivered to Health and Human Docket Numbers: ER21–918–001. Original ISA, Service Agreement No. Services, 12225 Wilkins Avenue, Applicants: PJM Interconnection, 5979; Queue No. AD2–085 to be Rockville, Maryland 20852. L.L.C. effective 2/3/2021. In addition to publishing the full text Description: Tariff Amendment: Errata Filed Date: 3/3/21. of this document in the Federal to ISA/CSA, SA Nos. 5291 and 5312; Accession Number: 20210303–5036. Register, the Commission provides all Queue No. AC1–165 to be effective 1/ Comments Due: 5 p.m. ET 3/24/21. interested persons an opportunity to 28/2019. Docket Numbers: ER21–1257–000. view and/or print the contents of this Filed Date: 3/3/21. Applicants: Midcontinent document via the internet through the Accession Number: 20210303–5131. Independent System Operator, Inc., Commission’s Home Page (http:// Comments Due: 5 p.m. ET 3/24/21. American Transmission Company LLC. www.ferc.gov) using the ‘‘eLibrary’’ link. Docket Numbers: ER21–1239–001. Description: § 205(d) Rate Filing: Enter the docket number excluding the Applicants: Gulf Power Company. 2021–03–01_SA 2773 ATC-Adams- last three digits in the docket number Description: Tariff Amendment: Columbia 1st Rev CFA to be effective 5/ field to access the document. At this NITSA Effective Date Amendment to be 3/2021. time, the Commission has suspended effective 5/1/2021. Filed Date: 3/3/21. access to the Commission’s Public Filed Date: 3/3/21. Accession Number: 20210303–5059. Reference Room, due to the Accession Number: 20210303–5071. Comments Due: 5 p.m. ET 3/24/21. proclamation declaring a National Comments Due: 5 p.m. ET 3/24/21. Emergency concerning the Novel Docket Numbers: ER21–1258–000. Coronavirus Disease (COVID–19), issued Docket Numbers: ER21–1243–001. Applicants: Midcontinent by the President on March 13, 2020. For Applicants: PJM Interconnection, Independent System Operator, Inc., assistance, contact the Federal Energy L.L.C. American Transmission Company LLC. Regulatory Commission at Description: Tariff Amendment: Errata Description: § 205(d) Rate Filing: _ [email protected] or call to Amendments to Price Responsive 2021–03–03 SA 2803 ATC-Badger toll-free, (886) 208–3676 or TYY, (202) Demand Rules re Docket No. ER21–1243 Power Marketing Authority 1st Rev CFA 502–8659. to be effective 5/3/2021. to be effective 5/3/2021. Filed Date: 3/2/21. Filed Date: 3/3/21. Dated: March 3, 2021. Accession Number: 20210302–5109. Accession Number: 20210303–5062. Nathaniel J. Davis, Sr., Comments Due: 5 p.m. ET 3/23/21. Comments Due: 5 p.m. ET 3/24/21. Deputy Secretary. Docket Numbers: ER21–1252–000. Docket Numbers: ER21–1259–000. [FR Doc. 2021–04843 Filed 3–8–21; 8:45 am] Applicants: Stonepeak Kestrel Energy Applicants: Coso Battery Storage, BILLING CODE 6717–01–P Marketing LLC. LLC. Description: § 205(d) Rate Filing: Description: Baseline eTariff Filing: Normal filing 2021 to be effective 3/3/ Coso Battery Storage, LLC MBR Tariff to DEPARTMENT OF ENERGY 2021. be effective 3/4/2021. Filed Date: 3/2/21. Federal Energy Regulatory Filed Date: 3/3/21. Accession Number: 20210302–5149. Commission Accession Number: 20210303–5088. Comments Due: 5 p.m. ET 3/23/21. Comments Due: 5 p.m. ET 3/24/21. Combined Notice of Filings #1 Docket Numbers: ER21–1253–000. Docket Numbers: ER21–1260–000. Applicants: Canal 3 Generating LLC. Applicants: Midcontinent Take notice that the Commission Description: § 205(d) Rate Filing: Independent System Operator, Inc., received the following exempt Normal filing 2021 to be effective 3/3/ American Transmission Company LLC. wholesale generator filings: 2021. Description: § 205(d) Rate Filing: Docket Numbers: EG21–99–000. Filed Date: 3/2/21. 2021–03–03_ATCLLC Attachment O Applicants: Tumbleweed Solar LLC. Accession Number: 20210302–5154. True-Up Procedures Filing to be Description: Notice of Self- Comments Due: 5 p.m. ET 3/23/21. effective 5/3/2021. Certification of Exempt Wholesale Docket Numbers: ER21–1254–000. Filed Date: 3/3/21.
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Accession Number: 20210303–5112. DEPARTMENT OF ENERGY field to access the document. At this Comments Due: 5 p.m. ET 3/24/21. time, the Commission has suspended Federal Energy Regulatory access to the Commission’s Public Docket Numbers: ER21–1261–000. Commission Reference Room, due to the Applicants: Oneta Power, LLC. [Docket No. ER21–1251–000] proclamation declaring a National Emergency concerning the Novel Description: Emergency One-Time Bighorn Solar 1, LLC; Supplemental Coronavirus Disease (COVID–19), issued Limited Waiver, et al. of Oneta Power, Notice That Initial Market-Based Rate by the President on March 13, 2020. For LLC. Filing Includes Request for Blanket assistance, contact the Federal Energy Filed Date: 3/2/21. Section 204 Authorization Regulatory Commission at Accession Number: 20210302–5189. [email protected] or call This is a supplemental notice in the toll-free, (886) 208–3676 or TYY, (202) Comments Due: 5 p.m. ET 3/4/21. above-referenced proceeding of Bighorn 502–8659. Docket Numbers: ER21–1262–000. Solar 1, LLC’s application for market- based rate authority, with an Dated: March 3, 2021. Applicants: Southwest Power Pool, accompanying rate tariff, noting that Nathaniel J. Davis, Sr., Inc. such application includes a request for Deputy Secretary. Description: § 205(d) Rate Filing: blanket authorization, under 18 CFR [FR Doc. 2021–04846 Filed 3–8–21; 8:45 am] 3125R9 Basin Electric Power part 34, of future issuances of securities BILLING CODE 6717–01–P Cooperative NITSA and NOA to be and assumptions of liability. effective 2/1/2021. Any person desiring to intervene or to protest should file with the Federal ENVIRONMENTAL PROTECTION Filed Date: 3/3/21. Energy Regulatory Commission, 888 AGENCY Accession Number: 20210303–5124. First Street NE, Washington, DC 20426, [FRL–10020–60–OW] Comments Due: 5 p.m. ET 3/24/21. in accordance with Rules 211 and 214 of the Commission’s Rules of Practice Notice of Public Meeting of the Docket Numbers: ER21–1263–000. and Procedure (18 CFR 385.211 and Environmental Financial Advisory Applicants: Alabama Power 385.214). Anyone filing a motion to Board Company. intervene or protest must serve a copy of that document on the Applicant. AGENCY: Environmental Protection Description: § 205(d) Rate Filing: Notice is hereby given that the Agency (EPA). PowerSouth NITSA Amendment (Add deadline for filing protests with regard ACTION: Notice. Exxon Credit provision) to be effective to the applicant’s request for blanket SUMMARY: 2/1/2021. authorization, under 18 CFR part 34, of The United States Filed Date: 3/3/21. future issuances of securities and Environmental Protection Agency (EPA) announces a public meeting of the Accession Number: 20210303–5132. assumptions of liability, is March 23, 2021. Environmental Financial Advisory Comments Due: 5 p.m. ET 3/24/21. The Commission encourages Board (EFAB). The purpose of the meeting will be for the EFAB to provide The filings are accessible in the electronic submission of protests and interventions in lieu of paper, using the workgroup updates on work products Commission’s eLibrary system (https:// and workplans for charges accepted elibrary.ferc.gov/idmws/search/ FERC Online links at http:// www.ferc.gov. To facilitate electronic during the October 2020 meeting, fercgensearch.asp) by querying the receive a briefing on the Agency’s docket number. service, persons with internet access who will eFile a document and/or be response to recent EFAB reports, receive Any person desiring to intervene or listed as a contact for an intervenor updates on EPA activities relating to environmental finance, and consider protest in any of the above proceedings must create and validate an possible future advisory topics. must file in accordance with Rules 211 eRegistration account using the and 214 of the Commission’s eRegistration link. Select the eFiling DATES: The meeting will be held on Regulations (18 CFR 385.211 and link to log on and submit the April 20 and 21, 2021 from 11 a.m. to 385.214) on or before 5:00 p.m. Eastern intervention or protests. 3 p.m. (Eastern Time) both days. time on the specified comment date. Persons unable to file electronically ADDRESSES: The meeting will be Protests may be considered, but may mail similar pleadings to the conducted via webcast and telephone. intervention is necessary to become a Federal Energy Regulatory Commission, Interested persons must register in party to the proceeding. 888 First Street NE, Washington, DC advance at the weblink below to access 20426. Hand delivered submissions in the meeting in the Registration for the eFiling is encouraged. More detailed docketed proceedings should be Meeting section of this document. information relating to filing delivered to Health and Human FOR FURTHER INFORMATION CONTACT: Any requirements, interventions, protests, Services, 12225 Wilkins Avenue, member of the public who wants service, and qualifying facilities filings Rockville, Maryland 20852. information about the meeting may can be found at: http://www.ferc.gov/ In addition to publishing the full text contact Ed Chu, the Designated Federal docs-filing/efiling/filing-req.pdf. For of this document in the Federal Officer, via telephone/voice mail at other information, call (866) 208–3676 Register, the Commission provides all (913) 551–7333 or email to efab@ (toll free). For TTY, call (202) 502–8659. interested persons an opportunity to epa.gov. General information Dated: March 3, 2021. view and/or print the contents of this concerning the EFAB is available at https://www.epa.gov/waterfinance Nathaniel J. Davis, Sr., document via the internet through the Commission’s Home Page (http:// center/efab. Deputy Secretary. www.ferc.gov) using the ‘‘eLibrary’’ link. SUPPLEMENTARY INFORMATION: [FR Doc. 2021–04837 Filed 3–8–21; 8:45 am] Enter the docket number excluding the Background: The EFAB is an EPA BILLING CODE 6717–01–P last three digits in the docket number advisory committee chartered under the
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Federal Advisory Committee Act that the information can be made Dated: March 4, 2021. (FACA), 5 U.S.C. App. 2, to provide available to the EFAB for its Monica R. Valentine, advice and recommendations to EPA on consideration prior to the meeting. Executive Director. innovative approaches to funding Written statements should be sent via [FR Doc. 2021–04859 Filed 3–8–21; 8:45 am] environmental programs, projects, and email to [email protected]. Members of the BILLING CODE 1610–02–P activities. Administrative support for public should be aware that their the EFAB is provided by the Water personal contact information, if Infrastructure and Resiliency Finance included in any written comments, may Center within EPA’s Office of Water. be posted to the EFAB website. FEDERAL COMMUNICATIONS Pursuant to FACA and EPA policy, Copyrighted material will not be posted COMMISSION notice is hereby given that the EFAB without explicit permission of the [OMB 3060–0854, FRS 17544] will hold a virtual public meeting for copyright holder. the following purposes: Accessibility: For information on Information Collection Being Reviewed (1) Provide EFAB workgroup updates access or services for individuals with by the Federal Communications to the Board regarding work products disabilities or to request Commission and workplans related to the accommodations for a disability, please Opportunity Zones charge the Board register for the meeting and list any AGENCY: Federal Communications accepted during its October 2020 special requirements or Commission. meeting; accommodations needed on the ACTION: Notice and request for (2) Receive briefings from invited registration form at least 10 business comments. speakers from EPA and the days prior to the meeting to allow as Environmental Finance Center Network much time as possible to process your SUMMARY: As part of its continuing effort on environmental finance topics; and request. to reduce paperwork burdens, and as (3) Discuss potential future EFAB required by the Paperwork Reduction Dated: March 1, 2021. projects including Stormwater Credit Act of 1995 (PRA), the Federal Trading, Environmental Risk and the Andrew D. Sawyers, Communications Commission (FCC or Cost of Capital, Financing Small Director, Office of Wastewater Management, Commission) invites the general public Manufacturer Pollution Prevention Office of Water. and other Federal agencies to take this Project, and others. [FR Doc. 2021–04828 Filed 3–8–21; 8:45 am] opportunity to comment on the Registration for the Meeting: Register BILLING CODE 6560–50–P following information collections. for the meeting at https://www.epa.gov/ Comments are requested concerning: waterfinancecenter/efab#meeting. Whether the proposed collection of Availability of Meeting Materials: FEDERAL ACCOUNTING STANDARDS information is necessary for the proper Meeting materials (including the ADVISORY BOARD performance of the functions of the meeting agenda and briefing materials) Commission, including whether the will be available on EPA’s website at Notice of Request for Volunteers for information shall have practical utility; https://www.epa.gov/ Intangible Assets Task Force the accuracy of the Commission’s waterfinancecenter/efab. AGENCY: Federal Accounting Standards burden estimate; ways to enhance the Procedures for Providing Public Input: quality, utility, and clarity of the Public comment for consideration by Advisory Board. ACTION: Notice. information collected; ways to minimize EPA’s federal advisory committees has a the burden of the collection of different purpose from public comment Pursuant to 31 U.S.C. 3511(d), the information on the respondents, provided to EPA program offices. Federal Advisory Committee Act (Pub. including the use of automated Therefore, the process for submitting L. 92–463), as amended, and the FASAB collection techniques or other forms of comments to a federal advisory Rules Of Procedure, as amended in information technology; and ways to committee is different from the process October 2010, notice is hereby given further reduce the information used to submit comments to an EPA that the Federal Accounting Standards collection burden on small business program office. Federal advisory Advisory Board (FASAB) is seeking concerns with fewer than 25 employees. committees provide independent advice volunteers for a task force to study The FCC may not conduct or sponsor a to EPA. Members of the public can federal intangible assets and potentially collection of information unless it submit comments on matters being develop accounting and financial displays a currently valid Office of considered by the EFAB for reporting guidance for such assets. The Management and Budget (OMB) control consideration by members as they Board seeks broad task force number. No person shall be subject to develop their advice and representation to include financial any penalty for failing to comply with recommendations to EPA. a collection of information subject to the Oral Statements: In general, statement users, preparers, and auditors, PRA that does not display a valid OMB individuals or groups requesting an oral as well as relevant operational and control number. presentation at a virtual EFAB public technical experts. Task force members meeting will be limited to three minutes should have some familiarity with DATES: Written PRA comments should each. Persons interested in providing federal financial statements and/or be submitted on or before May 10, 2021. oral statements at the April 2021 subject matter knowledge regarding If you anticipate that you will be meeting should register in advance and federal intangible assets. submitting comments, but find it provide notification as noted in the FOR FURTHER INFORMATION CONTACT: Ms. difficult to do so within the period of registration confirmation by April 12, Monica R. Valentine, Executive time allowed by this notice, you should 2021 to be placed on the list of Director, 441 G Street NW, Suite 1155, advise the contact listed below as soon registered speakers. Washington, DC 20548, or call (202) as possible. Written Statements: Written 512–7350. ADDRESSES: Direct all PRA comments to statements for the April 2021 meeting Authority: Federal Advisory Committee Cathy Williams, FCC, via email to PRA@ should be received by April 12, 2021 so Act, Pub. L. 92–463. fcc.gov and to [email protected].
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FOR FURTHER INFORMATION CONTACT: For Association of State Utility Consumer following information collections. additional information about the Advocates’ Petition for Declaratory Comments are requested concerning: information collection, contact Cathy Ruling Regarding Truth-in-Billing, Whether the proposed collection of Williams at (202) 418–2918. Second Report and Order, Declaratory information is necessary for the proper SUPPLEMENTARY INFORMATION: Ruling, and Second Further Notice of performance of the functions of the OMB Control Number: 3060–0854. Proposed Rulemaking, CC Docket No. Commission, including whether the Title: Section 64.2401, Truth-in- 98–170, CG Docket No. 04–208, (2005 information shall have practical utility; Billing Format, CC Docket No. 98–170 Second Report and Order and Second the accuracy of the Commission’s and CG Docket No. 04–208. Further Notice); published at 70 FR burden estimate; ways to enhance the Form Number: N/A. 29979 and 70 FR 30044, May 25, 2005, quality, utility, and clarity of the Type of Review: Extension of a which determined, inter alia, that information collected; ways to minimize currently approved collection. Commercial Mobile Radio Service the burden of the collection of Respondents: Business or other for- providers no longer should be exempted information on the respondents, profit entities. from 47 CFR 64.2401(b), which requires including the use of automated Number of Respondents and billing descriptions to be brief, clear, collection techniques or other forms of Responses: 4,165 respondents; 23,157 non-misleading and in plain language. information technology; and ways to responses. The 2005 Second Further Notice further reduce the information Estimated Time per Response: 2 to proposed and sought comment on collection burden on small business 230 hours. measures to enhance the ability of concerns with fewer than 25 employees. Frequency of Response: On occasion consumers to make informed choices The FCC may not conduct or sponsor a reporting requirement; Third party among competitive telecommunications collection of information unless it disclosure requirement. service providers. displays a currently valid Office of Obligation to Respond: Required to On April 27, 2012, the Commission Management and Budget (OMB) control obtain or retain benefits. The statutory released the Empowering Consumers to number. No person shall be subject to authority for this information collection Prevent and Detect Billing for any penalty for failing to comply with is found at section 201(b) of the Unauthorized Charges (‘‘Cramming’’), a collection of information subject to the Communications Act of 1934, as Report and Order and Further Notice of PRA that does not display a valid OMB amended, 47 U.S.C. 201(b), and section Proposed Rulemaking, CG Docket No. control number. 258, 47 U.S.C. 258, Public Law 104–104, 11–116, CG Docket No. 09–158, CC DATES: Written comments should be 110 Stat. 56. The Commission’s Docket No. 98–170, FCC 12–42 submitted on or before May 10, 2021. If implementing rules are codified at 47 (Cramming Report and Order and you anticipate that you will be CFR 64.2400. Further Notice of Proposed submitting comments, but find it Total Annual Burden: 1,872,245 Rulemaking); published at 77 FR 30972, difficult to do so within the period of hours. May 24, 2012, which determined that time allowed by this notice, you should Total Annual Cost: $10,000,000. additional rules are needed to help advise the contacts below as soon as Nature and Extent of Confidentiality: consumers prevent and detect the possible. placement of unauthorized charges on An assurance of confidentiality is not ADDRESSES: Direct all PRA comments to their telephone bills, an unlawful and offered because this information Cathy Williams, FCC, via email: PRA@ fraudulent practice commonly referred collection does not require the fcc.gov and to [email protected]. to as ‘‘cramming.’’ collection of personally identifiable FOR FURTHER INFORMATION CONTACT: For information from individuals. Federal Communications Commission. additional information about the Privacy Impact Assessment: No Marlene Dortch, information collection, contact Cathy impact(s). Secretary, Office of the Secretary. Williams at (202) 418–2918. Needs and Uses: In 1999, the [FR Doc. 2021–04858 Filed 3–8–21; 8:45 am] SUPPLEMENTARY INFORMATION: OMB Commission released the Truth-in- BILLING CODE 6712–01–P Control Number: 3060–0422. Billing and Billing Format, CC Docket Title: Hearing Aid Compatibility; No. 98–170, First Report and Order and Access to Telecommunications Further Notice of Proposed Rulemaking, FEDERAL COMMUNICATIONS Equipment and Services by Persons (1999 TIB Order); published at 64 FR COMMISSION with Disabilities; Section 68.5 Waivers, 34488, June 25, 1999, which adopted CC Docket No. 87–124 and CG Docket principles and guidelines designed to [OMB 3060–0422; FRS 17541] No. 13–46. reduce telecommunications fraud, such Information Collection Being Reviewed Form Number: N/A. as slamming and cramming, by making by the Federal Communications Type of Review: Revision of a bills easier for consumers to read and Commission currently approved collection. understand, and thereby, making such Respondents: Business or other for- fraud easier to detect and report. In AGENCY: Federal Communications profit entities; not-for-profit entities. 2000, Truth-in-Billing and Billing Commission. Number of Respondents and Format, CC Docket No. 98–170, Order ACTION: Notice and request for Responses: 331 respondents; 3,030 on Reconsideration, (2000 comments. responses. Reconsideration Order); published at 65 Estimated Time per Response: 0.25 FR 43251, July 13, 2000, the SUMMARY: As part of its continuing effort hour (15 minutes) to 24 hours. Commission, granted in part petitions to reduce paperwork burdens, and as Frequency of Response: Annual and for reconsideration of the requirements required by the Paperwork Reduction on-occasion reporting requirements; that bills highlight new service Act of 1995 (PRA), the Federal Third party disclosure requirement. providers and prominently display Communications Commission (FCC or Obligation to Respond: Required to inquiry contact numbers. On March 18, Commission) invites the general public obtain or retain benefits. The statutory 2005, the Commission released Truth- and other Federal agencies to take this authority for this information collection in-Billing and Billing Format; National opportunity to comment on the is found at section 710 of the
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Communications Act of 1934, as regulations, whose key function is to • 47 CFR 68.504 of the Commission’s amended, 47 U.S.C. 610. maintain a database of telephone rules requires information about ACS Total Annual Burden: 7,242 hours. equipment); and to facilitate the filing of telephonic CPE to be included in a Total Annual Cost: $487,500. complaints about the ACS telephonic database administered by ACTA. In Nature and Extent of Confidentiality: CPE. addition, ACS telephonic CPE must be An assurance of confidentiality is not labeled as required by ACTA. offered because this information Wireline Handsets Used With the • Legacy Telephone Network 47 CFR 68.502(b)–(d) of the collection does not require the Commission’s rules requires responsible • collection of personally identifiable 47 CFR 68.224 requires that every parties to: Warrant that ACS telephonic information from individuals. non-hearing aid compatible wireline CPE complies with applicable Privacy Impact Assessment: No telephone used with the legacy wireline regulations and technical criteria; give impact(s). network that is offered for sale to the the user instructions required by ACTA Needs and Uses: This notice and public contain in a conspicuous for ACS telephonic CPE that is hearing request for comments pertains to the location on the surface of its packaging aid compatible; give the user a notice for extension of the currently approved a statement that the telephone is not ACS telephonic CPE that is not hearing information collection requirements hearing aid compatible. If the handset is aid compatible; and notify the purchaser concerning hearing aid compatibility offered for sale without a surrounding or user of ACS telephonic CPE whose (HAC) for wireline handsets used with package, then the telephone must be approval is revoked, that the purchaser the legacy telephone network and with affixed with a written statement that the or user must discontinue its use. advanced communications services telephone is not hearing aid compatible. • 47 CFR 68.503 of the Commission’s (ACS), such as Voice over internet In addition, each handset must be rules requires manufacturers of ACS Protocol (VoIP). The latter are known as accompanied by instructions in ACS telephonic customer premises telephonic CPE to designate an agent for accordance with 47 CFR 62.218(b)(2). service of process for complaints that equipment (ACS telephonic CPE). • 47 CFR 68.300 requires that all may be filed at the FCC. Beginning in the 1980s, the wireline telephones used with the Commission adopted a series of legacy wireline network that are Applications for Waiver of HAC regulations to implement statutory manufactured in the United States Requirements directives requiring wireline telephone (other than for export) or imported for • 47 CFR 68.5 requires that telephone handsets in the United States (for use use in the United States and that are with the legacy telephone network) to manufacturers seeking a waiver of 47 hearing aid compatible have the letters CFR 68.4(a)(1) (requiring that certain be hearing aid compatible. In 2010, the ‘‘HAC’’ permanently affixed. Twenty-First Century Communications telephones be hearing aid compatible) and Video Accessibility Act (CVAA), ACS Telephonic CPE demonstrate that compliance with the Public Law 111–260, sec. 102, 710(b), • 47 CFR 68.502(a) of the rule is technologically infeasible or too 124 Stat. 2751, 2753 (CVAA) (codified at Commission’s rules contains costly. Information is used by FCC staff 47 U.S.C. 610(b)), amended by Public information collection requirements for to determine whether to grant or dismiss Law 111–265, 124 Stat. 2795 (technical ACS telephonic CPE that are similar to the request. corrections to the CVAA), amended the HAC label and notice requirements Federal Communications Commission. section 710(b) of the Communications in 47 CFR 68.224 and 68.300 (discussed Marlene Dortch, Act of 1934, to apply the HAC above), i.e., the ‘‘HAC’’ labeling Secretary, Office of the Secretary. requirements to ACS telephonic CPE, requirement for hearing aid compatible [FR Doc. 2021–04856 Filed 3–8–21; 8:45 am] including VoIP telephones. In equipment, and the package information BILLING CODE 6712–01–P accordance with this provision, the for non-hearing aid compatible Commission adopted Access to equipment, apply to ACS telephonic Telecommunications Equipment and CPE. FEDERAL COMMUNICATIONS Services by Persons with Disabilities et • 47 CFR 68.501 of the Commission’s COMMISSION al., Report and Order and Order on rules requires responsible parties to Reconsideration, FCC 17–135, released obtain certifications of their equipment [FR ID 17542] October 26, 2017, which amended the by using a third-party Privacy Act of 1974; System of HAC rules to cover ACS telephonic CPE Telecommunications Certification Body Records to the extent such devices are designed (TCB) or a Supplier’s Declaration of to be held to the ear and provide two- Conformity. (A responsible party is the AGENCY: Federal Communications way voice communication via a built-in party, such as the manufacturer, that is Commission. speaker. responsible for the compliance of ACS ACTION: Notice of a new system of The information collections contain telephonic CPE with the hearing aid records. third-party disclosure and labeling compatibility rules and other applicable requirements. The information is used technical criteria. A Supplier’s SUMMARY: The Federal Communications to inform consumers who purchase or Declaration of Conformity is a Commission (FCC or Commission or use wireline telephone equipment procedure whereby a responsible party Agency) proposes to add a new system whether the telephone is hearing aid makes measurements or takes steps to of records, FCC/WCB–4, Consumer compatible; to ensure that ensure that CPE complies with technical Challenge Process, to its inventory of manufacturers comply with applicable standards, which results in a document records systems subject to the Privacy regulations and technical criteria; to by the same name.) Section 68.501 of Act of 1974, as amended. This action is ensure that information about ACS the Commission’s rules applies to ACS necessary to meet the requirements of telephonic CPE is available in a telephonic CPE the rule sections the Privacy Act to publish in the database administered by the defining the roles of TCBs and the uses Federal Register notice of the existence Administrative Council for Terminal of Supplier’s Declarations of Conformity and character of records maintained by Attachments (ACTA) (an organization, for wireline handsets used with the the Agency. The FCC maintains previously created pursuant to FCC legacy telephone network. programs that require
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telecommunication providers and identity and eligibility of certain individuals challenging mobile coverage carriers (Participants) to report service individuals to participate as in a specific area; and individuals who coverage or locations eligible for Stakeholders in the process, including submit information to verify their support to the FCC, such as the FCC’s information that may link individuals to eligibility to challenge a Participant’s Digital Opportunity Data Collection particular properties and/or commercial location data. (DODC) and the Universal Service Fund interests (e.g., geolocation coordinates, (USF) Eligible Location Adjustment billing information). CATEGORIES OF RECORDS IN THE SYSTEM: Process (ELAP). Under these programs, The records in this system may consumers and third parties SYSTEM NAME AND NUMBER: include name, address, email address, (collectively, Stakeholders) may FCC/WCB–3, Consumer Challenge phone number, partial Social Security challenge the service coverage or Process. Number (or Tribal Identification number of locations eligible for support Number if no Social Security Number is SECURITY CLASSIFICATION: (eligible locations) reported by available), requests for broadband Participants. The Consumer Challenge Unclassified. services, commercial records associated Process system of records contains SYSTEM LOCATION(S): with the receipt of residential services and utilities, home ownership, land use personally identifiable information (PII) Federal Communications Commission rights (including building submitted by individuals, or third (FCC), 45 L Street NE, Washington, DC development), government forms, parties on behalf of individuals, needed 20554; and Universal Service statements, authorizations, and to establish eligibility to challenge the Administrative Company (USAC), 700 certifications. Further, such records may accuracy of Participants’ submissions, 12th Street NW, Suite 900, Washington, provide sufficient information for include information confirming that DC 20005. Participants to respond to a challenge, individuals do not have a controlling and create accurate maps of Participant SYSTEM MANAGER(S): interest in one or more competitors of coverage or eligible locations. To The FCC and, in some cases, USAC on the Participant being challenged. establish eligibility, prospective behalf of and under the supervision of RECORD SOURCE CATEGORIES: Stakeholders who are individuals must the FCC. submit certain PII that will be used to The information in the system is verify their identities and their interest AUTHORITY FOR MAINTENANCE OF THE SYSTEM: provided by individuals who are in receiving services from a Participant 47 U.S.C. 151–154, 254; 47 CFR consumers of fixed or mobile broadband in the relevant geographic area, i.e., the Sections 0.91, 0.291, 1.11.427, 54.310; services, residents or property owners in coverage area for DODC, or the Connect America Fund, WC Docket No. areas where Participants have been Participant’s supported areas for ELAP. 10–90 et al., Order on Reconsideration, authorized (or are eligible to be In certain programs, the PII will also be 33 FCC Rcd 1380, 1390–92, paras. 23– authorized) to receive universal service used to establish that the Stakeholders 28 (2018); Connect America Fund, WC support through certain high-cost do not hold a controlling interest in a Docket No. 10–90, 34 FCC Rcd 10395 programs, and government agencies or competitor. Once verified, Stakeholders (2019); 47 U.S.C. 641–646; Establishing other entities (e.g., consumer groups) may submit additional PII to establish the Digital Opportunity Data Collection, who collect challenges from individuals that specific geolocations are eligible WC Docket No. 19–195. and submit them in bulk. locations, such as evidence verifying ownership or occupancy of a location. PURPOSE(S) OF THE SYSTEM: ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND The Consumer Challenge Process Participation in any Consumer PURPOSES OF SUCH USES: Challenge Process is voluntary. system contains information to facilitate In addition to those disclosures DATES: This system of records will challenges to (1) Participant service generally permitted under 5 U.S.C. become effective on March 9, 2021. reports under the DODC or other 552a(b) of the Privacy Act, all or a Written comments on the routine uses Commission adjustment programs, on a portion of the records or information are due by April 8, 2021. The routine state-by-state basis, and (2) Participants’ contained in this system may be uses will become effective on April 8, defined deployment obligations (and disclosed to authorized entities, as is 2021, unless written comments are associated support) under the USF. In determined to be relevant and received that require a contrary this system, the Commission or USAC, determination. on behalf of the Commission, will gather necessary, outside the FCC as a routine information to verify the identity of use pursuant to 5 U.S.C. 552a(b)(3) as ADDRESSES: Send comments to Margaret prospective Stakeholders and their follows: Drake at [email protected] or at Federal 1. Program Management—To USAC Communications Commission, 45 L direct interests in receiving certain services in the relevant locations. The employees to conduct official duties Street NE, Washington, DC 20554 at associated with the management, 202–418–1707. submitted PII may link one or more individuals to locations and/or operation, and oversight of the ELAP as FOR FURTHER INFORMATION CONTACT: commercial interests and services directed by the Commission, including Margaret Drake, 202–418–1707, or relating to such locations. In some but not limited to, decisions to modify [email protected] (and to obtain a copy of circumstances, prospective Stakeholders the number of locations (and associated the Narrative Statement that includes must certify that they do not hold a support) that Participants must serve to details of this proposed new system of controlling interest in one or more satisfy their USF obligations. records). competitors of the Participant that they 2. Third Party Contractors—To an SUPPLEMENTARY INFORMATION: are challenging. employee of any third-party contractor Depending on the program, the FCC or engaged by USAC or the Commission to, the Universal Service Administrative CATEGORIES OF INDIVDUALS COVERED BY THE among other things, develop IT systems Company, in conjunction with and SYSTEM: or applications; conduct the Stakeholder under the supervision of the FCC, will The individuals in this system eligibility verification process; verify the collect and maintain documentation in include actual and potential consumers completeness and accuracy of the system of records to verify the of fixed or mobile broadband services; Participants’ coverage information;
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develop and maintain relevant maps; persons when: (a) The Commission POLICIES AND PRACTICES FOR STORAGE OF and, develop the Commission order suspects or has confirmed that there has RECORDS: modifying the Participants’ defined been a breach of the system of records; The system is maintained in secure, deployment obligation. (b) the Commission has determined that limited access areas. Electronic files are 3. Participants—Stakeholder as a result of the suspected or confirmed maintained in the FCC or USAC challenge information, including breach there is a risk of harm to network accreditation boundaries. Stakeholder contact information, individuals, the Commission (including Physical entry by unauthorized persons geolocation, and other location its information systems, programs, and is restricted through use of locks, information (e.g., the number of units at operations), the Federal Government, or passwords, and other security measures. a location) will be made available to national security; and (c) the disclosure Paper documents and other physical relevant Participants for the purposes of made to such agencies, entities, and records, if any, will be kept in locked, allowing them to file a reply to persons is reasonably necessary to assist controlled access areas until digitized Stakeholder challenges. in connection with the Commission’s and then destroyed. 4. Stakeholders—For ELAP, efforts to respond to the suspected or Stakeholder contact information and POLICIES AND PRACTICES FOR RETRIEVAL OF confirmed breach or to prevent, RECORDS: certain other challenge information will minimize, or remedy such harm. be made available to other verified Information in this system can be Stakeholders filing challenges in the 11. Assistance to Federal Agencies retrieved by various identifiers, which same study area. Other Stakeholders and Entities—To another Federal agency may include Stakeholder name, Social include individuals, entities, and non- or Federal entity, when the Commission Security Number (Tribal Identification Federal agencies, including any State or determines that information from this Number if Social Security Number is local government, or agency thereof. system is reasonably necessary to assist not available), physical address, 5. Public—Stakeholder geolocation the recipient agency or entity in: (a) geolocation coordinates, property information may be included on Responding to a suspected or confirmed information, email address, telephone coverage maps published on the FCC breach or (b) preventing, minimizing, or number, competitive interests, and and/or USAC websites. remedying the risk of harm to supporting evidence. 6. Congressional Inquiries—To a individuals, the recipient agency or POLICIES AND PRACTICES FOR RETENTION AND Congressional office from the record of entity (including its information DISPOSAL OF RECORDS: an individual in response to an inquiry systems, program, and operations), the 1. The National Archives and Records from that Congressional office made at Federal Government, or national Administration (NARA) established the written request of that individual. security, resulting from a suspected or records schedule number DAA–0173– 7. Government-Wide Program confirmed breach. 2017–0001–001 for the Universal Management and Oversight—To the 12. Prevention of Fraud, Waste, and Service High Cost Program Files. In Department of Justice (DOJ) to obtain Abuse Disclosure—To Federal agencies, accordance with this records schedule, that department’s advice regarding non-Federal entities, their employees, the FCC and USAC, as appropriate, will disclosure obligations under the and agents (including contractors, their maintain all information in the ELAP Freedom of Information Act (FOIA); or agents or employees; employees or system of records for ten (10) years after to the Office of Management and Budget contractors of the agents or designated cut-off, or when no longer needed for (OMB) to obtain that office’s advice agents); or contractors, their employees business or audit purposes, whichever regarding obligations under the Privacy or agents with whom the FCC or USAC comes later. Cut-off is determined as the Act. has a contract, service agreement, or end of the calendar year from the date 8. Law Enforcement and cooperative agreement, for the purpose an item is filed or prepared. Disposal of Investigation—To appropriate Federal, of: (1) Detection and prevention of obsolete or out-of-date paper documents State, local, or Tribal agencies, fraud, waste, and abuse in Federal and files is by shredding only. authorities, and officials responsible for programs administered by a Federal Electronic data, files, and records are investigating, prosecuting, enforcing, or agency or non-Federal entity; (2) destroyed by electronic erasure in implementing a statute, rule, regulation, detection of fraud, waste, and abuse by compliance with National Institute of or order, where the FCC becomes aware individuals in their operations and Standards and Technology (NIST) of an indication of a violation or programs, but only to the extent that the guidelines. potential violation of a civil or criminal information shared is necessary and 2. Information in this system of statute, law, regulation, or order. relevant to verify and audit information records that is not collected or 9. Adjudication and Litigation—To necessary to determine whether the maintained in connection with the CAF the Department of Justice (DOJ), or to a participant carrier has intentionally or Program Files, including DODC court or adjudicative body before which through negligence, reduced its challenge data, will be maintained in the FCC is authorized to appear, when: universal service obligations to exclude accordance with General Records (a) The FCC or any component thereof; locations in eligible areas that are the Schedule 5.2, Item 20, which provides or (b) any employee of the FCC in his most difficult and/or expensive to serve. that records will be destroyed upon or her official capacity; or (c) any verification of successful creation of the employee of the FCC in his or her REPORTING TO A CONSUMER REPORTING AGENCY: final document or file, or when no individual capacity where the DOJ or longer needed for business use, In addition to the routine uses listed the FCC have agreed to represent the whichever is later. employee; or (d) the United States is a above, the Commission may share party to litigation or have an interest in information from this system of records ADMINISTRATIVE, TECHNICAL, AND PHYSICAL such litigation, and the use of such with a consumer reporting agency SAFEGUARDS: records by the DOJ or the FCC is regarding an individual who has not 1. ELAP-related data: The electronic deemed by the FCC to be relevant and paid a valid and overdue debt owed to data, records, and files will be stored necessary to the litigation. the Commission, following the within the High-Cost Broadband Portal 10. Breach Notification—To procedures set out in the Debt (HCBP) system accreditation appropriate agencies, entities, and Collection Act, 31 U.S.C. 3711(e). boundaries. The FCC will oversee the
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management of the HCBP system, RECORDS ACCESS PROCEDURES: committees/general/north-american- including USAC’s records management Individuals wishing to request access numbering-council. activities. After a Participant window to and/or amendment of records about SUPPLEMENTARY INFORMATION: The for filing replies to Stakeholder themselves should follow the NANC meeting is open to the public on information closes, access to the Notification Procedure below. the internet via live feed from the FCC’s electronic files is restricted to the FCC web page at http://www.fcc.gov/live. CONTESTING RECORDS PROCEDURES: staff and its contractors and Open captioning will be provided for subcontractors, as well as USAC and its Individuals wishing to request access this event. Other reasonable contractors and subcontractors who to and/or amendment of records about accommodations for people with carry out ELAP functions and activities. them should follow the Notification disabilities are available upon request. Other FCC employees and contractors Procedure below. Requests for such accommodations and USAC employees, contractors, and NOTIFICATION PROCEDURES: should be submitted via email to subcontractors may be granted access [email protected] or by calling the Individuals wishing to determine only on a need-to-know basis. The data Consumer & Governmental Affairs whether this system of records contains are protected by the FCC and USAC Bureau at (202) 418–0530 (voice), (202) information about them may do so by security safeguards, a comprehensive 418–0432 (TTY). Such requests should writing to Margaret Drake at privacy@ and dynamic set of information include a detailed description of the fcc.gov or Federal Communications technology (IT) safety and security accommodation needed. In addition, Commission, 45 L Street NE, protocols and features that are designed please include a way for the FCC to Washington, DC 20554, 202–418–1707. to meet all Federal IT standards, contact the requester if more Individuals requesting access must including, but not limited to, those information is needed to fill the request. also comply with the FCC’s Privacy Act required by the Federal Information Please allow at least five days’ advance regulations regarding verification of Security Modernization Act of 2014 notice for accommodation requests; last identity and access to records (47 CFR (FISMA), the Office of Management and minute requests will be accepted but part 0, subpart E). Budget (OMB), and NIST. may not be possible to accommodate. Employees of the FCC and USAC may EXEMPTIONS PROMULGATED FOR THE SYSTEM: Members of the public may submit print paper copies of these ELAP None. comments to the NANC in the FCC’s electronic records for various short-term Electronic Comment Filing System, uses, as necessary. Paper copies will be HISTORY: ECFS, at www.fcc.gov/ecfs. Comments to stored in locked file cabinets when not This is a new system of records. the NANC should be filed in CC Docket in use. Physical entry by unauthorized Federal Communications Commission. No. 92–237. This is a summary of the persons where this information is stored Commission’s document in CC Docket Marlene Dortch, is restricted through use of locks, No. 92–237, DA 21–253 released March passwords, and other security measures. Secretary. 2, 2021. Only authorized FCC and USAC [FR Doc. 2021–04857 Filed 3–8–21; 8:45 am] Proposed Agenda: At the April 15 employees may have access to these BILLING CODE 6712–01–P meeting, the NANC will hear routine documents. Participants receiving status reports from the North American access to the ELAP portion of the HCBP Portability Management, LLC, the system will be prohibited from printing FEDERAL COMMUNICATIONS Secure Telephone Identification paper copies when such information COMMISSION Governance Authority, and the contains PII, although they will be [CC Docket No. 92–237; FRS 17543] Numbering Administration Oversight permitted to download redacted Working Group. This agenda may be versions of such information. Next Meeting of the North American modified at the discretion of the NANC 2. Non-ELAP data: The electronic Numbering Council Chair and the Designated Federal records, files, and data are stored within Officers (DFO). AGENCY: Federal Communications FCC accreditation boundaries. Access to (5 U.S.C. App 2 section 10(a)(2)) Commission. the electronic files is restricted to IT ACTION: Notice. Federal Communications Commission staff, contractors, and vendors who Daniel Kahn, maintain the networks and services. SUMMARY: In this document, the Associate Bureau Chief, Wireline Competition Other FCC employees, contractors, Commission released a public notice Bureau. vendors, and users may be granted announcing the meeting of the North access on a need-to- know basis. The [FR Doc. 2021–04797 Filed 3–8–21; 8:45 am] American Numbering Council (NANC), BILLING CODE 6712–01–P FCC’s data are protected by the FCC and which will be held via video conference privacy safeguards, a comprehensive and available to the public via live and dynamic set of IT safety and internet feed. security protocols and features that are FEDERAL HOUSING FINANCE designed to meet all Federal IT privacy DATES: Thursday, April 15, 2021. The AGENCY meeting will come to order at 9:30 a.m. standards, including those required by [No. 2021–N–4] FISMA, OMB, and NIST. Paper copies ADDRESSES: The meeting will be will be stored in locked file cabinets conducted via video conference and Privacy Act of 1974; System of when not in use. Physical entry by available to the public via the internet Records unauthorized persons where this at http://www.fcc.gov/live. information is stored is restricted FOR FURTHER INFORMATION CONTACT: AGENCY: Office of Inspector General, through use of locks, passwords, and Jordan Reth, Acting Designated Federal Federal Housing Finance Agency other security measures. Only Officer, at [email protected] or 202– (FHFA–OIG). authorized FCC employees and 418–1418. More information about the ACTION: Notice of amendments and contractors may have access to these NANC is available at https:// additions to the routine uses for FHFA– documents. www.fcc.gov/about-fcc/advisory- OIG’s Privacy Act systems of records
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(SORs), updates, rewording, and ensure timely receipt by the agency. 95. The Reform Act established in place technical changes to the system name, Please include ‘‘Comments/FHFA–OIG of the FHFB and OFHEO a new entity, system location, categories of SORN’’ in the subject line of the the Federal Housing Finance Agency individuals covered by the system, message. (FHFA), to regulate and supervise categories of records in the system, • U.S. Mail, United Parcel Service, Fannie Mae, Freddie Mac, and the 12 purpose(s), retrievability, safeguards, Federal Express, or Other Mail Service: FHLBanks. See Public Law 110–289, retention and disposal, system Leonard DePasquale, Chief Counsel, section 1101, 122 Stat. 2654, 2661 manager(s) and address, notification Office of Inspector General, Federal (codified at 12 U.S.C. 4511). procedures, record source categories, Housing Finance Agency, 400 7th Street The Reform Act also requires the and exemptions claimed for one or more SW, Washington, DC 20219. appointment of an Inspector General of FHFA–OIG’s existing systems, and • Courier/Hand Delivered Letters or within FHFA, in accordance with the creation of a new Privacy Act system Packages: For security reasons, courier/ section 3a of the Inspector General Act of records (SOR). hand delivered letters or packages of 1978 (the IG Act). See Public Law cannot be accepted. 110–289, section 1105, 122 Stat. 2668 SUMMARY: In accordance with the See SUPPLEMENTARY INFORMATION for (codified at 12 U.S.C. 4517(d)). FHFA– Privacy Act of 1974, as amended and additional information on posting of OIG is responsible for, among other the Office of Management and Budget comments. things, conducting audits, (OMB) Circular A–108 System of investigations, and evaluations of FOR FURTHER INFORMATION CONTACT: Records Notice template, FHFA–OIG FHFA’s programs and operations; Leonard DePasquale, Chief Counsel, gives notice of amendments and recommending policies that promote Office of Inspector General, Federal additions to the routine uses for FHFA– economy and efficiency in the Housing Finance Agency, 400 7th Street OIG’s Privacy Act systems of records administration of FHFA’s programs and SW, Washington, DC 20219, or at (202) (SORs) and technical changes thereto, operations; and preventing and 730–2830. Hearing impaired individuals updates to system name, system detecting fraud and abuse in FHFA’s may utilize the Federal Relay Service by location, categories of individuals programs and operations. See IG Act, dialing 1–800–877–8339. A covered by the system, categories of Public Law 95–452, 92 Stat. 1101 Communications Assistant will dial records in the system, purpose(s), (codified at 5 U.S.C. App.). retrievability, safeguards, retention and FHFA–OIG’s number and relay the FHFA–OIG began operations in disposal, system manager(s) and conversation between a standard (voice) October of 2010. Although FHFA’s address, notification procedures, record telephone user and text telephone SORs covered many of FHFA–OIG’s source categories, exemptions claimed (TTY). records, some of those records were for one or more of FHFA–OIG’s existing SUPPLEMENTARY INFORMATION: unique to FHFA–OIG’s work. As a systems of record, and the creation of a result, on March 2, 2011, FHFA–OIG I. Comments new Privacy Act SOR for the Office of issued a Federal Register notice Counsel. The six existing SORs are Instructions: FHFA–OIG seeks public establishing five SORs (76 FR 11465). being re-published in their entirety to comments on the amended and On November 1, 2013, FHFA–OIG conform their formats to the Circular A– additional routine uses and will take all issued another Federal Register notice 108 SORN template. The amendments comments into consideration. See 5 adding a new SOR and amending and and additions to the existing systems U.S.C. 552a(e)(4) and (11). updating the existing SORs (78 FR and the new system are described in Posting and Public Availability of 65644). In the five years since the last detail below. Comments: All comments received will update, FHFA–OIG’s approach to DATES: Comments must be received on be posted without change on the FHFA– implementing its mission has evolved or before April 8, 2021. The amended OIG website at http://www.fhfaoig.gov, and matured. To better reflect where our and additional routine uses and the and will include any personal work is taking us and how we conduct technical revisions to FHFA–OIG’s information provided, such as name, our business some aspects of the earlier existing SORs, and the new SOR, will address (mailing and email), and SORs should be amended. become effective without further notice telephone numbers. Certain updates, rewording, and on April 19, 2021, unless comments technical changes are being made to one II. Background received on or before that date result in or more of the following sections of the revisions to this notice. The Federal Housing Finance existing SORs: System name, system ADDRESSES: Submit comments to FHFA Regulatory Reform Act of 2008 (Reform location, categories of individuals only once, identified by ‘‘FHFA–OIG Act), which was passed as Division A of covered by the system, categories of SORN,’’ using any one of the following the Housing and Economic Recovery records in the system, purpose(s), methods: Act of 2008 (HERA) abolished both the routine uses, retrievability, safeguards, • Email: Leonard.DePasquale@ Federal Housing Finance Board (FHFB), retention and disposal, system fhfaoig.gov. Comments may be sent by an independent agency that oversaw the manager(s) and address, notification email to Leonard DePasquale, FHFA– Federal Home Loan Banks (FHLBanks), procedures, record source categories, OIG Chief Counsel. Please include and the Office of Federal Housing and exemptions claimed for the system. ‘‘Comments/FHFA–OIG SORN’’ in the Enterprise Oversight (OFHEO), an office In addition, several new routine uses are subject line of the message. Comments within the Department of Housing and being added to enable FHFA–OIG to will be made available for inspection Urban Development (HUD) that oversaw implement its mission under the IG Act upon written request. the ‘‘safety and soundness’’ of the more efficiently and to enhance • Federal eRulemaking Portal: http:// Federal Home Loan Mortgage transparency in reporting the results of www.regulations.gov. Follow the Corporation (Freddie Mac) and the our audits, evaluations, investigations, instructions for submitting comments. If Federal National Mortgage Association and other inquiries. you submit your comment to the (Fannie Mae). See Public Law 110–289, During the course of updating its Federal eRulemaking Portal, please also sections 1301 and 1311, 122 Stat. 2654, existing SORs, FHFA–OIG determined send it by email to FHFA at 2794 and 2797 (codified at 12 U.S.C. that records concerning hotline [email protected] to 4511 note); H.R. Rep. No. 110–142, at complaints and inquiries conducted by
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FHFA–OIG’s Office of Investigations are agency publish a notice of the CATEGORIES OF INDIVIDUALS COVERED BY THE already housed in the Office of establishment or revision of a SOR SYSTEM: Investigations’ two existing SORs— which affords the public a 30-day Employees of and detailees to the FHFA–OIG–2 and FHFA–OIG–3. Thus, period in which to submit comments. Office of Audits and subjects or with regard to these types of complaints To meet this requirement, FHFA–OIG’s potential subjects of audit activities and and inquiries, the existing Hotline SORs are set forth in their entirety individuals who may be, are, or have Database (FHFA–OIG–4) is superfluous. below. Further, a report of FHFA–OIG’s been witnesses, complainants, FHFA–OIG is making minor intention to amend and supplement its informants, subjects, or otherwise modifications to reflect that hotline routine uses, update other portions of its involved in circumstances pertaining or complaints and inquiries undertaken by existing SORs, and add a new SOR has relating to official activities conducted the Office of Investigations are already been submitted to the Committee on by FHFA–OIG’s Office of Audits. covered by the two existing SORs Oversight and Government Reform of (FHFA–OIG–2 and FHFA–OIG–3). the House of Representatives, the CATEGORIES OF RECORDS IN THE SYSTEM: Rather than eliminating the existing Committee on Homeland Security and Drafts and final documents of the Hotline Database SOR (FHFA–OIG–4), Governmental Affairs of the Senate, and following types: (1) Audit reports; (2) FHFA–OIG is repurposing it to house to OMB, as required by the Privacy Act, working papers, which may include records pertaining to non-criminal 5 U.S.C. 552a(r) and pursuant to section copies of correspondence, evidence, administrative inquiries conducted by 7 of OMB Circular A–108, ‘‘Federal subpoenas; and (3) other documents any FHFA–OIG operational division Agency Responsibilities for Review, collected and/or generated by the Office other than the Office of Investigations. Reporting, and Publication under the of Audits during the course of official FHFA–OIG has assigned responsibility Privacy Act,’’ dated December 23, 2016 duties, including information from for non-criminal administrative (81 FR 94424 (Dec. 23, 2016)). FHFA–OIG’s other systems of records. inquiries to its operational divisions and desires records pertaining to these III. Proposed Systems of Records RECORD SOURCE CATEGORIES: matters to be stored in a SOR separate The proposed changes to the existing The OIG collects information from a from any SOR that contains SORs are described in detail below: variety of sources, including FHFA, investigative records generated and/or FHFA’s regulated entities, current and collected by FHFA–OIG’s Office of FHFA–OIG–1 former employees of FHFA, other Investigations. Thus, to better align its federal agencies/regulators, law SORs with its multidisciplinary SYSTEM NAME AND NUMBER: enforcement agencies, vendors, approach to these inquiries, FHFA–OIG FHFA–OIG Audit Files Database contractors, subcontractors, subject is designating the existing Hotline (FHFA–OIG–1). individuals, complainants, witnesses, Database (FHFA–OIG–4) to store records and informants. Records in this system pertaining to non-criminal SECURITY CLASSIFICATION: may have originated in other FHFA/ administrative inquiries that are Sensitive but unclassified. FHFA–OIG systems of records and conducted by any FHFA–OIG subsequently transferred to this system. operational division other than the SYSTEM LOCATION: ROUTINE USES OF RECORDS MAINTAINED IN THE Office of Investigations. FHFA–OIG, 400 7th Street SW, Finally, a SOR is being added for SYSTEM, INCLUDING CATEGORIES OF USERS AND Washington, DC 20219, and any THE PURPOSES OF SUCH USES: FHFA–OIG’s Freedom of Information alternate work site utilized by FHFA– Act (FOIA), Privacy Act (PA), and These records may be disclosed: OIG employees or by individuals Freedom of Information Act/Privacy Act (1) To appropriate Federal, state, assisting such employees. (FOPA) records. Although FHFA–OIG’s local, foreign, territorial, tribal units of government, other public authorities, or FOIA, PA, and FOPA records are SYSTEM MANAGER(S): covered under FHFA’s FOIA and PA self-regulatory organizations responsible SOR, FHFA–OIG has decided to adopt Deputy Inspector General for Audits, for investigating or prosecuting the its own SOR for FOIA, PA, and FOPA Office of Inspector General, Federal violations of, or for enforcing or records so that the routine uses for these Housing Finance Agency, 400 7th Street implementing, a statute, rule, records are aligned with the routine SW, Washington, DC 20219. regulation, order, or license, when the uses for FHFA–OIG’s other SORs. information indicates a violation or AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Because documents FHFA–OIG potential violation of law, whether civil, produces in response to FOIA, PA, and The system is established and criminal, or regulatory in nature, and FOPA requests are often records that are maintained pursuant to 12 U.S.C. whether arising by general statute or contained in FHFA–OIG’s other SORs, it 4517(d) and 5 U.S.C. App. 3. particular program statute, or by is more logical for FHFA–OIG’s FOIA, regulation, rule, or order issued PURPOSE(S) OF THE SYSTEM: PA, and FOPA routine uses to mirror pursuant thereto or is relevant to the those of the SORs from which these This system is maintained to enable recipient entity’s law enforcement records may originate. Thus, the main Office of Audits’ employees to access, responsibilities; reason FHFA–OIG is creating a SOR for share, restrict, or maintain information (2) To a court, magistrate, grand jury, its FOIA, PA, and FOPA records is to that has been collected and/or generated administrative tribunal, or adjudicative achieve this symbiosis. FHFA–OIG is as part of an audit, as appropriate. body in the course of presenting also creating this SOR to make clear that Materials relating to an audit may or evidence, including disclosures to some requests are processed under both may not become part of the official audit opposing counsel or witnesses in the the FOIA and PA. FHFA–OIG believes file. The system also serves as a storage course of civil discovery, litigation, or it is more appropriate that its SOR and filing system for working copies, settlement negotiations, in response to a reflect this hybrid category of records drafts, and final versions of documents subpoena, or in connection with (i.e., FOPA). collected and/or generated by the Office criminal law proceedings, including Sections 552a(e)(4) and (11) of title 5, of Audits in the performance of other plea agreements, when OIG is a party or United States Code, require that an official duties. has a significant interest in the
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proceeding, to the extent that the to respond to the suspected or his/her delegee determines, after information is determined to be relevant confirmed breach or to prevent, consultation with counsel and the and necessary; minimize, or remedy such harm; Senior Privacy Official, that release of (3) To an individual member of (9) To another Federal agency or the specific information in the context Congress or a member of his/her staff in Federal entity, when FHFA–OIG of a particular case would constitute an response to an inquiry made at the determines that information from this unwarranted invasion of personal request of the individual who is the system of records is reasonably privacy; subject of the record; necessary to assist the recipient agency (15) To Congress, congressional (4) To another Federal agency, state, or entity in (1) responding to a committees, or the staffs thereof, once local, foreign, territorial, tribal units of suspected or confirmed breach; or (2) an FHFA–OIG report or management government, other public authorities, or preventing, minimizing, or remedying alert has become final and the Inspector self-regulatory organizations to (a) the risk of harm to individuals, the General determines that its disclosure is permit a decision as to access, recipient agency or entity (including its necessary to fulfill the Inspector amendment or correction of records to information systems, programs, and General’s responsibilities under the be made in consultation with or by that operations), the Federal Government, or Inspector General Act of 1978; agency or entity, or (b) verify the national security, resulting from a (16) To contractors, experts, identity of an individual or the accuracy suspected or confirmed breach. consultants, students, and others of information submitted by an (10) To any person or entity, either engaged by FHFA–OIG, when necessary individual who has requested access to private or governmental, that FHFA– to accomplish an agency function or amendment or correction of records; OIG has reason to believe possesses related to this system of records; (5) To the Department of Justice, information regarding a matter within (17) To a Federal agency or other outside counsel retained by FHFA–OIG, the jurisdiction of FHFA–OIG, to the entity which requires information or another Federal agency’s legal extent deemed to be necessary by relevant to a decision concerning the representative when seeking legal FHFA–OIG to elicit information or hiring, appointment, or retention of an advice, including, but not limited to, cooperation from the recipient for use in employee or contractor; the assignment, whether to release information covered the performance of an authorized detail, or deployment of an employee or by the Freedom of Information (5 U.S.C. activity relevant to an FHFA–OIG audit, contractor; the issuance, renewal, 552) and Privacy Acts (5 U.S.C. 552a) or evaluation, investigation, or inquiry; suspension, or revocation of an when the Department of Justice or (11) To the Equal Employment employee’s or contractor’s security outside counsel retained by FHFA–OIG Opportunity Commission, Merit clearance; the execution of a security or is representing FHFA–OIG or any Systems Protection Board, Federal Labor suitability investigation; the FHFA–OIG employee in his or her Relations Authority, Office of Special adjudication of liability; or coverage official or individual capacity; or when Counsel, Office of Government Ethics under FHFA–OIG’s liability insurance FHFA–OIG is a party to litigation or (OGE), Office of Personnel Management, policy; settlement negotiations or has an Government Accounting Office, (18) To Federal agencies and other interest in litigation or settlement Department of Justice, Office of public authorities for use in records negotiations being conducted by the Management and Budget, arbitrators, management inspections, reporting Department of Justice or outside counsel and any other Federal agencies or other requirements, information collection, retained by FHFA–OIG and FHFA–OIG entity responsible for conducting including but not limited to, General has determined such information to be investigations, other inquiries, Services Administration (GSA) as part relevant and necessary to the litigation administrative actions, hearings, and/or of GSA’s responsibility to recommend or settlement negotiations; settlement efforts relating to personnel, improvements in records management (6) To another Federal Office of the security clearance, security or suitability practices and programs under authority Inspector General, law enforcement or other administrative grievances, of 44 U.S.C. 2904 and 2906, OGE, as Task Force, or other Federal, state, local, complaints, claims, or appeals filed by part of the agency’s reporting foreign, territorial, or tribal unit of an employee, or if needed in the requirements set forth in 5 CFR 2638, government, other public authorities, or performance of other authorized duties; Subpart F, and any other system, self-regulatory organizations for the (12) In situations involving an program, procedure or circumstance purpose of preventing and/or imminent danger of death or physical where such disclosure is mandated by identifying fraud, waste, or abuse injury to an individual or individuals in Federal statute or regulation; related to FHFA’s programs or danger; (19) To victims of a crime in operations; (13) To other Federal Offices of accordance with the Victims’ Rights and (7) To the National Archives and Inspector General or other entities, Restitution Act of 1990 (34 U.S.C. Records Administration for use in during the conduct of internal and 20141), to the extent appropriate; records management inspections; external peer reviews of FHFA–OIG; (20) To a Federal agency in (8) To appropriate agencies, entities, (14) To the public or to the media for connection with a pending or and persons when (1) FHFA–OIG release to the public when the matter prospective administrative enforcement suspects or has confirmed that there has under audit, review, evaluation, process or mechanism, including but been a breach of the system of records; investigation, or inquiry has become not limited to a suspension, debarment, (2) FHFA–OIG has determined that as a public knowledge, or when the or suspended counterparty designation; result of the suspected or confirmed Inspector General determines that such and breach there is a risk of harm to disclosure is necessary either to (21) To the Council of the Inspectors individuals, FHFA–OIG (including its preserve confidence in the integrity of General on Integrity and Efficiency and information systems, programs, and FHFA–OIG’s audit, review, evaluation, its committees, another Federal Office of operations), the Federal Government, or investigative, or inquiry processes or is Inspector General, or other Federal law national security; and (3) the disclosure necessary to demonstrate the enforcement office in connection with made to such agencies, entities, and accountability of FHFA–OIG employees, an allegation of wrongdoing by the persons is reasonably necessary to assist officers or individuals covered by the Inspector General or by designated in connection with FHFA–OIG’s efforts system, unless the Inspector General or FHFA–OIG staff members.
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POLICIES AND PRACTICES FOR STORAGE OF CONTESTING RECORD PROCEDURES: CATEGORIES OF INDIVIDUALS COVERED BY THE RECORDS: See ‘‘Record Access Procedures’’ SYSTEM: Records are maintained in electronic above. Employees of and detailees to the Office of Investigations, subjects or and paper format. Electronic records are NOTIFICATION PROCEDURES: stored in computerized databases. Paper potential subjects of investigative See ‘‘Record Access Procedures’’ records are stored in locked offices, activities and individuals who may be, above. storage rooms, file cabinets, or safes. are, or have been witnesses, complainants, informants, subjects, or EXEMPTIONS PROMULGATED FOR THE SYSTEM: otherwise involved in circumstances POLICIES AND PRACTICES FOR RETRIEVAL OF Some records contained within this RECORDS: pertaining or relating to a complaint, system of records are exempt from 5 investigation, or hotline or other inquiry Records are retrieved by name of the U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), conducted by FHFA–OIG’s Office of auditor, support staff, subject of or (e)(2), and (e)(3) of the Privacy Act Investigations. witness to the subject matter involving pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. the audit, unique audit number, or job 552a(c)(3), (d)(1), (d)(2), and (e)(1) of the CATEGORIES OF RECORDS IN THE SYSTEM: code. Privacy Act pursuant to 5 U.S.C. (1) Reports of investigations or 552a(k)(2); and 5 U.S.C. 552a(d)(1) of inquiries, which may include, but are POLICIES AND PRACTICES FOR RETENTION AND the Privacy Act pursuant to 5 U.S.C. not limited to, witness statements, DISPOSAL OF RECORDS: 552a(k)(5). See 12 CFR 1204.7(c), affidavits, transcripts, police reports, Records in this system will be implementing the exemptions in 5 photographs, documentation concerning retained in accordance with approved U.S.C. 552a(j)(2), (k)(2), and (k)(5) for requests and approval for consensual retention schedules, including: FHFA’s FHFA–OIG records. These exemptions telephone and consensual non- Comprehensive Records Schedule Item are hereby incorporated by reference telephone monitoring, the subject’s 7 (N1–543–11–1, approved 01/11/2013), and are an integral part of this SORN. prior criminal record, vehicle maintenance records, medical records, which provides the cut-off and HISTORY: disposition schedules for Inspector accident reports, insurance policies, The original version of this SORN was General records. Additional approved police reports, and other exhibits and published in the Federal Register on schedules may apply. Destruction of documents collected and/or generated March 2, 2011 (76 FR 11465). It was records shall occur in the manner(s) as part of an investigation or inquiry; (2) amended on November 1, 2013 (78 FR appropriate to the type of record, such status and disposition information 65644). as shredding of paper records and/or concerning a complaint, investigation, deletion of computer records. FHFA–OIG–2 or inquiry including prosecutive action and/or administrative action; (3) ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SYSTEM NAME AND NUMBER: complaints or requests to investigate; (4) SAFEGUARDS: FHFA–OIG Investigative Files subpoenas and evidence obtained in Records are safeguarded in a secured Database (FHFA–OIG–2). response to a subpoena; (5) evidence logs; (6) pen registers; (7) environment. Buildings where records SECURITY CLASSIFICATION: correspondence; (8) records of seized are stored have security cameras and 24- Sensitive but unclassified. hour security guard service. money and/or property; (9) reports of Computerized records are safeguarded SYSTEM LOCATION: laboratory examination, photographs, through use of access codes and other FHFA–OIG, 400 7th Street SW, and evidentiary reports; (10) digital information technology security Washington, DC 20219, and any image files of physical evidence; (11) measures. Paper records are safeguarded alternate work site utilized by FHFA– documents generated for purposes of by locked offices, locked file rooms, OIG employees or by individuals FHFA–OIG’s undercover activities; (12) locked file cabinets, or safes. Access to assisting such employees. documents pertaining to the identity of the records, whether in electronic or confidential informants; (13) grand jury paper form, is restricted to those who SYSTEM MANAGER(S): material; (14) information or documents require the records in the performance Deputy Inspector General for pertaining to weapons qualifications of official duties related to the purposes Investigations, Office of Inspector and/or use of force training; (15) for which the system is maintained. General, Federal Housing Finance information or documents pertaining or Agency, 400 7th Street SW, Washington, relating to the processing of hotline RECORD ACCESS PROCEDURES: DC 20219. complaints by, or under the direction of, FHFA–OIG’s Office of Investigations, Individuals seeking access to and/or AUTHORITY FOR MAINTENANCE OF THE SYSTEM: including information from FHFA– notification about any record contained The system is established and OIG’s other systems of records; and (16) in this system of records, or seeking to maintained pursuant to 12 U.S.C. other documents collected and/or contest its content, may mail inquiries 4517(d) and 5 U.S.C. App. 3. generated by the Office of Investigations to the Senior Privacy Official, FHFA– during the course of official duties, PURPOSE(S) OF THE SYSTEM: OIG Privacy Office, 400 7th Street SW, including, but not limited to, 3rd Floor, Washington, DC 20219 or The purpose of this system of records information from FHFA–OIG’s other submit them electronically to https:// is to maintain information relevant to systems of records. www.fhfaoig.gov/privacy in accordance complaints received by FHFA–OIG and/ with instructions appearing at 12 CFR or collected and/or generated as part of RECORD SOURCE CATEGORIES: part 1204. This system of records may investigations or inquiries conducted by The OIG collects information from a contain records that are exempt from the or under the direction of the Office of variety of sources, including FHFA, notification, access, and contesting Investigations or Hotline, as well as FHFA’s regulated entities, current and records requirements pursuant to the other information collected and/or former employees of FHFA, other provisions of 5 U.S.C. 552a(j)(2), (k)(2), generated during the course of the federal agencies/regulators, law and (k)(5). Office of Investigations’ official duties. enforcement agencies, vendors,
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contractors, subcontractors, subject representing FHFA–OIG or any FHFA– Systems Protection Board, Federal Labor individuals, complainants, witnesses, OIG employee in his or her official or Relations Authority, Office of Special and informants. Records in this system individual capacity; or when FHFA– Counsel, Office of Government Ethics may have originated in other FHFA/ OIG is a party to litigation or settlement (OGE), Office of Personnel Management, FHFA–OIG systems of records and negotiations or has an interest in Government Accounting Office, subsequently transferred to this system. litigation or settlement negotiations Department of Justice, Office of being conducted by the Department of Management and Budget, arbitrators, ROUTINE USES OF RECORDS MAINTAINED IN THE Justice or outside counsel retained by and any other Federal agencies or other SYSTEM, INCLUDING CATEGORIES OF USERS AND FHFA–OIG and FHFA–OIG has entity responsible for conducting THE PURPOSES OF SUCH USES: determined such information to be investigations, other inquiries, These records may be disclosed: relevant and necessary to the litigation administrative actions, hearings, and/or (1) To appropriate Federal, state, or settlement negotiations; settlement efforts relating to personnel, local, foreign, territorial, tribal units of (6) To another Federal Office of the security clearance, security or suitability government, other public authorities, or Inspector General, law enforcement or other administrative grievances, self-regulatory organizations responsible Task Force, or other Federal, state, local, complaints, claims, or appeals filed by for investigating or prosecuting the foreign, territorial, or tribal units of an employee, or if needed in the violations of, or for enforcing or government, other public authorities, or performance of other authorized duties; implementing, a statute, rule, self-regulatory organizations for the (12) In situations involving an regulation, order, or license, when the purpose of preventing and/or imminent danger of death or physical information indicates a violation or identifying fraud, waste, or abuse injury to an individual or individuals in potential violation of law, whether civil, related to FHFA’s programs or danger; criminal, or regulatory in nature, and operations; (13) To other Federal Offices of whether arising by general statute or (7) To the National Archives and Inspector General or other entities, particular program statute, or by Records Administration for use in during the conduct of internal and regulation, rule, or order issued records management inspections; external peer reviews of FHFA–OIG; pursuant thereto or is relevant to the (8) To appropriate agencies, entities, (14) To the public or to the media for recipient entity’s law enforcement and persons when (1) FHFA–OIG release to the public when the matter responsibilities; suspects or has confirmed that there has under audit, review, evaluation, (2) To a court, magistrate, grand jury, been a breach of the system of records; investigation, or inquiry has become administrative tribunal, or adjudicative (2) FHFA–OIG has determined that as a public knowledge, or when the body in the course of presenting result of the suspected or confirmed Inspector General determines that such evidence, including disclosures to breach there is a risk of harm to disclosure is necessary either to opposing counsel or witnesses in the individuals, FHFA–OIG (including its preserve confidence in the integrity of course of civil discovery, litigation, or information systems, programs, and FHFA–OIG’s audit, review, evaluation, settlement negotiations, in response to a operations), the Federal Government, or investigative, or inquiry processes or is subpoena, or in connection with national security; and (3) the disclosure necessary to demonstrate the criminal law proceedings, including made to such agencies, entities, and accountability of FHFA–OIG employees, plea agreements, when OIG is a party or persons is reasonably necessary to assist officers or individuals covered by the has a significant interest in the in connection with FHFA–OIG’s efforts system, unless the Inspector General or proceeding, to the extent that the to respond to the suspected or his/her delegee determines, after information is determined to be relevant confirmed breach or to prevent, consultation with counsel and the and necessary; minimize, or remedy such harm; Senior Privacy Official, that release of (3) To an individual member of (9) To another Federal agency or the specific information in the context Congress or a member of his/her staff in Federal entity, when FHFA–OIG of a particular case would constitute an response to an inquiry made at the determines that information from this unwarranted invasion of personal request of the individual who is the system of records is reasonably privacy; subject of the record; necessary to assist the recipient agency (15) To Congress, congressional (4) To another Federal agency, state, or entity in (1) responding to a committees, or the staffs thereof, once local, foreign, territorial, tribal units of suspected or confirmed breach; or (2) an FHFA–OIG report or management government, other public authorities, or preventing, minimizing, or remedying alert has become final and the Inspector self-regulatory organizations to (a) the risk of harm to individuals, the General determines that its disclosure is permit a decision as to access, recipient agency or entity (including its necessary to fulfill the Inspector amendment or correction of records to information systems, programs, and General’s responsibilities under the be made in consultation with or by that operations), the Federal Government, or Inspector General Act of 1978; agency or entity, or (b) verify the national security, resulting from a (16) To contractors, experts, identity of an individual or the accuracy suspected or confirmed breach. consultants, students, and others of information submitted by an (10) To any person or entity, either engaged by FHFA–OIG, when necessary individual who has requested access to private or governmental, that FHFA– to accomplish an agency function or amendment or correction of records; OIG has reason to believe possesses related to this system of records; (5) To the Department of Justice, information regarding a matter within (17) To a Federal agency or other outside counsel retained by FHFA–OIG, the jurisdiction of FHFA–OIG, to the entity which requires information or another Federal agency’s legal extent deemed to be necessary by relevant to a decision concerning the representative when seeking legal FHFA–OIG to elicit information or hiring, appointment, or retention of an advice including, but not limited to, cooperation from the recipient for use in employee or contractor; the assignment, whether to release information covered the performance of an authorized detail, or deployment of an employee or by the Freedom of Information (5 U.S.C. activity relevant to an FHFA–OIG audit, contractor; the issuance, renewal, 552) and Privacy Acts (5 U.S.C. 552a), evaluation, investigation, or inquiry; suspension, or revocation of an or the Department of Justice or outside (11) To the Equal Employment employee’s or contractor’s security counsel retained by FHFA–OIG is Opportunity Commission, Merit clearance; the execution of a security or
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suitability investigation; the ADMINISTRATIVE, TECHNICAL, AND PHYSICAL FHFA–OIG–3 adjudication of liability; or coverage SAFEGUARDS: SYSTEM NAME AND NUMBER: under FHFA–OIG’s liability insurance Records are safeguarded in a secured FHFA–OIG Investigative Document policy; environment. Buildings where records Repository MIS Database (FHFA–OIG– are stored have security cameras and 24- (18) To Federal agencies and other 3). public authorities for use in records hour security guard service. management inspections, reporting Computerized records are safeguarded SECURITY CLASSIFICATION: requirements, information collection, through use of access codes and other Sensitive but unclassified. including but not limited to, General information technology security Services Administration (GSA) as part measures. Paper records are safeguarded SYSTEM LOCATION: of GSA’s responsibility to recommend by locked offices, locked file rooms, FHFA–OIG, 400 7th Street SW, improvements in records management locked file cabinets, or safes. Access to Washington, DC 20219, and any practices and programs under authority the records, whether in electronic or alternate work site utilized by FHFA– of 44 U.S.C. 2904 and 2906, OGE, as paper form, is restricted to those who OIG employees or by individuals part of the agency’s reporting require the records in the performance assisting such employees. requirements set forth in 5 CFR 2638, of official duties related to the purposes Subpart F, and any other system, for which the system is maintained. SYSTEM MANAGER(S): program, procedure or circumstance Deputy Inspector General for where such disclosure is mandated by RECORD ACCESS PROCEDURES: Investigations, Office of Inspector Federal statute or regulation; Individuals seeking access to and/or General, Federal Housing Finance Agency, 400 7th Street SW, Washington, (19) To victims of a crime in notification about any record contained DC 20219. accordance with the Victims’ Rights and in this system of records, or seeking to Restitution Act of 1990 (34 U.S.C. contest its content, may mail inquiries AUTHORITY FOR MAINTENANCE OF THE SYSTEM: to the Senior Privacy Official, FHFA– 20141), to the extent appropriate; The system is established and OIG Privacy Office, 400 7th Street SW, (20) To a Federal agency in maintained pursuant to 12 3rd Floor, Washington, DC 20219 or connection with a pending or U.S.C.4517(d) and 5 U.S.C. App. 3. submit them electronically to https:// prospective administrative enforcement www.fhfaoig.gov/privacy in accordance process or mechanism, including but PURPOSE(S) OF THE SYSTEM: with instructions appearing at 12 CFR not limited to a suspension, debarment, The purpose of this system of records part 1204. This system of records may or suspended counterparty designation; is to enable Office of Investigations’ contain records that are exempt from the and employees to access, share, restrict, or notification, access, and contesting maintain information that has been (21) To the Council of the Inspectors records requirements pursuant to the collected and/or generated during the General on Integrity and Efficiency and provisions of 5 U.S.C. 552a(j)(2), (k)(2), course of an investigation or inquiry, as its committees, another Federal Office of and (k)(5). appropriate. Materials relating to an Inspector General, or other Federal law investigation or inquiry may or may not enforcement office in connection with CONTESTING RECORD PROCEDURES: become part of the official case file. The an allegation of wrongdoing by the See ‘‘Record Access Procedures’’ system also serves as a storage and filing Inspector General or by designated above. system for working copies, drafts, and FHFA–OIG staff members. final versions of documents collected NOTIFICATION PROCEDURES: and/or generated by the Office of POLICIES AND PRACTICES FOR STORAGE OF RECORDS: See ‘‘Record Access Procedures’’ Investigations in the performance of above. other official duties. Records are maintained in electronic and paper format. Electronic records are EXEMPTIONS PROMULGATED FOR THE SYSTEM: CATEGORIES OF INDIVIDUALS COVERED BY THE stored in computerized databases. Paper SYSTEM: Some records contained within this Employees of and detailees to the records are stored in locked offices, system of records are exempt from 5 storage rooms, file cabinets, or safes. Office of Investigations, subjects or U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), potential subjects of investigative (e)(2), and (e)(3) of the Privacy Act POLICIES AND PRACTICES FOR RETRIEVAL OF activities and individuals who may be, pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. RECORDS: are, or have been witnesses, 552a(c)(3), (d)(1), (d)(2), and (e)(1) of the complainants, informants, subjects, or Records are retrieved by name, Social Privacy Act pursuant to 5 U.S.C. otherwise involved in circumstances Security Number, and/or case number. 552a(k)(2); and 5 U.S.C. 552a(d)(1) of pertaining or relating to a complaint, the Privacy Act pursuant to 5 U.S.C. investigation, or hotline or other inquiry POLICIES AND PRACTICES FOR RETENTION AND 552a(k)(5). See 12 CFR 1204.7(c), DISPOSAL OF RECORDS: conducted by FHFA-OIG’s Office of implementing the exemptions in 5 Investigations. FHFA’s Comprehensive Records U.S.C. 552a(j)(2), (k)(2), and (k)(5) for Schedule Item 7 (N1–543–11–1, FHFA–OIG records. These exemptions CATEGORIES OF RECORDS IN THE SYSTEM: approved 01/11/2013), which provides are hereby incorporated by reference Working copies, drafts, and final the cut-off and disposition schedules for and are an integral part of this SORN. documents that the Office of Inspector General records. Additional Investigations is considering or using, or approved schedules may apply. HISTORY: has collected and/or generated while an Destruction of records shall occur in the The original version of this SORN was investigation or inquiry is in progress manner(s) appropriate to the type of published in the Federal Register on including but not limited to: (1) Reports record, such as shredding of paper March 2, 2011 (76 FR 11465). It was of investigations or inquiries, which records and/or deletion of computer amended on November 1, 2013 (78 FR may include, but are not limited to, records. 65644). witness statements, affidavits,
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transcripts, police reports, photographs, information indicates a violation or identifying fraud, waste, or abuse documentation concerning requests and potential violation of law, whether civil, related to FHFA’s programs or approval for consensual telephone and criminal, or regulatory in nature, and operations; consensual non-telephone monitoring, whether arising by general statute or (7) To the National Archives and the subject’s prior criminal record, particular program statute, or by Records Administration for use in vehicle maintenance records, medical regulation, rule, or order issued records management inspections; records, accident reports, insurance pursuant thereto or is relevant to the (8) To appropriate agencies, entities, policies, police reports, and other recipient entity’s law enforcement and persons when (1) FHFA-OIG exhibits and documents collected and/ responsibilities; suspects or has confirmed that there has or generated as part of an investigation (2) To a court, magistrate, grand jury, been a breach of the system of records; or inquiry; (2) status and disposition administrative tribunal, or adjudicative (2) FHFA-OIG has determined that as a information concerning a complaint, body in the course of presenting result of the suspected or confirmed investigation, or inquiry including evidence, including disclosures to breach there is a risk of harm to prosecutive action and/or opposing counsel or witnesses in the individuals, FHFA-OIG (including its administrative action; (3) complaints or course of civil discovery, litigation, or information systems, programs, and requests to investigate; (4) subpoenas settlement negotiations, in response to a operations), the Federal Government, or and evidence obtained in response to a subpoena, or in connection with national security; and (3) the disclosure subpoena; (5) evidence logs; (6) pen criminal law proceedings, including made to such agencies, entities, and registers; (7) correspondence; (8) records plea agreements, when OIG is a party or persons is reasonably necessary to assist of seized money and/or property; (9) has a significant interest in the in connection with FHFA-OIG’s efforts reports of laboratory examination, proceeding, to the extent that the to respond to the suspected or photographs, and evidentiary reports; information is determined to be relevant confirmed breach or to prevent, (10) digital image files of physical and necessary; minimize, or remedy such harm; evidence; (11) documents generated for (3) To an individual member of (9) To another Federal agency or Federal entity, when FHFA-OIG purposes of FHFA-OIG’s undercover Congress or a member of his/her staff in determines that information from this activities; (12) documents pertaining to response to an inquiry made at the system of records is reasonably the identity of confidential informants; request of the individual who is the necessary to assist the recipient agency (13) grand jury materials; (14) subject of the record; (4) To another Federal agency, state, or entity in (1) responding to a information or documents pertaining or local, foreign, territorial, tribal units of suspected or confirmed breach; or (2) relating to the processing of hotline government, other public authorities, or preventing, minimizing, or remedying complaints by, or under the direction of, self-regulatory organizations to (a) the risk of harm to individuals, the FHFA-OIG’s Office of Investigations, permit a decision as to access, recipient agency or entity (including its including information from FHFA-OIG’s amendment or correction of records to information systems, programs, and other systems of records; and (15) any be made in consultation with or by that operations), the Federal Government, or other documents collected and/or agency or entity, or (b) verify the national security, resulting from a generated by the Office of Investigations identity of an individual or the accuracy suspected or confirmed breach. during the course of official duties, of information submitted by an (10) To any person or entity, either including but not limited to, individual who has requested access to private or governmental, that FHFA-OIG information from FHFA-OIG’s other or amendment or correction of records; has reason to believe possesses systems of records, quality assurance (5) To the Department of Justice, information regarding a matter within reviews, A–123, peer reviews, training outside counsel retained by FHFA-OIG, the jurisdiction of FHFA-OIG, to the documents. or another Federal agency’s legal extent deemed to be necessary by RECORD SOURCE CATEGORIES: representative when seeking legal FHFA-OIG to elicit information or The OIG collects information from a advice including, but not limited to, cooperation from the recipient for use in variety of sources, including FHFA, whether to release information covered the performance of an authorized FHFA’s regulated entities, current and by the Freedom of Information (5 U.S.C. activity relevant to an FHFA-OIG audit, former employees of FHFA, other 552) and Privacy Acts (5 U.S.C. 552a), evaluation, investigation, or inquiry; federal agencies/regulators, law or the Department of Justice or outside (11) To the Equal Employment enforcement agencies, vendors, counsel retained by FHFA-OIG is Opportunity Commission, Merit contractors, subcontractors, subject representing FHFA-OIG or any FHFA- Systems Protection Board, Federal Labor individuals, complainants, witnesses, OIG employee in his or her official or Relations Authority, Office of Special and informants. Records in this system individual capacity; or when FHFA-OIG Counsel, Office of Government Ethics may have originated in other FHFA/ is a party to litigation or settlement (OGE), Office of Personnel Management, FHFA-OIG systems of records and negotiations or has an interest in Government Accounting Office, subsequently transferred to this system. litigation or settlement negotiations Department of Justice, Office of being conducted by the Department of Management and Budget, arbitrators, ROUTINE USES OF RECORDS MAINTAINED IN THE Justice or outside counsel retained by and any other Federal agencies or other SYSTEM, INCLUDING CATEGORIES OF USERS AND FHFA-OIG and FHFA-OIG has entity responsible for conducting THE PURPOSES OF SUCH USES: determined such information to be investigations, other inquiries, These records may be disclosed: relevant and necessary to the litigation administrative actions, hearings, and/or (1) To appropriate Federal, state, or settlement negotiations; settlement efforts relating to personnel, local, foreign, territorial, tribal units of (6) To another Federal Office of the security clearance, security or suitability government, other public authorities, or Inspector General, law enforcement or other administrative grievances, self-regulatory organizations responsible Task Force, or other Federal, state, local, complaints, claims, or appeals filed by for investigating or prosecuting the foreign, territorial, or tribal units of an employee, or if needed in the violations of, or for enforcing or government, other public authorities, or performance of other authorized duties; implementing, a statute, rule, self-regulatory organizations for the (12) In situations involving an regulation, order, or license, when the purpose of preventing and/or imminent danger of death or physical
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injury to an individual or individuals in where such disclosure is mandated by in this system of records, or seeking to danger; Federal statute or regulation; contest its content, may mail inquiries (13) To other Federal Offices of (19) To victims of a crime in to the Senior Privacy Official, FHFA- Inspector General or other entities, accordance with the Victims’ Rights and OIG Privacy Office, 400 7th Street SW, during the conduct of internal and Restitution Act of 1990 (34 U.S.C. 3rd Floor, Washington, DC 20219 or external peer reviews of FHFA-OIG; 20141), to the extent appropriate; submit them electronically to https:// (14) To the public or to the media for (20) To a Federal agency in www.fhfaoig.gov/privacy in accordance release to the public when the matter connection with a pending or with instructions appearing at 12 CFR under audit, review, evaluation, prospective administrative enforcement part 1204. This system of records may investigation, or inquiry has become process or mechanism, including but contain records that are exempt from the public knowledge, or when the not limited to a suspension, debarment, notification, access, and contesting Inspector General determines that such or suspended counterparty designation; records requirements pursuant to the disclosure is necessary either to and provisions of 5 U.S.C. 552a(j)(2), (k)(2), preserve confidence in the integrity of (21) To the Council of the Inspectors and (k)(5). FHFA-OIG’s audit, review, evaluation, General on Integrity and Efficiency and CONTESTING RECORD PROCEDURES: investigative, or inquiry processes or is its committees, another Federal Office of necessary to demonstrate the Inspector General, or other Federal law See ‘‘Record Access Procedures’’ accountability of FHFA-OIG employees, enforcement office in connection with above. an allegation of wrongdoing by the officers or individuals covered by the NOTIFICATION PROCEDURES: system, unless the Inspector General or Inspector General or by designated his/her delegee determines, after FHFA-OIG staff members. See ‘‘Record Access Procedures’’ above. consultation with counsel and the POLICIES AND PRACTICES FOR STORAGE OF Senior Privacy Official, that release of RECORDS: EXEMPTIONS PROMULGATED FOR THE SYSTEM: the specific information in the context Records are maintained in electronic Some records contained within this of a particular case would constitute an and paper format. Electronic records are system of records are exempt from 5 unwarranted invasion of personal stored in computerized databases. Paper U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), privacy; records are stored in locked offices, (e)(2), and (e)(3) of the Privacy Act (15) To Congress, congressional storage rooms, file cabinets, or safes. pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. committees, or the staffs thereof, once 552a(c)(3), (d)(1), (d)(2), and (e)(1) of the an FHFA-OIG report or management POLICIES AND PRACTICES FOR RETRIEVAL OF Privacy Act pursuant to 5 U.S.C. RECORDS: alert has become final and the Inspector 552a(k)(2); and 5 U.S.C. 552a(d)(1) of General determines that its disclosure is Records are retrieved by name, Social the Privacy Act pursuant to 5 U.S.C. necessary to fulfill the Inspector Security Number, and/or case number. 552a(k)(5). See 12 CFR 1204.7(c), General’s responsibilities under the implementing the exemptions in 5 Inspector General Act of 1978; POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS: U.S.C. 552a(j)(2), (k)(2), and (k)(5) for (16) To contractors, experts, FHFA-OIG records. These exemptions consultants, students, and others FHFA’s Comprehensive Records Schedule Item 7(N1–543–11–1, are hereby incorporated by reference engaged by FHFA-OIG, when necessary and are an integral part of this SORN. to accomplish an agency function approved 01/11/2013), which provides related to this system of records; the cut-off and disposition schedules for HISTORY: Inspector General records. Additional (17) To a Federal agency or other The original version of this SORN was approved schedules may apply. entity which requires information published in the Federal Register on Destruction of records shall occur in the relevant to a decision concerning the March 2, 2011 (76 FR 11465). It was manner(s) appropriate to the type of hiring, appointment, or retention of an amended on November 1, 2013 (78 FR record, such as shredding of paper employee or contractor; the assignment, 65644). detail, or deployment of an employee or records and/or deletion of computer contractor; the issuance, renewal, records. FHFA–OIG–4 suspension, or revocation of an ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SYSTEM NAME AND NUMBER: employee’s or contractor’s security SAFEGUARDS: FHFA–OIG Non-Criminal clearance; the execution of a security or Records are safeguarded in a secured suitability investigation; the Administrative Inquiries Database environment. Buildings where records (FHFA–OIG–4). adjudication of liability; or coverage are stored have security cameras and 24- under FHFA-OIG’s liability insurance hour security guard service. SECURITY CLASSIFICATION: policy; Computerized records are safeguarded Sensitive but unclassified. (18) To Federal agencies and other through use of access codes and other public authorities for use in records information technology security SYSTEM LOCATION: management inspections, reporting measures. Paper records are safeguarded FHFA–OIG, 400 7th Street SW, requirements, information collection, by locked offices, locked file rooms, Washington, DC 20219, and any including but not limited to, General locked file cabinets, or safes. Access to alternate work site utilized by FHFA– Services Administration (GSA) as part the records, whether in electronic or OIG employees or by individuals of GSA’s responsibility to recommend paper form, is restricted to those who assisting such employees. improvements in records management require the records in the performance SYSTEM MANAGER(S): practices and programs under authority of official duties related to the purposes of 44 U.S.C. 2904 and 2906, OGE, as for which the system is maintained. Deputy Inspector General for part of the agency’s reporting Compliance and Special Projects, Office requirements set forth in 5 CFR 2638, RECORD ACCESS PROCEDURES: of Inspector General, Federal Housing Subpart F, and any other system, Individuals seeking access to and/or Finance Agency, 400 7th Street SW, program, procedure or circumstance notification about any record contained Washington, DC 20219.
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AUTHORITY FOR MAINTENANCE OF THE SYSTEM: basic data about the non-criminal individual who has requested access to The system is established and administrative inquiries themselves, or amendment or correction of records; maintained pursuant to 12 U.S.C. including inquiry name, inquiry (5) To the Department of Justice, 4517(d) and 5 U.S.C. App. 3. number, relevant dates and status. outside counsel retained by FHFA–OIG, or another Federal agency’s legal RECORD SOURCE CATEGORIES: PURPOSE(S) OF THE SYSTEM: representative when seeking legal The purpose of this system is to The OIG collects information from a advice including, but not limited to, segregate records collected and/or variety of sources, including FHFA, whether to release information covered generated during the course of a non- FHFA’s regulated entities, current and by the Freedom of Information (5 U.S.C. criminal administrative inquiry former employees of FHFA, other 552) and Privacy Acts (5 U.S.C. 552a), conducted by employees of one or more federal agencies/regulators, law or the Department of Justice or outside of FHFA–OIG’s operational divisions enforcement agencies, vendors, counsel retained by FHFA–OIG is from investigations or inquiries contractors, subcontractors, subject representing FHFA–OIG or any FHFA– conducted by employees of the Office of individuals, complainants, witnesses, OIG employee in his or her official or Investigations and to enable employees and informants. Records in this system individual capacity; or when FHFA– of those operational divisions to access, may have originated in other FHFA/ OIG is a party to litigation or settlement share, restrict, or maintain information FHFA–OIG systems of records and negotiations or has an interest in that has been collected and/or generated subsequently transferred to this system. litigation or settlement negotiations as part of a non-criminal administrative ROUTINE USES OF RECORDS MAINTAINED IN THE being conducted by the Department of inquiry, as appropriate. The system also SYSTEM, INCLUDING CATEGORIES OF USERS AND Justice or outside counsel retained by serves as a storage and filing system for THE PURPOSES OF SUCH USES: FHFA–OIG and FHFA–OIG has working copies, drafts, and final These records may be disclosed: determined such information to be versions of documents collected and/or (1) To appropriate Federal, state, relevant and necessary to the litigation generated by employees of one or more local, foreign, territorial, tribal units of or settlement negotiations; of FHFA–OIG’s operational divisions, government, other public authorities, or (6) To another Federal Office of the other than the Office of Investigations, self-regulatory organizations responsible Inspector General, law enforcement in the performance of other official for investigating or prosecuting the Task Force, or other Federal, state, local, duties involving non-criminal violations of, or for enforcing or foreign, territorial, or tribal units of administrative inquiries. implementing, a statute, rule, government, other public authorities, or CATEGORIES OF INDIVIDUALS COVERED BY THE regulation, order, or license, when the self-regulatory organizations for the SYSTEM: information indicates a violation or purpose of preventing and/or Employees of and detailees to any potential violation of law, whether civil, identifying fraud, waste, or abuse FHFA–OIG operational division other criminal, or regulatory in nature, and related to FHFA’s programs or than the Office of Investigations who are whether arising by general statute or operations; assigned to work on a non-criminal particular program statute, or by (7) To the National Archives and administrative inquiry, individuals who regulation, rule, or order issued Records Administration for use in may be, are, or have been witnesses, pursuant thereto or is relevant to the records management inspections; complainants, informants, subjects, or recipient entity’s law enforcement (8) To appropriate agencies, entities, otherwise involved in circumstances responsibilities; and persons when (1) FHFA–OIG pertaining or relating to a non-criminal (2) To a court, magistrate, grand jury, suspects or has confirmed that there has administrative inquiry conducted by administrative tribunal, or adjudicative been a breach of the system of records; any FHFA–OIG operational division body in the course of presenting (2) FHFA–OIG has determined that as a other than the Office of Investigations. evidence, including disclosures to result of the suspected or confirmed opposing counsel or witnesses in the breach there is a risk of harm to CATEGORIES OF RECORDS IN THE SYSTEM: course of civil discovery, litigation, or individuals, FHFA–OIG (including its Working copies, drafts, and final settlement negotiations, in response to a information systems, programs, and documents that any FHFA–OIG subpoena, or in connection with operations), the Federal Government, or operational division other than the criminal law proceedings, including national security; and (3) the disclosure Office of Investigations is considering or plea agreements, when OIG is a party or made to such agencies, entities, and using, or has collected and/or generated has a significant interest in the persons is reasonably necessary to assist as part of a non-criminal administrative proceeding, to the extent that the in connection with FHFA–OIG’s efforts inquiry, including but not limited to: (1) information is determined to be relevant to respond to the suspected or Reports of administrative inquiries and necessary; confirmed breach or to prevent, pertaining to non-criminal hotline (3) To an individual member of minimize, or remedy such harm; complaints and/or other non-criminal Congress or a member of his/her staff in (9) To another Federal agency or matters; (2) records of interviews and response to an inquiry made at the Federal entity, when FHFA–OIG other verbal communications; (3) request of the individual who is the determines that information from this memos reflecting analysis of facts and subject of the record; system of records is reasonably law; (4) other documents collected and/ (4) To another Federal agency, state, necessary to assist the recipient agency or generated by any FHFA–OIG local, foreign, territorial, tribal units of or entity in (1) responding to a operational division employee, other government, other public authorities, or suspected or confirmed breach; or (2) than those assigned to the Office of self-regulatory organizations to (a) preventing, minimizing, or remedying Investigations, during the course of permit a decision as to access, the risk of harm to individuals, the official duties pertaining to non- amendment or correction of records to recipient agency or entity (including its criminal administrative inquiries, be made in consultation with or by that information systems, programs, and including information included in agency or entity, or (b) verify the operations), the Federal Government, or FHFA–OIG’s other systems of records. identity of an individual or the accuracy national security, resulting from a In addition, the system will include of information submitted by an suspected or confirmed breach.
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(10) To any person or entity, either engaged by FHFA–OIG, when necessary POLICIES AND PRACTICES FOR RETENTION AND private or governmental, that FHFA– to accomplish an agency function DISPOSAL OF RECORDS: OIG has reason to believe possesses related to this system of records; FHFA’s Comprehensive Records information regarding a matter within (17) To a Federal agency or other Schedule Item 7 (N1–543–11–1, the jurisdiction of FHFA–OIG, to the entity which requires information approved 01/11/2013), which provides extent deemed to be necessary by relevant to a decision concerning the the cut-off and disposition schedules for FHFA–OIG to elicit information or hiring, appointment, or retention of an Inspector General records. Additional cooperation from the recipient for use in employee or contractor; the assignment, approved schedules may apply. the performance of an authorized detail, or deployment of an employee or Destruction of records shall occur in the activity relevant to an FHFA–OIG audit, contractor; the issuance, renewal, manner(s) appropriate to the type of evaluation, investigation, or inquiry; suspension, or revocation of an record, such as shredding of paper (11) To the Equal Employment employee’s or contractor’s security records and/or deletion of computer Opportunity Commission, Merit clearance; the execution of a security or records. Systems Protection Board, Federal Labor suitability investigation; the Relations Authority, Office of Special adjudication of liability; or coverage ADMINISTRATIVE, TECHNICAL, AND PHYSICAL Counsel, Office of Government Ethics under FHFA–OIG’s liability insurance SAFEGUARDS: (OGE), Office of Personnel Management, policy; Records are safeguarded in a secured Government Accounting Office, (18) To Federal agencies and other environment. Buildings where records Department of Justice, Office of public authorities for use in records are stored have security cameras and 24- Management and Budget, arbitrators, management inspections, reporting hour security guard service. and any other Federal agencies or other requirements, information collection, Computerized records are safeguarded entity responsible for conducting including but not limited to, General through use of access codes and other investigations, other inquiries, Services Administration (GSA) as part information technology security administrative actions, hearings, and/or of GSA’s responsibility to recommend measures. Paper records are safeguarded settlement efforts relating to personnel, improvements in records management by locked offices, locked file rooms, security clearance, security or suitability practices and programs under authority locked file cabinets, or safes. Access to or other administrative grievances, of 44 U.S.C. 2904 and 2906, OGE, as the records, whether in electronic or complaints, claims, or appeals filed by part of the agency’s reporting paper form, is restricted to those who an employee, or if needed in the requirements set forth in 5 CFR 2638, require the records in the performance performance of other authorized duties; Subpart F, and any other system, of official duties related to the purposes (12) In situations involving an program, procedure or circumstance for which the system is maintained. imminent danger of death or physical where such disclosure is mandated by RECORD ACCESS PROCEDURES: injury to an individual or individuals in Federal statute or regulation; danger; (19) To victims of a crime in Individuals seeking access to and/or (13) To other Federal Offices of accordance with the Victims’ Rights and notification about any record contained Inspector General or other entities, Restitution Act of 1990 (34 U.S.C. in this system of records, or seeking to during the conduct of internal and 20141), to the extent appropriate; contest its content, may mail inquiries external peer reviews of FHFA–OIG; (20) To a Federal agency in to the Senior Privacy Official, FHFA– (14) To the public or to the media for connection with a pending or OIG Privacy Office, 400 7th Street SW, release to the public when the matter prospective administrative enforcement 3rd Floor, Washington, DC 20219 or under audit, review, evaluation, process or mechanism, including but submit them electronically to https:// investigation, or inquiry has become not limited to a suspension, debarment, www.fhfaoig.gov/privacy in accordance public knowledge, or when the or suspended counterparty designation; with instructions appearing at 12 CFR Inspector General determines that such and part 1204. This system of records may disclosure is necessary either to (21) To the Council of the Inspectors contain records that are exempt from the preserve confidence in the integrity of General on Integrity and Efficiency and notification, access, and contesting FHFA–OIG’s audit, review, evaluation, its committees, another Federal Office of records requirements pursuant to the investigative, or inquiry processes or is Inspector General, or other Federal law provisions of 5 U.S.C. 552a(j)(2), (k)(2), necessary to demonstrate the enforcement office in connection with and (k)(5). an allegation of wrongdoing by the accountability of FHFA–OIG employees, CONTESTING RECORD PROCEDURES: officers or individuals covered by the Inspector General or by designated See ‘‘Record Access Procedures’’ system, unless the Inspector General or FHFA–OIG staff members. above. his/her delegee determines, after POLICIES AND PRACTICES FOR STORAGE OF consultation with counsel and the RECORDS: NOTIFICATION PROCEDURES: Senior Privacy Official, that release of Records are maintained in electronic See ‘‘Record Access Procedures’’ the specific information in the context and paper format. Electronic records are above. of a particular case would constitute an stored in computerized databases. Paper EXEMPTIONS PROMULGATED FOR THE SYSTEM: unwarranted invasion of personal records are stored in locked offices, Some records contained within this privacy; storage rooms, file cabinets, or safes. (15) To Congress, congressional system of records are exempt from 5 committees, or the staffs thereof, once POLICIES AND PRACTICES FOR RETRIEVAL OF U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), an FHFA–OIG report or management RECORDS: (e)(2), and (e)(3) of the Privacy Act alert has become final and the Inspector Records are retrieved by name of the pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. General determines that its disclosure is employee assigned to the non-criminal 552a(c)(3), (d)(1), (d)(2), and (e)(1) of the necessary to fulfill the Inspector administrative inquiry, support staff, Privacy Act pursuant to 5 U.S.C. General’s responsibilities under the name of the complainant, witness, 552a(k)(2); and 5 U.S.C. 552a(d)(1) of Inspector General Act of 1978; subject of the non-criminal the Privacy Act pursuant to 5 U.S.C. (16) To contractors, experts, administrative inquiry, unique inquiry 552a(k)(5). See 12 CFR 1204.7(c), consultants, students, and others number, or job code. implementing the exemptions in 5
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U.S.C. 552a(j)(2), (k)(2), and (k)(5) for federal agencies/regulators, law or the Department of Justice or outside FHFA–OIG records. These exemptions enforcement agencies, vendors, counsel retained by FHFA–OIG is are hereby incorporated by reference contractors, subcontractors, subject representing FHFA–OIG or any FHFA– and are an integral part of this SORN. individuals, complainants, witnesses, OIG employee in his or her official or and informants. Records in this system individual capacity; or when FHFA– HISTORY: may have originated in other FHFA/ OIG is a party to litigation or settlement The original version of this SORN was FHFA–OIG systems of records and negotiations or has an interest in published in the Federal Register on subsequently transferred to this system. litigation or settlement negotiations March 2, 2011 (76 FR 11465). It was being conducted by the Department of amended on November 1, 2013 (78 FR ROUTINE USES OF RECORDS MAINTAINED IN THE Justice or outside counsel retained by SYSTEM, INCLUDING CATEGORIES OF USERS AND 65644). FHFA–OIG and FHFA–OIG has THE PURPOSES OF SUCH USES: determined such information to be FHFA–OIG–5 These records may be disclosed: relevant and necessary to the litigation (1) To appropriate Federal, state, SYSTEM NAME AND NUMBER: or settlement negotiations; local, foreign, territorial, tribal units of (6) To another Federal Office of the FHFA–OIG Correspondence Database government, other public authorities, or (FHFA–OIG–5). Inspector General, law enforcement self-regulatory organizations responsible Task Force, or other Federal, state, local, SECURITY CLASSIFICATION: for investigating or prosecuting the foreign, territorial, or tribal units of violations of, or for enforcing or Sensitive but unclassified. government, other public authorities, or implementing, a statute, rule, self-regulatory organizations for the SYSTEM LOCATION: regulation, order, or license, when the purpose of preventing and/or FHFA–OIG, 400 7th Street SW, information indicates a violation or identifying fraud, waste, or abuse Washington, DC 20219, and any potential violation of law, whether civil, related to FHFA’s programs or alternate work site utilized by FHFA– criminal, or regulatory in nature, and operations; OIG employees or by individuals whether arising by general statute or (7) To the National Archives and assisting such employees. particular program statute, or by Records Administration for use in regulation, rule, or order issued records management inspections; SYSTEM MANAGER(S): pursuant thereto or is relevant to the (8) To appropriate agencies, entities, Executive Office, Office of Inspector recipient entity’s law enforcement and persons when (1) FHFA–OIG General, Federal Housing Finance responsibilities; suspects or has confirmed that there has Agency, 400 7th Street SW, Washington, (2) To a court, magistrate, grand jury, been a breach of the system of records; DC 20219. administrative tribunal, or adjudicative (2) FHFA–OIG has determined that as a body in the course of presenting result of the suspected or confirmed AUTHORITY FOR MAINTENANCE OF THE SYSTEM: evidence, including disclosures to breach there is a risk of harm to The system is established and opposing counsel or witnesses in the individuals, FHFA–OIG (including its maintained pursuant to 12 U.S.C. course of civil discovery, litigation, or information systems, programs, and 4517(d) and 5 U.S.C. App. 3. settlement negotiations, in response to a operations), the Federal Government, or subpoena, or in connection with PURPOSE(S) OF THE SYSTEM: national security; and (3) the disclosure criminal law proceedings, including made to such agencies, entities, and This system consists of plea agreements, when OIG is a party or persons is reasonably necessary to assist correspondence received by FHFA–OIG has a significant interest in the in connection with FHFA–OIG’s efforts from individuals and their proceeding, to the extent that the to respond to the suspected or representatives, oversight committees, information is determined to be relevant confirmed breach or to prevent, and others who conduct business with and necessary; minimize, or remedy such harm; FHFA–OIG and the responses thereto; it (3) To an individual member of (9) To another Federal agency or serves as a record of in-coming Congress or a member of his/her staff in Federal entity, when FHFA–OIG correspondence and the steps taken to response to an inquiry made at the determines that information from this respond thereto. request of the individual who is the system of records is reasonably CATEGORIES OF INDIVIDUALS COVERED BY THE subject of the record; necessary to assist the recipient agency SYSTEM: (4) To another Federal agency, state, or entity in (1) responding to a (1) Correspondents; (2) persons upon local, foreign, territorial, tribal units of suspected or confirmed breach; or (2) whose behalf correspondence was government, other public authorities, or preventing, minimizing, or remedying initiated; and (3) FHFA–OIG personnel self-regulatory organizations to (a) the risk of harm to individuals, the responding to correspondents or their permit a decision as to access, recipient agency or entity (including its representatives. amendment or correction of records to information systems, programs, and be made in consultation with or by that operations), the Federal Government, or CATEGORIES OF RECORDS IN THE SYSTEM: agency or entity, or (b) verify the national security, resulting from a (1) Correspondence received by identity of an individual or the accuracy suspected or confirmed breach. FHFA–OIG and responses generated of information submitted by an (10) To any person or entity, either thereto; and (2) records used to respond individual who has requested access to private or governmental, that FHFA– to incoming correspondence, including or amendment or correction of records; OIG has reason to believe possesses information included in FHFA–OIG’s (5) To the Department of Justice, information regarding a matter within other systems of records. outside counsel retained by FHFA–OIG, the jurisdiction of FHFA–OIG, to the or another Federal agency’s legal extent deemed to be necessary by RECORD SOURCE CATEGORIES: representative when seeking legal FHFA–OIG to elicit information or The OIG collects information from a advice including, but not limited to, cooperation from the recipient for use in variety of sources, including FHFA, whether to release information covered the performance of an authorized FHFA’s regulated entities, current and by the Freedom of Information (5 U.S.C. activity relevant to an FHFA–OIG audit, former employees of FHFA, other 552) and Privacy Acts (5 U.S.C. 552a), evaluation, investigation, or inquiry;
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(11) To the Equal Employment employee’s or contractor’s security ADMINISTRATIVE, TECHNICAL, AND PHYSICAL Opportunity Commission, Merit clearance; the execution of a security or SAFEGUARDS: Systems Protection Board, Federal Labor suitability investigation; the Records are safeguarded in a secured Relations Authority, Office of Special adjudication of liability; or coverage environment. Buildings where records Counsel, Office of Government Ethics under FHFA–OIG’s liability insurance are stored have security cameras and 24- (OGE), Office of Personnel Management, policy; hour security guard service. Government Accounting Office, (18) To Federal agencies and other Computerized records are safeguarded Department of Justice, Office of public authorities for use in records through use of access codes and other Management and Budget, arbitrators, management inspections, reporting information technology security and any other Federal agencies or other requirements, information collection, measures. Paper records are safeguarded entity responsible for conducting including but not limited to, General by locked offices, locked file rooms, investigations, other inquiries, Services Administration (GSA) as part locked file cabinets, or safes. Access to administrative actions, hearings, and/or of GSA’s responsibility to recommend the records, whether in electronic or settlement efforts relating to personnel, improvements in records management paper form, is restricted to those who security clearance, security or suitability practices and programs under authority require the records in the performance or other administrative grievances, of 44 U.S.C. 2904 and 2906, OGE, as of official duties related to the purposes complaints, claims, or appeals filed by part of the agency’s reporting for which the system is maintained. an employee, or if needed in the requirements set forth in 5 CFR 2638, performance of other authorized duties; Subpart F, and any other system, RECORD ACCESS PROCEDURES: (12) In situations involving an program, procedure or circumstance Individuals seeking access to and/or imminent danger of death or physical where such disclosure is mandated by notification about any record contained injury to an individual or individuals in Federal statute or regulation; danger; (19) To victims of a crime in in this system of records, or seeking to (13) To other Federal Offices of accordance with the Victims’ Rights and contest its content, may mail inquiries Inspector General or other entities, Restitution Act of 1990 (34 U.S.C. to the Senior Privacy Official, FHFA– during the conduct of internal and 20141), to the extent appropriate; OIG Privacy Office, 400 7th Street SW, external peer reviews of FHFA–OIG; (20) To a Federal agency in 3rd Floor, Washington, DC 20219 or (14) To the public or to the media for connection with a pending or submit them electronically to https:// release to the public when the matter prospective administrative enforcement www.fhfaoig.gov/privacy in accordance under audit, review, evaluation, process or mechanism, including but with instructions appearing at 12 CFR investigation, or inquiry has become not limited to a suspension, debarment, part 1204. This system of records may public knowledge, or when the or suspended counterparty designation; contain records that are exempt from the Inspector General determines that such and notification, access, and contesting disclosure is necessary either to (21) To the Council of the Inspectors records requirements pursuant to the preserve confidence in the integrity of General on Integrity and Efficiency and provisions of 5 U.S.C. 552a(j)(2), (k)(2), FHFA–OIG’s audit, review, evaluation, its committees, another Federal Office of and (k)(5). investigative, or inquiry processes or is Inspector General, or other Federal law necessary to demonstrate the enforcement office in connection with CONTESTING RECORD PROCEDURES: accountability of FHFA–OIG employees, an allegation of wrongdoing by the See ‘‘Record Access Procedures’’ officers or individuals covered by the Inspector General or by designated above. system, unless the Inspector General or FHFA–OIG staff members. his/her delegee determines, after NOTIFICATION PROCEDURES: consultation with counsel and the POLICIES AND PRACTICES FOR STORAGE OF RECORDS: See ‘‘Record Access Procedures’’ Senior Privacy Official, that release of above. the specific information in the context Records are maintained in electronic and paper format. Electronic records are of a particular case would constitute an EXEMPTIONS PROMULGATED FOR THE SYSTEM: unwarranted invasion of personal stored in computerized databases. Paper privacy; records are stored in locked offices, Some records contained within this (15) To Congress, congressional storage rooms, file cabinets, or safes. system of records are exempt from 5 committees, or the staffs thereof, once U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), POLICIES AND PRACTICES FOR RETRIEVAL OF (e)(2), and (e)(3) of the Privacy Act an FHFA–OIG report or management RECORDS: alert has become final and the Inspector pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. Records are retrieved by name of the 552a(c)(3), (d)(1), (d)(2), and (e)(1) of the General determines that its disclosure is correspondent and/or name of the necessary to fulfill the Inspector Privacy Act pursuant to 5 U.S.C. individual(s) to whom the record 552a(k)(2); and 5 U.S.C. 552a(d)(1) of General’s responsibilities under the applies. Inspector General Act of 1978; the Privacy Act pursuant to 5 U.S.C. (16) To contractors, experts, POLICIES AND PRACTICES FOR RETENTION AND 552a(k)(5). See 12 CFR 1204.7(c), consultants, students, and others DISPOSAL OF RECORDS: implementing the exemptions in 5 engaged by FHFA–OIG, when necessary FHFA’s Comprehensive Records U.S.C. 552a(j)(2), (k)(2), and (k)(5) for to accomplish an agency function Schedule Item 7 (N1–543–11–1, FHFA–OIG records. These exemptions related to this system of records; approved 01/11/2013), which provides are hereby incorporated by reference (17) To a Federal agency or other the retention and disposition schedules and are an integral part of this SORN. entity which requires information for Inspector General records. relevant to a decision concerning the Additional approved schedules may HISTORY: hiring, appointment, or retention of an apply. Destruction of records shall occur The original version of this SORN was employee or contractor; the assignment, in the manner(s) appropriate to the type published in the Federal Register on detail, or deployment of an employee or of record, such as shredding of paper March 2, 2011 (76 FR 11465). It was contractor; the issuance, renewal, records and/or deletion of computer amended on November 1, 2013 (78 FR suspension, or revocation of an records. 65644).
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FHFA–OIG–6 RECORD SOURCE CATEGORIES: representative when seeking legal The OIG collects information from a advice, including, but not limited to, SYSTEM NAME AND NUMBER: variety of sources, including FHFA, whether to release information covered FHFA–OIG Evaluations Files Database FHFA’s regulated entities, current and by the Freedom of Information (5 U.S.C. (FHFA–OIG–6). former employees of FHFA, other 552) and Privacy Acts (5 U.S.C. 552a) or SECURITY CLASSIFICATION: federal agencies/regulators, law when the Department of Justice or enforcement agencies, vendors, outside counsel retained by FHFA–OIG Sensitive but unclassified. contractors, subcontractors, subject is representing FHFA–OIG or any SYSTEM LOCATION: individuals, complainants, witnesses, FHFA–OIG employee in his or her FHFA–OIG, 400 7th Street SW, and informants. Records in this system official or individual capacity; or when Washington, DC 20219, and any may have originated in other FHFA/ FHFA–OIG is a party to litigation or alternate work site utilized by FHFA– FHFA–OIG systems of records and settlement negotiations or has an OIG employees or by individuals subsequently transferred to this system. interest in litigation or settlement assisting such employees. negotiations being conducted by the ROUTINE USES OF RECORDS MAINTAINED IN THE Department of Justice or outside counsel SYSTEM, INCLUDING CATEGORIES OF USERS AND SYSTEM MANAGER(S): retained by FHFA–OIG and FHFA–OIG THE PURPOSES OF SUCH USES: has determined such information to be Deputy Inspector General for These records may be disclosed: Evaluations, Office of Inspector General, relevant and necessary to the litigation (1) To appropriate Federal, state, or settlement negotiations; Federal Housing Finance Agency, 400 local, foreign, territorial, tribal units of 7th Street SW, Washington, DC 20219. (6) To another Federal Office of the government, other public authorities, or Inspector General, law enforcement AUTHORITY FOR MAINTENANCE OF THE SYSTEM: self-regulatory organizations responsible Task Force, or other Federal, state, local, for investigating or prosecuting the The system is established and foreign, territorial, or tribal units of violations of, or for enforcing or maintained pursuant to 12 U.S.C. government, other public authorities, or implementing, a statute, rule, 4517(d) and 5 U.S.C. App. 3. self-regulatory organizations for the regulation, order, or license, when the purpose of preventing and/or PURPOSE(S) OF THE SYSTEM: information indicates a violation or identifying fraud, waste, or abuse This system is maintained to enable potential violation of law, whether civil, related to FHFA’s programs or Office of Evaluations’ employees to criminal, or regulatory in nature, and operations; access, share, restrict, or maintain whether arising by general statute or (7) To the National Archives and information that has been collected and/ particular program statute, or by Records Administration for use in or generated as part of an evaluation, as regulation, rule, or order issued records management inspections; appropriate. Materials relating to an pursuant thereto or is relevant to the (8) To appropriate agencies, entities, evaluation may or may not become part recipient entity’s law enforcement and persons when (1) FHFA–OIG of the official evaluation file. The responsibilities; suspects or has confirmed that there has system also serves as a storage and filing (2) To a court, magistrate, grand jury, been a breach of the system of records; system for working copies, drafts, and administrative tribunal, or adjudicative (2) FHFA–OIG has determined that as a final versions of documents collected body in the course of presenting result of the suspected or confirmed and/or generated by the Office of evidence, including disclosures to breach there is a risk of harm to Evaluations in the performance of other opposing counsel or witnesses in the individuals, FHFA–OIG (including its official duties. course of civil discovery, litigation, or information systems, programs, and settlement negotiations, in response to a operations), the Federal Government, or CATEGORIES OF INDIVIDUALS COVERED BY THE subpoena, or in connection with national security; and (3) the disclosure SYSTEM: criminal law proceedings, including made to such agencies, entities, and Employees of and detailees to the plea agreements, when OIG is a party or persons is reasonably necessary to assist Office of Evaluations and subjects or has a significant interest in the in connection with FHFA–OIG’s efforts potential subjects of evaluation proceeding, to the extent that the to respond to the suspected or activities, and individuals who may be, information is determined to be relevant confirmed breach or to prevent, are, or have been witnesses, and necessary; minimize, or remedy such harm; complainants, informants, subjects, or (3) To an individual member of (9) To another Federal agency or otherwise involved in circumstances Congress or a member of his/her staff in Federal entity, when FHFA–OIG pertaining or relating to an evaluation response to an inquiry made at the determines that information from this conducted by FHFA–OIG’s Office of request of the individual who is the system of records is reasonably Evaluations. subject of the record; necessary to assist the recipient agency (4) To another Federal agency, state, or entity in (1) responding to a CATEGORIES OF RECORDS IN THE SYSTEM: local, foreign, territorial, tribal units of suspected or confirmed breach; or (2) Drafts and final documents of the government, other public authorities, or preventing, minimizing, or remedying following types: (1) Evaluation reports, self-regulatory organizations to (a) the risk of harm to individuals, the white papers, and other reports or permit a decision as to access, recipient agency or entity (including its studies; (2) working papers, which may amendment or correction of records to information systems, programs, and include copies of correspondence, be made in consultation with or by that operations), the Federal Government, or evidence, subpoenas, responses to agency or entity, or (b) verify the national security, resulting from a evidence requests, memoranda of identity of an individual or the accuracy suspected or confirmed breach. interviews conducted, statistical tables; of information submitted by an (10) To any person or entity, either and (3) other documents collected and/ individual who has requested access to private or governmental, that FHFA– or generated by the Office of Evaluations or amendment or correction of records; OIG has reason to believe possesses during the course of official duties, (5) To the Department of Justice, information regarding a matter within including information in FHFA–OIG’s outside counsel retained by FHFA–OIG, the jurisdiction of FHFA–OIG, to the other systems of records. or another Federal agency’s legal extent deemed to be necessary to elicit
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information or cooperation from the hiring, appointment, or retention of an Destruction of records shall occur in the recipient for use in the performance of employee or contractor; the assignment, manner(s) appropriate to the type of an authorized activity relevant to an detail, or deployment of an employee or record, such as shredding of paper FHFA–OIG audit, evaluation, contractor; the issuance, renewal, records and/or deletion of computer investigation, or inquiry; suspension, or revocation of an records. (11) To the Equal Employment employee’s or contractor’s security Opportunity Commission, Merit clearance; the execution of a security or ADMINISTRATIVE, TECHNICAL, AND PHYSICAL Systems Protection Board, Federal Labor suitability investigation; the SAFEGUARDS: Relations Authority, Office of Special adjudication of liability; or coverage Records are safeguarded in a secured Counsel, Office of Government Ethics under FHFA–OIG’s liability insurance environment. Buildings where records (OGE), Office of Personnel Management, policy; Government Accounting Office, (18) To Federal agencies and other are stored have security cameras and 24- Department of Justice, Office of public authorities for use in records hour security guard service. Management and Budget, arbitrators, management inspections, reporting Computerized records are safeguarded and any other Federal agencies or other requirements, information collection, through use of access codes and other entity responsible for conducting including but not limited to, General information technology security investigations, other inquiries, Services Administration (GSA) as part measures. Paper records are safeguarded administrative actions, hearings, and/or of GSA’s responsibility to recommend by locked offices, locked file rooms, settlement efforts relating to personnel, improvements in records management locked file cabinets, or safes. Access to security clearance, security or suitability practices and programs under authority the records, whether in electronic or or other administrative grievances, of 44 U.S.C. 2904 and 2906, OGE, as paper form, is restricted to those who complaints, claims, or appeals filed by part of the agency’s reporting require the records in the performance an employee, or if needed in the requirements set forth in 5 CFR 2638, of official duties related to the purposes performance of other authorized duties; Subpart F, and any other system, for which the system is maintained. (12) In situations involving an program, procedure or circumstance RECORD ACCESS PROCEDURES: imminent danger of death or physical where such disclosure is mandated by injury to an individual or individuals in Federal statute or regulation; Individuals seeking access to and/or danger; (19) To victims of a crime in notification about any record contained (13) To other Federal Offices of accordance with the Victims’ Rights and in this system of records, or seeking to Inspector General or other entities, Restitution Act of 1990 (34 U.S.C. contest its content, may mail inquiries during the conduct of internal and 20141), to the extent appropriate; to the Senior Privacy Official, FHFA– external peer reviews of FHFA–OIG; (20) To a Federal agency in OIG Privacy Office, 400 7th Street SW, (14) To the public or to the media for connection with a pending or 3rd Floor, Washington, DC 20219 or release to the public when the matter prospective administrative enforcement submit them electronically to https:// under audit, review, evaluation, process or mechanism, including but www.fhfaoig.gov/privacy in accordance investigation, or inquiry has become not limited to a suspension, debarment, with instructions appearing at 12 CFR public knowledge, or when the or suspended counterparty designation; part 1204. This system of records may Inspector General determines that such and contain records that are exempt from the disclosure is necessary either to (21) To the Council of the Inspectors notification, access, and contesting preserve confidence in the integrity of General on Integrity and Efficiency and records requirements pursuant to the FHFA–OIG’s audit, review, evaluation, its committees, another Federal Office of provisions of 5 U.S.C. 552a(j)(2), (k)(2), investigative, or inquiry processes or is Inspector General, or other Federal law and (k)(5). necessary to demonstrate the enforcement office in connection with accountability of FHFA–OIG employees, an allegation of wrongdoing by the CONTESTING RECORD PROCEDURES: officers or individuals covered by the Inspector General or by designated system, unless the Inspector General or FHFA–OIG staff members. See ‘‘Record Access Procedures’’ his/her delegee determines, after above. consultation with counsel and the POLICIES AND PRACTICES FOR STORAGE OF Senior Privacy Official, that release of RECORDS: NOTIFICATION PROCEDURES: the specific information in the context Records are maintained in electronic and paper format. Electronic records are See ‘‘Record Access Procedures’’ of a particular case would constitute an above. unwarranted invasion of personal stored in computerized databases. Paper records are stored in locked offices, privacy; EXEMPTIONS PROMULGATED FOR THE SYSTEM: (15) To Congress, congressional storage rooms, file cabinets, or safes. Some records contained within this committees, or the staffs thereof, once POLICIES AND PRACTICES FOR RETRIEVAL OF an FHFA–OIG report or management RECORDS: system of records are exempt from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), alert has become final and the Inspector Records are retrieved by name of the (e)(2), and (e)(3) of the Privacy Act General determines that its disclosure is evaluator, support staff, subject of or pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. necessary to fulfill the Inspector witnesses to the evaluation, unique 552a(c)(3), (d)(1), (d)(2), and (e)(1) of the General’s responsibilities under the evaluation number, or job code. Inspector General Act of 1978; Privacy Act pursuant to 5 U.S.C. (16) To contractors, experts, POLICIES AND PRACTICES FOR RETENTION AND 552a(k)(2); and 5 U.S.C. 552a(d)(1) of consultants, students, and others DISPOSAL OF RECORDS: the Privacy Act pursuant to 5 U.S.C. engaged by FHFA–OIG, when necessary FHFA’s Comprehensive Records 552a(k)(5). See 12 CFR 1204.7(c), to accomplish an agency function Schedule Item 7 (N1–543–11–1, implementing the exemptions in 5 related to this system of records; approved 01/11/2013), which provides U.S.C. 552a(j)(2), (k)(2), and (k)(5) for (17) To a Federal agency or other the cut-off and disposition schedules for FHFA–OIG records. These exemptions entity which requires information Inspector General records. Additional are hereby incorporated by reference relevant to a decision concerning the approved schedules may apply. and are an integral part of this SORN.
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HISTORY: authorized to represent and/or receive PA, or FOPA requests and/or The original version of this SORN was information on behalf of a FOIA, PA, or administrative appeals of final published in the Federal Register on FOPA requester or individual filing an determinations on such requests, November 1, 2013 (78 FR 65644). administrative appeal regarding such including information contained FHFA– requests; individuals whose requests, OIG’s other systems of records. FHFA–OIG–7 appeals or other records have been The records may contain personal SYSTEM NAME AND NUMBER: referred to FHFA–OIG by other information submitted, created, agencies; individuals who have been retrieved and/or compiled in response FHFA–OIG Freedom of Information asked to consult as part of the FOIA to FOIA, PA, FOPA requests and/or Act (FOIA), Privacy Act (PA), and (b)(4) exemption process; individuals administrative appeals of a final FOIA/PA (FOPA) Records (FHFA– filing an administrative appeal of a determination on such requests OIG–7). denial, in whole or part, of any such including, but not limited to: Names, SECURITY CLASSIFICATION: requests; individuals filing a civil action property and email addresses, phone Sensitive but unclassified. in federal court of a denial, in whole or numbers, loan information, tracking part, of any such requests; employees of numbers, identity verification SYSTEM LOCATION: and detailees to the Office of Counsel information including birth places and FHFA–OIG, 400 7th Street SW, who process and/or respond to FOIA, dates, or other personal identifying Washington, DC 20219, and any PA, FOPA requests or administrative information supplied by individuals alternate work site utilized by FHFA– appeals; and any other individual making FOIA, PA, or FOPA requests. OIG employees or by individuals otherwise involved in circumstances These records may contain inquiries assisting such employees. pertaining or relating to the processing and requests regarding any of FHFA– of a FOIA, PA, or FOPA request or OIG’s other systems of records subject to SYSTEM MANAGER(S): administrative appeal. the FOIA and PA, and information Chief Counsel, Office of Inspector CATEGORIES OF RECORDS IN THE SYSTEM: about individuals from any of these General, Federal Housing Finance other systems may become part of this Records submitted, created, retrieved Agency, 400 7th Street SW, Washington, and/or compiled in response to FOIA, system of records. DC 20219. PA, and FOPA requests and/or RECORD SOURCE CATEGORIES: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: administrative appeals of final The OIG collects information from a The system is established and determinations on such requests, variety of sources, including FHFA, maintained pursuant to 12 U.S.C. including original requests and FHFA’s regulated entities, current and 4517(d), 5 U.S.C. App. 3, the Freedom administrative appeals; responses to former employees of FHFA, other of Information Act (5 U.S.C. 552), the requests and administrative appeals federal agencies/regulators, law Privacy Act of 1974 (5 U.S.C. 552a), and including but not limited to enforcement agencies, vendors, 12 CFR parts 1202 and 1204. acknowledgement letters, fee contractors, subcontractors, subject estimations, waivers, and other fee individuals, complainants, witnesses, PURPOSE(S) OF THE SYSTEM: issues, requests for expedited review, informants, and persons requesting The records are collected, used, verifications of identification, final agency records under the FOIA and the maintained, and disseminated to determination letters, and copies of Privacy Act. Records in this system may process FOIA, PA, and FOPA requests responsive records; internal have originated in other FHFA/FHFA– and administrative appeals and/or memoranda, analyses, notes, and other OIG systems of records and administrative appeals of final records concerning the applicability of subsequently transferred to this system. determinations on such requests. The exemptions, exceptions, or other issues records are also used to prepare reports concerning FOIA, PA, FOPA ROUTINE USES OF RECORDS MAINTAINED IN THE to the Office of Management and determinations; emails or other SYSTEM, INCLUDING CATEGORIES OF USERS AND Budget, the Department of Justice, and correspondence between or among THE PURPOSES OF SUCH USES: Congress as required by the FOIA or PA; employees who process and/or respond These records may be disclosed: to participate in litigation arising from to FOIA, PA, and FOPA requests or (1) To appropriate Federal, state, FHFA–OIG’s decisions and administrative appeals; emails or other local, and foreign authorities determinations on FOIA, PA, and FOPA correspondence between or among responsible for investigating or requests and administrative appeals, employees who process and/or respond prosecuting the violations of, or for and any other matters relating or to FOIA, PA, and FOPA requests or enforcing or implementing, a statute, pertaining to FOIA, PA, or FOPA administrative appeals and other rule, regulation, order, or license, when requests and/or administrative appeals individuals associated with the FOIA, the information indicates a violation or of final determinations on such PA, and FOPA process, including, but potential violation of law, whether civil, requests. not limited to: Requesters, operational criminal, or regulatory in nature, and division staff members, employees of whether arising by general statute or CATEGORIES OF INDIVIDUALS COVERED BY THE referring agencies, individuals with particular program statute, or by SYSTEM: whom consultation is undertaken, regulation, rule, or order issued Individuals who have submitted representatives or attorneys; memoranda pursuant thereto or is relevant to the requests for information pursuant to the to or from other federal agencies having recipient entity’s law enforcement FOIA; individuals who have submitted a substantial interest in the responsibilities; requests for records about themselves determination of the request; civil (2) To a court, magistrate, grand jury, under the provisions of the PA; actions filed in federal court of a denial, administrative tribunal, or adjudicative individuals who have submitted a in whole or part, of any such requests; body in the course of presenting hybrid request for information under the and any other records submitted, evidence, including disclosures to FOIA and for information about created, retrieved and/or compiled opposing counsel or witnesses in the themselves under the PA (FOPA); during the course of performing official course of civil discovery, litigation, or attorneys or other individuals duties relating or pertaining to FOIA, settlement negotiations, in response to a
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subpoena, or in connection with to accomplish an agency function to the Senior Privacy Official, FHFA– criminal law proceedings, including related to this system of records; OIG Privacy Office, 400 7th Street SW, plea agreements, when OIG is a party or (10) To appropriate Federal agencies 3rd Floor, Washington, DC 20219 or has a significant interest in the and other public authorities for use in submit them electronically to https:// proceeding, to the extent that the records management inspections; and www.fhfaoig.gov/privacy in accordance information is determined to be relevant (11) To the Council of the Inspectors with instructions appearing at 12 CFR and necessary; General on Integrity and Efficiency and part 1204. This system of records may (3) To a member of Congress or a its committees, another Federal Office of contain records that are exempt from the member of his/her staff in response to Inspector General, or other Federal law notification, access, and contesting an inquiry made at the request of the enforcement office in connection with records requirements pursuant to the individual who is the subject of the an allegation of wrongdoing by the provisions of 5 U.S.C. 552a(j)(2), (k)(2), record; Inspector General or by designated and (k)(5). (4) To another Federal government FHFA–OIG staff members. agency having a substantial interest in CONTESTING RECORD PROCEDURES: the determination of the request or for POLICIES AND PRACTICES FOR STORAGE OF See ‘‘Record Access Procedures’’ the purpose of consulting with that RECORDS: above. agency as to the propriety of access or Records are maintained in electronic NOTIFICATION PROCEDURES: correction of the record in order to and paper format. Electronic records are complete the processing of requests; stored in computerized databases. Paper See ‘‘Record Access Procedures’’ (5) To the National Archives and records are stored in locked offices, above. Records Administration, Office of storage rooms, file cabinets, or safes. EXEMPTIONS PROMULGATED FOR THE SYSTEM: Government Information Services POLICIES AND PRACTICES FOR RETRIEVAL OF Some records contained within this (OGIS), to the extent necessary to fulfill RECORDS: system of records are exempt from 5 its responsibilities in 5 U.S.C. 552(b), to Records in this SOR are retrieved by U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), review administrative agency policies, (e)(2), and (e)(3) of the Privacy Act procedures, and compliance with the the requester’s name, representative’s pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. Freedom of Information Act, and to name, or by unique log number assigned 552a(c)(3), (d)(1), (d)(2), and (e)(1) of the facilitate OGIS mediation services to to the request. Records sometimes are Privacy Act pursuant to 5 U.S.C. resolve disputes between persons retrieved by reference to the name of the 552a(k)(2); and 5 U.S.C. 552a(d)(1) of making FOIA requests and requester’s firm or the representative’s the Privacy Act pursuant to 5 U.S.C. administrative agencies. firm, if any, or the subject matter of the (6) To appropriate agencies, entities, request. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in 5 and persons when (1) FHFA–OIG POLICIES AND PRACTICES FOR RETENTION AND suspects or has confirmed that there has U.S.C. 552a(j)(2), (k)(2), and (k)(5) for DISPOSAL OF RECORDS: FHFA–OIG records. These exemptions been a breach of the system of records; FHFA’s Comprehensive Records (2) FHFA–OIG has determined that as a are hereby incorporated by reference Schedule Item 7 (N1–543–11–1, and are an integral part of this SORN. result of the suspected or confirmed approved 01/11/2013), which provides breach there is a risk of harm to the cut-off and disposition schedules for HISTORY: individuals, FHFA–OIG (including its Inspector General records. Additional FHFA–OIG was covered by FHFA’s information systems, programs, and approved schedules may apply. Freedom of Information Act and Privacy operations), the Federal Government, or Destruction of records shall occur in the Act Records (FHFA–13) which was national security; and (3) the disclosure manner(s) appropriate to the type of published in the Federal Register on made to such agencies, entities, and record, such as shredding of paper June 8, 2011 (76 FR 33286). persons is reasonably necessary to assist records and/or deletion of computer in connection with FHFA–OIG’s efforts records. Leonard DePasquale, to respond to the suspected or Chief Counsel. confirmed breach and prevent, ADMINISTRATIVE, TECHNICAL, AND PHYSICAL [FR Doc. 2021–04796 Filed 3–8–21; 8:45 am] SAFEGUARDS: minimize, or remedy such harm; BILLING CODE 8070–01–P (7) To another Federal agency or Records are safeguarded in a secured Federal entity, when FHFA–OIG environment. Buildings where records determines that information from this are stored have security cameras and 24- FEDERAL RESERVE SYSTEM system of records is reasonably hour security guard service. necessary to assist the recipient agency Computerized records are safeguarded Notice of Proposals To Engage in or or entity in (1) responding to a through use of access codes and other To Acquire Companies Engaged in suspected or confirmed breach; or (2) information technology security Permissible Nonbanking Activities preventing, minimizing, or remedying measures. Paper records are safeguarded the risk of harm to individuals, the by locked offices, locked file rooms, The companies listed in this notice recipient agency or entity (including its locked file cabinets, or safes. Access to have given notice under section 4 of the information systems, programs, and the records, whether in electronic or Bank Holding Company Act (12 U.S.C. operations), the Federal Government, or paper form, is restricted to those who 1843) (BHC Act) and Regulation Y, (12 national security, resulting from a require the records in the performance CFR part 225) to engage de novo, or to suspected or confirmed breach. of official duties related to the purposes acquire or control voting securities or (8) To other Federal Offices of for which the system is maintained. assets of a company, including the Inspector General or other entities, companies listed below, that engages during the conduct of internal and RECORD ACCESS PROCEDURES: either directly or through a subsidiary or external peer reviews of FHFA–OIG; Individuals seeking access to and other company, in a nonbanking activity (9) To contractors, experts, notification about any record contained that is listed in § 225.28 of Regulation Y consultants, students, and others in this system of records, or seeking to (12 CFR 225.28) or that the Board has engaged by FHFA–OIG, when necessary contest its content, may mail inquiries determined by Order to be closely
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related to banking and permissible for that are considered in acting on the owned by the bank holding company, bank holding companies. Unless applications are set forth in paragraph 7 including the companies listed below. otherwise noted, these activities will be of the Act (12 U.S.C. 1817(j)(7)). The public portions of the conducted throughout the United States. The public portions of the applications listed below, as well as The public portions of the applications listed below, as well as other related filings required by the applications listed below, as well as other related filings required by the Board, if any, are available for other related filings required by the Board, if any, are available for immediate inspection at the Federal Board, if any, are available for immediate inspection at the Federal Reserve Bank(s) indicated below and at immediate inspection at the Federal Reserve Bank(s) indicated below and at the offices of the Board of Governors. Reserve Bank(s) indicated below and at the offices of the Board of Governors. This information may also be obtained the offices of the Board of Governors. This information may also be obtained on an expedited basis, upon request, by This information may also be obtained on an expedited basis, upon request, by contacting the appropriate Federal on an expedited basis, upon request, by contacting the appropriate Federal Reserve Bank and from the Board’s contacting the appropriate Federal Reserve Bank and from the Board’s Freedom of Information Office at Reserve Bank and from the Board’s Freedom of Information Office at https://www.federalreserve.gov/foia/ Freedom of Information Office at https://www.federalreserve.gov/foia/ request.htm. Interested persons may https://www.federalreserve.gov/foia/ request.htm. Interested persons may express their views in writing on the request.htm. Interested persons may express their views in writing on the standards enumerated in the BHC Act express their views in writing on the standards enumerated in paragraph 7 of (12 U.S.C. 1842(c)). question whether the proposal complies the Act. Comments regarding each of these with the standards of section 4 of the Comments regarding each of these applications must be received at the BHC Act. applications must be received at the Reserve Bank indicated or the offices of Unless otherwise noted, comments Reserve Bank indicated or the offices of the Board of Governors, Ann E. regarding the applications must be the Board of Governors, Ann E. Misback, Secretary of the Board, 20th received at the Reserve Bank indicated Misback, Secretary of the Board, 20th Street and Constitution Avenue NW, or the offices of the Board of Governors, Street and Constitution Avenue NW, Washington DC 20551–0001, not later Ann E. Misback, Secretary of the Board, Washington, DC 20551–0001, not later than April 8, 2021. 20th Street and Constitution Avenue than March 24, 2021. A. Federal Reserve Bank of Dallas NW, Washington DC 20551–0001, not A. Federal Reserve Bank of Kansas (Robert L. Triplett III, Senior Vice later than March 24, 2021. City (Dennis Denney, Assistant Vice President) 2200 North Pearl Street, A. Federal Reserve Bank of San Dallas, Texas 75201–2272: Francisco (Sebastian Astrada, Director, President) 1 Memorial Drive, Kansas City, Missouri 64198–0001: 1. Odom AmTex, LLC, Orange, Texas; Applications) 101 Market Street, San to become a bank holding company and Francisco, California 94105–1579: 1. The Fesperman Family, LLC, Lynn Ferperman, manager, and the PDF retain voting shares of AmTex 1. First Northwest Bancorp, Port Bancshares, Inc., Orange, Texas, and Angeles, Washington; to acquire 50 Holdings Revocable Trust, Payton Fesperman, trustee, all of Tulsa, indirectly retain voting shares of Bridge percent of the voting shares of a de novo City State Bank, Bridge City, Texas, joint venture, Quin Ventures, Inc., New Oklahoma; to join the Mercer-Kelly- Fesperman Family Control Group, a Peoples State Bank, Shepherd, Texas, York, New York, and thereby indirectly and Pavillion Bank, Richardson, Texas. extend credit and service loans, engage group acting in concert, to acquire in activities related to credit bureau voting shares of Spirit Bankcorp, Inc., Board of Governors of the Federal Reserve services, provide educational courses Bristow, Oklahoma, and thereby System, March 4, 2021. and instructional materials to indirectly acquire voting shares of Spirit Michele Taylor Fennell, consumers on individual financial Bank, Tulsa, Oklahoma. Deputy Associate Secretary of the Board. management matters, and engage in Board of Governors of the Federal Reserve [FR Doc. 2021–04872 Filed 3–8–21; 8:45 am] certain data processing activities System, March 4, 2021. BILLING CODE P pursuant to section 225.28(b)(1), Michele Taylor Fennell, (b)(2)(v), (b)(6)(v) and (b)(14)(i) of the Deputy Associate Secretary of the Board. Board’s Regulation Y, respectively. [FR Doc. 2021–04875 Filed 3–8–21; 8:45 am] DEPARTMENT OF HEALTH AND Board of Governors of the Federal Reserve BILLING CODE P HUMAN SERVICES System, March 4, 2021. Michele Taylor Fennell, Centers for Medicare & Medicaid Services Deputy Associate Secretary of the Board. FEDERAL RESERVE SYSTEM [Document Identifier: CMS–10398] [FR Doc. 2021–04874 Filed 3–8–21; 8:45 am] Formations of, Acquisitions by, and BILLING CODE P Mergers of Bank Holding Companies Agency Information Collection Activities: Proposed Collection; The companies listed in this notice Comment Request; Withdrawal FEDERAL RESERVE SYSTEM have applied to the Board for approval, Change in Bank Control Notices; pursuant to the Bank Holding Company AGENCY: Centers for Medicare & Acquisitions of Shares of a Bank or Act of 1956 (12 U.S.C. 1841 et seq.) Medicaid Services, Health and Human Bank Holding Company (BHC Act), Regulation Y (12 CFR part Services (HHS). 225), and all other applicable statutes ACTION: Notice; withdrawal. The notificants listed below have and regulations to become a bank applied under the Change in Bank holding company and/or to acquire the On February 26, 2021, the Centers for Control Act (Act) (12 U.S.C. 1817(j)) and assets or the ownership of, control of, or Medicare & Medicaid Services (CMS) § 225.41 of the Board’s Regulation Y (12 the power to vote shares of a bank or published a 30-day notice (86 FR 11779) CFR 225.41) to acquire shares of a bank bank holding company and all of the entitled, ‘‘Agency Information or bank holding company. The factors banks and nonbanking companies Collection Activities: Submission for
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OMB Review; Comment Request.’’ That information technology to minimize the Section 3506(c)(2)(A) of the PRA notice invited public comments on the information collection burden. requires federal agencies to publish a following information collection DATES: Comments must be received by 60-day notice in the Federal Register request: Title: Generic Clearance for May 10, 2021. concerning each proposed collection of Medicaid and CHIP State Plan, Waiver, ADDRESSES: When commenting, please information, including each proposed and Program Submissions; Form reference the document identifier or extension or reinstatement of an existing Number: CMS–10398; and OMB Control OMB control number. To be assured collection of information, before Number: 0938–1148. Through the consideration, comments and submitting the collection to OMB for publication of this document we are recommendations must be submitted in approval. To comply with this withdrawing that notice (FR document: any one of the following ways: requirement, CMS is publishing this 2021–04052) in its entirety. Before the 1. Electronically. You may send your notice. end of March 2021, we intend to comments electronically to http:// Information Collection publish a notice that sets out our revised www.regulations.gov. Follow the 1. Type of Information Collection process for making CMS–10398-specific instructions for ‘‘Comment or Request: Reinstatement of a previously generic information collections (also Submission’’ or ‘‘More Search Options’’ approved collection; Title of known as ‘‘GenICs’’) available for public to find the information collection Information Collection: Disclosures review and comment. document(s) that are accepting Required of Certain Hospitals and Dated: March 4, 2021. comments. 2. By regular mail. You may mail Critical Access Hospitals Regarding William N. Parham, III, Physician Ownership; Use: This Director, Paperwork Reduction Staff, Office written comments to the following address: CMS, Office of Strategic information collection relates to the of Strategic Operations and Regulatory required third party disclosures by Operations and Regulatory Affairs, Affairs. certain Medicare-participating hospitals Division of Regulations Development, [FR Doc. 2021–04885 Filed 3–8–21; 8:45 am] and Critical Access Hospitals (CAHs) Attention: Document Identifier/OMB BILLING CODE 4120–01–P and physicians to their patients. There Control Number ll, Room C4–26–05, are 5 types of disclosures required. The 7500 Security Boulevard, Baltimore, intent of the disclosure notice is to Maryland 21244–1850. DEPARTMENT OF HEALTH AND assist the patient in making an informed HUMAN SERVICES To obtain copies of a supporting statement and any related forms for the decision regarding their care. The first disclosure requires physician owned proposed collection(s) summarized in Centers for Medicare & Medicaid hospitals and CAHs to disclose to its this notice, you may make your request Services patients whether the hospitals/CAHs are using one of following: physician-owned and, if so, the names [Document Identifier: CMS–10225 and CMS– 1. Access CMS’ website address at 10769] https://www.cms.gov/Regulations-and- of the physician-owners. The second Guidance/Legislation/Paperwork disclosure requires the physician owner Agency Information Collection ReductionActof1995/PRA-Listing.html. or investor in the hospital, as part of his or her continued medical staff Activities: Proposed Collection; FOR FURTHER INFORMATION CONTACT: Comment Request membership or admitting privileges, to William N. Parham at (410) 786–4669. disclose to the patient being referred to AGENCY: Centers for Medicare & SUPPLEMENTARY INFORMATION: the hospital any ownership or Medicaid Services, Health and Human Contents investment interest held by the Services (HHS). physician or an immediate family This notice sets out a summary of the ACTION: Notice. member of the physician. The third use and burden associated with the disclosure requires physician owned SUMMARY: The Centers for Medicare & following information collections. More hospitals to disclose on all public Medicaid Services (CMS) is announcing detailed information can be found in websites for and in any public an opportunity for the public to each collection’s supporting statement advertising for the hospital that the comment on CMS’ intention to collect and associated materials (see hospital is owned or invested in by information from the public. Under the ADDRESSES). physicians. The fourth and fifth Paperwork Reduction Act of 1995 (the CMS–10225 Disclosures Required of disclosures apply to all hospitals and PRA), federal agencies are required to Certain Hospitals and Critical CAHs that do not have a Doctor of publish notice in the Federal Register Access Hospitals Regarding Medicine (MD) or a Doctor of concerning each proposed collection of Physician Ownership Osteopathic Medicine (DO) on the information (including each proposed CMS–10769 Evaluation of the Centers premises at all times to disclose this to extension or reinstatement of an existing for Medicare & Medicaid Services patients upon admission or registration collection of information) and to allow (CMS) Network of Quality for both inpatient and specified 60 days for public comment on the Improvement and Innovation outpatient services. These hospitals and proposed action. Interested persons are Contractors (NQIIC) CAHs must provide a written disclosure invited to send comments regarding our Under the PRA (44 U.S.C. 3501– to the patients admitted to the hospital burden estimates or any other aspect of 3520), federal agencies must obtain and must also post a conspicuous notice this collection of information, including approval from the Office of Management in the Emergency Departments (ED) the necessity and utility of the proposed and Budget (OMB) for each collection of which states that the hospital does not information collection for the proper information they conduct or sponsor. a physician present 24 hours per day, 7 performance of the agency’s functions, The term ‘‘collection of information’’ is days per week. Form Number: CMS– the accuracy of the estimated burden, defined in 44 U.S.C. 3502(3) and 5 CFR 10225 (OMB control number: 0938– ways to enhance the quality, utility, and 1320.3(c) and includes agency requests 1034); Frequency: Occasionally; clarity of the information to be or requirements that members of the Affected Public: Private sector— collected, and the use of automated public submit reports, keep records, or Business or other for-profits and Not- collection techniques or other forms of provide information to a third party. for-profit institutions; Number of
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Respondents: 322; Total Annual 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Name of Committee: Center for Scientific Responses: 4,675,575; Total Annual as amended. The grant applications and Review Special Emphasis Panel; Member Hours: 78,935. (For policy questions the discussions could disclose Conflict: Neurobiology of Glia. Date: March 25, 2021. regarding this collection contact confidential trade secrets or commercial Time: 10:00 a.m. to 2:00 p.m. Caroline Gallaher at 410–786–8705). property such as patentable material, Agenda: To review and evaluate grant 2. Type of Information Collection and personal information concerning applications. Request: New collection (Request for a individuals associated with the grant Place: National Institutes of Health, new OMB control number); Title of applications, the disclosure of which Rockledge II, 6701 Rockledge Drive, Information Collection: Evaluation of would constitute a clearly unwarranted Bethesda, MD 20892 (Virtual Meeting). the Centers for Medicare & Medicaid invasion of personal privacy. Contact Person: Peter B. Guthrie, Ph.D., Services (CMS) Network of Quality Scientific Review Officer, Center for Name of Committee: National Institute of Scientific Review, National Institutes of Improvement and Innovation General Medical Sciences Special Emphasis Health, 6701 Rockledge Drive, Room 4142, Contractors (NQIIC); Use: The purpose Panel; Review of NHLBI P01 Applications. MSC 7850, Bethesda, MD 20892, (301) 435– of this Information Collection Request Date: June 2, 2021. 1239, [email protected]. (ICR) is to collect data using telephone Time: 1:00 p.m. to 4:00 p.m. Name of Committee: Center for Scientific surveys to inform the program Agenda: To review and evaluate grant Review Special Emphasis Panel; Small evaluation of the CMS NQIIC initiative. applications. Business: Infectious, Foodborne, and The purpose of NQIIC is to support Place: National Institutes of Health, 45 Waterborne Disease Diagnostics and Methods quality improvement efforts across Center Drive, Bethesda, MD 20892 (Video in Microbial Sterilization and Disinfection. Meeting). settings and programs for maximum Date: April 1–2, 2021. Contact Person: Brian R. Pike, Ph.D., Time: 9:00 a.m. to 6:00 p.m. impact to health care and value to Scientific Review Officer, Office of Scientific Agenda: To review and evaluate grant taxpayers in a manner that aligns with Review, National Institute of General Medical applications. CMS’ and Department of Health and Sciences, National Institutes of Health, 45 Place: National Institutes of Health, Human Services (HHS) priorities. The Center Drive, Room 3AN18, Bethesda, MD Rockledge II, 6701 Rockledge Drive, NQIIC quality improvement efforts 20892, (301) 594–3907, [email protected]. Bethesda, MD 20892 (Virtual Meeting). involve the QIN–QIO Program, which is (Catalogue of Federal Domestic Assistance Contact Person: Gagan Pandya, Ph.D., one of the largest federal programs Program Nos. 93.375, Minority Biomedical Scientific Review Officer, National Institutes dedicated to improving health quality Research Support; 93.821, Cell Biology and of Health, Center for Scientific Review, 6701 Rockledge Drive, RM 3200, MSC 7808, for Medicare beneficiaries. Biophysics Research; 93.859, Pharmacology, Physiology, and Biological Chemistry Bethesda, MD 20892, (301) 435–1167, CMS evaluates the quality and [email protected]. effectiveness of the QIN–QIO Program Research; 93.862, Genetics and Developmental Biology Research; 93.88, Name of Committee: Center for Scientific as authorized in Part B of Title XI of the Minority Access to Research Careers; 93.96, Review Special Emphasis Panel; Social Security Act. This ICR is to Special Minority Initiatives; 93.859, Neurodifferentiation, Plasticity, Regeneration conduct data collection using surveys Biomedical Research and Research Training, and Rhythmicity (R21). with administrators or managers of National Institutes of Health, HHS) Date: April 5, 2021. Time: 12:00 p.m. to 2:00 p.m. nursing homes and hospitals. Form Dated: March 3, 2021. Number: CMS–10769 (OMB control Agenda: To review and evaluate grant Miguelina Perez, number: 0938–NEW); Frequency: applications. Yearly; Affected Public: Private Sector: Program Analyst, Office of Federal Advisory Place: National Institutes of Health, Committee Policy. Rockledge II, 6701 Rockledge Drive, Business or other for-profits; Number of [FR Doc. 2021–04815 Filed 3–8–21; 8:45 am] Bethesda, MD 20892 (Virtual Meeting). Respondents: 1,010; Total Annual Contact Person: Joanne T. Fujii, Ph.D., BILLING CODE 4140–01–P Responses: 1,010; Total Annual Hours: Scientific Review Officer, Center for 300. (For policy questions regarding this Scientific Review, National Institutes of collection, contact Nancy Sonnenfeld at Health, 6701 Rockledge Drive, Room 4184, DEPARTMENT OF HEALTH AND 410–786–1294.) MSC 7850, Bethesda, MD 20892, (301) 435– HUMAN SERVICES 1178, [email protected]. Dated: March 3, 2021. Name of Committee: Center for Scientific William N. Parham, III, National Institutes of Health Review Special Emphasis Panel; Director, Paperwork Reduction Staff, Office Fellowships: Endocrinology, Metabolism, of Strategic Operations and Regulatory Center for Scientific Review; Notice of Nutrition and Reproductive Sciences. Affairs. Closed Meetings Date: April 6, 2021. [FR Doc. 2021–04798 Filed 3–8–21; 8:45 am] Time: 9:00 a.m. to 6:00 p.m. Pursuant to section 10(d) of the BILLING CODE 4120–01–P Agenda: To review and evaluate grant Federal Advisory Committee Act, as applications. amended, notice is hereby given of the Place: National Institutes of Health, following meetings. Rockledge II, 6701 Rockledge Drive, DEPARTMENT OF HEALTH AND Bethesda, MD 20892 (Virtual Meeting). HUMAN SERVICES The meetings will be closed to the Contact Person: Gregory S. Shelness, Ph.D., public in accordance with the Scientific Review Officer, Center for National Institutes of Health provisions set forth in sections Scientific Review, National Institutes of 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Health, 6701 Rockledge Drive, Room 6156, National Institute of General Medical as amended. The grant applications and Bethesda, MD 20892–7892, (301) 755–4335, Sciences; Notice of Closed Meeting the discussions could disclose [email protected]. Pursuant to section 10(d) of the confidential trade secrets or commercial Name of Committee: Center for Scientific Federal Advisory Committee Act, as property such as patentable material, Review Special Emphasis Panel; PAR Panel: Innovative Research in Cancer amended, notice is hereby given of the and personal information concerning Nanotechnology. following meeting. individuals associated with the grant Date: April 6–7, 2021. The meeting will be closed to the applications, the disclosure of which Time: 10:00 a.m. to 6:00 p.m. public in accordance with the would constitute a clearly unwarranted Agenda: To review and evaluate grant provisions set forth in sections invasion of personal privacy. applications.
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Place: National Institutes of Health, Place: National Institutes of Health, Contact Person: Elena Sanovich, Ph.D., Rockledge II, 6701 Rockledge Drive, National Institute on Drug Abuse, 301 North Scientific Review Officer, Review Branch, Bethesda, MD 20892 (Virtual Meeting). Stonestreet Avenue, Bethesda, MD 20892 DEA, NIDDK, National Institutes of Health, Contact Person: Charles Morrow, MD, (Virtual Meeting). 6707 Democracy Boulevard, Room 7351, Ph.D., Scientific Review Officer, Center for Contact Person: Ivan K. Navarro, Ph.D., Bethesda, MD 20892–2542, 301–594–8886, Scientific Review, National Institutes of Scientific Review Officer, Office of [email protected]. Health, 6701 Rockledge Drive, Room 6202, Extramural Policy and Review, Division of This notice is being published less than 15 MSC 7804, Bethesda, MD 20892 (301), 408– Extramural Research, National Institute on days prior to the meeting due to the timing 9850, [email protected]. Drug Abuse, NIH, DHHS, 301 North limitations imposed by the review and Name of Committee: Center for Scientific Stonestreet Avenue, MSC 6021, Bethesda, funding cycle. MD 20892, 301–827–5833, ivan.navarro@ Review Special Emphasis Panel; Member (Catalogue of Federal Domestic Assistance Conflict: Topics in Cancer Etiology and nih.gov. Program Nos. 93.847, Diabetes, Cancer Genetics. This notice is being published less than 15 Endocrinology and Metabolic Research; Date: April 6, 2021. days prior to the meeting due to the timing 93.848, Digestive Diseases and Nutrition Time: 2:00 p.m. to 5:00 p.m. limitations imposed by the review and Research; 93.849, Kidney Diseases, Urology Agenda: To review and evaluate grant funding cycle. applications. and Hematology Research, National Institutes Place: National Institutes of Health, (Catalogue of Federal Domestic Assistance of Health, HHS) Program Nos. 93.277, Drug Abuse Scientist Rockledge II, 6701 Rockledge Drive, Dated: March 3, 2021. Development Award for Clinicians, Scientist Bethesda, MD 20892 (Virtual Meeting). Miguelina Perez, Contact Person: Amy L. Rubinstein, Ph.D., Development Awards, and Research Scientist Scientific Review Officer, Center for Awards; 93.278, Drug Abuse National Program Analyst, Office of Federal Advisory Scientific Review, National Institutes of Research Service Awards for Research Committee Policy. Health, 6701 Rockledge Drive, Room 5152, Training; 93.279, Drug Abuse and Addiction [FR Doc. 2021–04814 Filed 3–8–21; 8:45 am] MSC 7844, Bethesda, MD 20892, (301) 408– Research Programs, National Institutes of BILLING CODE 4140–01–P 9754, [email protected]. Health, HHS) (Catalogue of Federal Domestic Assistance Dated: March 3, 2021. Program Nos. 93.306, Comparative Medicine; Tyeshia M. Roberson, DEPARTMENT OF HOMELAND 93.333, Clinical Research, 93.306, 93.333, Program Analyst, Office of Federal Advisory SECURITY 93.337, 93.393–93.396, 93.837–93.844, Committee Policy. 93.846–93.878, 93.892, 93.893, National Coast Guard Institutes of Health, HHS) [FR Doc. 2021–04816 Filed 3–8–21; 8:45 am] Dated: March 3, 2021. BILLING CODE 4140–01–P [Docket No. USCG–2021–0176] Miguelina Perez, Information Collection Request to Program Analyst, Office of Federal Advisory DEPARTMENT OF HEALTH AND Office of Management and Budget; Committee Policy. HUMAN SERVICES OMB Control Number 1625–0034 [FR Doc. 2021–04813 Filed 3–8–21; 8:45 am] BILLING CODE 4140–01–P National Institutes of Health AGENCY: Coast Guard, DHS. ACTION: Sixty-day notice requesting National Institute of Diabetes and comments. DEPARTMENT OF HEALTH AND Digestive and Kidney Diseases; Notice HUMAN SERVICES of Closed Meeting SUMMARY: In compliance with the Paperwork Reduction Act of 1995, the National Institutes of Health Pursuant to section 10(d) of the U.S. Coast Guard intends to submit an Federal Advisory Committee Act, as Information Collection Request (ICR) to National Institute on Drug Abuse; amended, notice is hereby given of the the Office of Management and Budget Notice of Closed Meeting following meeting. (OMB), Office of Information and Pursuant to section 10(d) of the The meeting will be closed to the Regulatory Affairs (OIRA), requesting an Federal Advisory Committee Act, as public in accordance with the extension of its approval for the amended, notice is hereby given of the provisions set forth in sections following collection of information: following meeting. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., 1625–0034, Ships’ Stores Certification The meeting will be closed to the as amended. The grant applications and for Hazardous Materials Aboard Ships; public in accordance with the the discussions could disclose without change. Our ICR describes the provisions set forth in sections confidential trade secrets or commercial information we seek to collect from the 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., property such as patentable material, public. Before submitting this ICR to as amended. The grant applications and and personal information concerning OIRA, the Coast Guard is inviting the discussions could disclose individuals associated with the grant comments as described below. confidential trade secrets or commercial applications, the disclosure of which DATES: Comments must reach the Coast property such as patentable material, would constitute a clearly unwarranted Guard on or before May 10, 2021. and personal information concerning invasion of personal privacy. ADDRESSES: You may submit comments individuals associated with the grant identified by Coast Guard docket applications, the disclosure of which Name of Committee: National Institute of Diabetes and Digestive and Kidney Diseases number [USCG–2021–0176] to the Coast would constitute a clearly unwarranted Special Emphasis Panel; NIDDK Consortium Guard using the Federal eRulemaking invasion of personal privacy. Review. Portal at https://www.regulations.gov. Name of Committee: National Institute on Date: March 24, 2021. See the ‘‘Public participation and Drug Abuse Initial Review Group; Time: 1:00 p.m. to 6:00 p.m. request for comments’’ portion of the Medication Development Research Agenda: To review and evaluate grant SUPPLEMENTARY INFORMATION section for Subcommittee. applications. Date: March 15, 2021. Place: National Institutes of Health, Two further instructions on submitting Time: 9:00 a.m. to 6:00 p.m. Democracy Plaza, 6707 Democracy comments. Agenda: To review and evaluate grant Boulevard, Bethesda, MD 20892 (Telephone A copy of the ICR is available through applications. Conference Call). the docket on the internet at https://
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www.regulations.gov. Additionally, CONTACT section of this document for DEPARTMENT OF HOMELAND copies are available from: Commandant alternate instructions. Documents SECURITY (CG–6P), Attn: Paperwork Reduction mentioned in this notice, and all public Act Manager, U.S. Coast Guard, 2703 comments, are in our online docket at Coast Guard Martin Luther King Jr. Ave. SE, Stop https://www.regulations.gov and can be [Docket No. USCG–2021–0177] 7710, Washington, DC 20593–7710. viewed by following that website’s FOR FURTHER INFORMATION CONTACT: A.L. instructions. Additionally, if you go to Information Collection Request to Craig, Office of Privacy Management, the online docket and sign up for email Office of Management and Budget; telephone 202–475–3528, or fax 202– alerts, you will be notified when OMB Control Number 1625–0100 372–8405, for questions on these comments are posted. AGENCY: Coast Guard, DHS. documents. We accept anonymous comments. All ACTION: Sixty-day notice requesting SUPPLEMENTARY INFORMATION: comments received will be posted comments. Public Participation and Request for without change to https:// SUMMARY: In compliance with the Comments www.regulations.gov and will include any personal information you have Paperwork Reduction Act of 1995, the This notice relies on the authority of provided. For more about privacy and U.S. Coast Guard intends to submit an the Paperwork Reduction Act of 1995; submissions in response to this Information Collection Request (ICR) to 44 U.S.C. chapter 35, as amended. An document, see DHS’s eRulemaking the Office of Management and Budget ICR is an application to OIRA seeking (OMB), Office of Information and System of Records notice (85 FR 14226, the approval, extension, or renewal of a Regulatory Affairs (OIRA), requesting an March 11, 2020). Coast Guard collection of information extension of its approval for the (Collection). The ICR contains Information Collection Request following collection of information: information describing the Collection’s 1625–0100, Advanced Notice of Vessel purpose, the Collection’s likely burden Title: Ships’ Stores Certification for Arrival; without change. on the affected public, an explanation of Hazardous Materials Aboard Ships. Our ICR describes the information we the necessity of the Collection, and OMB Control Number: 1625–0034. seek to collect from the public. Before other important information describing submitting this ICR to OIRA, the Coast Summary: The information is used by the Collection. There is one ICR for each Guard is inviting comments as Collection. the Coast Guard to ensure that described below. personnel aboard ships are made aware The Coast Guard invites comments on DATES: Comments must reach the Coast of the proper usage and stowage whether this ICR should be granted Guard on or before May 10, 2021. based on the Collection being necessary instructions for certain hazardous ADDRESSES: You may submit comments for the proper performance of materials. Provisions are made for identified by Coast Guard docket Departmental functions. In particular, waivers of products in special number [USCG–2021–0177] to the Coast the Coast Guard would appreciate Department of Transportation (DOT) Guard using the Federal eRulemaking comments addressing: (1) The practical hazard classes. Portal at https://www.regulations.gov. utility of the Collection; (2) the accuracy Need: Title 46 U.S.C. 3306 authorizes See the ‘‘Public participation and of the estimated burden of the the Coast Guard to prescribe regulations request for comments’’ portion of the Collection; (3) ways to enhance the for the transportation, stowage, and use SUPPLEMENTARY INFORMATION section for quality, utility, and clarity of of ships’ stores and supplies of a further instructions on submitting information subject to the Collection; dangerous nature. Part 147 of 46 CFR comments. and (4) ways to minimize the burden of prescribes the regulations for hazardous A copy of the ICR is available through the Collection on respondents, ships’ stores. the docket on the internet at https:// including the use of automated Forms: None. www.regulations.gov. Additionally, collection techniques or other forms of copies are available from: Commandant information technology. Respondents: Owners and operators (CG–6P), Attn: Paperwork Reduction In response to your comments, we of ships, and suppliers and Act Manager, U.S. Coast Guard, 2703 may revise this ICR or decide not to seek manufacturers of hazardous materials Martin Luther King Jr. Ave. SE, Stop an extension of approval for the used on ships. 7710, Washington, DC 20593–7710. Collection. We will consider all comments and material received during Frequency: On occasion. FOR FURTHER INFORMATION CONTACT: A.L. the comment period. Hour Burden Estimate: The estimated Craig, Office of Privacy Management, We encourage you to respond to this burden remains 4 hours a year. telephone 202–475–3528, or fax 202– request by submitting comments and 372–8405, for questions on these Authority: The Paperwork Reduction documents. related materials. Comments must Act of 1995; 44 U.S.C. chapter 35, as SUPPLEMENTARY INFORMATION: contain the OMB Control Number of the amended. ICR and the docket number of this Public Participation and Request for request, [USCG–2021–0176], and must Dated: March 3, 2021. Comments be received by May 10, 2021. Kathleen Claffie, This notice relies on the authority of Submitting Comments Chief, Office of Privacy Management, U.S. Coast Guard. the Paperwork Reduction Act of 1995; We encourage you to submit [FR Doc. 2021–04832 Filed 3–8–21; 8:45 am] 44 U.S.C. chapter 35, as amended. An comments through the Federal ICR is an application to OIRA seeking BILLING CODE 9110–04–P eRulemaking Portal at https:// the approval, extension, or renewal of a www.regulations.gov. If your material Coast Guard collection of information cannot be submitted using https:// (Collection). The ICR contains www.regulations.gov, contact the person information describing the Collection’s in the FOR FURTHER INFORMATION purpose, the Collection’s likely burden
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on the affected public, an explanation of Summary: The Ports and Waterways A copy of the ICR is available through the necessity of the Collection, and Safety Act authorizes the Coast Guard to the docket on the internet at https:// other important information describing require pre-arrival messages from any www.regulations.gov. Additionally, the Collection. There is one ICR for each vessel entering a port or place in the copies are available from: Commandant Collection. United States. (CG–6P), Attn: Paperwork Reduction The Coast Guard invites comments on Need: This information is required Act Manager, U.S. Coast Guard, 2703 whether this ICR should be granted under 33 CFR 146 and 33 CFR 160 Martin Luther King Jr. Ave. SE, Stop based on the Collection being necessary subpart C to control vessel traffic, 7710, Washington, DC 20593–7710. for the proper performance of develop contingency plans, and enforce FOR FURTHER INFORMATION CONTACT: A.L. Departmental functions. In particular, regulations. Craig, Office of Privacy Management, the Coast Guard would appreciate Forms: None. telephone 202–475–3528, or fax 202– Respondents: Vessel owners and comments addressing: (1) The practical 372–8405, for questions on these operators. utility of the Collection; (2) the accuracy documents. of the estimated burden of the Frequency: On occasion. Collection; (3) ways to enhance the Hour Burden Estimate: The estimated SUPPLEMENTARY INFORMATION: quality, utility, and clarity of burden remains 104,515 hours a year. Authority: The Paperwork Reduction Public Participation and Request for information subject to the Collection; Act of 1995; 44 U.S.C. chapter 35, as Comments and (4) ways to minimize the burden of amended. This notice relies on the authority of the Collection on respondents, the Paperwork Reduction Act of 1995; including the use of automated Dated: March 3, 2021. 44 U.S.C. chapter 35, as amended. An collection techniques or other forms of Kathleen Claffie, ICR is an application to OIRA seeking information technology. Chief, Office of Privacy Management, U.S. In response to your comments, we Coast Guard. the approval, extension, or renewal of a Coast Guard collection of information may revise this ICR or decide not to seek [FR Doc. 2021–04836 Filed 3–8–21; 8:45 am] (Collection). The ICR contains an extension of approval for the BILLING CODE 9110–04–P Collection. We will consider all information describing the Collection’s comments and material received during purpose, the Collection’s likely burden the comment period. DEPARTMENT OF HOMELAND on the affected public, an explanation of We encourage you to respond to this SECURITY the necessity of the Collection, and request by submitting comments and other important information describing related materials. Comments must Coast Guard the Collection. There is one ICR for each Collection. contain the OMB Control Number of the [Docket No. USCG–2021–0173] ICR and the docket number of this The Coast Guard invites comments on request, [USCG–2021–0177], and must Information Collection Request to whether this ICR should be granted be received by May 10, 2021. Office of Management and Budget; based on the Collection being necessary OMB Control Number 1625–0113 for the proper performance of Submitting Comments Departmental functions. In particular, We encourage you to submit AGENCY: Coast Guard, DHS. the Coast Guard would appreciate comments through the Federal ACTION: Sixty-day notice requesting comments addressing: (1) The practical eRulemaking Portal at https:// comments. utility of the Collection; (2) the accuracy www.regulations.gov. If your material of the estimated burden of the SUMMARY: In compliance with the cannot be submitted using https:// Collection; (3) ways to enhance the Paperwork Reduction Act of 1995, the www.regulations.gov, contact the person quality, utility, and clarity of U.S. Coast Guard intends to submit an in the FOR FURTHER INFORMATION information subject to the Collection; Information Collection Request (ICR) to CONTACT section of this document for and (4) ways to minimize the burden of the Office of Management and Budget alternate instructions. Documents the Collection on respondents, (OMB), Office of Information and mentioned in this notice, and all public including the use of automated Regulatory Affairs (OIRA), requesting an comments, are in our online docket at collection techniques or other forms of extension of its approval for the https://www.regulations.gov and can be information technology. following collection of information: viewed by following that website’s In response to your comments, we 1625–0113, Crewmember Identification instructions. Additionally, if you go to may revise this ICR or decide not to seek Documents; without change. an extension of approval for the the online docket and sign up for email Our ICR describes the information we alerts, you will be notified when Collection. We will consider all seek to collect from the public. Before comments and material received during comments are posted. submitting this ICR to OIRA, the Coast We accept anonymous comments. All the comment period. Guard is inviting comments as comments received will be posted We encourage you to respond to this described below. without change to https:// request by submitting comments and www.regulations.gov and will include DATES: Comments must reach the Coast related materials. Comments must any personal information you have Guard on or before May 10, 2021. contain the OMB Control Number of the provided. For more about privacy and ADDRESSES: You may submit comments ICR and the docket number of this submissions in response to this identified by Coast Guard docket request, [USCG–2021–0173], and must document, see DHS’s eRulemaking number [USCG–2021–0173] to the Coast be received by May 10, 2021. Guard using the Federal eRulemaking System of Records notice (85 FR 14226, Submitting Comments March 11, 2020). Portal at https://www.regulations.gov. See the ‘‘Public participation and We encourage you to submit Information Collection Request request for comments’’ portion of the comments through the Federal Title: Advanced Notice of Vessel SUPPLEMENTARY INFORMATION section for eRulemaking Portal at https:// Arrival. further instructions on submitting www.regulations.gov. If your material OMB Control Number: 1625–0100. comments. cannot be submitted using https://
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www.regulations.gov, contact the person SUMMARY: In compliance with the of the estimated burden of the in the FOR FURTHER INFORMATION Paperwork Reduction Act of 1995, the Collection; (3) ways to enhance the CONTACT section of this document for U.S. Coast Guard intends to submit an quality, utility, and clarity of alternate instructions. Documents Information Collection Request (ICR) to information subject to the Collection; mentioned in this notice, and all public the Office of Management and Budget and (4) ways to minimize the burden of comments, are in our online docket at (OMB), Office of Information and the Collection on respondents, https://www.regulations.gov and can be Regulatory Affairs (OIRA), requesting an including the use of automated viewed by following that website’s extension of its approval for the collection techniques or other forms of instructions. Additionally, if you go to following collection of information: information technology. the online docket and sign up for email 1625–0097, Plan Approval and Records In response to your comments, we alerts, you will be notified when for Marine Engineering Systems; may revise this ICR or decide not to seek comments are posted. without change. Our ICR describes the an extension of approval for the We accept anonymous comments. All information we seek to collect from the Collection. We will consider all comments received will be posted public. Before submitting this ICR to comments and material received during without change to https:// OIRA, the Coast Guard is inviting the comment period. www.regulations.gov and will include comments as described below. We encourage you to respond to this any personal information you have DATES: Comments must reach the Coast request by submitting comments and provided. For more about privacy and Guard on or before May 10, 2021. related materials. Comments must submissions in response to this ADDRESSES: You may submit comments contain the OMB Control Number of the document, see DHS’s eRulemaking identified by Coast Guard docket ICR and the docket number of this System of Records notice (85 FR 14226, number [USCG–2021–0174] to the Coast request, [USCG–2021–0174], and must March 11, 2020). Guard using the Federal eRulemaking be received by May 10, 2021. Information Collection Request Portal at https://www.regulations.gov. Submitting Comments See the ‘‘Public participation and Title: Crewmember Identification We encourage you to submit request for comments’’ portion of the Documents. comments through the Federal SUPPLEMENTARY INFORMATION section for OMB Control Number: 1625–0113. eRulemaking Portal at https:// further instructions on submitting Summary: This information collection www.regulations.gov. If your material covers the requirement that comments. A copy of the ICR is available through cannot be submitted using https:// crewmembers on vessels calling at U.S. www.regulations.gov, contact the person ports must carry and present on demand the docket on the internet at https:// www.regulations.gov. Additionally, in the FOR FURTHER INFORMATION an identification that allows the identity CONTACT section of this document for of crewmembers to be authoritatively copies are available from: COMMANDANT (CG–6P), Attn: alternate instructions. Documents validated. mentioned in this notice, and all public Need: Title 46 U.S.C. 70111 mandated Paperwork Reduction Act Manager, U.S. comments, are in our online docket at that the Coast Guard establish regulation Coast Guard, 2703 Martin Luther King https://www.regulations.gov and can be about crewmember identification. The Jr. Ave. SE, STOP 7710, Washington, DC viewed by following that website’s regulations are in 33 CFR part 160 20593–7710. instructions. Additionally, if you go to Subpart D. FOR FURTHER INFORMATION CONTACT: A.L. the online docket and sign up for email Forms: None. Craig, Office of Privacy Management, alerts, you will be notified when Respondents: Crewmembers, and telephone 202–475–3528, or fax 202– operators of certain vessels. comments are posted. 372–8405, for questions on these We accept anonymous comments. All Frequency: On occasion. documents. Hour Burden Estimate: The estimated comments received will be posted burden remains 32,955 hours a year. SUPPLEMENTARY INFORMATION: without change to https:// Authority: The Paperwork Reduction Public Participation and Request for www.regulations.gov and will include Act of 1995; 44 U.S.C. chapter 35, as Comments any personal information you have amended. provided. For more about privacy and This notice relies on the authority of submissions in response to this Dated: March 3, 2021. the Paperwork Reduction Act of 1995; document, see DHS’s eRulemaking Kathleen Claffie, 44 U.S.C. chapter 35, as amended. An System of Records notice (85 FR 14226, Chief, Office of Privacy Management, U.S. ICR is an application to OIRA seeking March 11, 2020). Coast Guard. the approval, extension, or renewal of a [FR Doc. 2021–04847 Filed 3–8–21; 8:45 am] Coast Guard collection of information Information Collection Request BILLING CODE 9110–04–P (Collection). The ICR contains Title: Plan Approval and Records for information describing the Collection’s Marine Engineering Systems—46 CFR purpose, the Collection’s likely burden Subchapter F. DEPARTMENT OF HOMELAND on the affected public, an explanation of OMB Control Number: 1625–0097. SECURITY the necessity of the Collection, and Summary: This collection of other important information describing information requires an owner or Coast Guard the Collection. There is one ICR for each builder of a commercial vessel to submit [Docket No. USCG–2021–0174] Collection. to the U.S. Coast Guard for review and The Coast Guard invites comments on approval, plans pertaining to marine Information Collection Request to whether this ICR should be granted engineering systems to ensure that the Office of Management and Budget; based on the Collection being necessary vessel will meet regulatory standards. OMB Control Number 1625–0097 for the proper performance of Need: Under 46 U.S.C. 3306, the Coast AGENCY: Coast Guard, DHS. Departmental functions. In particular, Guard is authorized to prescribe vessel the Coast Guard would appreciate safety regulations including those ACTION: Sixty-Day notice requesting comments addressing: (1) The practical related to marine engineering systems. comments. utility of the Collection; (2) the accuracy Title 46 CFR Subchapter F prescribes
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those requirements. The rules provide www.regulations.gov. Additionally, CONTACT section of this document for the specifications, standards and copies are available from: Commandant alternate instructions. Documents requirements for strength and adequacy (CG–6P), Attn: Paperwork Reduction mentioned in this notice, and all public of design, construction, installation, Act Manager, U.S. Coast Guard, 2703 comments, are in our online docket at inspection, and choice of materials for Martin Luther King Jr. Ave. SE, Stop https://www.regulations.gov and can be machinery, boilers, pressure vessels, 7710, Washington, DC 20593–7710. viewed by following that website’s safety valves, and piping systems upon FOR FURTHER INFORMATION CONTACT: A.L. instructions. Additionally, if you go to which safety of life is dependent. Craig, Office of Privacy Management, the online docket and sign up for email Forms: None. telephone 202–475–3528, or fax 202– alerts, you will be notified when Respondents: Owners and builders of 372–8405, for questions on these comments are posted. commercial vessels. . documents. We accept anonymous comments. All Frequency: On occasion. comments received will be posted Hour Burden Estimate: The estimated SUPPLEMENTARY INFORMATION: without change to https:// burden remains 5,793 hours a year. Public Participation and Request for www.regulations.gov and will include Authority: The Paperwork Reduction Comments any personal information you have Act of 1995; 44 U.S.C. chapter 35, as provided. For more about privacy and This notice relies on the authority of amended. submissions in response to this the Paperwork Reduction Act of 1995; Dated: March 3, 2021. document, see DHS’s eRulemaking 44 U.S.C. chapter 35, as amended. An Kathleen Claffie, System of Records notice (85 FR 14226, ICR is an application to OIRA seeking Chief, Office of Privacy Management, U.S. March 11, 2020). the approval, extension, or renewal of a Coast Guard. Coast Guard collection of information Information Collection Request [FR Doc. 2021–04833 Filed 3–8–21; 8:45 am] (Collection). The ICR contains BILLING CODE 9110–04–P Title: Application for Tonnage information describing the Collection’s Measurement of Vessels. purpose, the Collection’s likely burden OMB Control Number: 1625–0022. DEPARTMENT OF HOMELAND on the affected public, an explanation of Summary: The information is used by SECURITY the necessity of the Collection, and the Coast Guard to determine a vessel’s other important information describing tonnage. Tonnage in turn helps to Coast Guard the Collection. There is one ICR for each determine licensing, inspection, safety Collection. [Docket No. USCG–2021–0050] requirements, and operating fees. The Coast Guard invites comments on Need: Under 46 U.S.C. 14104 certain Information Collection Request to whether this ICR should be granted vessels must be measured for tonnage. Office of Management and Budget; based on the Collection being necessary Coast Guard regulations for this OMB Control Number: 1625–0022 for the proper performance of measurement are contained in 46 CFR Departmental functions. In particular, part 69. AGENCY: Coast Guard, DHS. the Coast Guard would appreciate Forms: ACTION: Sixty-day notice requesting comments addressing: (1) The practical • CG–5397, Application for comments. utility of the Collection; (2) the accuracy Simplified Measurement. of the estimated burden of the Respondents: Owners of vessels. SUMMARY: In compliance with the Collection; (3) ways to enhance the Frequency: On occasion. Paperwork Reduction Act of 1995, the quality, utility, and clarity of Hour Burden Estimate: The estimated U.S. Coast Guard intends to submit an information subject to the Collection; burden remains 15,094 hours a year. Information Collection Request (ICR) to and (4) ways to minimize the burden of Authority: The Paperwork Reduction the Office of Management and Budget the Collection on respondents, Act of 1995; 44 U.S.C. chapter 35, as (OMB), Office of Information and including the use of automated amended. Regulatory Affairs (OIRA), requesting an collection techniques or other forms of extension of its approval for the Dated: March 3, 2021. information technology. Kathleen Claffie, following collection of information: In response to your comments, we 1625–0022, Application for Tonnage Chief, Office of Privacy Management, U.S. may revise this ICR or decide not to seek Coast Guard. Measure of Vessels; without change. an extension of approval for the Our ICR describes the information we Collection. We will consider all [FR Doc. 2021–04834 Filed 3–8–21; 8:45 am] seek to collect from the public. Before comments and material received during BILLING CODE 9110–04–P submitting this ICR to OIRA, the Coast the comment period. Guard is inviting comments as We encourage you to respond to this described below. DEPARTMENT OF HOMELAND request by submitting comments and SECURITY DATES: Comments must reach the Coast related materials. Comments must Guard on or before May 10, 2021. contain the OMB Control Number of the Coast Guard ADDRESSES: You may submit comments ICR and the docket number of this identified by Coast Guard docket request, [USCG–2021–0050], and must [Docket No. USCG–2021–0172] number [USCG–2021–0050] to the Coast be received by May 10, 2021. Information Collection Request to Guard using the Federal eRulemaking Submitting Comments Office of Management and Budget; Portal at https://www.regulations.gov. OMB Control Number 1625–0103 See the ‘‘Public participation and We encourage you to submit request for comments’’ portion of the comments through the Federal AGENCY: Coast Guard, DHS. SUPPLEMENTARY INFORMATION section for eRulemaking Portal at https:// ACTION: Sixty-day notice requesting further instructions on submitting www.regulations.gov. If your material comments. comments. cannot be submitted using https:// A copy of the ICR is available through www.regulations.gov, contact the person SUMMARY: In compliance with the the docket on the internet at https:// in the FOR FURTHER INFORMATION Paperwork Reduction Act of 1995, the
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U.S. Coast Guard intends to submit an Collection; (3) ways to enhance the between themselves and northern right Information Collection Request (ICR) to quality, utility, and clarity of whales—an endangered species-in the the Office of Management and Budget information subject to the Collection; areas established with critical-habitat (OMB), Office of Information and and (4) ways to minimize the burden of designation. Regulatory Affairs (OIRA), requesting an the Collection on respondents, Forms: None. extension of its approval for the including the use of automated Respondents: Operators of certain following collection of information: collection techniques or other forms of vessels. 1625–0103, Mandatory Ship Reporting information technology. Frequency: On occasion. System for Northeast and Southeast In response to your comments, we Hour Burden Estimate: The estimated Coasts of the United States; without may revise this ICR or decide not to seek burden remains 137 hours a year. change. an extension of approval for the Authority: The Paperwork Reduction Our ICR describes the information we Collection. We will consider all Act of 1995; 44 U.S.C. chapter 35, as seek to collect from the public. Before comments and material received during amended. submitting this ICR to OIRA, the Coast the comment period. Dated: March 3, 2021. We encourage you to respond to this Guard is inviting comments as Kathleen Claffie, described below. request by submitting comments and related materials. Comments must Chief, Office of Privacy Management, U.S. DATES: Comments must reach the Coast Coast Guard. contain the OMB Control Number of the Guard on or before May 10, 2021. [FR Doc. 2021–04841 Filed 3–8–21; 8:45 am] ADDRESSES: ICR and the docket number of this You may submit comments BILLING CODE 9110–04–P identified by Coast Guard docket request, [USCG–2021–0172], and must number [USCG–2021–0172] to the Coast be received by May 10, 2021. Guard using the Federal eRulemaking Submitting Comments DEPARTMENT OF HOMELAND Portal at https://www.regulations.gov. We encourage you to submit SECURITY See the ‘‘Public participation and comments through the Federal request for comments’’ portion of the Coast Guard eRulemaking Portal at https:// SUPPLEMENTARY INFORMATION section for www.regulations.gov. If your material [Docket No. USCG–2021–0175] further instructions on submitting cannot be submitted using https:// comments. Information Collection Request to A copy of the ICR is available through www.regulations.gov, contact the person in the FOR FURTHER INFORMATION Office of Management and Budget the docket on the internet at https:// Control; OMB Number 1625–0044 www.regulations.gov. Additionally, CONTACT section of this document for copies are available from: Commandant alternate instructions. Documents AGENCY: Coast Guard, DHS. mentioned in this notice, and all public (CG–6P), Attn: Paperwork Reduction ACTION: Sixty-day notice requesting comments, are in our online docket at Act Manager, U.S. Coast Guard, 2703 comments. Martin Luther King Jr. Ave. SE, Stop https://www.regulations.gov and can be 7710, Washington, DC 20593–7710. viewed by following that website’s SUMMARY: In compliance with the instructions. Additionally, if you go to FOR FURTHER INFORMATION CONTACT: A.L. Paperwork Reduction Act of 1995, the the online docket and sign up for email Craig, Office of Privacy Management, U.S. Coast Guard intends to submit an alerts, you will be notified when telephone 202–475–3528, or fax 202– Information Collection Request (ICR) to comments are posted. the Office of Management and Budget 372–8405, for questions on these We accept anonymous comments. All documents. (OMB), Office of Information and comments received will be posted Regulatory Affairs (OIRA), requesting an SUPPLEMENTARY INFORMATION: without change to https:// extension of its approval for the Public Participation and Request for www.regulations.gov and will include following collection of information: Comments any personal information you have 1625–0044, Outer Continental Shelf provided. For more about privacy and This notice relies on the authority of Activities; without change. submissions in response to this Our ICR describes the information we the Paperwork Reduction Act of 1995; document, see DHS’s eRulemaking seek to collect from the public. Before 44 U.S.C. chapter 35, as amended. An System of Records notice (85 FR 14226, submitting this ICR to OIRA, the Coast ICR is an application to OIRA seeking March 11, 2020). Guard is inviting comments as the approval, extension, or renewal of a described below. Coast Guard collection of information Information Collection Request (Collection). The ICR contains Title: Mandatory Ship Reporting DATES: Comments must reach the Coast information describing the Collection’s System for the Northeast and Southeast Guard on or before May 10, 2021. purpose, the Collection’s likely burden Coasts of the United States. ADDRESSES: You may submit comments on the affected public, an explanation of OMB Control Number: 1625–0103. identified by Coast Guard docket the necessity of the Collection, and Summary: The information is needed number [USCG–2021–0175] to the Coast other important information describing to reduce the number of ship collisions Guard using the Federal eRulemaking the Collection. There is one ICR for each with endangered northern right whales. Portal at https://www.regulations.gov. Collection. Coast Guard rules at 33 CFR part 169 See the ‘‘Public participation and The Coast Guard invites comments on establish two mandatory ship-reporting request for comments’’ portion of the whether this ICR should be granted systems off the northeast and southeast SUPPLEMENTARY INFORMATION section for based on the Collection being necessary coasts of the United States. further instructions on submitting for the proper performance of Need: The collection involves ships’ comments. Departmental functions. In particular, reporting by radio to a shore-based A copy of the ICR is available through the Coast Guard would appreciate authority when entering the area the docket on the internet at https:// comments addressing: (1) The practical covered by the reporting system. The www.regulations.gov. Additionally, utility of the Collection; (2) the accuracy ship will receive, in return, information copies are available from: Commandant of the estimated burden of the to reduce the likelihood of collisions (CG–6P), Attn: Paperwork Reduction
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Act Manager, U.S. Coast Guard, 2703 comments, are in our online docket at DEPARTMENT OF HOMELAND Martin Luther King Jr. Ave. SE, Stop https://www.regulations.gov and can be SECURITY 7710, Washington, DC 20593–7710. viewed by following that website’s FOR FURTHER INFORMATION CONTACT: A.L. instructions. Additionally, if you go to U.S. Citizenship and Immigration Craig, Office of Privacy Management, the online docket and sign up for email Services telephone 202–475–3528, or fax 202– alerts, you will be notified when [CIS No. 2682–21; DHS Docket No. USCIS– 372–8405, for questions on these comments are posted. 2021–0003] documents. We accept anonymous comments. All RIN 1615–ZB86 SUPPLEMENTARY INFORMATION: comments received will be posted Public Participation and Request for without change to https:// Designation of Venezuela for Comments www.regulations.gov and will include Temporary Protected Status and any personal information you have Implementation of Employment This notice relies on the authority of provided. For more about privacy and Authorization for Venezuelans Covered the Paperwork Reduction Act of 1995; submissions in response to this by Deferred Enforced Departure 44 U.S.C. chapter 35, as amended. An document, see DHS’s eRulemaking ICR is an application to OIRA seeking AGENCY: U.S. Citizenship and System of Records notice (85 FR 14226, the approval, extension, or renewal of a Immigration Services (USCIS), March 11, 2020). Coast Guard collection of information Department of Homeland Security. (Collection). The ICR contains Information Collection Request ACTION: Notice. information describing the Collection’s purpose, the Collection’s likely burden Title: Outer Continental Shelf SUMMARY: Through this notice, the on the affected public, an explanation of Activities—Title 33 CFR Subchapter N. Department of Homeland Security the necessity of the Collection, and OMB Control Number: 1625–0044. (DHS) announces that the Secretary of other important information describing Homeland Security (Secretary) is Summary: The Outer Continental the Collection. There is one ICR for each designating Venezuela for Temporary Shelf Lands Act, as amended, authorizes Collection. Protected Status (TPS) for 18 months, The Coast Guard invites comments on the Coast Guard to promulgate and effective March 9, 2021, through whether this ICR should be granted enforce regulations promoting the safety September 9, 2022. This notice also based on the Collection being necessary of life and property on Outer provides procedures for individuals for the proper performance of Continental Shelf (OCS) facilities. These who believe they are eligible for TPS Departmental functions. In particular, regulations are located in 33 CFR under the designation of Venezuela to the Coast Guard would appreciate subchapter N. apply. This notice also provides comments addressing: (1) The practical Need: The information is needed to information about Deferred Enforced utility of the Collection; (2) the accuracy ensure compliance with the safety Departure (DED) for eligible Venezuelan of the estimated burden of the regulations related to OCS activities. nationals (and persons without Collection; (3) ways to enhance the The regulations contain reporting and nationality who last habitually resided in Venezuela), and provides information quality, utility, and clarity of recordkeeping requirements for annual on how eligible individuals may apply information subject to the Collection; inspections of OCS facilities, employee and (4) ways to minimize the burden of for DED-related EADs with USCIS, citizenship records, station bills, and based on the January 19, 2021 the Collection on respondents, emergency evacuation plans. including the use of automated memorandum from former President collection techniques or other forms of Forms: Donald Trump directing the Secretary to information technology. • CG–5432, Fixed OCS Facility take appropriate measures for the In response to your comments, we Inspection Report. implementation of DED for Venezuelan nationals for 18 months, through July may revise this ICR or decide not to seek Respondents: Operators of facilities an extension of approval for the 20, 2022 (see 86 FR 6845, dated January and vessels engaged in activities on the Collection. We will consider all 25, 2021). OCS. comments and material received during Note: Individuals who apply for and the comment period. Frequency: On occasion. receive TPS and who are also covered We encourage you to respond to this Hour Burden Estimate: The estimated by DED do not need to apply for request by submitting comments and burden remains 9,582 hours a year. employment authorization under both related materials. Comments must programs. Individuals who apply for an contain the OMB Control Number of the Authority: The Paperwork Reduction EAD pursuant to their TPS application ICR and the docket number of this Act of 1995; 44 U.S.C. chapter 35, as will receive an EAD with an expiration request, [USCG–2021–0175], and must amended. date of September 9, 2022, that is be received by May 10, 2021. Dated: March 3, 2021. eligible for renewal if the Secretary Kathleen Claffie, extends TPS for Venezuela after Submitting Comments September 9, 2022, after determining Chief, Office of Privacy Management, U.S. We encourage you to submit Coast Guard. that Venezuela continues to meet the comments through the Federal conditions supporting its designation eRulemaking Portal at https:// [FR Doc. 2021–04845 Filed 3–8–21; 8:45 am] for TPS. Individuals who apply for an www.regulations.gov. If your material BILLING CODE 9110–04–P EAD pursuant to DED will receive an cannot be submitted using https:// EAD with an expiration date of July 20, www.regulations.gov, contact the person 2022. If the President does not direct an in the FOR FURTHER INFORMATION extension of the DED authorization, CONTACT section of this document for DED, and associated employment alternate instructions. Documents authorization, will end on July 20, 2022. mentioned in this notice, and all public USCIS encourages individuals who
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believe they are eligible for TPS to file and Nationality Act (INA), 8 U.S.C. IER—U.S. Department of Justice Civil Rights for the benefit during the initial 1254a(b)(1)(C), the Secretary is Division, Immigrant and Employee Rights registration period announced in this authorized to designate a foreign state Section Notice, even if they are also covered by (or any part thereof) for TPS upon IJ—Immigration Judge INA—Immigration and Nationality Act DED, in case they cannot qualify for TPS finding that extraordinary and SAVE—USCIS Systematic Alien Verification late initial filing under 8 CFR 244.2(f)(2) temporary conditions in the foreign for Entitlements Program after DED has expired. state prevent its nationals from Secretary—Secretary of Homeland Security DATES: The designation of Venezuela for returning safely, unless permitting the TNC—Tentative Nonconfirmation TPS is effective on March 9, 2021, and foreign state’s nationals to remain TPS—Temporary Protected Status will remain in effect for 18 months, temporarily in the United States is TTY—Text Telephone through September 9, 2022. The 180-day contrary to the national interest of the USCIS—U.S. Citizenship and Immigration registration period for eligible United States. Regardless of an Services U.S.C.—United States Code individuals to submit TPS applications individual’s country of birth, this begins March 9, 2021, and will remain designation allows eligible Venezuelan Purpose of This Action (TPS) nationals (and noncitizens having no in effect through September 5, 2021. Through this notice, DHS sets forth nationality who last habitually resided DED and employment authorization for procedures necessary for eligible in Venezuela) who have continuously noncitizens covered under DED for nationals of Venezuela (or individuals resided in the United States since March Venezuela is effective through July 20, having no nationality who last 8, 2021, and have been continuously 2022. habitually resided in Venezuela) to physically present in the United States FOR FURTHER INFORMATION CONTACT: submit an initial registration application since March 9, 2021, to apply for TPS. • You may contact Maureen Dunn, under the designation of Venezuela for This notice also describes the other Division Chief, Office of Policy and TPS and apply for an EAD. Under the eligibility criteria applicants must meet. Strategy, U.S. Citizenship and designation, individuals must submit an Individuals who believe they may Immigration Services, Department of initial Venezuela TPS application (Form qualify for TPS under this designation Homeland Security, by mail at 5900 I–821) and they may also submit an may apply within the 180-day Capital Gateway Drive, Camp Springs, application for Employment registration period that begins on March MD 20746, or by phone at 800–375– Authorization (Form I–765), during the 9, 2021, and ends on September 5, 2021. 5283. 180-day initial registration period that • They may also apply for TPS-related For further information on TPS, runs from March 9, 2021, through Employment Authorization Documents including guidance on the registration September 5, 2021. In addition to (EADs) and for travel authorization. process and additional information on demonstrating continuous residence in eligibility, please visit the USCIS TPS This notice also provides information the United States since March 8, 2021, web page at uscis.gov/tps. You can find about Deferred Enforced Departure and meeting other eligibility criteria, specific information about Venezuela’s (DED) for eligible Venezuelan nationals initial applicants for TPS under this TPS designation by selecting (and persons without nationality who designation must demonstrate that they ‘‘Venezuela’’ from the menu on the left last habitually resided in Venezuela), have been continuously physically side of the TPS web page. and provides information on how present in the United States since March • For further information on DED, eligible individuals may apply for DED- 9, 2021, the effective date of this including additional information on related EADs with USCIS, based on the designation of Venezuela, before USCIS eligibility, please visit the USCIS DED January 19, 2021 memorandum from may grant them TPS. USCIS estimates web page at uscis.gov/humanitarian/ former President Donald Trump that approximately 323,000 individuals temporary-protected-status/deferred- directing the Secretary to take are eligible to file applications for TPS enforced-departure. You can find appropriate measures for the under the designation of Venezuela. specific information about DED for implementation of DED for Venezuelan Venezuela by selecting ‘‘DED Granted nationals for 18 months, through July What is Temporary Protected Status Country: Venezuela’’ from the menu on 20, 2022 (see 86 FR 6845, dated January (TPS)? the left of the DED web page. 25, 2021). • TPS is a temporary immigration • If you have additional questions status granted to eligible nationals of a Table of Abbreviations about DED or TPS, please visit country designated for TPS under the uscis.gov/tools. Our online virtual BIA—Board of Immigration Appeals INA, or to eligible persons without assistant, Emma, can answer many of CFR—Code of Federal Regulations nationality who last habitually resided your questions and point you to DED—Deferred Enforced Departure in the designated country. additional information on our website. DHS—U.S. Department of Homeland • During the TPS designation period, If you are unable to find your answers Security TPS beneficiaries are eligible to remain there, you may also call our USCIS DOS—U.S. Department of State in the United States, may not be Contact Center at 800–375–5283 (TTY EAD—Employment Authorization Document removed, and are authorized to obtain 800–767–1833). FNC—Final Nonconfirmation EADs so long as they continue to meet • Applicants seeking information Form I–765—Application for Employment the requirements of TPS. about the status of their individual cases Authorization • TPS beneficiaries may also apply Form I–797—Notice of Action (Approval may check Case Status Online, available for and be granted travel authorization Notice) on the USCIS website at uscis.gov, or as a matter of discretion. Upon return visit the USCIS Contact Center at Form I–821—Application for Temporary Protected Status from such authorized travel, TPS uscis.gov/contactcenter. beneficiaries retain the same • Form I–9—Employment Eligibility Further information will also be Verification immigration status they had before the available at local USCIS offices upon Form I–912—Request for Fee Waiver travel. publication of this notice. Form I–94—Arrival/Departure Record Æ The granting of TPS does not result SUPPLEMENTARY INFORMATION: Under FR—Federal Register in or lead to lawful permanent resident section 244(b)(1)(C) of the Immigration Government—U.S. Government status.
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• To qualify for TPS, beneficiaries Economic Crisis Cha´vez.6 The Independent International must meet the eligibility standards at Fact-Finding Mission created by the UN INA section 244(c)(1)–(2), 8 U.S.C. Venezuela continues to suffer from a Human Rights Council to investigate 1254a(c)(1)–(2). severe economic crisis. The allegations of atrocities since 2014 • When the Secretary terminates a Congressional Research Service (CRS) concluded that there were reasonable country’s TPS designation, beneficiaries reported in August 2020 that grounds to believe that pro-government return to one of the following: ‘‘Venezuela’s economy has collapsed.’’ groups and high-level authorities, Æ The same immigration status or With the largest proven oil reserves in including Maduro, had committed category that they maintained before the world, Venezuela had long been violations amounting to crimes against TPS, if any (unless that status or ‘‘one of the most prosperous countries humanity. The mission found the category has since expired or been in South America.’’ However, in 2014, judiciary contributed to arbitrary arrests, terminated); or the country entered into an ongoing impunity for egregious abuses, and Æ Any other lawfully obtained ‘‘economic recession marked by denial of justice to victims.7 immigration status or category they hyperinflation, shortages of basic goods received while registered for TPS, as and a collapse in public services such Health Crisis long as it is still valid beyond the date as electricity and water.’’ Sources Venezuela was facing a significant TPS terminates. attribute Venezuela’s economic crisis to health crisis even before the start of the a variety of factors, including: The crash COVID–19 pandemic. According to Why was Venezuela designated for of global oil prices; economic TPS? CRS, ‘‘overall health indicators, mismanagement; heavy government particularly infant and maternal Overview regulation of the economy and the mortality rates,’’ had deteriorated well Venezuela is currently facing a severe private sector; corruption; and the before the impact of the COVID–19 humanitarian emergency.1 Under impact of the COVID–19 pandemic. pandemic. In April 2019, Human Rights Nicola´s Maduro’s influence,2 the Political Crisis Watch and the Johns Hopkins country ‘‘has been in the midst of a Bloomberg School of Public Health severe political and economic crisis for Venezuela continues to be impacted reported that ‘‘Venezuela’s health several years.’’ 3 Venezuela’s crisis has by a prolonged political crisis. system has been in decline since 2012, been marked by a wide range of factors, Following a May 2018 electoral process with conditions worsening drastically including: Economic contraction; that lacked legitimacy, but which since 2017.’’ Human Rights Watch inflation and hyperinflation; deepening Nicola´s Maduro claimed to have won, reported in May 2020 that ‘‘Venezuela’s poverty; high levels of unemployment; the United States and many other health system has collapsed. Shortages reduced access to and shortages of food democracies recognized Juan Guaido´ as of medications and health supplies, and medicine; a severely weakened the interim President of Venezuela. interruptions of basic utilities at medical system; the reappearance or Maduro continued to exert control over healthcare facilities, and the emigration increased incidence of certain all Venezuelan institutions after January of healthcare workers have led to a communicable diseases; a collapse in 2019, aside from the legitimately progressive decline in healthcare basic services; water, electricity, and elected, opposition-controlled 2015 operational capacity.’’ Venezuelans also fuel shortages; political polarization; National Assembly. In elections held on face ‘‘severe shortages of medicines and institutional and political tensions; December 6, 2020—which were rejected medical supplies’’ 8 and ‘‘a complex human rights abuses and repression; by the Organization of American States, situation in which access to basic crime and violence; corruption; many governments, and other services, especially health services increased human mobility and international organizations as remain critical.’’ 9 fraudulent 5—supporters of Maduro won displacement (including internal Food Insecurity migration, emigration, and return); and a vast majority of seats in the National the impact of the COVID–19 pandemic, Assembly under manipulated electoral In an October 2020 report, the Food among other factors.4 conditions. Maduro installed a new and Agriculture Organization of the illegitimate purported National United Nations (FAO) and the World 1 World Report 2021—Venezuela, Human Rights Assembly on January 5, 2021. Food Programme (WFP) identified Watch, Jan. 2021. Venezuela (and Venezuelan migrants in Human Rights 2 Ribando Seelke, Clare, Nelson, Rebecca M., neighboring countries) as one of 20 Brown, Phillip, Margesson, Rhoda, Venezuela: ‘‘acute food insecurity hotspots’’ 10 in Background and U.S. Relations, Congressional While concerns about ‘‘the Research Service (CRS), Summary, Aug. 26, 2020. deterioration of democratic institutions 6 3 Venezuelan Humanitarian and Refugee Crisis, and threats to freedom of speech and Ribando Seelke, Clare, Nelson, Rebecca M., Center for Disaster Philanthropy, Jan. 18, 2021. Brown, Phillip, Margesson, Rhoda, Venezuela: press in Venezuela’’ have been Background and U.S. Relations, Congressional 4 Ribando Seelke, Clare, Nelson, Rebecca M., expressed by human rights Research Service (CRS), p.7, Aug. 26, 2020. Brown, Phillip, Margesson, Rhoda, Venezuela: 7 | Background and U.S. Relations, Congressional organizations for over a decade, CRS OHCHR Venezuela: UN report urges Research Service (CRS), Summary, Aug. 26, 2020; reported in August 2020 that human accountability for crimes against humanity (Sep 16, Venezuelan Humanitarian and Refugee Crisis, rights conditions are even worse under 2020). 8 Center for Disaster Philanthropy, Jan. 18, 2021; Maduro than under former President Venezuela: Country Focus, European Asylum Venezuela: Complex Crisis—Overview, ACAPS, Jul. Support Office (EASO), p.41, Aug. 2020. 27, 2020, https://www.acaps.org/country/ 9 United Nations Office for the Coordination of venezuela/crisis/complex-crisis (last visited Feb. 2, Conflictividad Social (OVCS), Jan. 25, 2021; Humanitarian Affairs (OCHA), Venezuela: Health 2021); Venezuela: Humanitarian Response Plan Asmann, Parker, and Jones, Katie, InSight Crime’s Emergency 12-month update, https://reliefweb.int/ with Humanitarian Needs Overview 2020, United 2020 Homicide Round-Up, InSight Crime, Jan. 29, report/venezuela-bolivarian-republic/venezuela- Nations Office for the Coordination of 2021; Venezuela 2020 Crime & Safety Report, health-emergency-12-month-update-mdrve004, May Humanitarian Affairs (UNOCHA), p.7–9, Jul. 2020; Overseas Security Advisory Council (OSAC), U.S. 20, 2020. Detailed findings of the independent international Department of State, Jul. 21, 2020. 10 FAO–WFP early warning analysis of acute food factfinding mission on the Bolivarian Republic of 5 See Remarks by Bradley A. Freden, Deputy insecurity hotspots: October 2020, Food and Venezuela, United Nations Human Rights Council, Permanent Representative of the United States OAS Agriculture Organization of the United Nations p.27, Sep. 15, 2020; Conflictividad Social 2020 Permanent Council, OAS Resolution Condemns the (FAO) and the World Food Programme (WFP), p.6, [Social Conflict 2020], Observatorio Venezolano de Fraudulent Elections in Venezuela (Dec 9, 2020). Nov. 2020.
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the world.11 In an April 2019 report, standard of living.’’ 15 Venezuela also there is no judicial review of any Human Rights Watch and the Johns faces ‘‘severe shortages of water.’’ determination with respect to the Hopkins Bloomberg School of Public Further, ‘‘an estimated 86% of designation, or termination of or Health reported that ‘‘[h]unger, Venezuelans reported unreliable water extension of a designation. See INA malnutrition, and severe shortages of service, including 11% who have none section 244(b)(5)(A); 8 U.S.C. food are widespread’’ in Venezuela.12 at all’’, according to an April 2020 1254a(b)(5)(A). The Secretary, in his/her Despite a lack of nationwide nutrition survey of 4,500 residents by the non- discretion, may then grant TPS to data—last published by the government profit Venezuelan Observatory of Public eligible nationals of that foreign state (or in 2007—the report asserted that Services.16 noncitizens having no nationality who last habitually resided in the designated ‘‘available evidence suggests Crime and Insecurity malnutrition is high.’’ 13 Moreover, country). See INA section 244(a)(1)(A), Human Rights Watch reported in Sources reported in mid-2020 that 8 U.S.C. 1254a(a)(1)(A). January 2021 that, ‘‘[b]ased on data Venezuela has ‘‘among the highest At least 60 days before the expiration collected prior to the pandemic, the homicide and crime victimization rates of a country’s TPS designation or 2020 National Survey of Life Conditions in Latin America and the Caribbean,’’ extension, the Secretary, after reported 8 percent of children under and ‘‘one of the highest number [sic] of consultation with appropriate five acutely malnourished and 30 violent deaths in the region and in the Government agencies, must review the percent chronically malnourished, or world.’’ While Venezuela recorded ‘‘a conditions in the foreign state stunted.’’ substantial decrease in homicides in designated for TPS to determine To help address shortages of food, the 2020,’’ InSight Crime noted in January whether the conditions for the TPS Venezuelan government established the 2021 that ‘‘violence is indeed still designation continue to be met. See INA Local Committees for Supply and rampant’’ in the country. InSight Crime section 244(b)(3)(A), 8 U.S.C. Production (Comite´s Locales de also reported that—per the Venezuelan 1254a(b)(3)(A). If the Secretary does not Abastecimiento y Produccio´n—CLAP) Violence Observatory (Observatorio determine that the foreign state no Venezolano de Violencia or OVV)—‘‘a in 2016. According to the European longer meets the conditions for TPS violence epidemic continues to plague Asylum Support Office (EASO), the designation, the designation will be every single state, as well as the capital CLAP ‘‘are responsible for the delivery extended for an additional period of 6 district of Caracas.’’ Sources have of food and other government aid to the months or, in the Secretary’s discretion, attributed recent declines in the communities.’’ However, CLAP food 12 or 18 months. See INA section homicide rate to a variety of factors, boxes ‘‘do not meet the basic nutritional 244(b)(3)(A), (C), 8 U.S.C. including: A decrease in violence needs,’’ and their delivery is reportedly 1254a(b)(3)(A), (C). If the Secretary among armed structures that engage in ‘‘inconsistent and discretionary.’’ determines that the foreign state no territorial control; fewer opportunities Furthermore, EASO noted that the longer meets the conditions for TPS to engage in criminal behavior due to CLAP are reportedly used to monitor the designation, the Secretary must rising poverty, emigration, and terminate the designation. See INA population—including the political economic deterioration, among other activity of beneficiaries—and ‘‘as a tool section 244(b)(3)(B), 8 U.S.C. factors; and the impact of quarantines 1254a(b)(3)(B). to discriminate and harass those who and restrictions on movement related to oppose the government or are involved the COVID–19 pandemic. In its 2020 Notice of the Designation of Venezuela in human rights advocacy.’’ There have report, the U.S. Department of State’s for TPS also been allegations that certain Overseas Security Advisory Council By the authority vested in me as Venezuelans have been ‘‘excluded from (OSAC) stated that ‘‘[h]eavily armed Secretary under INA section 244, 8 the list of CLAP beneficiaries because criminals have used grenades and U.S.C. 1254a, I have determined, after they were not government supporters.’’ assault rifles to commit crimes at banks, consultation with the appropriate U.S. Access to Basic Services (Electricity, shopping malls, public transportation Government agencies, the statutory Water, Gas, etc.) stations, and universities.’’ 17 conditions supporting Venezuela’s Venezuela has seen a ‘‘collapse of What authority does the Secretary have designation for TPS on the basis of basic services.’’ 14 In a July 2020 report, to designate Venezuela for TPS? extraordinary and temporary conditions OHCHR stated that ‘‘Access and quality are met. See INA section 244(b)(1)(C), 8 Section 244(b)(1) of the INA, 8 U.S.C. U.S.C. 1254a(b)(1)(C). On the basis of of basic services, such as transportation, 1254a(b)(1), authorizes the Secretary, electricity, water and sanitation, and this determination, I am designating after consultation with appropriate Venezuela for TPS for 18 months, from gas, continued to deteriorate, agencies of the U.S. Government undermining the right to an adequate March 9, 2021 through September 9, (Government), to designate a foreign 2022. See INA section 244(b)(1)(C) and state (or part thereof) for TPS if the (b)(2); 8 U.S.C. 1254a(b)(1)(C), and 11 FAO–WFP early warning analysis of acute food Secretary determines that certain (b)(2). insecurity hotspots: October 2020, Food and country conditions exist. The decision Agriculture Organization of the United Nations Alejandro N. Mayorkas, (FAO) and the World Food Programme (WFP), p.5– to designate any foreign state (or part 6,12, Nov. 2020. thereof) is a discretionary decision, and Secretary, U.S. Department of Homeland 12 Venezuela’s Humanitarian Emergency: Large- Security. Scale UN Response Needed to Address Health and 15 Outcomes of the investigation into allegations Food Crises, Human Rights Watch & Johns Hopkins of possible human right violations of the human Eligibility and Employment Bloomberg School of Public Health, p.4, Apr. 4, rights to life, liberty and physical and moral Authorization for TPS 2019. integrity in the Bolivarian Republic of Venezuela, Required Application Forms and 13 Venezuela’s Humanitarian Emergency: Large- Office of the United Nations High Commissioner for Scale UN Response Needed to Address Health and Human Rights (OHCHR), p.4, Jul. 2, 2020. Application Fees To Register for TPS Food Crises, Human Rights Watch & Johns Hopkins 16 Latest on Water Shortage in Venezuela, To register for TPS based on the Bloomberg School of Public Health, p.4, Apr. 4, Hispanic Oulook Magazine, June 2020. 2019. 17 Venezuela 2020 Crime & Safety Report, designation of Venezuela, you must 14 Venezuela: Country Focus, European Asylum Department of State Overseas Security Advisory submit an Application for Temporary Support Office (EASO), p.41, Aug. 2020. Council, July 21, 2020. Protected Status (Form I–821) and pay
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the filing fee (or submit a Request for a (Form I–912). For more information on 8 U.S.C. 1254a(c)(3)(C); 8 CFR 244.17(b). Fee Waiver (Form I–912)). You may be the application forms and fees for TPS, For more information on good cause for required to pay the biometric services please visit the USCIS TPS web page at late initial registration, visit the USCIS fee. Please see additional information uscis.gov/tps. If necessary, you may be TPS web page at uscis.gov/tps. under the ‘‘Biometric Services Fee’’ required to visit an Application Support Following denial of your fee waiver section of this notice. Center to have your biometrics request, you may also refile your Form Although not required to do so, if you captured. For additional information on I–765, with fee, either with your Form want to obtain an EAD valid through the USCIS biometric screening process, I–821 or at a later time, if you choose. September 7, 2021, you must file an please see the USCIS Customer Profile Note: Although a registering TPS Application for Employment Management Service Privacy Impact beneficiary age 14 and older must pay Authorization (Form I–765) and pay the Assessment, available at dhs.gov/ the biometric services fee (but not the Form I–765 fee (or submit a Request for privacy. Form I–821 fee) when filing a TPS a Fee Waiver (Form I–912)). If you do Refiling a TPS Registration Application registration application, you may decide not want to request an EAD now, you After Receiving a Denial of a Fee to wait to request an EAD. Therefore, may also file Form I–765 at a later date Waiver Request you do not have to file the Form I–765 and pay the fee (or request a fee waiver), or pay the associated Form I–765 fee (or You should file as soon as possible provided that you still have TPS or a request a fee waiver) at the time of within the 180-day registration period pending TPS application. registration, and could wait to seek an so USCIS can process your application For more information on the EAD until after USCIS has approved and issue any EAD promptly. Properly application forms and fees for TPS, your TPS registration application. If you please visit the USCIS TPS web page at filing early will also allow you to have time to refile your application before the choose to do this, to register for TPS you uscis.gov/tps. Fees for the Form I–821, would only need to file the Form I–821 the Form I–765, and biometric services deadline, should USCIS deny your fee waiver request. If, however, you receive with the biometric services fee, if are also described in 8 CFR applicable (or request a fee waiver). 103.7(b)(1)(i). a denial of your fee waiver request and are unable to refile by the registration Mailing Information Biometric Services Fee for TPS deadline, you may still refile your Form Biometrics (such as fingerprints) are I–821 with the biometrics fee. USCIS Mail your application for TPS to the required for all applicants 14 years of will review this situation to determine proper address in Table 1. age and older. Those applicants must whether you established good cause for Table 1-Mailing Addresses: submit a biometric services fee. As late TPS registration. However, you are Mail your completed Application for previously stated, if you are unable to urged to refile within 45 days of the date Employment Authorization (Form pay the biometric services fee, you may on any USCIS fee waiver denial notice, I–765) and supporting documentation to complete a Request for Fee Waiver if possible. See INA section 244(c)(3)(C); the proper address in Table 1.
TABLE 1—MAILING ADDRESSES
If . . . Mail to . . .
You are applying through the U.S. Postal Service and you live in Flor- USCIS, Attn: TPS Venezuela, P.O. Box 20300, Phoenix, AZ 85036. ida. You are using FedEx, UPS, or DHL and you live in Florida ...... USCIS, Attn: TPS Venezuela, 1820 E. Skyharbor Circle S, Suite 100, Phoenix, AZ 85034 You are applying through U.S. Postal Service and you live in any other USCIS Attn: TPS Venezuela, P.O. Box 805282, Chicago, IL 60690. state. You are using FedEx, UPS, or DHL and you live in any other state ...... USCIS, Attn: TPS Venezuela (805282), 131 South Dearborn—3rd Floor, Chicago, IL 60603–5517.
If you were granted TPS by an documentation and other requirements What is Deferred Enforced Departure immigration judge (IJ) or the Board of for applying or registering for TPS on (DED)? Immigration Appeals (BIA) and you the USCIS website at uscis.gov/tps • DED is an administrative stay of under ‘‘Venezuela.’’ wish to request an EAD or are removal ordered by the President. The registering for the first time following a Purpose of this Action (DED) authority to grant DED arises from the grant of TPS by an IJ or the BIA, please President’s constitutional authority to mail your application to the appropriate Pursuant to the President’s conduct the foreign relations of the mailing address in Table 1. When constitutional authority to conduct the United States. The President can registering and requesting an EAD based foreign relations of the United States, authorize DED for any reason related to on an IJ/BIA grant of TPS, please foreign policy considerations warrant this authority. DED has been authorized include a copy of the IJ or BIA order implementing DED for Venezuela 18 in situations where foreign nationals granting you TPS with your application. through July 20, 2022. Through this may face danger if required to return to This will help us to verify your grant of notice, DHS is establishing procedures countries experiencing political TPS and process your application. for individuals covered by DED for instability, conflict, or other unsafe Venezuela to apply for employment Supporting Documents conditions, or when there are other authorization through July 20, 2022. foreign policy reasons for allowing a The filing instructions on the Form I– designated group of foreign nationals to 18 821 list all the documents needed to See Deferred Enforced Departure for Certain remain in the United States. Venezuelans, 86 FR 6845, January 25, 2021, • establish eligibility for TPS. You may available at Federal Register: Deferred Enforced Although DED is not a specific also find information on the acceptable Departure for Certain Venezuelans. immigration status, individuals covered
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by DED are not subject to removal from nationality who last habitually resided Employment Authorization (Form I– the United States, usually for a in Venezuela, who are present in the 765) instructions when completing the designated period of time. Furthermore, United States as of January 20, 2021, application for an EAD. When filing the the President may direct that certain and except for noncitizens: Application for Employment benefits, such as employment • Who have voluntarily returned to Authorization (Form I–765), you must: authorization or travel authorization, be Venezuela or their country of last • Indicate that you are eligible for available to foreign nationals covered by habitual residence outside the United DED by entering ‘‘(a)(11)’’ in response to the DED directive. States; Question 27 on the Application for • If the President provides for • Who have not continuously resided Employment Authorization (Form I– employment or travel authorization, in the United States since January 20, 765); and USCIS administers those benefits. 2021; • Submit the fee for the Application USCIS publishes a Federal Register • Who are inadmissible under section for Employment Authorization (Form I– notice to instruct the covered 212(a)(3) of the Immigration and 765). population on how to apply for any Nationality Act (INA) (8 U.S.C. benefits provided. 1182(a)(3)) or removable under section The regulations require individuals • The President issues directives 237(a)(4) of the INA (8 U.S.C. covered under DED who request an EAD regarding DED and who is covered via 1227(a)(4)); to pay the fee prescribed in 8 CFR 103.7 presidential memorandum. The • Who have been convicted of any for the Application for Employment qualification requirements for felony or two or more misdemeanors Authorization (Form I–765). See also 8 individuals who are covered under DED committed in the United States, or who CFR 274a.12(a)(11) (employment are based on the terms of the President’s meet the criteria set forth in section authorization for DED-covered directive regarding DED and any 208(b)(2)(A) of the INA (8 U.S.C. individuals); and 8 CFR 274a.13(a) relevant implementing requirements 1158(b)(2)(A)); (requirement to file EAD application if established by DHS. Since DED is a • Who were deported, excluded, or EAD desired). If you are unable to pay directive not to remove particular removed, before January 20, 2021; the fee, you may apply for an individuals, rather than a specific • Who are subject to extradition; application fee waiver by completing a immigration status like TPS, there is no • Whose presence in the United Request for Fee Waiver (Form I–912) or DED application form required to obtain States the Secretary of Homeland submitting a personal letter requesting a DED coverage. Security has determined is not in the fee waiver, and providing satisfactory The Presidential Memorandum interest of the United States or presents supporting documentation. ordering DED for Venezuelans can be a danger to public safety; or How will I know if USCIS will need to found at: https:// • Whose presence in the United obtain biometrics? www.federalregister.gov/documents/ States the Secretary of State has 2021/01/25/2021-01718/deferred- reasonable grounds to believe would If biometrics are required to produce enforced-departure-for-certain- have potentially serious adverse foreign your EAD, you will be notified by venezuelans policy consequences for the United USCIS and scheduled for an Eligibility and Employment States. appointment at a USCIS Application Support Center. Authorization for DED What will I need to file if I am covered How will I know if I am eligible for by DED and would like to obtain Where do I submit my completed DED- employment authorization under the employment authorization? based Application for Employment Authorization (Form I–765)? DED Presidential Memorandum for If you are covered under DED for eligible Venezuelans? Venezuela and would like to work, you For DED, mail your completed The procedures for employment must apply for an EAD by filing an Application for Employment authorization in this notice apply only Application for Employment Authorization (Form I–765) and to noncitizens who are Venezuelan Authorization (Form I–765). Please supporting documentation to the proper nationals, and persons without carefully follow the Application for address in Table 2.
TABLE 2—MAILING ADDRESSES
If . . . Mail to . . .
You are applying through the U.S. Postal Service ...... USCIS, Attn: DED Venezuela, PO Box 805283, Chicago, IL 60680– 6943] You are using FedEx, UPS, or DHL ...... USCIS, Attn: DED Venezuela, 131 South Dearborn—3rd Floor, ≤Chi- cago, IL 60603–5517
Can I file my DED-based Application What happens after July 20, 2022, for 20, 2022, expiration date, and for Employment Authorization (Form I– purposes of DED-based employment employees will need to present other 765) electronically? authorization? evidence of continued work No. Electronic filing is not available This DED authorization is set to end authorization. when filing an Application for on July 20, 2022. After that date, Employment Authorization (Form I– employers will no longer accept EADs 765) based on DED. with a category code of A11 and a July
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General Employment-Related fee. If you want to obtain a new DED- Note to Employees Information for TPS Applicants and based EAD valid through July 20, 2022, Individuals With DED-Based then you must file Form I–765, For general questions about the Employment Authorization and Their Application for Employment employment eligibility verification Employers Authorization, and pay the associated process, employees may call USCIS at fee. 888–897–7781 (TTY 877–875–6028) or How can I obtain information on the email USCIS at [email protected]. status of my EAD request? Can my employer require that I provide USCIS accepts calls in English, Spanish To get case status information about any other documentation to prove my and many other languages. Employees your TPS application, as well as the status, such as proof of my Venezuelan or applicants may also call the IER status of your TPS or DED-based EAD citizenship? Worker Hotline at 800–255–7688 (TTY request, you can check Case Status 800–237–2515) for information Online at uscis.gov, or visit the USCIS No. When completing Form I–9, regarding employment discrimination Contact Center at uscis.gov/ employers must accept any based upon citizenship, immigration contactcenter. If your Form I–765 has documentation that appears on the status, or national origin, including been pending for more than 90 days, Form I–9 Lists of Acceptable Documents discrimination related to Form I–9 and and you still need assistance, you may that reasonably appears to be genuine E-Verify. The IER Worker Hotline ask a question about your case online at and that relates to you, or an acceptable provides language interpretation in egov.uscis.gov/e-request/Intro.do or call List A, List B, or List C receipt. numerous languages. Employers need not reverify List B the USCIS Contact Center at 800–375– To comply with the law, employers identity documents. Employers may not 5283 (TTY 800–767–1833). must accept any document or request documentation that does not combination of documents from the When hired, what documentation may appear on the ‘‘Lists of Acceptable I show to my employer as evidence of Lists of Acceptable Documents if the Documents.’’ Therefore, employers may documentation reasonably appears to be identity and employment authorization not request proof of Venezuelan when completing Form I–9? genuine and to relate to the employee, citizenship when completing Form I–9 or an acceptable List A, List B, or List You can find the Lists of Acceptable for new hires or reverifying the C receipt as described in the Form I–9 Documents on the third page of Form I– employment authorization of current Instructions. Employers may not require 9, Employment Eligibility Verification, employees. Refer to the ‘‘Note to extra or additional documentation as well as the Acceptable Documents Employees’’ section of this Federal beyond what is required for Form I–9 web page at uscis.gov/i-9-central/ Register notice for important completion. Further, employers acceptable-documents. Employers must information about your rights if your participating in E-Verify who receive an complete Form I–9 to verify the identity employer rejects lawful documentation, E-Verify case result of ‘‘Tentative and employment authorization of all requires additional documentation, or Nonconfirmation’’ (TNC) must promptly new employees. Within three days of otherwise discriminates against you inform employees of the TNC and give hire, employees must present acceptable based on your citizenship or such employees an opportunity to documents to their employers as immigration status, or your national contest the TNC. A TNC case result evidence of identity and employment origin. means that the information entered into authorization to satisfy Form I–9 Note to All Employers E-Verify from Form I–9 differs from requirements. records available to DHS. You may present any document from Employers are reminded that the laws List A (which provides evidence of both Employers may not terminate, requiring proper employment eligibility identity and employment authorization) suspend, delay training, withhold or verification and prohibiting unfair or one document from List B (which lower pay, or take any adverse action provides evidence of your identity) immigration-related employment against an employee because of the TNC together with one document from List C practices remain in full force. This while the case is still pending with E- (which provides evidence of Federal Register notice does not Verify. A Final Nonconfirmation (FNC) employment authorization), or you may supersede or in any way limit case result is received when E-Verify present an acceptable receipt as applicable employment verification cannot confirm an employee’s described in the Form I–9 Instructions. rules and policy guidance, including employment eligibility. An employer Employers may not reject a document those rules setting forth reverification may terminate employment based on a based on a future expiration date. You requirements. For general questions case result of FNC. Work-authorized can find additional information about about the employment eligibility employees who receive an FNC may call Form I–9 on the I–9 Central web page verification process, employers may call USCIS for assistance at 888–897–7781 at uscis.gov/I–9Central. An EAD is an USCIS at 888–464–4218 (TTY 877–875– (TTY 877–875–6028). For more acceptable document under List A. 6028) or email USCIS at I-9Central@ information about E-Verify-related dhs.gov. USCIS accepts calls and emails discrimination or to report an employer If I have an EAD based on another in English and many other languages. for discrimination in the E-Verify immigration status, can I obtain a new For questions about avoiding process based on citizenship, EAD? discrimination during the employment immigration status, or national origin, Yes, if you are eligible for DED or eligibility verification process (Form I– contact IER’s Worker Hotline at 800– TPS, you can obtain a new EAD, 9 and E-Verify), employers may call the 255–7688 (TTY 800–237–2515). regardless of whether you have an EAD U.S. Department of Justice’s Civil Rights Additional information about proper based on another immigration status. If Division, Immigrant and Employee nondiscriminatory Form I–9 and E- you want to obtain a new TPS-based Rights Section (IER) Employer Hotline Verify procedures is available on the EAD valid through September 9, 2022, at 800–255–8155 (TTY 800–237–2515). IER website at justice.gov/ then you must file Form I–765, IER offers language interpretation in ierandtheUSCISandE- Application for Employment numerous languages. Employers may Verifywebsitesatuscis.gov/i-9-central Authorization, and pay the associated also email IER at [email protected]. and e-verify.gov.
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Note Regarding Federal, State, and accordance with the agency’s Development, 451 7th Street SW, Local Government Agencies (Such as procedures. If the agency has received Washington, DC 20410; telephone 202– Departments of Motor Vehicles) and acted on or will act on a SAVE 402–3374, (this is not a toll-free For Federal purposes, individuals verification and you do not believe the number). Persons with hearing or approved for TPS may show their Form response is correct, find detailed speech impairments may access this I–797, Notice of Action, indicating information on how to make corrections number via TTY by calling the Federal approval of their Form I–821 or update your immigration record, Relay Service at (800) 877–8339 (this is application, or their A12 or C19 EAD to make an appointment, or submit a a toll-free number). Copies of available prove that they have TPS. Individuals written request to correct records on the documents submitted to OMB may be may present their A11 EAD to show SAVE website at www.uscis.gov/save. obtained from Ms. Rogers. they are covered by DED. However, [FR Doc. 2021–04951 Filed 3–8–21; 4:15 pm] SUPPLEMENTARY INFORMATION: This while Federal Government agencies BILLING CODE 9111–97–P notice informs the public that HUD is must follow the guidelines laid out by seeking approval from OMB for the the Federal Government, state and local information collection described in government agencies establish their own DEPARTMENT OF HOUSING AND Section A. rules and guidelines when granting URBAN DEVELOPMENT A. Overview of Information Collection certain benefits. Each state may have [Docket No. FR–7040–N–05] different laws, requirements, and Title of Information Collection: Public Housing Assessment System (PHAS) determinations about what documents 60-Day Notice of Proposed Information Appeals; Public Housing and you need to provide to prove eligibility Collection: Public Housing Multifamily Housing Technical Reviews for certain benefits. Whether you are Assessment System (PHAS) Appeals; and Database Adjustments; Assisted and applying for a Federal, state, or local PHAS Unaudited Financial Statement Insured Housing property inspection government benefit, you may need to Submission Extensions; Assisted and Technical Reviews and Database provide the government agency with Insured Housing Property Inspection Adjustments. documents that show you are covered Technical Reviews and Database OMB Approval Number: 2577–0257. under TPS and/or DED and/or show you Adjustments; OMB Control No. 2577– Type of Request: Revision of a are authorized to work based on TPS 0257 and/or DED. Examples of such currently approved collection. documents are: AGENCY: Office of the Assistant Form Number: HUD–52306. • Your new EAD with a category code Secretary for Public and Indian Description of the need for the of A12 or C19 for TPS, or A11 for DED; Housing, PIH, HUD. information and proposed use: The • A copy of your Form I–797, the ACTION: Notice. collection of this information supports notice of approval, for a current Form I– HUD’s ongoing mission to provide safe, 821, if you received one from USCIS; or SUMMARY: HUD is seeking approval from decent, and habitable housing to low • Any other relevant DHS-issued the Office of Management and Budget income households. To ensure HUD’s document that indicates your (OMB) for the information collection subsidized housing meets this criteria immigration status or authorization to described below. In accordance with the accurate data and information collection be in the United States, or that may be Paperwork Reduction Act, HUD is is required to provide an assessment used by DHS to determine whether you requesting comment from all interested reflective of the property’s condition. have such status or authorization to parties on the proposed collection of Poorly performing PHAs may be subject remain in the United States. information. The purpose of this notice to additional reporting requirements, Check with the government agency is to allow for 60 days of public may receive HUD assistance, and are regarding which document(s) the agency comment. subject to possible penalties. For the Office of Housing, accurate scores are will accept. DATES: Comments Due Date: May 10, Some benefit-granting agencies use 2021. vital to their monitoring and compliance the SAVE program to confirm the efforts. Unacceptable property scores current immigration status of applicants ADDRESSES: Interested persons are result in automatic penalties and for public benefits. SAVE can verify invited to submit comments regarding referral for enforcement actions. when an individual has TPS or DED this proposal. Comments should refer to Pursuant to § 6(j)(2)(A)(iii) the United based on the documents above. In most the proposal by name and/or OMB States Housing Act of 1937, as amended, cases, SAVE provides an automated Control Number and should be sent to: HUD established procedures in the electronic response to benefit-granting Colette Pollard, Reports Management Public Housing Assessment System agencies within seconds, but Officer, QDAM, Department of Housing (PHAS) rule for a public housing occasionally verification can be delayed. and Urban Development, 451 7th Street agencies (PHAs) to appeal an overall You can check the status of your SAVE SW, Room 4176, Washington, DC PHAS score or a troubled designation verification by using CaseCheck at 20410–5000; telephone 202–402–5564 (§ 902.69). The PHAS rule in §§ 902.24 uscis.gov/save/save-casecheck, then by (this is not a toll-free number) or email and 902.68 also provides that under clicking the ‘‘Check Your Case’’ button. at [email protected] for a copy of certain circumstances PHAs may submit CaseCheck is a free service that lets you the proposed forms or other available a request for a database adjustment and follow the progress of your SAVE information. Persons with hearing or technical review, respectively, of verification using your date of birth and speech impairments may access this physical condition inspection results. SAVE verification case number or an number through TTY by calling the Pursuant to the Office of Housing immigration identifier number that you Federal Relay Service at (800) 877–8339 Physical Condition of Multifamily provided to the benefit-granting agency. (this is a toll-free number). Properties regulation at § 200.857(d) and If an agency has denied your application FOR FURTHER INFORMATION CONTACT: (e), multifamily property owners also based solely or in part on a SAVE Dacia Rogers, Office of Policy, Programs have the right, under certain response, the agency must offer you the and Legislative Initiatives, PIH, circumstances, to submit a request for a opportunity to appeal the decision in Department of Housing and Urban database adjustment and technical
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review, respectively, of physical changes result is more accurate granted, an extension of time postpones condition inspection results. assessments. the imposition of sanctions for a late Appeals, when granted, change Section 902.60 of the PHAS rule also submission. assessment scores and designations; provides that, in extenuating Respondents (i.e., affected public): database adjustments and technical circumstances, PHAs may request an Public Housing Agencies (PHAs) and reviews, when granted, change property extension of time to submit required Multifamily Housing property owners physical condition scores. These unaudited financial information. When (MF POs).
BURDEN HOUR ESTIMATES FOR RESPONDENTS FOR APPEALS, TRS AND DBAS
Number of × Frequency Total × Estimated Total annual Type respondents of response responses hours = burden hours
PHA Appeal ...... 182 1 182 5 910 PHA Extension ...... 79 1 79 0.17 13 PHA DBA ...... 173 1 173 8 1,384 PHA TR ...... 271 1 271 8 2,168 MF PO DBA ...... 233 1 233 8 1,864 MF PO TR ...... 876 1 876 8 7,008
Totals ...... 1,814 ...... 1,814 ...... 13,347
B. Solicitation of Public Comment DEPARTMENT OF THE INTERIOR Reduction Act of 1995, we provide the general public and other Federal This notice is soliciting comments Geological Survey agencies with an opportunity to from members of the public and affected [GX20EG00COM0001; OMB Control Number comment on new, proposed, revised, parties concerning the collection of 1028–New] and continuing collections of information described in Section A on information. This helps us assess the the following: Agency Information Collection impact of our information collection (1) Whether the proposed collection Activities; Submission to the Office of requirements and minimize the public’s of information is necessary for the Management and Budget for Review reporting burden. It also helps the proper performance of the functions of and Approval; Markup Application public understand our information collection requirements and provide the the agency, including whether the AGENCY: U.S. Geological Survey, requested data in the desired format. information will have practical utility; Interior. A Federal Register notice with a 60- (2) The accuracy of the agency’s ACTION: Notice of information collection; day public comment period soliciting estimate of the burden of the proposed request for comment. comments on this collection of collection of information; information was published on July 1, SUMMARY: In accordance with the (3) Ways to enhance the quality, Paperwork Reduction Act of 1995, we, 2019 (84 FR 31337). No comments were utility, and clarity of the information to the U.S. Geological Survey (USGS) are received. We are again soliciting comments on be collected; and proposing a new information collection. the proposed ICR that is described (4) Ways to minimize the burden of DATES: Interested persons are invited to below. We are especially interested in the collection of information on those submit comments on or before April 8, public comment addressing the who are to respond; including through 2021. following issues: (1) Is the collection the use of appropriate automated ADDRESSES: Send written comments on necessary to the proper functions of the collection techniques or other forms of this information collection request (ICR) USGS; (2) will this information be information technology, e.g., permitting to the Office of Management and processed and used in a timely manner; electronic submission of responses. Budget’s Desk Officer for the (3) is the estimate of burden accurate; Department of the Interior by email at (4) how might the USGS enhance the HUD encourages interested parties to _ OIRA [email protected]; or via quality, utility, and clarity of the submit comment in response to these facsimile to (202) 395–5806. Please information to be collected; and (5) how questions. provide a copy of your comments to might the USGS minimize the burden of Authority: Section 3507 of the Paperwork U.S. Geological Survey, Information this collection on the respondents, Reduction Act of 1995, 44 U.S.C. 3507 as Collections Officer, 12201 Sunrise including through the use of amended. Valley Drive MS 159, Reston, VA 20192; information technology. or by email to gs-info_collections@ Dated: February 24, 2021. Comments that you submit in usgs.gov. Please reference OMB Control response to this notice are a matter of Merrie Nichols-Dixon, Number 1028–New in the subject line of public record. Before including your Director, Office of Policy, Programs and your comments. address, phone number, email address, Legislative Initiatives. FOR FURTHER INFORMATION CONTACT: To or other personal identifying [FR Doc. 2021–04818 Filed 3–8–21; 8:45 am] request additional information about information in your comment, you BILLING CODE 4210–67–P this ICR, contact Tatyana DiMascio by should be aware that your entire email at [email protected] or by comment—including your personal telephone at (303) 202–4206. You may identifying information—may be made also view the ICR at http:// publicly available at any time. While www.reginfo.gov/public/do/PRAMain. you can ask us in your comment to SUPPLEMENTARY INFORMATION: In withhold your personal identifying accordance with the Paperwork information from public review, we
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cannot guarantee that we will be able to The authority for this action is the collection requirements and provide the do so. Paperwork Reduction Act of 1995 (44 requested data in the desired format. Abstract: The USGS manages the U.S.C. 3501 et seq.). A Federal Register notice with a 60- National Hydrography Dataset (NHD), day public comment period soliciting David Brostuen, Watershed Boundary Dataset (WBD), comments on this collection of and National Hydrography Dataset Plus Director, National Geospatial Technical information was published on October Operations Center, U.S. Geological Survey. High Resolution (NHDPlus HR). All 23, 2020 (85 FR 67563). No comments three hydrography datasets are user- [FR Doc. 2021–04812 Filed 3–8–21; 8:45 am] were received. driven data, where state stewards, or BILLING CODE 4338–11–P As part of our continuing effort to USGS trained editors, perform edits to reduce paperwork and respondent burdens, we are again soliciting support data accuracy. The USGS role is DEPARTMENT OF THE INTERIOR also to provide an appropriate editing comments from the public and other tool, offer technical support, and to Bureau of Land Management Federal agencies on the proposed ICR distribute the datasets to the public at that is described below. We are no cost via The National Map and, [L19900000.PO0000.LLWO320.20X; OMB especially interested in public comment ultimately, US Topo. Control Number 1004–0169] addressing the following: (1) Whether or not the collection of ‘‘Markup Application’’ is the name of Agency Information Collection the USGS web application that allows information is necessary for the proper Activities; Submission to the Office of performance of the functions of the citizen participation in volunteer map Management and Budget for Review data collection activities for agency, including whether or not the and Approval; Use and Occupancy information will have practical utility; hydrography datasets. The Markup Under the Mining Laws Application allows citizens to submit (2) The accuracy of our estimate of the proposed changes and corrections, AGENCY: Bureau of Land Management, burden for this collection of called markups, to the NHD, WBD, and Interior. information, including the validity of NHDPlus HR by drawing newly ACTION: Notice of information collection; the methodology and assumptions used; proposed geographic features on the request for comment. (3) Ways to enhance the quality, map or by filling out a form that utility, and clarity of the information to explains a suggested change for a SUMMARY: In accordance with the be collected; and selected feature. All submitted markups, Paperwork Reduction Act of 1995, the (4) How might the agency minimize along with the user email contact, are Bureau of Land Management (BLM) is the burden of the collection of saved in a database to be reviewed by proposing to renew an information information on those who are to NHD or WBD state stewards, or USGS collection. respond, including through the use of appropriate automated, electronic, staff, for validation. State stewards or DATES: Interested persons are invited to USGS staff may contact the data submit comments on or before April 8, mechanical, or other technological volunteer via the recorded email 2021. collection techniques or other forms of information technology, e.g., permitting address if further clarification is needed ADDRESSES: Written comments and for a proposed change. Validated electronic submission of response. recommendations for the proposed Comments that you submit in markups go in a queue of edits to be information collection should be sent response to this notice are a matter of incorporated into the NHD, WBD or within 30 days of publication of this public record. Before including your NHDPlus HR. The edits are made by notice to www.reginfo.gov/public/do/ address, phone number, email address, NHD or WBD state stewards, or USGS PRAMain. Find this particular or other personal identifying editors using established editing tools. information collection by selecting information in your comment, you No edits to the hydrography datasets ‘‘Currently under Review—Open for should be aware that your entire take place within the Markup Public Comments’’ or by using the comment—including your personal Application. search function. identifying information—may be made Title of Collection: Markup FOR FURTHER INFORMATION CONTACT: To publicly available at any time. While Application. request additional information about you can ask us in your comment to OMB Control Number: 1028–NEW. this ICR, contact Tom Kilbey by email Form Number: None. withhold your personal identifying at [email protected], or by telephone at information from public review, we Type of Review: New Collection. 602–417–9349. Individuals who are Respondents/Affected Public: General cannot guarantee that we will be able to hearing or speech impaired may call the Public. do so. Federal Relay Service at 1–800–877– Total Estimated Number of Annual Abstract: This information collection 8339 for TTY assistance. You may also Respondents: 113. enables the BLM to regulate the use and Total Estimated Number of Annual view the ICR at http://www.reginfo.gov/ occupancy of unpatented hardrock Responses: 1,936. public/do/PRAMain. mining claims, and to take any action Estimated Completion Time per SUPPLEMENTARY INFORMATION: In necessary to prevent unnecessary or Response: 3 minutes. accordance with the Paperwork undue degradation of public lands as a Total Estimated Number of Annual Reduction Act of 1995 (PRA, 44 U.S.C. result of such use or occupancy. The Burden Hours: 126 hours. 3501 et seq.) and 5 CFR 1320.8(d)(1), we BLM collects information from mining Respondent’s Obligation: Voluntary. provide the general public and other claimants who want to undertake the Frequency of Collection: Occasional. Federal agencies with an opportunity to activities that are necessary in order to Total Estimated Annual Nonhour comment on new, proposed, revised, locate a mining claim or mill site. This Burden Cost: None. and continuing collections of request is for OMB to extend approval An agency may not conduct or information. This helps us assess the of this OMB control number for an sponsor and a person is not required to impact of our information collection additional three (3) years. respond to a collection of information requirements and minimize the public’s Title of Collection: Use and unless it displays a currently valid OMB reporting burden. It also helps the Occupancy Under the Mining Laws (43 control number. public understand our information CFR Subpart 3715).
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OMB Control Number: 1004–0169. this ICR, contact Kyle Free by email at you can ask us in your comment to Form Number: None. [email protected], or by telephone at (208) withhold your personal identifying Type of Review: Extension of a 240–5702. Individuals who are hearing information from public review, we currently approved collection. or speech impaired may call the Federal cannot guarantee that we will be able to Respondents/Affected Public: Mining Relay Service at 1–800–877–8339 for do so. claimants. TTY assistance. You may also view the Abstract: This control number applies Total Estimated Number of Annual ICR at http://www.reginfo.gov/public/ to the exploration, development, and Respondents: 70. do/PRAMain. Total Estimated Number of Annual utilization of oil shale resources on the Responses: 70. SUPPLEMENTARY INFORMATION: In BLM-managed public lands. Currently, Estimated Completion Time per accordance with the Paperwork the only oil shale leases issued by the Response: 4 hours. Reduction Act of 1995 (PRA, 44 U.S.C. BLM are research, development, and Total Estimated Number of Annual 3501 et seq.) and 5 CFR 1320.8(d)(1), we demonstration (RD&D) leases. However, Burden Hours: 280. provide the general public and other the BLM regulations provide a Respondent’s Obligation: Required to Federal agencies with an opportunity to framework for commercial oil shale obtain or retain a benefit. comment on new, proposed, revised, leasing and additionally include Frequency of Collection: One time. and continuing collections of provisions for conversion of RD&D Total Estimated Annual Nonhour information. This helps us assess the leases to commercial leases. Section 369 Burden Cost: None impact of our information collection of the Energy Policy Act (42 U.S.C. An agency may not conduct or requirements and minimize the public’s 15927) addresses oil shale development sponsor and a person is not required to reporting burden. It also helps the and authorizes the Secretary of the respond to a collection of information public understand our information Interior to establish regulations for a unless it displays a currently valid OMB collection requirements and provide the commercial leasing program for oil control number. requested data in the desired format. shale. The Mineral Leasing Act of 1920 The authority for this action is the A Federal Register notice with a 60- (30 U.S.C. 241(a)) provides the authority Paperwork Reduction Act of 1995 (44 day public comment period soliciting for the BLM to allow for the exploration, U.S.C. 3501 et seq.). comments on this collection of development, and utilization of oil shale Darrin King, information was published on resources on the BLM-managed public Information Collection Clearance Officer. November 20, 2020 (85 FR 74378). No lands. Additional statutory authorities comments were received. for the oil shale program are: (1) The [FR Doc. 2021–04878 Filed 3–8–21; 8:45 am] As part of our continuing effort to Mineral Leasing Act for Acquired Lands BILLING CODE 4310–84–P reduce paperwork and respondent of 1947 (30 U.S.C. 351–359); and (2) The burdens, we are again soliciting Federal Land Policy and Management DEPARTMENT OF THE INTERIOR comments from the public and other Act (FLPMA) of 1976 (43 U.S.C. 1701 et Federal agencies on the proposed ICR seq., including 43 U.S.C. 1732). This Bureau of Land Management that is described below. We are request is for OMB to renewal this OMB especially interested in public comment control number for an additional three [LLHQ320000.L13300000.EN0000; OMB Control No. 1004–0201] addressing the following: (3) years. (1) Whether or not the collection of Title of Collection: Oil Shale Agency Information Collection information is necessary for the proper Management (43 CFR parts 3900, 3910, Activities; Submission to the Office of performance of the functions of the 3920, and 3930). Management and Budget for Review agency, including whether or not the OMB Control Number: 1004–0201. and Approval; Oil Shale Management information will have practical utility; Form Number: None. (2) The accuracy of our estimate of the AGENCY: Bureau of Land Management, burden for this collection of Type of Review: Extension of a Interior. information, including the validity of currently approved collection. ACTION: Notice of information collection; the methodology and assumptions used; Respondents/Affected Public: request for comment. (3) Ways to enhance the quality, Applicants for oil shale leases, oil shale utility, and clarity of the information to lessees and oil shale operators. SUMMARY: In accordance with the Total Estimated Number of Annual Paperwork Reduction Act of 1995, the be collected; and Respondents: 2. Bureau of Land Management (BLM) is (4) How might the agency minimize proposing to renew an information the burden of the collection of Total Estimated Number of Annual collection. information on those who are to Responses: 24. respond, including through the use of Estimated Completion Time per DATES: Interested persons are invited to appropriate automated, electronic, Response: Varies from the number of submit comments on or before April 8, mechanical, or other technological minutes/hours per response. 2021. collection techniques or other forms of Total Estimated Number of Annual ADDRESSES: Written comments and information technology, e.g., permitting Burden Hours: 1,795. recommendations for the proposed electronic submission of response. Respondent’s Obligation: Required to information collection should be sent Comments that you submit in obtain or retain a benefit. within 30 days of publication of this response to this notice are a matter of notice to www.reginfo.gov/public/do/ public record. Before including your Frequency of Collection: On occasion. PRAMain. Find this particular address, phone number, email address, Total Estimated Annual Nonhour information collection by selecting or other personal identifying Burden Cost: $526,667. ‘‘Currently under Review—Open for information in your comment, you An agency may not conduct or Public Comments’’ or by using the should be aware that your entire sponsor and a person is not required to search function. comment—including your personal respond to a collection of information FOR FURTHER INFORMATION CONTACT: To identifying information—may be made unless it displays a currently valid OMB request additional information about publicly available at any time. While control number.
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The authority for this action is the 4-(Methylthio) Butanoic acid (HMTBa), Participation in the investigations and Paperwork Reduction Act of 1995 (44 regardless of purity, particle size, grade, public service list.—Persons, including U.S.C. 3501 et seq.). or physical form. Methionine has the industrial users of the subject chemical formula C5H11NO2S, liquid merchandise and, if the merchandise is Darrin King, HMTBa has the chemical formula sold at the retail level, representative Information Collection Clearance Officer. C5H10O3S, and dry HMTBa has the consumer organizations, wishing to [FR Doc. 2021–04879 Filed 3–8–21; 8:45 am] chemical formula (C5H9O3S)2Ca. participate in the final phase of these BILLING CODE 4310–84–P Subject merchandise also includes investigations as parties must file an methionine processed in a third country entry of appearance with the Secretary including, but not limited to, refining, to the Commission, as provided in INTERNATIONAL TRADE converting from liquid to dry or dry to § 201.11 of the Commission’s rules, no COMMISSION liquid form, or any other processing that later than 21 days prior to the hearing would not otherwise remove the date specified in this notice. A party [Investigation Nos. 731–TA–1534–1536 (Final)] merchandise from the scope of these that filed a notice of appearance during investigations if performed in the the preliminary phase of the Methionine From France, Japan, and country of manufacture of the in-scope investigations need not file an Spain; Scheduling of the Final Phase methionine or dl-Hydroxy analogue of additional notice of appearance during of Antidumping Duty Investigations dl-methionine. this final phase. The Secretary will The scope also includes methionine maintain a public service list containing AGENCY: United States International that is commingled (i.e., mixed or the names and addresses of all persons, Trade Commission. combined) with methionine from or their representatives, who are parties ACTION: Notice. sources not subject to these to the investigations. investigations. Only the subject Please note the Secretary’s Office will SUMMARY: The Commission hereby gives component of such commingled accept only electronic filings during this notice of the scheduling of the final products is covered by the scope of time. Filings must be made through the phase of antidumping investigation Nos. these investigations. Excluded from Commission’s Electronic Document 731–TA–1534–1536 (Final) pursuant to these investigations is United States Information System (EDIS, https:// the Tariff Act of 1930 (‘‘the Act’’) to Pharmacopoeia (USP) grade methionine. edis.usitc.gov.) No in-person paper- determine whether an industry in the In order to qualify for this exclusion, based filings or paper copies of any United States is materially injured or USP grade methionine must meet or electronic filings will be accepted until threatened with material injury, or the exceed all of the chemical, purity, further notice. establishment of an industry in the performance, and labeling requirements Limited disclosure of business United States is materially retarded, by of the United States Pharmacopeia and proprietary information (BPI) under an reason of imports of methionine from the National Formulary for USP grade administrative protective order (APO) France, Japan, and Spain, provided for methionine. and BPI service list.—Pursuant to in subheadings 2930.40.00 and Methionine is currently classified § 207.7(a) of the Commission’s rules, the 2930.90.46 of the Harmonized Tariff under subheadings 2930.40.00 and Secretary will make BPI gathered in the Schedule of the United States, 2930.90.46 of the Harmonized Tariff final phase of these investigations preliminarily determined by the Schedule of the United States (HTSUS). available to authorized applicants under Department of Commerce (‘‘Commerce’’) Methionine has the Chemical Abstracts the APO issued in the investigations, to be sold at less-than-fair-value. Service (CAS) registry numbers 583–91– provided that the application is made DATES: February 24, 2021. 5, 4857–44–7, 59–51–8 and 922–50–9. no later than 21 days prior to the While the HTSUS subheadings and CAS hearing date specified in this notice. FOR FURTHER INFORMATION CONTACT: registry numbers are provided for Authorized applicants must represent Calvin Chang (202–205–3062), Office of convenience and customs purposes, the interested parties, as defined by 19 Investigations, U.S. International Trade written description of the scope of these U.S.C. 1677(9), who are parties to the Commission, 500 E Street SW, investigations is dispositive. investigations. A party granted access to Washington, DC 20436. Hearing- Background.—The final phase of BPI in the preliminary phase of the impaired persons can obtain these investigations is being scheduled, investigations need not reapply for such information on this matter by contacting pursuant to section 735(b) of the Tariff access. A separate service list will be the Commission’s TDD terminal on 202– Act of 1930 (19 U.S.C. 1673d(b)), as a maintained by the Secretary for those 205–1810. Persons with mobility result of affirmative preliminary parties authorized to receive BPI under impairments who will need special determinations by Commerce that the APO. assistance in gaining access to the imports of methionine from France, Staff report.—The prehearing staff Commission should contact the Office Japan, and Spain are being sold in the report in the final phase of these of the Secretary at 202–205–2000. United States at less than fair value investigations will be placed in the General information concerning the within the meaning of § 733 of the Act nonpublic record on April 27, 2021, and Commission may also be obtained by (19 U.S.C. 1673b). The investigations a public version will be issued accessing its internet server (https:// were requested in petitions filed on July thereafter, pursuant to § 207.22 of the www.usitc.gov). The public record for 29, 2020, by Novus International, Inc., Commission’s rules. these investigations may be viewed on St. Charles, Missouri. Hearing.— The Commission will hold the Commission’s electronic docket For further information concerning a hearing in connection with the final (EDIS) at https://edis.usitc.gov. the conduct of this phase of the phase of these investigations beginning SUPPLEMENTARY INFORMATION: investigations, hearing procedures, and at 9:30 a.m. on May 11, 2021. Scope.—For purposes of these rules of general application, consult the Information about the place and form of investigations, Commerce has defined Commission’s Rules of Practice and the hearing, including about how to the subject merchandise as methionine Procedure, part 201, subparts A and B participate in and/or view the hearing, and dl-Hydroxy analogue of (19 CFR part 201), and part 207, will be posted on the Commission’s dlmethionine, also known as 2-Hydroxy subparts A and C (19 CFR part 207). website at https://www.usitc.gov/
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calendarpad/calendar.html. Interested upon the Commission’s procedures with SUPPLEMENTARY INFORMATION: In parties should check the Commission’s respect to filings. accordance with 21 CFR 1301.33(a), this website periodically for updates. Additional written submissions to the is notice that on February 2, 2021, Requests to appear at the hearing should Commission, including requests Patheon Pharmaceuticals Inc, 2110 East be filed in writing with the Secretary to pursuant to § 201.12 of the Galbraith Road, Cincinnati, Ohio the Commission on or before May 6, Commission’s rules, shall not be 45237–1625, applied to be registered as 2021. A nonparty who has testimony accepted unless good cause is shown for a bulk manufacturer of the following that may aid the Commission’s accepting such submissions, or unless basic class of controlled substance: deliberations may request permission to the submission is pursuant to a specific present a short statement at the hearing. request by a Commissioner or Drug Controlled substance code Schedule All parties and nonparties desiring to Commission staff. appear at the hearing and make oral In accordance with §§ 201.16(c) and 207.3 of the Commission’s rules, each Gamma Hydroxybutyric 2010 I presentations should attend a Acid. prehearing conference to be held at 9:30 document filed by a party to the investigations must be served on all a.m. on May 7, 2021, if deemed The company plans to manufacture other parties to the investigations (as necessary. Oral testimony and written the above-listed controlled substance as identified by either the public or BPI materials to be submitted at the public Active Pharmaceutical Ingredient (API) service list), and a certificate of service hearing are governed by sections that will be further synthesized into must be timely filed. The Secretary will 201.6(b)(2), 201.13(f), and 207.24 of the Food and Drug Administration- not accept a document for filing without approved dosage forms. No other Commission’s rules. Parties must submit a certificate of service. any request to present a portion of their activities for this drug code are hearing testimony in camera no later Authority: These investigations are being authorized for this registration. than 7 business days prior to the date of conducted under authority of title VII of the Tariff Act of 1930; this notice is published William T. McDermott, the hearing. pursuant to § 207.21 of the Commission’s Assistant Administrator. Written submissions.—Each party rules. [FR Doc. 2021–04809 Filed 3–8–21; 8:45 am] who is an interested party shall submit By order of the Commission. BILLING CODE 4410–09–P a prehearing brief to the Commission. Issued: March 4, 2021. Prehearing briefs must conform with the Lisa Barton, provisions of § 207.23 of the DEPARTMENT OF JUSTICE Secretary to the Commission. Commission’s rules; the deadline for filing is May 4, 2021. Parties may also [FR Doc. 2021–04860 Filed 3–8–21; 8:45 am] Drug Enforcement Administration BILLING CODE 7020–02–P file written testimony in connection [Docket No. DEA–804] with their presentation at the hearing, as provided in § 207.24 of the Bulk Manufacturer of Controlled Commission’s rules, and posthearing DEPARTMENT OF JUSTICE Substances Application: Stepan briefs, which must conform with the Company Drug Enforcement Administration provisions of section 207.25 of the Commission’s rules. The deadline for [Docket No. DEA–802] AGENCY: Drug Enforcement filing posthearing briefs is May 17, Administration, Justice. 2021. In addition, any person who has Bulk Manufacturer of Controlled ACTION: Notice of application. not entered an appearance as a party to Substances Application: Patheon SUMMARY: Stepan Company has applied the investigations may submit a written Pharmaceuticals Inc to be registered as a bulk manufacturer statement of information pertinent to AGENCY: Drug Enforcement of basic class(es) of controlled the subject of the investigations, Administration, Justice. substance(s). Refer to SUPPLEMENTARY including statements of support or ACTION: Notice of application. INFORMATION listed below for further opposition to the petition, on or before drug information. May 17, 2021. On June 4, 2021, the SUMMARY: Patheon Pharmaceuticals Inc DATES: Commission will make available to has applied to be registered as a bulk Registered bulk manufacturers of parties all information on which they manufacturer of basic class(es) of the affected basic class(es), and have not had an opportunity to controlled substance(s). Refer to applicants therefore, may file written comment. Parties may submit final Supplemental Information listed below comments on or objections to the issuance of the proposed registration on comments on this information on or for further drug information. or before May 10, 2021. Such persons before June 8, 2021, but such final DATES: Registered bulk manufacturers of may also file a written request for a comments must not contain new factual the affected basic class(es), and hearing on the application on or before information and must otherwise comply applicants therefore, may file written May 10, 2021. with § 207.30 of the Commission’s rules. comments on or objections to the All written submissions must conform issuance of the proposed registration on ADDRESSES: Written comments should with the provisions of § 201.8 of the or before May 10, 2021. Such persons be sent to: Drug Enforcement Commission’s rules; any submissions may also file a written request for a Administration, Attention: DEA Federal that contain BPI must also conform with hearing on the application on or before Register Representative/DPW, 8701 the requirements of §§ 201.6, 207.3, and May 10, 2021. Morrissette Drive, Springfield, Virginia 22152. 207.7 of the Commission’s rules. The ADDRESSES: Written comments should Commission’s Handbook on Filing be sent to: Drug Enforcement SUPPLEMENTARY INFORMATION: In Procedures, available on the Administration, Attention: DEA Federal accordance with 21 CFR 1301.33(a), this Commission’s website at https:// Register Representative/DPW, 8701 is notice that on February 8, 2021, www.usitc.gov/documents/handbook_ Morrissette Drive, Springfield, Virginia Stepan Company, 100 West Hunter on_filing_procedures.pdf, elaborates 22152. Avenue, Maywood, New Jersey 07607–
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1021, applied to be registered as a bulk accordance with the purposes specified DEPARTMENT OF JUSTICE manufacturer of the following basic in 21 CFR 1301.33(a), DEA is providing [OMB Number 1121–0197] class(es) of controlled substance(s): notice that the entity identified below has applied for registration as a bulk Agency Information Collection Drug manufacturer of schedule I controlled Controlled substance code Schedule Activities; Proposed eCollection substances. In response, registered bulk eComments Requested; Extension Cocaine ...... 9041 II manufacturers of the affected basic Without Change, of a Previously Ecgonine ...... 9180 II class(es), and applicants therefor, may Approved Collection; State Criminal file written comments on or objections Alien Assistance Program (Section The company plans to manufacture of the requested registration, as 241(i) of the Immigration and the above-listed controlled substances provided in this notice. This notice does Nationality Act (8 U.S.C. 1231(i)) in bulk for distribution to its customers. not constitute any evaluation or No other activity for these drug codes is AGENCY: Bureau of Justice Assistance, determination of the merits of the Department of Justice. authorized for this registration. application submitted. ACTION: 60-Day notice. William T. McDermott, The applicant plans to manufacture Assistant Administrator. bulk active pharmaceutical ingredients SUMMARY: The Department of Justice [FR Doc. 2021–04808 Filed 3–8–21; 8:45 am] (APIs) for product development and (DOJ), Office of Justice Programs, BILLING CODE 4410–09–P distribution to DEA-registered Bureau of Justice Assistance, will be researchers. If the application for submitting the following information registration is granted, the registrant collection request to the Office of DEPARTMENT OF JUSTICE would not be authorized to conduct Management and Budget (OMB) for other activity under this registration review and approval in accordance with Drug Enforcement Administration aside from those coincident activities the Paperwork Reduction Act of 1995. [Docket No. DEA–803] specifically authorized by DEA DATES: Comments are encouraged and regulations. DEA will evaluate the will be accepted 60 days until May 10, Bulk Manufacturer of Controlled application for registration as a bulk 2021. Substances Application: Bulk manufacturer for compliance with all FOR FURTHER INFORMATION CONTACT: If Manufacturer of Marihuana: Groff NA applicable laws, treaties, and you have additional comments on the Hemplex LLC regulations and to ensure adequate estimated burden to facilities covered by the standards to comply with the AGENCY: Drug Enforcement safeguards against diversion are in regulation’s reporting requirements, Administration, Justice. place. suggestions, or need additional ACTION: Notice of application. As this applicant has applied to information, please contact, Joseph become registered as a bulk SUMMARY: The Drug Enforcement Husted, telephone number (202) 906– manufacturer of marihuana, the Administration (DEA) is providing 0387, Policy Advisor, Bureau of Justice application will be evaluated under the notice of an application it has received Assistance, 810 Seventh Street NW, from an entity applying to be registered criteria of 21 U.S.C. 823(a). DEA will Washington, DC 20531 or by email at to manufacture in bulk basic class(es) of conduct this evaluation in the manner [email protected]. controlled substances listed in schedule described in the rule published at 85 FR SUPPLEMENTARY INFORMATION: Written I. DEA intends to evaluate this and other 82333 on December 18, 2020, and comments and suggestions from the pending applications according to its reflected in DEA regulations at 21 CFR public and affected agencies concerning regulations governing the program of part 1318. the proposed collection of information growing marihuana for scientific and In accordance with 21 CFR are encouraged. Your comments should medical research under DEA 1301.33(a), DEA is providing notice that address one or more of the following registration. on December 29, 2020, Groff NA four points: —Evaluate whether the proposed DATES: Registered bulk manufacturers of Hemplex LLC, 100 Redco Avenue, Suite collection of information is necessary the affected basic class(es), and A, Red Lion, Pennsylvania 17356–1436, for the proper performance of the applicants therefor, may file written applied to be registered as a bulk functions of the agency, including comments on or objections to the manufacturer of the following basic whether the information will have issuance of the proposed registration on class(es) of controlled substances: practical utility; or before May 10, 2021. —Evaluate the accuracy of the agency’s ADDRESSES: Written comments should Drug Controlled substance code Schedule estimate of the burden of the be sent to: Drug Enforcement proposed collection of information, Administration, Attention: DEA Federal Marihuana Extract ...... 7350 I including the validity of the Register Representative/DPW 8701 methodology and assumptions that Morrissette Drive, Springfield, Virginia William T. McDermott, were used; 22152. To ensure proper handling of —Evaluate whether and if so how the comments, please reference Docket No. Assistant Administrator. quality, utility, and clarity of the DEA–803 in all correspondence, [FR Doc. 2021–04810 Filed 3–8–21; 8:45 am] information collected can be including attachments. BILLING CODE 4410–09–P enhanced; and SUPPLEMENTARY INFORMATION: The —Minimize the burden of the collection Controlled Substances Act (CSA) of information on those who are to prohibits the cultivation and respond, including use of appropriate distribution of marihuana except by automated, electronic, mechanical, or persons who are registered under the other technological collection CSA to do so for lawful purposes. In techniques or other forms of
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information technology, e.g., Technology involving offender Comments sent via the U.S. Postal permitting electronic submission of management/inter agency information Service must be postmarked by June 11, responses. sharing 2021. Disaster preparedness continuity of Overview of This Information ADDRESSES: Email comments to operations for corrections facilities Collection [email protected]. Send written Other: None. submissions to Roberto Delgado, Office 1. Type of Information Collection: An estimate of the total number of of Polar Programs, National Science Extension of a currently approved respondents and the amount of time Foundation, 2415 Eisenhower Avenue, collection. estimated for an average respondent to Alexandria, VA 22314. Voicemails can 2. The Title of the Form/Collection: respond: It is estimated that no more be left by calling (703) 783–1658 or our State Criminal Alien Assistance than 700 respondents will apply. Each toll-free number (888) 657–7759. Please Program (SCAAP) Authorizing application takes approximately 90 limit voicemails to five minutes in Legislation: Section 241(i) of the minutes to complete and is submitted length. Immigration and Nationality Act (8 once per year. U.S.C. 1231(i)). Instructions: Comments received 5. An estimate of the total number of electronically, including all 3. The agency form number: The respondents and the amount of time application process is managed through attachments, must not exceed a 25- estimated for an average respondent to megabyte file size. Attachments to the internet, using the Office of Justice respond: An estimate of the total Programs’ (OJP) SCAAP online electronic comments will be accepted in number of respondents and the amount Microsoft Word or Excel or Adobe PDF application system at: https:// of time estimated for an average bja.ojp.gov/program/state-criminal- file formats only. IARPC will review and respondent to respond/reply. It is consider all input received and revise alien-assistance-program-scaap/ estimated that no more than 700 overview?Program_ID=86. the plan as necessary. When the final respondents will apply. Each plan is released, comments and the 4. Affected public who will be asked application takes approximately 90 commenters’ names, along with or required to respond, as well as a brief minutes to complete and is submitted responses, will become part of the abstract: Federal, State, and local public once per year (annually) public record and be made available on safety agencies. States and local units of × a. 700 90 minutes = 63,000 minutes/ the IARPC Collaborations website. Do general government including the 50 60 = 1,050 hours. not submit confidential business state governments, the District of 6. An estimate of the total public information or otherwise sensitive or Columbia, Guam, Puerto Rico, the U.S. burden (in hours) associated with the protected information. Comments sent Virgin Islands, and the more than 3,000 collection: The estimated annual public by any other method, to any other counties and cities with correctional burden to complete the application is address or individual, or received after facilities. 1,050 hours. the end of the comment period will not Abstract: In response to the Violent If additional information is required, be considered. IARPC acknowledges Crime Control and Law Enforcement contact: Melody Braswell, Department and is grateful for the time taken to Act of 1994 Section 130002(b) as Clearance Officer, United States provide comments. amended in 1996, BJA administers the Department of Justice, Justice State Criminal Alien Assistance Management Division, Policy and FOR FURTHER INFORMATION CONTACT: Program (SCAAP) with the Bureau of Planning Staff, Two Constitution Meredith LaValley at plan@ Immigration and Customs Enforcement Square, 145 N Street NE, 3E.405A, iarpccollaborations.org or visit https:// (ICE), and the Department of Homeland Washington, DC 20530. www.iarpccollaborations.org/draft- plan.html where information about Security (DHS). SCAAP provides federal Dated: March 3, 2021. payments to States and localities that upcoming public webinars on the Arctic Melody Braswell, incurred correctional officer salary costs Research Plan 2022–2026 can be found. for incarcerating undocumented Department Clearance Officer for PRA, U.S. Department of Justice. SUPPLEMENTARY INFORMATION: criminal aliens with at least one felony or two misdemeanor convictions for [FR Doc. 2021–04785 Filed 3–8–21; 8:45 am] About IARPC BILLING CODE 4410–18–P violations of state or local law, and who IARPC was established by the Arctic are incarcerated for at least 4 Research Policy act of 1984 (ARPA) to consecutive days during the designated ‘‘facilitate cooperation between the NATIONAL SCIENCE FOUNDATION reporting period and for the following Federal Government and State and local correctional purposes; Request for Public Comment: governments in Arctic research’’ and Salaries for corrections officers Interagency Arctic Research Policy ‘‘recommend the undertaking of Overtime costs Committee Draft Arctic Research Plan neglected areas of research’’ (ARPA Performance based bonuses Section 104). Now a subcommittee of Corrections work force recruitment and AGENCY: National Science Foundation. the National Science and Technology retention ACTION: Request for public comment. Council (NSTC), IARPC enhances Construction of corrections facilities scientific monitoring and research on Training/education for offenders SUMMARY: The Interagency Arctic individual components of the Arctic, as Training for corrections officers related Research Policy Committee (IARPC), well as how the system operates as a to offender population management chaired by the National Science whole, through the coordination of Consultants involved with offender Foundation (NSF), seeks public federal agencies and domestic and population comment on the draft Arctic Research international collaborators. It consists of Medical and mental health services Plan: 2022–2026, which can be found at representatives from 14 federal agencies, Vehicle rental/purchase for transport of https://www.iarpccollaborations.org/ the White House Office of Science and offenders draft-plan.html. Technology Policy (OSTP), and the Prison Industries DATES: Written comments must be Office of Management and Budget Pre-release/reentry programs submitted no later than June 4, 2021. (OMB).
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About the 2022–2026 Arctic Research 2. Arctic Systems Interactions: Enhance NUCLEAR REGULATORY Plan our ability to observe, understand, predict, COMMISSION and project the Arctic’s dynamic IARPC is required by law to prepare [NRC–2020–0190] and execute a 5-year Arctic Research interconnected systems and their linkages to the Earth system as a whole. Plan, which helps coordinate the overall Information Collection: U.S .NRC 3. Sustainable Economies and Livelihoods: federal Arctic research effort. To address Acquisition Regulation Monitor, maintain, and proactively adapt the the interests and needs of all, IARPC Arctic’s natural, social, and built systems to works collaboratively with AGENCY: Nuclear Regulatory promote sustainable economies and representatives from local communities, Commission. livelihoods. Indigenous Peoples, the state of Alaska, ACTION: Renewal of existing information 4. Risk Management and Hazard the private sector, non-governmental collection; request for comment. Mitigation: Secure and improve quality of life organizations, research institutions, and through an understanding of disaster risk SUMMARY: the academic community. The U.S. Nuclear Regulatory exposure, sensitivity to hazard, and adaptive In September 2019, the IARPC Commission (NRC) invites public capacity. Principals approved the development of comment on the renewal of Office of Management and Budget (OMB) the next Arctic Research Plan, covering In addition to identifying four priority the period of 2022–2026, with a planned approval for an existing collection of areas, this plan builds upon five information. The information collection release at the end of 2021. On April 3, foundational activities. These activities 2020, IARPC published a notice in the is entitled, ‘‘US NRC Acquisition are critical to achieving the priority area Regulation.’’ Federal Register to request public input goals and will remain foundational to on the content and organization of the Arctic research beyond the five-year DATES: Submit comments by May 10, 2022–2026 Plan (86 FR 19031). In duration of this plan. Foundational 2021. Comments received after this date September 2020, IARPC convened a will be considered if it is practical to do activities include: Co-Production of workshop to develop the potential so, but the Commission is able to ensure Knowledge and Indigenous-Led priority areas for the 2022–2026 Arctic consideration only for comments Research Plan for consideration by the Research; Data Management; Education; received on or before this date. Monitoring, Observing, Modeling, and IARPC Principals. The draft plan ADDRESSES: You may submit comments Prediction; and Technology Application reflects input received from these by any of the following methods: and Innovation. processes. • Federal Rulemaking Website: Go to Arctic Research Plans focus on In contrast to the previous Arctic https://www.regulations.gov and search research that will be enhanced through Research Plans, this plan presents a for Docket ID NRC–2020–0190. Address collaboration among federal agencies high-level strategy without explicit questions about Docket IDs in and collaborators, align with federal direction on implementation. For IARPC Regulations.gov to Stacy Schumann; agencies missions and with the goals to respond more swiftly to emerging or telephone: 301–415–0624; email: and objectives set out by the U.S. Arctic immediate needs while continuing to [email protected]. For technical Research Commission. The Arctic questions, contact the individual listed Research Plan 2022–2026 will provide a support U.S. Arctic policy, this plan in the FOR FURTHER INFORMATION blueprint for effective federal will be carried out through biennial CONTACT section of this document. coordination, thus positioning the U.S. implementation plans. These • Mail comments to: David Cullison, to remain a global leader in Arctic implementation plans will identify Office of the Chief Information Officer, research and stewardship for years to specific objectives, deliverables, and Mail Stop: T–6 A10M, U.S. Nuclear come. metrics. Four new priority area collaboration teams will be established Regulatory Commission, Washington, Overview of the Draft Plan to direct and coordinate activities DC 20555–0001. For additional direction on obtaining As with the Arctic Research Plan including those of existing collaboration information and submitting comments, 2017–2021, this new plan adheres to teams, to achieve goals and ensure the see ‘‘Obtaining Information and four critical policy drivers in U.S. Arctic coordination of non-federal partners and Submitting Comments’’ in the research that reflect long-standing U.S. resources. interests in the Arctic and the collective SUPPLEMENTARY INFORMATION section of priorities of IARPC federal agencies. Seeking Input this document. Policy drivers include: Well-Being; FOR FURTHER INFORMATION CONTACT: IARPC seeks comment on the draft Stewardship; Security; and Arctic- David Cullison, Office of the Chief Global Systems. Arctic Research Plan 2022–2026 to Information Officer, U.S. Nuclear There are four priority areas with ensure Arctic research interests, needs, Regulatory Commission, Washington, thematic goals that, (1) represent areas and priorities are addressed DC 20555–0001; telephone: 301–415– of broad, crosscutting focus that need appropriately. Specifically, comment is 2084; email: Infocollects.Resource@ additional attention or research, (2) sought on priority area goals, nrc.gov. justifications, and potential partners; the support one or more policy drivers, (3) SUPPLEMENTARY INFORMATION: meet the mission and interests of more foundational activities; and the than one federal agency, (4) and engage implementation and metrics for I. Obtaining Information and multiple existing collaboration teams measuring success. Submitting Comments and non-federal partners. Priority areas Dated: March 4, 2021. A. Obtaining Information and goals include: Suzanne H. Plimpton, Please refer to Docket ID NRC–2020– 1. Community Resilience and Health: Reports Clearance Officer, National Science 0190 when contacting the NRC about Improve community resilience and well- Foundation. being by strengthening research and tools to the availability of information for this increase understanding of interdependent [FR Doc. 2021–04842 Filed 3–8–21; 8:45 am] action. You may obtain publicly social, natural, and built systems in the BILLING CODE 7555–01–P available information related to this Arctic. action by any of the following methods;
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however, the NRC encourages electronic inform those persons not to include organizational conflicts of interest or comment submission through the identifying or contact information that changes in key personnel are collected Federal Rulemaking website: they do not want to be publicly from contractors on as needed basis as • Federal Rulemaking Website: Go to disclosed in their comment submission. changes occur whether at the time https://www.regulations.gov and search Your request should state that the NRC award or throughout the life of the for Docket ID NRC–2020–0190. A copy does not routinely edit comment contract. Some reports are required to be of the collection of information and submissions to remove such information submitted monthly such as the related instructions may be obtained before making the comment Financial Status report and Technical without charge by accessing Docket ID submissions available to the public or Progress Report. There are also some NRC–2020–0190 on this website. entering the comment into ADAMS. reports that bidders are required to • NRC’s Agencywide Documents submit upon request, such as responses II. Background Access and Management System to pre-award questions that demonstrate (ADAMS): You may obtain publicly In accordance with the Paperwork their ability to meet minimum standards available documents online in the Reduction Act of 1995 (44 U.S.C. set forth in Federal Acquisition ADAMS Public Documents collection at Chapter 35), the NRC is requesting Regulations. https://www.nrc.gov/reading-rm/ public comment on its intention to adams.html. To begin the search, select request the OMB’s approval for the III. Specific Requests for Comments ‘‘ADAMS Public Documents’’ and then information collection summarized. The NRC is seeking comments that select ‘‘Begin Web-based ADAMS 1. The title of the information address the following questions: Search.’’ For problems with ADAMS, collection: 48 CFR Chapter 20, US NRC 1. Is the proposed collection of please contact the NRC’s Public Acquisition Regulation (NRCAR). information necessary for the NRC to Document Room (PDR) reference staff at 2. OMB approval number: 3150–0169. properly perform its functions? Does the 1–800–397–4209, 301–415–4737, or by 3. Type of submission: Extension. information have practical utility? email to [email protected]. The 4. The form number, if applicable: 2. Is the estimate of the burden of the supporting statement and burden Not applicable. information collection accurate? spreadsheet are available in ADAMS 5. How often the collection is required 3. Is there a way to enhance the under Accession Nos. ML20280A683 or requested: Monthly, once (at time of quality, utility, and clarity of the and ML20280A682. award), and on occasion (when changes information to be collected? • Attention: The PDR, where you may occur.) 4. How can the burden of the examine and order copies of public 6. Who will be required or asked to information collection on respondents documents is currently closed. You may respond: Contractors and bidders. be minimized, including the use of submit your request to the PDR via 7. The estimated number of annual automated collection techniques or email at [email protected] or call responses: 4,908 (4,762 reporting other forms of information technology? 1–800–397–4209 or 301–415–4737 responses + 146 recordkeepers). Dated: March 4, 2021. 8. The estimated number of annual between 8:00 a.m. and 4:00 p.m. (EST), For the Nuclear Regulatory Commission. respondents: 535. Monday through Friday, except Federal David C. Cullison, holidays. 9. The estimated number of hours • needed annually to comply with the NRC Clearance Officer, Office of the Chief NRC’s Clearance Officer: A copy of Information Officer. the collection of information and related information collection requirement or instructions may be obtained without request: 12,500 (9,922 reporting + 2,578 [FR Doc. 2021–04865 Filed 3–8–21; 8:45 am] charge by contacting NRC’s Clearance recordkeeping). BILLING CODE 7590–01–P Officer, David Cullison, Office of the 10. Abstract: The mandatory Chief Information Officer, U.S. Nuclear requirements of the NRCAR implement Regulatory Commission, Washington, and supplement the government-wide PENSION BENEFIT GUARANTY DC 20555–0001; telephone: 301–415– Federal Acquisition Regulation (FAR) CORPORATION and ensure that the regulations 2084; email: Infocollects.Resource@ Proposed Submission of Information nrc.gov. governing the procurement of goods and services with the NRC satisfy the needs Collection for OMB Review; Comment B. Submitting Comments of the agency. This includes reports and Request; Locating and Paying The NRC encourages electronic recordkeeping requirements for certain Participants comment submission through the contractors or offerors to submit a AGENCY: Pension Benefit Guaranty Federal Rulemaking website (https:// monthly progress report that Corporation. www.regulations.gov). Please include summarizes work performed during the ACTION: Notice of intent to request Docket ID NRC–2020–0190 in your previous month, and/or retain records of extension of OMB approval, with comment submission. The NRC cautions equipment, payroll, inspection and modifications. you not to include identifying or contact quality control records, as applicable. information in comment submissions Because of differing statutory authorities SUMMARY: The Pension Benefit Guaranty that you do not want to be publicly among Federal agencies, the FAR Corporation (PBGC) intends to request disclosed in your comment submission. permits agencies to issue a regulation to that the Office of Management and The NRC will post all comment implement FAR policies and procedures Budget (OMB) extend approval, with submissions at https:// internally to satisfy the specific need of modifications, to a collection of www.regulations.gov as well as enter the the agency. information (OMB Control Number comment submissions into ADAMS, The NRCAR includes policies, 1212–0055; expires October 31, 2021) and the NRC does not routinely edit procedures, solicitation provisions and under the Paperwork Reduction Act. comment submissions to remove contract clauses needed to ensure The purpose of the information identifying or contact information. effective and efficient evaluation, collection is to enable PBGC to pay If you are requesting or aggregating negotiation, and administration of benefits to participants and comments from other persons for agency acquisitions. Certain reports, beneficiaries. This notice informs the submission to the NRC, then you should such as reports of contractor public of PBGC’s intent and solicits
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public comment on the collection of This information collection includes this information for actuarial information, as modified. My Pension Benefit Account (MyPBA), calculations required to operate the DATES: Comments must be received on an application on PBGC’s website, single-employer insurance program. • or before May 10, 2021 to be assured of http://www.pbgc.gov, through which To Forms 701, 702, 705, 706, 707, consideration. plan participants and beneficiaries may and 708, PBGC is proposing to clarify ADDRESSES: Comments may be conduct electronic transactions with the requested information about submitted by any of the following PBGC, including applying for pension beneficiaries owed benefits upon the benefits, designating a beneficiary, participant’s death. methods: • • Federal eRulemaking Portal: http:// electing or changing federal income tax To Forms 701, 705, 706 and 710, www.regulations.gov. Follow the withholding from periodic payments, PBGC is proposing to eliminate a instructions for submitting comments. changing contact information, and question and information about • Email: paperwork.comments@ applying for or changing electronic Electronic Transfer Accounts (ETA), as pbgc.gov. Refer to Locating and Paying direct deposit. this Department of the Treasury Participants information collection in PBGC is proposing to eliminate one sponsored program ended. • To Form 711, PBGC is proposing to the subject line. form (the Form 709), add four forms • Mail or Hand Delivery: Regulatory (form 700RN, form 700RSC, form add a question for notarized spousal Affairs Division, Office of the General 703RBD and form 703RBD–MP) and consent to the change in a beneficiary Counsel, Pension Benefit Guaranty revise several other forms in this for a certain and continuous annuity. Corporation, 1200 K Street NW, collection, specifically Forms: 700, 701, This change is intended to comply with applicable requirements under the Washington, DC 20005–4026. 702, 705, 706, 707, 708, 710, 711, 715 All submissions received must and 717. The proposed revisions Internal Revenue Code. • To Form 715, PBGC is proposing to include the agency’s name (Pension include the following. • clarify the instructions to improve Benefit Guaranty Corporation, or PBGC) PBGC is proposing the addition of customer service. and refer to Locating and Paying four new forms: Form 700RN, Form • To Form 717, PBGC is proposing to Participants information collection. All 700RSC, Form 703RBD and Form eliminate questions asking for gender, comments received will be posted 703RBD–MP. Each is intended to the branch or division where the without change to PBGC’s website, improve customer service. (1) Form 700RN and Form 700RSC employee worked, lump sum amount http://www.pbgc.gov, including any will be used in rare situations when and date paid, whether the lump sum personal information provided. was rolled over to an individual A copy of the request will be posted participants who are already receiving retirement account (IRA), and whether on PBGC’s website at https:// benefits choose to elect a retroactive the employee is currently receiving www.pbgc.gov/prac/laws-andregulation/ annuity starting state. Form 700RN will retirement benefits. PBGC is proposing federal-register-notices-openfor- be used by participants where spousal consent is not required, and Form to add requests for the last dates of comment. It may also be obtained by 700RSC will be used by participants employment, information on the type of writing to Disclosure Division, Office of where spousal consent is required. retirement plan, and information the General Counsel, Pension Benefit PBGC will use this information to appearing on SSA Form L–99–C1. This Guaranty Corporation, 1200 K Street provide eligible participants an option addition will decrease the need for NW, Washington, DC 20005–4026, or to change their annuity starting date and PBGC to follow up with customers for calling 202–326–4040 during normal receive reduced monthly benefits. additional, required information and business hours. TTY users may call the (2) Form 703RBD and Form 703RBD– increase processing efficiency. Federal Relay Service toll-free at 800– MP will be used in rare situations by PBGC is making editorial and 877–8339 and ask to be connected to participants who have reached their formatting changes as well, including 202–326–4040. required beginning date (RBD) and are changing the design and appearance of FOR FURTHER INFORMATION CONTACT: eligible to elect a lump sum payment in MyPBA. PBGC believes these revisions Melissa Rifkin (rifkin.melissa@ lieu of an annuity. Form 703RBD will be will provide greater clarity to customers pbgc.gov), Attorney, Regulatory Affairs used for trusteed plan participants. and improve their experience with the Division, Office of the General Counsel, Form 703RBD–MP will be used for online system. Pension Benefit Guaranty Corporation, participants claiming benefits under the The existing collection of information 1200 K Street NW, Washington DC Missing Participants Program and was approved under OMB control 20005–4026; 202–229–6563. (TTY users requires notarization of the participant’s number 1212–0055 (expires October 31, may call the Federal Relay Service toll- signature as a fraud prevention measure. 2021). PBGC intends to request that free at 800–877–8339 and ask to be PBGC is separating participants who OMB extend its approval (with connected to 202–229–6563.) have reached their RBD from other modifications) for three years. An SUPPLEMENTARY INFORMATION: This participants able to elect a lump sum agency may not conduct or sponsor, and information collection is needed to pay payment to ensure that appropriate a person is not required to respond to, participants and beneficiaries who may information is communicated to a collection of information unless it be entitled to pension benefits from participants who have reached their displays a currently valid OMB control plans that have terminated. Participants RBD. number. and beneficiaries are asked to provide • To Form 700, PBGC is proposing to PBGC estimates that it will receive information in connection with an remove the question that asks 170,521 benefit application or application for benefits. This includes participants to designate beneficiaries information forms annually. The total requests to individuals to provide for amounts owed at death and collect annual burden associated with this identifying information so that PBGC this information only on Form 707. This collection of information is estimated to may determine whether the individuals change is intended to reduce errors with be 58,376 hours and an estimated are entitled to benefits. All requested customers completing Form 700. $58,682, which is the total average information is needed so that PBGC may • To Form 701, PBGC is proposing to maximum cost of notary services for determine benefit entitlements and add a question asking for the gender of participants’ or participants’ spouses’ make appropriate payments. the participant’s spouse. PBGC will use signatures on applicable forms.
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PBGC is soliciting public comments (‘‘Fee Schedule’’) regarding an incentive Makers to increase Manual volume on to— program for Market Makers. The the Exchange.6 However, because the • Evaluate whether the collection of Exchange proposes to implement the fee Step-Up Program has not been utilized information is necessary for the proper change effective March 1, 2021. The (and therefore did not achieve its performance of the functions of the proposed rule change is available on the intended effect), the Exchange proposes agency, including whether the Exchange’s website at www.nyse.com, at to eliminate the Step-Up Program from information will have practical utility; the principal office of the Exchange, and the Fee Schedule.7 • Evaluate the accuracy of the at the Commission’s Public Reference The Exchange believes that the agency’s estimate of the burden of the Room. elimination of the Step-Up Program collection of information, including the would not impact any Market Makers, validity of the methodology and II. Self-Regulatory Organization’s given that no Market Makers ever assumptions used; Statement of the Purpose of, and achieved the Increased Manual Volume • Enhance the quality, utility, and Statutory Basis for, the Proposed Rule necessary to qualify for the discounted clarity of the information to be Change rates. collected; and In its filing with the Commission, the • Minimize the burden of the self-regulatory organization included 2. Statutory Basis collection of information on those who statements concerning the purpose of, The Exchange believes that the are to respond, including the use of and basis for, the proposed rule change proposed rule change is consistent with appropriate automated, electronic, and discussed any comments it received Section 6(b) of the Act,8 in general, and mechanical, or other technological on the proposed rule change. The text furthers the objectives of Sections collection techniques or other forms of of those statements may be examined at 6(b)(4) and (5) of the Act,9 in particular, information technology, e.g., permitting the places specified in Item IV below. because it provides for the equitable electronic submission of responses. The Exchange has prepared summaries, allocation of reasonable dues, fees, and Issued in Washington, DC, by set forth in sections A, B, and C below, other charges among its members, Stephanie Cibinic, of the most significant parts of such issuers and other persons using its Deputy Assistant General Counsel for statements. facilities and does not unfairly discriminate between customers, Regulatory Affairs, Pension Benefit Guaranty A. Self-Regulatory Organization’s Corporation. issuers, brokers or dealers. Statement of the Purpose of, and the The Exchange believes that the [FR Doc. 2021–04831 Filed 3–8–21; 8:45 am] Statutory Basis for, the Proposed Rule BILLING CODE 7709–02–P proposed rule change to eliminate the Change Step-Up Program from the Fee Schedule 1. Purpose is reasonable because this program has SECURITIES AND EXCHANGE The purpose of this filing is to modify not been utilized and thus has not COMMISSION the Fee Schedule to eliminate an effectively incented Market Makers to incentive program that was designed to increase participation in manual [Release No. 34–91248; File No. SR– executions on the Exchange. The NYSEAMER–2021–12] encourage Market Makers 4 to increase their Manual volume above a base rate Exchange believes eliminating an Self-Regulatory Organizations; NYSE (the ‘‘Step-Up Program’’). The Exchange unutilized incentive program would American LLC; Notice of Filing and proposes to implement the rule change simplify the Fee Schedule. The Immediate Effectiveness of a Proposed on March 1, 2021. Exchange believes that eliminating the Rule Change To Amend the NYSE Currently, the Exchange offers Step-Up Program from the Fee Schedule American Options Fee Schedule discounts on the standard $0.25 per is equitable and not unfairly contract fee on Manual volume to discriminatory because the program March 3, 2021. Market Makers that increase their would be eliminated in its entirety and 1 Pursuant to Section 19(b)(1) of the Manual volume by a specified would no longer be available to any Securities Exchange Act of 1934 (the percentage of TCADV over their August Market Maker. 2 3 ‘‘Act’’) and Rule 19b–4 thereunder, 2019 volume or, for new Market Makers, notice is hereby given that, on March 1, B. Self-Regulatory Organization’s that increase Manual volume by a Statement on Burden on Competition 2021, NYSE American LLC (‘‘NYSE specified percentage of TCADV above a In accordance with Section 6(b)(8) of American’’ or the ‘‘Exchange’’) filed base level of 15,000 ADV (‘‘Increased the Act, the Exchange does not believe with the Securities and Exchange Manual Volume’’). Specifically, the that the proposed rule change would Commission (the ‘‘Commission’’) the Exchange provides an $0.18 per contract impose any burden on competition that proposed rule change as described in charge on Increased Manual Volume to is not necessary or appropriate in Items I, II, and III below, which Items Market Makers (excluding Specialists furtherance of the purposes of the Act. have been prepared by the self- and e-Specialists) 5 with Increased Instead, the Exchange believes that the regulatory organization. The Manual Volume of at least 0.15% proposed elimination of the Step-Up Commission is publishing this notice to TCADV and a $0.12 per contract charge Program from the Fee Schedule would solicit comments on the proposed rule on Increased Manual Volume to Market not affect intramarket or intermarket change from interested persons. Makers with Increased Manual Volume competition because, as discussed I. Self-Regulatory Organization’s of at least 0.30% TCADV. The Exchange adopted the Step-Up Statement of the Terms of Substance of 6 See Securities Exchange Act Release No. 87404 the Proposed Rule Change Program—a voluntary program—in (October 28, 2019), 84 FR 58772 (November 1, 2019) October of 2019 to encourage Market The Exchange proposes to amend the (SR–NYSEAMER–2019–43) (notice regarding adoption of the Step-Up Program). NYSE American Options Fee Schedule 4 Unless otherwise specified, the term ‘‘Market 7 See proposed Fee Schedule, Section I.A. Makers’’ as used herein includes Specialists and e- (reflecting deletion of footnote 8 relating to the 1 15 U.S.C. 78s(b)(1). Specialists. Step-Up Program). 2 15 U.S.C. 78a. 5 Specialists and e-Specialists already pay a rate 8 15 U.S.C. 78f(b). 3 17 CFR 240.19b–4. of $0.18 per contract on Manual volume. 9 15 U.S.C. 78f(b)(4) and (5).
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above, the program has not incented arguments concerning the foregoing, For the Commission, by the Division of Market Makers to increase participation including whether the proposed rule Trading and Markets, pursuant to delegated 13 in manual executions on the Exchange. change is consistent with the Act. authority. In addition, because only those Market Comments may be submitted by any of J. Matthew DeLesDernier, Makers that increased their Manual the following methods: Assistant Secretary. volume by specified amounts were [FR Doc. 2021–04792 Filed 3–8–21; 8:45 am] eligible for discounted rates under the Electronic Comments BILLING CODE 8011–01–P Step-Up Program, the proposed • Use the Commission’s internet elimination of the program would comment form (http://www.sec.gov/ remove a potential burden on SECURITIES AND EXCHANGE rules/sro.shtml); or competition in that it would level the COMMISSION • Send an email to rule-comments@ playing field for all Market Makers [Release No. 34–91247; File No. SR–MSRB– operating on the Exchange. sec.gov. Please include File Number SR– 2021–02] The Exchange operates in a highly NYSEAMER–2021–12 on the subject competitive market in which market line. Self-Regulatory Organizations; participants can readily favor one of the Municipal Securities Rulemaking Paper Comments 16 competing option exchanges. In such Board; Notice of Filing and Immediate an environment, the Exchange must • Send paper comments in triplicate Effectiveness of a Proposed Rule continually adjust its fees and rebates to to Secretary, Securities and Exchange Change To Reduce the Rates of remain competitive with other Commission, 100 F Street NE, Assessment for Certain Underwriting, exchanges and to attract order flow to Washington, DC 20549–1090. Transaction, and Technology Fees the Exchange. The Exchange believes Under MSRB Rule A–13 that the proposed rule change reflects All submissions should refer to File this competitive environment because it Number SR–NYSEAMER–2021–12. This March 3, 2021. removes an unutilized program that did file number should be included on the Pursuant to Section 19(b)(1) of the not achieve its intended purpose of subject line if email is used. To help the Securities Exchange Act of 1934 (‘‘Act’’ 1 attracting order flow. Commission process and review your or ‘‘Exchange Act’’) and Rule 19b–4 2 comments more efficiently, please use thereunder, notice is hereby given that C. Self-Regulatory Organization’s on March 1, 2021 the Municipal Statement on Comments on the only one method. The Commission will post all comments on the Commission’s Securities Rulemaking Board (‘‘MSRB’’) Proposed Rule Change Received From filed with the Securities and Exchange internet website (http://www.sec.gov/ Members, Participants, or Others Commission (‘‘SEC’’ or ‘‘Commission’’) rules/sro.shtml). Copies of the No written comments were solicited the proposed rule change as described submission, all subsequent or received with respect to the proposed in Items I, II, and III below, which Items rule change. amendments, all written statements have been prepared by the MSRB. The with respect to the proposed rule Commission is publishing this notice to III. Date of Effectiveness of the change that are filed with the solicit comments on the proposed rule Proposed Rule Change and Timing for Commission, and all written change from interested persons. Commission Action communications relating to the The foregoing rule change is effective proposed rule change between the I. Self-Regulatory Organization’s upon filing pursuant to Section Commission and any person, other than Statement of the Terms of Substance of 19(b)(3)(A) 10 of the Act and those that may be withheld from the the Proposed Rule Change subparagraph (f)(2) of Rule 19b–4 11 public in accordance with the The MSRB filed with the Commission thereunder, because it establishes a due, provisions of 5 U.S.C. 552, will be a proposed rule change to amend MSRB fee, or other charge imposed by the available for website viewing and Rule A–13, on underwriting and Exchange. printing in the Commission’s Public transaction assessments for brokers, At any time within 60 days of the Reference Room, 100 F Street NE, dealers, and municipal securities filing of such proposed rule change, the Washington, DC 20549 on official dealers (collectively, ‘‘dealers’’), to Commission summarily may business days between the hours of temporarily reduce the rate of temporarily suspend such rule change if 10:00 a.m. and 3:00 p.m. Copies of the assessment for certain underwriting, it appears to the Commission that such filing also will be available for transaction, and technology fees action is necessary or appropriate in the inspection and copying at the principal (collectively, ‘‘market activity fees’’) on public interest, for the protection of office of the Exchange. All comments dealers with respect to assessable investors, or otherwise in furtherance of activity that occurs on April 1, 2021 received will be posted without change. the purposes of the Act. If the through September 30, 2022 (the Persons submitting comments are Commission takes such action, the ‘‘proposed rule change’’). The MSRB has Commission shall institute proceedings cautioned that we do not redact or edit designated the proposed rule change as under Section 19(b)(2)(B) 12 of the Act to personal identifying information from ‘‘establishing or changing a due, fee, or determine whether the proposed rule comment submissions. You should other charge’’ under Section change should be approved or submit only information that you wish 19(b)(3)(A)(ii) 3 of the Act and Rule 19b– disapproved. to make available publicly. All 4(f)(2) 4 thereunder, which renders the submissions should refer to File proposed rule change effective upon IV. Solicitation of Comments Number SR–NYSEAMER–2021–12, and filing with the Commission. The Interested persons are invited to should be submitted on or before March submit written data, views, and 30, 2021. 13 17 CFR 200.30–3(a)(12). 1 15 U.S.C. 78s(b)(1). 10 15 U.S.C. 78s(b)(3)(A). 2 17 CFR 240.19b–4. 11 17 CFR 240.19b–4(f)(2). 3 15 U.S.C. 78s(b)(3)(A)(ii). 12 15 U.S.C. 78s(b)(2)(B). 4 17 CFR 240.19b–4(f)(2).
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implementation date for the proposed MSRB being in excess of its reserves dealer, except in limited circumstances, rule change’s temporary fee reduction is target. for inter-dealer sales and customer sales April 1, 2021. reported to the MSRB pursuant to MSRB Background on MSRB Fee Structure The text of the proposed rule change Rule G–14(b), on transaction reporting is available on the MSRB’s website at The Board discharges its statutory requirements; www.msrb.org/Rules-and- mandate under the Exchange Act by 8. Technology Fee (MSRB Rule A–13): Interpretations/SEC-Filings/2021- establishing rules for dealers and A fee of $1.00 paid per transaction by Filings.aspx, at the MSRB’s principal municipal advisors (together with a dealer for each inter-dealer sale and office, and at the Commission’s Public dealers, ‘‘regulated entities’’), collecting for each sale to customers reported to Reference Room. and disseminating market information, the MSRB pursuant to MSRB Rule G– II. Self-Regulatory Organization’s coordinating with other regulatory 14(b); and authorities, and conducting outreach to 9. Examination Fee (MSRB Rule A– Statement of the Purpose of, and 7 Statutory Basis for, the Proposed Rule external stakeholders. The Board 16): A $150 test development fee Change assesses fees on regulated entities to assessed per candidate for each MSRB generate funds for these activities. The examination. In its filing with the Commission, the current fees assessed on regulated The Board also receives revenues MSRB included statements concerning entities are the: the purpose of and basis for the from certain other sources, such as 1. Municipal Advisor Professional Fee 9 proposed rule change and discussed any regulatory fine-sharing and MSRB data (MSRB Rule A–11): A fee of $1,000 for subscription fees.10 These revenue comments it received on the proposed each person associated with the rule change. The text of these statements sources contribute a smaller portion to municipal advisor who is qualified as a 11 may be examined at the places specified the overall MSRB funding. municipal advisor representative in Historically, the vast majority of the in Item IV below. The MSRB has accordance with MSRB Rule G–3 and prepared summaries, set forth in MSRB’s revenue has been derived from for whom the municipal advisor has on fees on regulated entities, in particular Sections A, B, and C below, of the most file with the SEC a Form MA–I as of significant aspects of such statements. dealers who pay market activity fees January 31 of each year; pursuant to MSRB Rule A–13(c)(i) and A. Self-Regulatory Organization’s 2. Initial Registration Fee (MSRB Rule (d), as discussed in more detail below.12 Statement of the Purpose of, and A–12): A $1,000 one-time registration Statutory Basis for, the Proposed Rule fee to be paid by each dealer to register Overview of MSRB Budget and Reserves Change with the MSRB before engaging in As a self-funded regulatory municipal securities activities and by 1. Purpose organization, MSRB revenue comes each municipal advisor to register with primarily from its regulated entities, and The purpose of the proposed rule the MSRB before engaging in municipal the MSRB does not receive any taxpayer change is to temporarily reduce the rate advisory activities; dollars. The Board is responsible for of assessment for the Board’s 3. Annual Registration Fee (MSRB independently managing and underwriting, transaction, and Rule A–12): A $1,000 annual fee to be monitoring the MSRB’s financial technology fees under MSRB Rule A–13 paid by each dealer and municipal position on an ongoing basis and with respect to assessable activity that advisor registered with the MSRB; ensuring that the MSRB has sufficient occurs on April 1, 2021 through 4. Late Fee (MSRB Rule A–11 and reserves to maintain the MSRB’s September 30, 2022.5 The proposed rule MSRB Rule A–12): A $25 monthly late operations without interruption, even in change is designed to promote the fee and a late fee on the overdue balance collection of reasonable fees and charges (computed according to the prime rate) 9 Fine revenue became a new revenue source as as are necessary or appropriate to defray until paid on balances not paid within first provided in 2010 under the Dodd-Frank Wall the costs and expenses of operating and 30 days of the invoice date by the dealer Street Reform and Consumer Protection Act (the administering the Board. The Board or municipal advisor; ‘‘Dodd-Frank Act’’). See 15 U.S.C. 78o–4(c)(9). believes that the proposed rule change 5. Underwriting Fee (MSRB Rule A– 10 The MSRB charges data subscription service achieves such reasonable fees and 13): A fee amount of $.0275 per $1,000 fees for subscribers, including dealers, municipal advisors, and non-regulated entities, seeking direct charges because it will rightsize the of the par value paid by a dealer, on all electronic delivery of municipal trade data and Board’s reserves position, in municipal securities purchased from an disclosure documents associated with municipal conformance with a prudently issuer by or through such dealer, bond issues. Notably, however, this information is established and reasonable target, by whether acting as principal or agent as available without direct electronic delivery on the EMMA website without charge. forgoing a portion of market activity fees part of a primary offering; 11 For example, fine-sharing revenue amounted to over an eighteenth month period. In 6. Municipal Funds Underwriting Fee approximately 3.3 percent of the MSRB’s overall effect, the Board intends to utilize its (MSRB Rule A–13): A fee amount of revenue in Fiscal Year 2020 (∼$1.5 million) and 0.4 excess reserves to offset the forgone $.005 per $1,000 of the total aggregate percent in Fiscal Year 2019 (∼$150,000). See MSRB 2020 Annual Report, available at http://msrb.org/∼/ revenue resulting from the temporary assets for the reporting period (i.e., the media/Files/Resources/MSRB-2020-Annual- fee reduction and, thereby, reasonably 529 savings plan fee on underwriters), Report.ashx?la=en. reduce the fees of the class of MSRB in the case of an underwriter (as defined 12 With the extension of the MSRB’s jurisdiction regulated entities 6 whose prior fee in MSRB Rule G–45) of a primary to regulate municipal advisors in the Dodd-Frank payments directly contributed to the offering of certain municipal fund Act, this class of regulated entity began contributing to the cost of MSRB regulation in 2014. See Release 8 securities; No. 34–72019 (Apr. 25, 2014), 79 FR 24798 (May 5 For the reasons discussed herein, underwriting 7. Transaction Fee (MSRB Rule A–13): 1, 2014) (File No. SR–MSRB–2014–03). See also assessments charged pursuant to Rule A–13(c)(ii) to A fee amount of .001% ($.01 per $1,000) Release No. 34–81841 (Oct. 10, 2017), 82 FR 48135, certain dealers acting as underwriters of municipal of the total par value to be paid by a 48138 (Oct. 16, 2017) (File No. SR–MSRB–2017–07) fund securities are not included in the temporary (increasing the municipal advisor professional fee fee reduction. from $300 to $500) and Release No. 34–87075 (Sept. 6 The term ‘‘regulated entities’’ is used here as 7 See Section 15B(b) of the Exchange Act (15 24, 2019), 82 FR 51698 (Sept. 30, 2019) (File No. defined below in the first full sentence of the U.S.C. 78o–4(b)). SR–MSRB–2019–11) (increasing the municipal following paragraph (i.e., dealers and municipal 8 See note 5 supra (clarifying that such fees are advisor professional fee from $500 to $1,000 over advisors). not included in the temporary fee reduction). the course of two years).
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economic downturns and other maintain sufficient reserves in relation reserves position.19 As a result, the unforeseen disruptions.13 to ongoing funding demands, while also Board prioritized the evaluation of Establishing the Reserves Target. The examining the fair and equitable balance organizational reserves levels at the Board establishes a reserves target to of its fee structure and opportunities for beginning of Fiscal Year 2021. Based on ensure that the organization maintains a strategic organizational investments in this evaluation, the Board has prudent level of liquid funds to fund furtherance of the MSRB’s statutory determined that it is necessary and operations and ensure the long-term mandate.17 appropriate to temporarily reduce financial sustainability of the certain fees with the objective of Market Activity in Fiscal Year 2020 and organization, taking into consideration a rightsizing its reserves to the target level Effects on Reserves range of reasonably foreseeable market over an eighteen-month period. The conditions and expected expenditures The MSRB began Fiscal Year 2020 MSRB projects that the proposed rule over a three-year time horizon. The with reserves above target.18 The Board change will result in approximately reserves target is determined after anticipated funding a budgeted $18.8 million of forgone revenue and conducting a detailed and operating deficit for Fiscal Year 2020, an serve to reduce the MSRB’s reserves to comprehensive analysis of the liquidity investment to migrate MSRB market the target level over the eighteen-month needs in four categories: (1) Working transparency systems to the cloud, and period of the temporary fee reduction, capital, (2) risk reserves, (3) strategic projected deficits in out-year pro forma which the Board has determined is investment reserves, and (4) regulatory budgets using these excess reserves. appropriate and consistent with prudent reserves.14 The Board refines the However, the market activity occurring fiscal management.20 reserves target on an annual basis, being during MSRB Fiscal Year 2020 exceeded The Board desires to address its vigilant of the dynamic impact of the budget established by the Board, due excess reserves by providing a market activity on the MSRB’s financial in large part to the COVID–19 pandemic temporary fee reduction to the class of position and cognizant of the variability driving increased market volatility and regulated entities that directly of such future market activity.15 high levels of primary market issuance. contributed to the excess reserves Monitoring and Management of While the Board intended its Fiscal Year position. During the eighteen-month Reserves. The Board monitors the actual 2020 budget to result in a deficit and temporary fee reduction period, the reserves balance on an ongoing basis, thereby spend excess reserves, the Board will evaluate the organization’s and MSRB staff actively manages the market activity resulting from the fee structure with a view towards the financial position of the organization in pandemic drove unexpected revenues in MSRB’s long-term financial positioning accordance with the Board-approved the collection of market activity fees. All in relation to its fee structure.21 For this target. As necessary or appropriate, the in all, market activity fees paid by reason, the Board believes it is Board is prepared to approve the use of dealers exceeded the MSRB’s budget by reasonable and appropriate to utilize the reserves to mitigate unforeseen revenue $4.9 million in Fiscal Year 2020. Over temporary fee reduction mechanism fluctuations and otherwise maintain the same period, the MSRB’s financial already established and effectively used funding for services essential to the results also benefited from expense in Fiscal Year 2019 while it proceeds efficiency of the municipal market.16 savings, including savings associated with a broader review of its fee Conversely, when actual revenue with operating remotely during the structure.22 exceeds expenses, the MSRB generates pandemic, and, consequently, the additional reserves. In the MSRB’s excess reserves continued to Board Determination to Temporarily circumstances of such an operating grow beyond their target instead of Reduce Market Activity Fees surplus, the Board balances the need to being reduced as planned. While all regulated entities contribute to the MSRB’s revenue base, market Board Determination on the Need to 13 See MSRB Funding Policy, available at http:// activity fees constitute the vast majority Rightsize Reserves msrb.org/About-MSRB/Financial-and-Other- of budgeted revenue, a total of Information/Financial-Policies/ The additional market activity fee approximately 77 percent in Fiscal Year Funding%20Policy.aspx. The MSRB publishes its annual audited financial statements, annual fiscal revenue generated in Fiscal Year 2020 year budgets, and key financial policies on its built upon the Board’s existing excess 19 Id. website. The Board believes that this transparency 20 See MSRB Fiscal Year 2021 Budget for a further provides municipal market participants and other 17 For example, the Board has designated excess discussion of the MSRB’s reserves (link at note 15 stakeholders insight into, and a clearer reserves for one-time investments to fund major supra). understanding of, how the Board utilizes its technological initiatives to benefit the market, 21 While it is premature to presume any particular resources in fulfillment of the MSRB’s statutory including migrating all MSRB market transparency outcome of the Board’s review, the Board’s mandate. systems to the cloud, which was completed in objectives will include maintaining a fair and 14 Id (these four categories are identified in the Fiscal Year 2020. Also, in Fiscal Year 2020, the equitable balance of fees among regulated entities, discussion under ‘‘Reserves Considerations’’). Board designated $10 million of reserves for a evaluating whether the impact of market-based fees, 15 See MSRB Fiscal Year 2021 Budget for a further multi-year strategic investment to modernize its and their inherent volatility, as a contributor to the discussion of the MSRB’s budget and reserves, market transparency systems to leverage the power growth of excess reserves can be mitigated, and available at http://msrb.org/∼/media/Files/ of the cloud. See, e.g., MSRB Holds Final Quarterly ensuring funding is sufficient to address expected Resources/MSRB-FY-2021-Budget- Board Meeting of FY 2019 (July 29, 2019), available structural operating deficits projected in future Summary.ashx?la=en. at http://msrb.org/News-and-Events/Press-Releases/ years under the current fee structure. The Board is 16 For example, in 2010, after several years of 2019/MSRB-Holds-Final-Quarterly-Board-Meeting- cognizant of the temporary fee reductions it has heavy investment in the technological of-FY-2019.aspx; and see also MSRB FY 2021 adopted as a mechanism to address excess reserves infrastructure needed to launch the MSRB’s Budget Reflects Priorities of Modernizing EMMA® in recent years and has developed these objectives Electronic Municipal Market Access (EMMA®) and Reducing Compliance Burdens (Oct. 1, 2020), for its review considering the factors that led to the website, the MSRB’s financial reserves levels had available at http://msrb.org/News-and-Events/Press- use of such temporary fee reductions. dropped below the then reserves target that the Releases/2020/MSRB%20FY%202021 22 The Board filed a proposed rule change MSRB had previously established. As a result, %20Budget%20Priorities.aspx. amending Rule A–13 to temporarily reduce market replenishing the MSRB’s reserves became a priority. 18 See MSRB 2020 Annual Report (link at note 11 activity fees for Fiscal Year 2019. See Release No. The following year, the MSRB increased the supra). See also discussion of the MSRB’s ‘‘Sources 34–83713 (July 26, 2018), 83 FR 37538 (Aug. 1, transaction fee under Rule A–13 and began and Uses of Funding,’’ available at http://msrb.org/ 2018) (File No. SR–MSRB–2018–06); see also assessing a new technology fee for dealers under the About-MSRB/Financial-and-Other-Information/ Release No. 34–85400 (Mar. 22, 2019), 84 FR 11841 same rule. See Release No. 34–63621 (Dec. 29, Sources-and-Uses-of-Funding.aspx (outlining (Mar. 28, 2019) (File No. SR–MSRB–2019–06) 2010), 76 FR 604 (Jan. 5, 2011) (File No. SR–MSRB– organizational reserves as compared to the Board- (providing for an additional temporary fee 2010–10). approved target over multiple years). reduction in Fiscal Year 2019).
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2021.23 Market activity fees are driven fees assessed on dealers would continue 15B(b)(2)(J) of the Act,31 which states by market dynamics and are inherently these ongoing efforts, allowing the that the MSRB’s rules shall: unpredictable. Because of this Board to take timely action to provide . . . provide that each municipal securities unpredictability, the amount of market relief and reduce reserves to target broker, municipal securities dealer, and activity fees collected by the MSRB levels while undertaking a longer-term municipal advisor shall pay to the Board historically has exceeded the amount effort to assess and potentially develop such reasonable fees and charges as may be budgeted.24 Therefore, the Board has a revised fee structure to be necessary or appropriate to defray the costs determined that market activity fees implemented at the conclusion of the and expenses of operating and administering paid by dealers have uniquely and temporary fee reduction period.28 the Board. Such rules shall specify the amount of such fees and charges, which may directly contributed to the MSRB’s Proposed Rule Change include charges for failure to submit to the excess reserves position while other fees Board, or to any information system operated collected from regulated entities have The proposed rule change would by the Board, within the prescribed not. Specifically, the other fees collected enact a temporary fee reduction on timeframes, any items of information or by the MSRB have provided a relatively market activity fees by amending documents required to be submitted under smaller portion of the MSRB’s actual section MSRB Rule A–13(h) to reduce any rule issued by the Board. revenue, in comparison to market by 40 percent the fees for assessable The MSRB believes that its rules activity fees, and, at the same time, the activity that occurs on April 1, 2021 provide for reasonable dues, fees, and other fees have not exceeded their through September 30, 2022.29 other charges among regulated entities. • respective budgeted amounts as Amended MSRB Rule A–13(h)(i) The MSRB believes that the proposed consistently and to the same degree as would provide that the underwriting rule change is necessary and market activity fees, if at all.25 Thus, assessment for certain primary offerings appropriate to fund the operation and unlike market activity fees, the Board during this period would be .00165% of administration of the Board and satisfies has determined that these other fees on the par value ($0.0165 per $1,000), a the requirements of Section regulated entities have not contributed reduction of 40 percent from .00275% of 15B(b)(2)(J),32 achieving a more to the MSRB’s excess reserves the par value ($.0275 per $1,000) reasonable fee structure, a more position.26 assessed under MSRB Rule A–13(c)(i). equitable balance of fees among • As the Board has considered and Amended MSRB Rule A–13(h)(ii) regulated entities, and a fairer allocation revisited the reasonable fees and charges would provide that the transaction of the expenses of the MSRB. necessary or appropriate to defray the assessment during this period would be As described above, the MSRB’s costs and expenses of operating and .0006% of the par value ($0.006 per reserves position currently exceeds its administering the MSRB, the Board has $1,000), a reduction of 40 percent from target. This surplus has continued continually strived to have a fair and .001% ($.01 per $1,000) assessed under despite prior efforts undertaken by the equitable balance of fees among MSRB Rule A–13(d)(i) and MSRB Rule Board to address the MSRB’s financial regulated entities.27 Accordingly, the A–13(d)(ii). position, such as budgeting operating • Board has determined that the market Amended MSRB Rule A–13(h)(iii) deficits, providing for prior fee activity fees that directly contributed to would provide that the technology reductions,33 and making strategically the excess reserves position should be assessment during this period would be significant investments in market the fees that are targeted for a temporary $0.60 per transaction, a reduction of 40 transparency systems.34 Accordingly, reduction, and so market activity fees percent from $1.00 per transaction the Board has determined to seek this paid by dealers are the subject of the assessed under MSRB Rule A–13(d)(iv). additional temporary fee reduction for proposed rule change. The temporarily reduced rates would be market activity fees after considerable The Board continually seeks to strike for assessable activity that occurs during analysis and deliberation, particularly the right balance in fee assessments to this eighteen-month period, inclusive of regarding the advantages, disadvantages, maintain sufficient reserves to ensure activity occurring on the beginning date and outcomes of its prior activities. Both fiscal sustainability, while providing of April 1, 2021 and the end date of in light of the impact of the COVID–19 30 relief to regulated entities that have September 30, 2022. Effective October pandemic on the MSRB’s Fiscal Year contributed to the excess reserves 1, 2022, the rates of assessment for these 2020 financial results and also when position. The temporary eighteen-month market activity fees would revert to considered in conjunction with its fee reduction for certain market activity current levels on assessable activity planned broader examination of the occurring on and after that date. MSRB’s fee structure, the Board believes 23 See MSRB Fiscal Year 2021 Budget (link at note 15 supra). Notably, this amount is generally 2. Statutory Basis that the proposed rule change resulting consistent with recent prior fiscal years. The MSRB believes that the proposed in the temporary fee reductions is 24 Although the organization’s revenue sources rule change is consistent with Section preferable at this time to address the have become modestly more diversified since the excess reserves position instead of, for initial enactment of the Dodd-Frank Act—when market activity fees accounted for 90 percent or 28 As noted, and for the reasons otherwise example, funding anticipated future more of the Board’s annual revenue in certain fiscal discussed herein, underwriting assessments operating deficits over a number of years—market activity fees paid by dealers still charged pursuant to Rule A–13(c)(ii) to dealers years until excess reserves are depleted. accounted for approximately 80 percent of actual acting as underwriters of municipal fund securities In this way, the Board’s determination revenue in Fiscal Year 2018 (∼$33.5 million), 72 are not included in the temporary fee reduction. ∼ to seek the proposed rule change’s percent in Fiscal Year 2019 ( $24.4 million), and 77 29 The 40 percent is relative to the existing market ∼ percent in Fiscal Year 2020 ( $36.6 million). The activity fees respectively specified in MSRB Rule MSRB’s Financial Statements for these years are A–13(c)(i) and MSRB Rule A–13(d). Note, however, 31 15 U.S.C. 78o–4(b)(2)(J). available at http://msrb.org/About-MSRB/Financial- that the proposed rule change would amend the 32 Id. and-Other-Information/Annual-Reports.aspx. temporary fee reduction language of MSRB Rule A– 33 See note 22 supra and related discussion 25 Id. 13(h) and would not change the text of MSRB Rule regarding prior temporary fee reductions in Fiscal 26 Id. A–13(c)(i) or MSRB Rule A–13(d). Year 2019. See also Release No. 34–75751 (Aug. 24, 27 See, e.g., MSRB Regulatory Notice 2017–20 30 Dealers are typically billed for these fees after 2015), 80 FR 52352 (Aug. 28, 2015) (File No. SR– (Sept. 29, 2017) (‘‘The MSRB will continue to the relevant month end. Specifically, the MSRB–2015–08) (amending the underwriting fee, review and evaluate its fees over time to ensure that underwriting fee is billed immediately after the among other amendments). fees are allocated fairly and equitably across all respective month end, while the transaction and 34 See note 17 supra and related discussion regulated entities.’’) technology fees are billed thirty days in arrears. (identifying examples of such investments).
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temporary fee reduction is informed by the proposed rule change’s temporary reasonable and appropriate to the MSRB’s prior experience in fee reduction has the advantage of temporarily reduce these fees for the attempting to address its excess reserves granting firms notice and time to designated period to achieve this position. For example, the Board operationalize the reduced fees into objective. Additionally, the MSRB continues to believe that a temporary their business processes. believes that the duration of the reduction of market activity fees is a For all the reasons discussed herein, proposed rule change’s temporary fee reasonable and appropriate mechanism the MSRB believes that the proposed reduction is reasonable and appropriate for reducing its excess reserves position rule change satisfies the applicable in light of the MSRB’s excess reserves because, as a matter of fairness and requirements of the Act and the Board position and the Board’s ongoing review equity among regulated entities who pay has developed a reasonable and of the MSRB’s overall fee structure and MSRB fees, it would temporarily appropriate mechanism for addressing goal of arriving at longer-term decrease fees for those regulated entities the excess reserves position generated conclusions about the MSRB’s financial that financially contributed to the by the MSRB’s current fee structure. positioning. excess reserves position. The MSRB does not believe that the At the same time, the Board believes B. Self-Regulatory Organization’s proposed rule change would result in that the temporary fee reduction— Statement on Burden on Competition any burden on competition that is not which would be assessed over a Section 15B(b)(2)(C) of the Act 38 necessary or appropriate in furtherance relatively extended period of eighteenth requires that MSRB rules not be of the purposes of the Act, as it would months—is more prudent and equitable designed to impose any burden on temporarily decrease the market activity than other alternatives. Specifically, the competition not necessary or fees by the same percentage for all Board believes that one of the appropriate in furtherance of the dealers subject to these fees. advantages of extending the temporary purposes of the Act. The MSRB believes Consequently, the equal application of fee reduction over the course of eighteen that the proposed rule change does not the fee reduction will not result in an months, as opposed to a shorter period, impose any burden on competition not impact on market competition. The is that the proposed rule change will necessary or appropriate in furtherance proposed fee reduction utilizes the capture a larger, and likely more of the purposes of the act because the temporary fee reduction mechanism representative, segment of market proposed rule change proportionately already established and effectively used activity than if the fee reduction was for applies to each dealer firm that may pay in Fiscal Year 2019 while the MSRB a shorter duration.35 market activity fees and, thereby, proceeds with a broader review of its fee Additionally, stretching the duration equitably benefits this class of regulated structure. Notably, this time the length of the fee reduction to eighteen months entity. Consequently, the MSRB believes of the reduction time period is eighteen will allow the MSRB to progress toward that the proposed rule change will not months versus nine months in Fiscal its reserves target at a more measured impact competition in this regard. Year 2019 and the rate of reduction is pace of net-deficit spending than if, for The Board’s policy on the use of now 40 percent versus 33 percent in example, the total percentage amount of economic analysis is not applicable to Fiscal Year 2019. Based on the current the fee reduction was more aggressive. those rules for which the Board seeks level of MSRB’s reserves and the In addition, and as previously noted immediate effectiveness.39 However, an Board’s target level, the Fiscal Year 2021 above, the Board believes that the internal analysis may still be conducted budget and pro forma for Fiscal Year eighteen-month duration of the to gauge the economic impact, with an 2022 (projected budget numbers temporary fee reduction is reasonable emphasis on the burden on competition between April 2021 and September and appropriate because it will provide involving regulated entities. In this 2022), a 40 percent reduction of the fees the Board requisite time to evaluate the regard, the Board believes the proposed assessed under Rule A–13(c)(i) and (d) organization’s fee structure thoughtfully rule change is necessary and would forgo revenue of, and thus reduce and thoroughly and arrive at longer term appropriate to achieve the goal of reserves by, an estimated $18.8 conclusions about the MSRB’s financial reducing the MSRB’s reserves. Because million.40 36 positioning. the market activity fees that are the The MSRB believes that the proposed Lastly, the Board believes that the subject of the proposed rule change rule change would not impose an mechanism of a temporary fee reduction comprised a majority of MSRB’s unnecessary or inappropriate regulatory is preferable to a rebate or similar return revenue and contributed to the excess burden on dealers, as dealers with mechanisms that would more directly reserves, the Board believes that it is different levels of underwriting and reimburse the regulated entities who trading activities would all benefit from paid the market activity fees that through or across organizations, particularly for the temporary fee reduction contributed to the excess reserves underwriting syndicate participants. proportionately during the relevant position. The MSRB understands that 38 15 U.S.C. 78o–4(b)(2)(C). period. For dealers engaging in primary such direct fee rebates based on past fee 39 The scope of the Board’s policy on the use of economic analysis in rulemaking provides that: market activity, a temporary 40 percent payments may pose operational reduction in the underwriting 37 [t]his Policy addresses rulemaking activities of challenges to dealer firms. In contrast, the MSRB that culminate, or are expected to assessment of the par value will benefit culminate, in a filing of a proposed rule change all dealers and the reduction amount 35 As a general illustration of this point, the with the SEC under Section 19(b) of the Exchange will be proportionate to each dealer’s MSRB believes that a dealer firm that only Act, other than a proposed rule change that the occasionally engages in underwriting business is MSRB reasonably believes would qualify for total underwriting par amount. more likely to receive a benefit from a fee reduction immediate effectiveness under Section 19(b)(3)(A) Additionally, all dealers engaging in occurring over an eighteenth-month period than, for of the Exchange Act if filed as such or as otherwise secondary market activity will be example, a fee reduction occurring over a six-month provided under the exception process of this Policy. impacted by a 40 percent reduction of period. Policy on the Use of Economic Analysis in MSRB 36 See note 21 supra. Rulemaking, available at http://msrb.org/Rules-and- the transaction assessment on the par 37 The MSRB also understands that dealer firms Interpretations/Economic-Analysis-Policy.aspx. For receiving ‘‘rebates’’ and similar after-the-fact those rule changes which the MSRB seeks 40 In round numbers, the proposed fee reduction reimbursements for prior payments and historical immediate effectiveness, the MSRB usually focuses would reduce an estimated $6 million fee for activity may have difficulty in accurately exclusively its examination on the burden of underwriting, $9 million fee for transaction, and $4 calculating and appropriately redistributing money competition on regulated entities. million fee for technology.
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value traded by each dealer and a 40 comments more efficiently, please use Items I, II, and III below, which Items percent reduction in the technology fee only one method. The Commission will have been prepared by the Exchange. based on the number of trades post all comments on the Commission’s The Commission is publishing this conducted by each dealer. In summary, internet website (http://www.sec.gov/ notice to solicit comments on the no firm would be unduly burdened as rules/sro.shtml). Copies of the proposed rule change from interested compared to another firm. Nor would a submission, all subsequent persons. amendments, all written statements firm engaging in both underwriting and I. Self-Regulatory Organization’s with respect to the proposed rule trading activities be unduly burdened as Statement of the Terms of Substance of change that are filed with the compared to singularly focused firms, as the Proposed Rule Change the proposed rule change would provide Commission, and all written for a 40 percent reduction to each of the communications relating to the Cboe Exchange, Inc. (the ‘‘Exchange’’ market activity fees. proposed rule change between the or ‘‘Cboe Options’’) proposes to amend Commission and any person, other than its Fees Schedule. The text of the C. Self-Regulatory Organization’s those that may be withheld from the proposed rule change is provided in Statement on Comments on the public in accordance with the Exhibit 5. Proposed Rule Change Received From provisions of 5 U.S.C. 552, will be The text of the proposed rule change Members, Participants, or Others available for website viewing and is also available on the Exchange’s The Board did not solicit comment on printing in the Commission’s Public website (http://www.cboe.com/ the proposed rule change. Therefore, Reference Room, 100 F Street NE, AboutCBOE/ there are no comments on the proposed Washington, DC 20549 on official CBOELegalRegulatoryHome.aspx), at rule change received from members, business days between the hours of the Exchange’s Office of the Secretary, participants or others. 10:00 a.m. and 3:00 p.m. Copies of the and at the Commission’s Public filing also will be available for Reference Room. III. Date of Effectiveness of the inspection and copying at the principal II. Self-Regulatory Organization’s Proposed Rule Change and Timing for office of the MSRB. All comments Commission Action Statement of the Purpose of, and received will be posted without change. Statutory Basis for, the Proposed Rule The foregoing rule change has become Persons submitting comments are Change effective pursuant to Section 19(b)(3)(A) cautioned that we do not redact or edit of the Act 41 and paragraph (f) of Rule personal identifying information from In its filing with the Commission, the 19b–4 42 thereunder. At any time within comment submissions. You should Exchange included statements 60 days of the filing of the proposed rule submit only information that you wish concerning the purpose of and basis for change, the Commission summarily may to make available publicly. All the proposed rule change and discussed temporarily suspend such rule change if submissions should refer to File any comments it received on the it appears to the Commission that such Number SR–MSRB–2021–02 and should proposed rule change. The text of these action is necessary or appropriate in the be submitted on or before March 30, statements may be examined at the places specified in Item IV below. The public interest, for the protection of 2021. Exchange has prepared summaries, set investors, or otherwise in furtherance of For the Commission, pursuant to delegated forth in sections A, B, and C below, of the purposes of the Act. 43 authority. the most significant aspects of such IV. Solicitation of Comments J. Matthew DeLesDernier, statements. Assistant Secretary. Interested persons are invited to [FR Doc. 2021–04793 Filed 3–8–21; 8:45 am] A. Self-Regulatory Organization’s submit written data, views, and Statement of the Purpose of, and BILLING CODE 8011–01–P arguments concerning the foregoing, Statutory Basis for, the Proposed Rule including whether the proposed rule Change change is consistent with the Act. SECURITIES AND EXCHANGE 1. Purpose Comments may be submitted by any of COMMISSION the following methods: The Exchange proposes to amend its [Release No. 34–91252; File No. SR–CBOE– Fees Schedule to adopt surcharges in Electronic Comments 2021–012] connection with the Exchange’s plan to • Use the Commission’s internet activate the Automated Improvement comment form (http://www.sec.gov/ Self-Regulatory Organizations; Cboe Mechanism (‘‘AIM’’) Auction 3 for S&P rules/sro.shtml); or Exchange, Inc.; Notice of Filing and 500 Index (‘‘SPX’’) and SPX Weekly • Send an email to rule-comments@ Immediate Effectiveness of a Proposed (‘‘SPXW’’) options while the Exchange Rule Change To Amend Its Fees sec.gov. Please include File Number SR– is operating in its normal hybrid Schedule MSRB–2021–02 on the subject line. environment, effective February 22, Paper Comments March 3, 2021. 2021. By way of background, AIM includes • Pursuant to Section 19(b)(1) of the Send paper comments in triplicate Securities Exchange Act of 1934 (the functionality in which a Trading Permit to Secretary, Securities and Exchange ‘‘Act’’),1 and Rule 19b-4 thereunder,2 Holder (‘‘TPH’’) (an ‘‘Initiating TPH’’) Commission, 100 F Street NE, notice is hereby given that on February may electronically submit for execution Washington, DC 20549–1090. 22, 2021, Cboe Exchange, Inc. (the an order it represents as agent on behalf All submissions should refer to File ‘‘Exchange’’ or ‘‘Cboe Options’’) filed of a customer,4 broker dealer, or any Number SR–MSRB–2021–02. This file with the Securities and Exchange number should be included on the Commission (the ‘‘Commission’’) the 3 The Exchange notes that this includes Complex subject line if email is used. To help the proposed rule change as described in AIM (‘‘C–AIM’’), as set forth in proposed footnote Commission process and review your 26. 4 The term ‘‘customer’’ means a Public Customer 43 17 CFR 200.30–3(a)(12). or a broker-dealer. The term ‘‘Public Customer’’ 41 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1). means a person that is not a broker-dealer. See Rule 42 17 CFR 240.19b–4(f). 2 17 CFR 240.19b–4. 1.1.
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other person or entity (‘‘Agency Order’’) for all Clearing TPHs (capacity ‘‘F’’) and execution opportunities outside of against any other order it represents as for Non-Clearing TPH Affiliates contributing to SPX/SPXW liquidity in agent, as well as against principal (capacity ‘‘L’’) (collectively, ‘‘Firms’’) open outcry and the [sic] on the interest in AIM (an ‘‘Initiating Order’’), orders in SPX/SPXW options executed electronic Book. Indeed, the Exchange provided it submits the Agency Order in AIM. Finally, the Exchange proposes currently does so in various places in for electronic execution into an AIM to adopt an SPX AIM Hybrid Originator the Fees Schedule with respect to other Auction.5 The Exchange may designate Surcharge of $0.10. Proposed footnote classes. For example, the Exchange any class of options traded on Cboe 26 is appended to the proposed currently assesses a higher charge for Options as eligible for AIM. The surcharges and provides that the SPX Non-Customer and Firm AIM Responses Exchange notes that all Users, other AIM Hybrid Surcharges, including the in all products, except Sector Indexes 10 than the Initiating TPH, may submit Originator Surcharge, apply only to and Underlying Symbol List A,11 of responses to an Auction (‘‘AIM SPX/SPXW orders executed in AIM and $0.50 (Penny classes) and $1.05 (Non- Responses’’). AIM Auctions take into C–AIM 7 during RTH when the Penny classes) than the applicable account AIM Responses to the Exchange is operating in a hybrid standard transaction rates. The applicable Auction as well as contra environment (i.e., the trading floor is Exchange also notes that when it is interest resting on the Cboe Options operable). The SPX AIM Hybrid operating in a screen-based only Book at the conclusion of the Auction Surcharge will apply to all SPX/SPXW environment, it assesses an AIM (‘‘unrelated orders’’), regardless of AIM Agency/Primary, Contra and Agency/Primary Surcharge of $0.10, whether such unrelated orders were Response orders. The SPX AIM Hybrid which, like the proposed SPX AIM already present on the Book when the Originator Surcharge will apply to all Hybrid Originator Surcharge, applies to Agency Order was received by the SPX/SPXW Agency/Primary orders and all AIM Agency/Primary orders in SPX/ Exchange or were received after the such fee will be invoiced to the SPXW and is invoiced to the executing Exchange commenced the applicable executing TPH. TPH. Additionally, the Exchange notes Auction. If contracts remain from one or Particularly, the Exchange notes that that it assesses certain surcharges on more unrelated orders at the time the it can determine AIM eligibility on a proprietary products (i.e., SPX/SPXW, 8 Auction ends, they are considered for class-by-class basis and, as stated SPESG and VIX) 12 to similarly create a participation in the AIM order above, historically has not designated reasonable cost equivalence between the allocation process. SPX/SPXW as eligible for AIM primary execution channels (open The Exchange does not currently Auctions. As such, the Exchange wants outcry and electronic book) for such activate AIM for SPX/SPXW while it to encourage market participants to products and likewise maintain a robust operates in its normal hybrid trading continue to execute SPX/SPXW volume hybrid system.13 Overall, the proposed environment (i.e., when the trading in open outcry or against quotes in its fees are designed to balance fees at an 6 floor is operable). The Exchange, electronic Book when AIM is switched appropriate level in order to assess SPX/ however, plans to activate AIM for SPX/ on for SPX/SPXW. The Exchange SPXW order flow to the AIM Auctions SPXW on February 22, 2021 for believes the SPX AIM Hybrid while also maintaining incentive for operation in the Exchange’s normal Surcharges (including the Originator participation and the provision of hybrid environment. In connection with surcharge) will provide a reasonable liquidity in SPX/SPXW on the trading the planned activation of AIM for SPX/ cost incentive to market participants to floor and in the electronic book when SPXW while the Exchange functions in continue to execute SPX/SPXW orders AIM is activated for SPX/SPXW. its normal hybrid setting, the Exchange as they do today as well as through AIM proposes to adopt certain surcharges when appropriate once activated. More 2. Statutory Basis under Rate Table—Underlying Symbol specifically, the SPX AIM Hybrid The Exchange believes the proposed List A of the Fees Schedule. Surcharges aim to balance incentives rule change is consistent with the Specifically, the Exchange proposes to between executing via the AIM Securities Exchange Act of 1934 (the adopt an SPX AIM Hybrid Surcharge of Auctions and executing via open outcry ‘‘Act’’) and the rules and regulations $0.50 per contract for all Broker-Dealer or the electronic Book, which the thereunder applicable to the Exchange (capacity ‘‘B’’), Joint Back-Office Exchange believes will maintain robust and, in particular, the requirements of (capacity ‘‘J’’), Non-TPH Market-Maker hybrid markets and continue to Section 6(b) of the Act.14 Specifically, (capacity ‘‘N’’) and Professional incentivize the provision of liquidity to the Exchange believes the proposed rule (capacity ‘‘U’’) (collectively, ‘‘Non- both its electronic and trading floor change is consistent with the Section Customers’’), and Market-Maker environments in order to support price (capacity ‘‘M’’) orders in SPX/SPXW discovery and increased execution 10 Sector Index underlying symbols: IXB, SIXC, options executed in AIM. The Exchange opportunities. The new functionality for IXE, IXI, IXM, IXR, IXRE, IXT, IXU, IXV AND IXY. also proposes to adopt an SPX AIM SPX/SPXW will allow market Corresponding option symbols: SIXB, SIXC, SIXE, Hybrid Surcharge of $0.39 per contract participants to interact with SPX/SPXW SIXI, SIXM, SIXR, SIXRE, SIXT, SIXU, SIXV AND order flow in a manner not previously SIXY. 11 Underlying Symbol List A: OEX, XEO, RUT, 5 See Rule 5.37 (AIM); and Rule 5.38 (C–AIM). available in a hybrid trading RLG, RLV, RUI, UKXM, SPX (includes SPXW), 6 In March 2020, the Exchange suspended open environment.9 Therefore, the Exchange SPESG and VIX. outcry trading to help prevent the spread of the 12 See Cboe Options Fees Schedule, ‘‘Rate Table— novel coronavirus and operated in an all-electronic believes it is appropriate to assess Underlying Symbol List A’’, which assesses an configuration though June 2020. During this time, additional fees to market participants the Exchange activated AIM for SPX and SPXW that choose to leverage auction Execution Surcharge of $0.21 for all non-Market- options in an all-electronic environment to provide Maker orders in SPX and SPESG and $0.13 for all TPHs with a mechanism to execute crosses non-Market-Maker orders in SPXW, and assesses a 7 electronically, as they could no longer represent See supra note 3. The Exchange notes that it Customer Priority Surcharge of $0.20 for all those crosses for open outcry execution. Footnote already activates FLEX AIM for SPX/SPXW and that Customer maker orders in VIX. 12 in the Fees Schedule provides specifically that all currently applicable FLEX transaction fees and 13 See e.g., Securities and Exchange Release Nos. in the event the Exchange operates in a screen- surcharges will continue to apply. 71295 (January 14, 2014), 79 FR 3443 (January 21, based only environment, AIM may be available for 8 See Rule 5.37(a)(1) and 5.38(a)(1). 2014) (SR–CBOE–2013–129); and 88426 (March 19, SPX and SPXW during Regular Trading Hours, and 9 Previously only available while the trading floor 2020), 85 FR 16978 (March 25, 2020) (SR–CBOE– the Fees Schedule provides for certain SPX AIM was inoperable for a period of time during 2020. 2020–021). Surcharges that apply only in that case. See supra note 6. 14 15 U.S.C. 78f(b).
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6(b)(5) 15 requirements that the rules of that the proposed SPX AIM Hybrid to a robust hybrid market ecosystem as an exchange be designed to prevent Surcharges of $0.50 per contract for all Firms facilitate the execution of fraudulent and manipulative acts and Non-Customer and Market-Maker and customer orders, as well as provide practices, to promote just and equitable $0.39 per contract for all Firm orders clearing services, both electronically principles of trade, to foster cooperation executed in AIM (Agency/Primary, and in open outcry. The Exchange and coordination with persons engaged Contra and Response) are reasonable recognizes Firms as an important source in regulating, clearing, settling, because these surcharges are, of liquidity when they facilitate their processing information with respect to, respectively, comparable to or less than own customers’ trading activity, which and facilitating transactions in the $0.50 and $1.05 rates per contract, enhances transparency and price securities, to remove impediments to which are generally higher than the discovery to the benefit of all market and perfect the mechanism of a free and applicable standard transaction rates, participants, and, as a result, currently open market and a national market currently assessed for certain AIM assesses a lower rate to Firms in various system, and, in general, to protect orders submitted in all products (with places under the Fees Schedule, investors and the public interest. certain exceptions). The Exchange including for transactions in SPX/ Additionally, the Exchange believes the believes that the proposed SPX AIM SPXW.20 Hybrid Originator Surcharge is proposed rule change is consistent with B. Self-Regulatory Organization’s 16 reasonable as it is equivalent to the AIM Section 6(b)(4) of the Act, which Statement on Burden on Competition requires that Exchange rules provide for Agency/Primary Surcharge of $0.10 that the equitable allocation of reasonable is assessed when the Exchange is The Exchange does not believe that dues, fees, and other charges among its operating in an screen-based only the proposed rule change will impose Trading Permit Holders and other environment and likewise applies to all any burden on intramarket or persons using its facilities. AIM Agency/Primary orders in SPX/ intermarket competition that is not Particularly, the Exchange believes SPXW and is invoiced to the executing necessary or appropriate in furtherance the proposed rule change to adopt AIM TPH. The Exchange again notes that it of the purposes of the Act. Hybrid Surcharges (including an assesses certain surcharges on The Exchange does not believe the Originator Surcharge) is reasonable proprietary products (i.e., SPX/SPXW, proposed SPX AIM Hybrid Surcharges because the proposed surcharges are SPESG and VIX) 18 in order to similarly (including the Originator Surcharge) reasonably designed to ensure that there create a reasonable cost equivalence will impose any burden on intramarket is appropriate cost incentive to market between its primary execution channels competition because they will apply participants to continue to execute (open outcry and electronic book) for equally to all similarly situated TPHs that submit orders in SPX/SPXW into through the Exchange’s primary such products as the Exchange seeks to 19 AIM. That is, the proposed fees will execution channels for SPX/SPXW once maintain a robust hybrid system. apply equally to all Non-Customer and AIM is activated for SPX/SPXW. The Overall, the Exchange believes the Market-Maker orders in SPX/SPXW Exchange believes that the proposed proposed fees are reasonably designed submitted to AIM, to all Firm orders in SPX AIM Hybrid Surcharges reasonably to balance fees at an appropriate level in SPX/SPXW submitted to AIM, and to all balance cost incentives between order to assess SPX/SPXW order flow to executing TPHs that submit AIM executing via the AIM Auctions and AIM Auctions while also maintaining Agency/Primary orders in SPX/SPXW. executing via open outcry or against incentive for participation in SPX/ The Exchange does not believe that quotes in the electronic Book, which is SPXW on the trading floor and in the electronic book, thereby supporting providing lower SPX AIM Hybrid rates in the interest of the Exchange as it must for Firms will impose any significant both maintain robust hybrid markets, incentive for continued liquidity in SPX/SPXW through the Exchange’s burden on intramarket competition that incentivizing liquidity to both its is not necessary or appropriate in electronic and trading floor primary execution channels while AIM is activated for SPX/SPXW, to the furtherance of the purposes of the Act environments in order support price because the Exchange recognizes that discovery and increased execution benefit of all market participants. The Exchange believes that the Firm participation in the markets is opportunities. The planned activation of essential to a robust hybrid market this functionality for SPX/SPXW will proposed SPX AIM Hybrid Surcharges (including the Originator Surcharge) are ecosystem as Firms facilitate the allow market participants to interact equitable and not unfairly execution of customer orders, as well as with SPX/SPXW order flow in a manner discriminatory because the proposed provide clearing services, both in open not previously available,17 and, as a SPX AIM Hybrid Surcharges will apply outcry and electronically. As a result, result, the Exchange believes it is equally to all similarly situated TPHs the Exchange currently assesses a lower reasonable to assess additional fees for that submit orders in SPX/SPXW into rate to Firms in various places under the market participants that choose to AIM. That is, the proposed fees will Fees Schedule, including for leverage auction execution apply equally to all Non-Customer and transactions in SPX/SPXW.21 The opportunities outside of contributing to Market-Maker orders in SPX/SPXW Exchange believes that Firms can be an SPX/SPXW liquidity in open outcry and executed in AIM, to all Firm orders in important source of liquidity when they the on the electronic Book. SPX/SPXW executed in AIM, and to all facilitate their own customers’ trading The Exchange also believes that the executing TPHs that submit AIM activity, which enhances transparency proposed fees in connection with SPX Agency/Primary orders in SPX/SPXW. and price discovery to the benefit of all AIM orders are reasonable as they do The Exchange believes that it is market participants. The Exchange again not represent a significant departure equitable and not unfairly notes that the proposed SPX AIM from the fees currently offered under the discriminatory to provide lower SPX Fees Schedule. The Exchange believes AIM Hybrid rates for Firms because the 20 See e.g., Cboe Options Fees Schedule, ‘‘Rate Exchange believes that Firm Table—Underlying Symbol List A’’, which 15 15 U.S.C. 78f(b)(5). generally assesses lower rates for Firm transactions 16 15 U.S.C. 78f(b)(4). participation in the markets is essential in SPX/SPXW ($0.26 per contract) than for Market- 17 Previously only available while the trading Makers ($0.28) or Non-Customers ($0.42) in SPX/ floor was inoperable for a period of time during 18 See supra note 12. SPXW. 2020. See supra note 6. 19 See supra note 13. 21 See id.
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Hybrid Surcharge comparable to or less • Send an email to rule-comments@ SUMMARY: The Small Business than rates currently assessed for certain sec.gov. Please include File Number SR– Administration (SBA) is seeking AIM orders submitted in all products CBOE–2021–012 on the subject line. approval from the Office of Management (with certain exceptions) and the and Budget (OMB) for the information Paper Comments proposed SPX AIM Hybrid Originator collection described below. In Surcharge is equivalent to the existing • Send paper comments in triplicate accordance with the Paperwork AIM Agency/Primary Surcharge which to Secretary, Securities and Exchange Reduction Act and OMB procedures, likewise applies to AIM Agency/ Commission, 100 F Street NE, SBA is publishing this notice to allow Primary orders in SPX/SPXW (when the Washington, DC 20549–1090. all interested member of the public an Exchange is operating in an screen- All submissions should refer to File additional 30 days to provide comments based only environment). Number SR–CBOE–2021–012. This file on the proposed collection of The Exchange does not believe that number should be included on the information. subject line if email is used. To help the the proposed rule change in connection DATES: Submit comments on or before Commission process and review your with SPX AIM Hybrid Surcharges will April 8, 2021. impose any burden on intermarket comments more efficiently, please use ADDRESSES: Written comments and competition that is not necessary or only one method. The Commission will recommendations for this information appropriate in furtherance of the post all comments on the Commission’s collection request should be sent within purposes of the Act because the propose internet website (http://www.sec.gov/ 30 days of publication of this notice to surcharges apply only to an Exchange rules/sro.shtml). Copies of the www.reginfo.gov/public/do/PRAMain. proprietary product, which is traded submission, all subsequent Find this particular information exclusively on Cboe Options, and for amendments, all written statements collection request by selecting ‘‘Small orders executed in an auction on the with respect to the proposed rule Business Administration’’; ‘‘Currently Exchange. change that are filed with the Commission, and all written Under Review,’’ then select the ‘‘Only C. Self-Regulatory Organization’s communications relating to the Show ICR for Public Comment’’ Statement on Comments on the proposed rule change between the checkbox. This information collection Proposed Rule Change Received From Commission and any person, other than can be identified by title and/or OMB Members, Participants, or Others those that may be withheld from the Control Number. The Exchange neither solicited nor public in accordance with the FOR FURTHER INFORMATION CONTACT: You received comments on the proposed provisions of 5 U.S.C. 552, will be may obtain a copy of the information rule change. available for website viewing and collection and supporting documents from the Agency Clearance Office at III. Date of Effectiveness of the printing in the Commission’s Public Reference Room, 100 F Street NE, [email protected]; (202) 205–7030, or Proposed Rule Change and Timing for from www.reginfo.gov/public/do/ Commission Action Washington, DC 20549, on official business days between the hours of PRAMain. The foregoing rule change has become 10:00 a.m. and 3:00 p.m. Copies of the SUPPLEMENTARY INFORMATION: SBA is effective pursuant to Section 19(b)(3)(A) filing also will be available for required to survey affected disaster of the Act 22 and paragraph (f) of Rule inspection and copying at the principal areas within a state upon request by the 19b–4 23 thereunder. At any time within office of the Exchange. All comments Governor of that state to determine if 60 days of the filing of the proposed rule received will be posted without change. there is sufficient damage to warrant a change, the Commission summarily may Persons submitting comments are disaster declaration. Information is temporarily suspend such rule change if cautioned that we do not redact or edit obtained from individuals, businesses, it appears to the Commission that such personal identifying information from and public officials. action is necessary or appropriate in the comment submissions. You should Solicitation of Public Comments: public interest, for the protection of submit only information that you wish Comments may be submitted on (a) investors, or otherwise in furtherance of to make available publicly. All whether the collection of information is the purposes of the Act. If the submissions should refer to File necessary for the agency to properly Commission takes such action, the Number SR–CBOE–2021–012 and perform its functions; (b) whether the Commission will institute proceedings should be submitted on or before March burden estimates are accurate; (c) to determine whether the proposed rule 30, 2021. whether there are ways to minimize the change should be approved or For the Commission, by the Division of burden, including through the use of disapproved. Trading and Markets, pursuant to delegated automated techniques or other forms of IV. Solicitation of Comments authority.24 information technology; and (d) whether J. Matthew DeLesDernier, there are ways to enhance the quality, Interested persons are invited to Assistant Secretary. utility, and clarity of the information. submit written data, views and OMB Control Number: 3245–0136. [FR Doc. 2021–04791 Filed 3–8–21; 8:45 am] arguments concerning the foregoing, Title: Disaster Survey Worksheet. including whether the proposed rule BILLING CODE 8011–01–P SBA Form Number: 987. change is consistent with the Act. Description of Respondents: Disaster Comments may be submitted by any of effected individuals and businesses. the following methods: SMALL BUSINESS ADMINISTRATION Estimated Number of Respondents: 2,400. Electronic Comments Reporting and Recordkeeping Estimated Annual Responses: 2,400. • Use the Commission’s internet Requirements Under OMB Review Estimated Annual Hour Burden: 199. comment form (http://www.sec.gov/ AGENCY: Small Business Administration. rules/sro.shtml); or Curtis Rich, ACTION: 30-day Notice. Management Analyst. 22 15 U.S.C. 78s(b)(3)(A). [FR Doc. 2021–04854 Filed 3–8–21; 8:45 am] 23 17 CFR 240.19b–4(f). 24 17 CFR 200.30–3(a)(12). BILLING CODE 8026–03–P
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DEPARTMENT OF TRANSPORTATION Whether the proposed collection of for patient transport, and the number of information is necessary for FAA’s accidents that occurred while Federal Aviation Administration performance; (b) the accuracy of the conducting helicopter air ambulance [Docket No. FAA–2020–0986] estimated burden; (c) ways for FAA to operations. The information is collected enhance the quality, utility and clarity annually. Agency Information Collection of the information collection; and (d) Respondents: 62 Helicopter Air Activities: Requests for Comments; ways that the burden could be Ambulance Operators. Clearance of a Renewed Approval of minimized without reducing the quality Frequency: Annually. Information Collection: Helicopter Air of the collected information. Estimated Average Burden per Ambulance Operator Reports OMB Control Number: 2120–0761. Response: Varies per size of operation. Title: Helicopter Air Ambulance Estimated Total Annual Burden: 738 AGENCY: Federal Aviation Operator Reports. Hours for all operators. Administration (FAA), DOT. Form Numbers: 2120–0756. Type of Review: Renewal of an Issued in Washington, DC, on March 4, ACTION: Notice and request for 2021. comments. information collection. Background: The Federal Register Sheri A. Martin, SUMMARY: In accordance with the Notice with a 60-day comment period Management and Program Analyst, FAA, Air Paperwork Reduction Act of 1995, FAA soliciting comments on the following Transportation Division, AFS–200. invites public comments about our collection of information was published [FR Doc. 2021–04884 Filed 3–8–21; 8:45 am] intention to request the Office of on October 14, 2020 (85 FR 65133). One BILLING CODE 4910–13–P Management and Budget (OMB) comment was received. approval to renew an information The FAA Modernization and Reform collection. The Federal Register Notice Act of 2012 (the Act), as amended by the DEPARTMENT OF TRANSPORTATION with a 60-day comment period soliciting FAA Reauthorization Act of 2018, National Highway Traffic Safety comments on the following collection of mandates that all helicopter air Administration information was published on October ambulance operators must begin reporting the number of flights and 14, 2020. The collection involves the [Docket No. NHTSA–2021–0013] requirement for Helicopter Air hours flown, along with other specified Ambulance Operators to report certain information, during which helicopters Agency Information Collection information to the FAA. The FAA operated by the certificate holder were Activities; Notice and Request for collects 14 pieces of data from providing helicopter air ambulance Comment; Automated Driving Systems helicopter air ambulance operators, 8 of services. See Public Law 112–95, Sec. 2.0: A Vision for Safety which are mandated in the report to 306, 49 U.S.C. 44731. The FAA Congress. We collect data on the Administrator had 180 days to develop AGENCY: National Highway Traffic following: Number of helicopters, a methodology to collect and store those Safety Administration (NHTSA), helicopter base locations, number of data. The Act further mandates that not Department of Transportation (DOT). hours the helicopters are flown, number later than 2 years after the date of ACTION: Notice and request for public of patients transported, number of enactment, and annually thereafter, the comment on an extension of a currently- transportation requests accepted or Administrator shall submit to the approved information collection. denied, number of accidents, number of Committee on Transportation and instrument flight hours flown, number Infrastructure of the House of SUMMARY: The National Highway Traffic of night flight hours flown, number of Representatives and the Committee on Safety Administration (NHTSA) invites incidents, and the rate of accidents or Commerce, Science, and Transportation public comments about our intention to incidents per 100,000 flight hours. The of the Senate, a report containing a request approval from the Office of information to be collected will be used summary of the data collected. Management and Budget (OMB) for an in helping the FAA develop risk The helicopter air ambulance extension of a currently-approved mitigation strategies and provide operational data provided to the FAA is information collection. Before a Federal information to Congress. used by the agency as background agency may collect certain information information useful in the development from the public, it must receive DATES: Written comments should be approval from OMB. Under procedures submitted by April 8, 2021. of risk mitigation strategies to reduce the helicopter air ambulance accident established by the Paperwork Reduction ADDRESSES: Written comments and rate, and to meet the mandates set by Act of 1995, before seeking OMB recommendations for the proposed Congress. All helicopter air ambulance approval, Federal agencies must solicit information collection should be sent operators must report data to the FAA. public comment on proposed within 30 days of publication of this The FAA collects 14 pieces of data collections of information, including notice to www.reginfo.gov/public/do/ from helicopter air ambulance operators extensions and reinstatements of PRAMain. Find this particular which are mandated in the report to previously approved collections. This information collection by selecting Congress. Data is collected on the document describes a collection of ‘‘Currently under 30-day Review—Open following: number of helicopters, information for which NHTSA intends for Public Comments’’ or by using the helicopter base locations, number of to seek OMB extension approval, titled search function. hours the helicopters are flown, number ‘‘Automated Driving Systems 2.0: A FOR FURTHER INFORMATION CONTACT: Tom of patients transported, number of Vision for Safety’’ and identified by Luipersbeck by email at: transportation requests accepted or OMB Control Number 2127–0723, [email protected]; phone: denied, number of accidents, number of which is currently approved through 615–202–9683 instrument flight hours flown, number May 31, 2021. The burden hour SUPPLEMENTARY INFORMATION: Public of night flight hours flown, number of calculations have been adjusted to Comments Invited: You are asked to incidents in which a helicopter was not reflect a reduction in burden as well as comment on any aspect of this directly dispatched and arrived to a reduction in the frequency of response information collection, including (a) transport patients but was not utilized resulting in a total annual burden hour
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reduction from 86,100 hours to 12,000 agencies concerning each proposed technologies by vehicle manufacturers hours. collection of information. OMB has and other entities as described in ADS DATES: Comments must be submitted on promulgated regulations describing 2.0. In the section of ADS 2.0 titled, or before May 10, 2021. what must be included in such a ‘‘Voluntary Guidance for Automated ADDRESSES: You may submit comments document. Under OMB’s regulation (at Driving Systems’’ (hereafter referred to using any of the following methods: 5 CFR 1320.8(d)), an agency must as ‘‘Voluntary Guidance’’), NHTSA • Electronic submissions: Go to request public comment on the recommended that manufacturers and http://www.regulations.gov. Follow the following: (a) Whether the proposed other entities assess their ADS-equipped online instructions for submitting collection of information is necessary vehicle against specific safety elements, comments. for the proper performance of the summarize that assessment, and then • Fax: (202) 493–2251. functions of the agency, including voluntarily disclose that summary to the • Mail: Docket Management, U.S. whether the information will have public.3 The Voluntary Guidance Department of Transportation, 1200 practical utility; (b) the accuracy of the outlines recommended best practices, New Jersey Ave. SE, West Building, agency’s estimate of the burden of the many of which should be commonplace Room W12–140, Washington, DC 20590. proposed collection of information, in the industry, for the safe pre- • Hand Delivery: 1200 New Jersey including the validity of the deployment design, development, and Avenue SE, West Building Ground methodology and assumptions used; (c) testing of ADSs prior to commercial sale Floor, Room W12–140, Washington, DC, how to enhance the quality, utility, and or operation on public roads. between 9 a.m. and 5 p.m., Monday clarity of the information to be Description of the Need for the through Friday, except Federal holidays. collected; and (d) how to minimize the Information and Proposed Use of the Telephone (202) 366–9322. burden of the collection of information Information: To assist States and the Instructions: Each submission must on those who are to respond, including public in understanding how safety is include the Agency name and the the use of appropriate automated, being considered by manufacturers and Docket number identified at the electronic, mechanical, or other other entities developing and testing beginning of this document. Note that technological collection techniques or ADSs, NHTSA has encouraged all comments received will be posted other forms of information technology, disclosures that aid in that mission. The without change to http:// e.g. permitting electronic submission of burden estimates contained in this www.regulations.gov, including any responses. In compliance with these notice are based on the Agency’s personal information provided. Please requirements, NHTSA asks for public understanding of the ADS market and see the Privacy Act heading below. comments on the extension of the the time associated with generating a Privacy Act: Anyone is able to search following collection of information for self-assessment and voluntarily making the electronic form of all comments which the agency is seeking approval a summary of that self-assessment received into any of our dockets by the from OMB. public. The estimates in this notice are name of the individual submitting the Title: Automated Driving Systems 2.0: adjustments from the previous comment (or signing the comment, if A Vision for Safety. information collection request (ICR) submitted on behalf of an association, Type of Request: Extension of a demonstrating a decrease in the burden- business, labor union, etc.). You may currently-approved information hour estimate. review DOT’s complete Privacy Act collection. The manner by which NHTSA Statement in the Federal Register OMB Control Number: 2127–0723. encourages ADS manufacturers and published on April 11, 2000 (65 FR Form Number: None. other entities to disclose information is 19477–78) or you may visit http:// Type of Review Requested: Regular. through a VSSA. The VSSA summarizes www.dot.gov/privacy.html. Requested Expiration Date of how the manufacturer or other entity Docket: For access to the docket to Approval: Three years from date of has considered the safety elements read background documents or approval. contained in the Voluntary Guidance as comments received, go to http:// Summary of the collection of shown below: www.regulations.gov or the street Information: In September 2017, • System Safety address listed above. Follow the online NHTSA published a policy • Operational Design Domain instructions for accessing the dockets document titled, Automated Driving • Object and Event Detection and via internet. Systems 2.0: A Vision for Safety (ADS Response • FOR FURTHER INFORMATION CONTACT: For 2.0). Recognizing the potential that Fallback (Minimal Risk Condition) Automated Driving Systems (ADSs) • Validation Methods additional information or access to • background documents, contact Ms. have to enhance safety and mobility, Human Machine Interface this policy document set out an • Vehicle Cybersecurity Debbie Sweet, NHTSA, 1200 New Jersey • approach to enable the safe deployment Crashworthiness Avenue SE, Washington, DC 20590; • of Automated Driving Systems (SAE Post-Crash ADS Behavior Telephone (202) 366–7179; Fax: (202) • Data Recording 366–2106; email address: Automation Levels 3 through 5— • Conditional, High, and Full Automation Consumer Education and Training [email protected]. Please identify • Federal, State and Local Laws Systems as defined in SAE J3016).1 the relevant collection of information by The Agency believes the work referring to its OMB Control Number. Consistent with its statutory purpose to reduce traffic crashes and deaths and associated with consideration of the SUPPLEMENTARY INFORMATION : Under the 2 safety element in the Voluntary Paperwork Reduction Act of 1995 (44 injuries resulting from traffic accidents, NHTSA has recommended disclosure of Guidance to be an extension of good and U.S.C. 3501 et seq.), before an agency safe engineering practices already in submits a proposed collection of information via a Voluntary Safety Self- Assessment (VSSA) related to ADS place. It therefore believes that information to OMB for approval, it manufacturers and other entities will must first publish a document in the 1 For more information about SAE J3016, see have access to all the information Federal Register providing a 60-day https://www.sae.org/standards/content/j3016_ comment period and otherwise consult 201806. 3 https://www.nhtsa.gov/sites/nhtsa.dot.gov/files/ with members of the public and affected 2 49 U.S.C. 30101. documents/13069a-ads2.0_090617_v9a_tag.pdf.
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needed to craft a VSSA that discusses entity (included on both other lists) has a potential increase in analysis and how the safety elements were a permit to deploy.4 At the onset of the review in order to develop the VSSA, considered and, if they choose, release current information collection, NHTSA has since determined there to a summary of that assessment publicly. California had issued permits to 45 be no increased documentation citing Of the manufacturers and other entities entities as of November 16, 2017, but how an entity addressed the safety who voluntarily disclose this NHTSA had expected the number to elements in the Voluntary Guidance. information, NHTSA anticipates that grow to 60 entities within the three NHTSA does not believe that any entity most manufacturers and other entities years of the information collection, is documenting its safety efforts solely will post the VSSAs online. As of assuming an addition of new entrants. for the purpose of the VSSA and public December 28, 2020, NHTSA was aware For that reason, the burden hours and disclosure. Therefore, NHTSA reduced of 26 VSSAs, all available online. cost were calculated based on 60 the estimation of burden hours by 835 The safety elements are fully respondents. NHTSA expects the burden hours per respondent per year described in the Voluntary Guidance number of potential respondents to from the previous ICR. section (section 1) of ADS 2.0, as is the remain at approximately 60 given the Development and disclosure of a VSSA. The VSSA (including the public coordinated efforts of some companies VSSA is expected to involve burden for release of that summary assessment) is on the list, the departure of some of format, content, and summary, varying intended to communicate to the public those entities from the industry by safety element. NHTSA estimates (particularly States and consumers) that (departures were not prevalent in 2017 that each entity will spend entities are (1) considering the safety as the industry was new), and approximately 600 hours to develop and aspects of ADSs; (2) communicating and accounting for new entrants. As a point disseminate a VSSA. This estimate of collaborating with DOT; (3) encouraging of reference, since the previous ICR was burden is comprised of efforts to the self-establishment of industry safety approved, NHTSA is aware of 26 transmit information from the existing norms for ADSs; and (4) building public published VSSAs. Given that only 26 format (520 hours for development) into trust, acceptance, and confidence VSSAs have been published in three a summary format that would be through transparent testing and years compared to the 58 actively- consumable by the public, including deployment of ADSs. permitted entities in California, NHTSA data translation, analysis, and Affected Public: Entities involved in believes that 60 respondents is an discussion of traditionally technical the testing and deployment of ADSs. appropriate high-end for total information (80 hours to summarize). Estimated Number of Respondents: respondents. However, based on The total estimated burden hours for 20. observations of the current information, Frequency: On Occasion (based on a single VSSA is calculated as 600 hours NHTSA estimates that respondents will information from the current for each of the 20 respondents. The total only produce and disclose a new VSSA information collection, respondents are burden hours per year is estimated at once every three years. Therefore, expected to respond, on average, once 12,000 hours, a reduction from the NHTSA has revised its burden every three years). 86,100 hours in the previous ICR. Estimated Total Annual Burden calculations to reflect estimates based In summary, NHTSA estimates the Hours: 12,000 hours. on 20 respondents each year. total burden associated with disclosure NHTSA is using the number of Components of the Voluntary recommendations via a VSSA would be entities that have received permits from Guidance in ADS 2.0 and public 600 hours per respondent with 20 the State of California as surrogate for disclosure of the VSSA have not respondents submitting information the number of respondents that may changed since release in 2017. NHTSA each year. The frequency of responding choose to develop and issue a VSSA. As expects the industry burden of is once every three years; therefore, of December 28, 2020, California has addressing safety elements in the NHTSA estimates there will be a total of cumulatively issued permits to 58 Voluntary Guidance to be comprised of 60 unique responders over the course of entities to test Automated Driving efforts entities would already incur in the next three years. Systems with drivers present, five of normal business operation and existing The burden hours associated with those entities also received permits to documentation. While the previous ICR development of a VSSA are detailed in test without a driver present, and one calculated burden hours associated with the tables below.
TABLE 1—BURDEN HOURS ESTIMATES FOR VSSA, PER SAFETY ELEMENT
Burden hours Burden hours Safety element in voluntary guidance for VSSA for VSSA development summary
A. System Safety ...... 20 10 B. Operational Design Domain ...... 20 5 C. Object and Event Detection and Response ...... 40 5 D. Fallback ...... 80 10 E. Validation Methods ...... 80 10 F. Human Machine Interface ...... 20 5 G. Vehicle Cybersecurity ...... 20 5 H. Crashworthiness ...... 20 5 I. Post-Crash ADS Behavior ...... 20 5 J. Data Recording ...... 80 10 K. Consumer Education and Training ...... 40 5
4 https://www.dmv.ca.gov/portal/vehicle- industry-services/autonomous-vehicles/ autonomous-vehicle-testing-permit-holders/.
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TABLE 1—BURDEN HOURS ESTIMATES FOR VSSA, PER SAFETY ELEMENT—Continued
Burden hours Burden hours Safety element in voluntary guidance for VSSA for VSSA development summary
L. Federal, State, and Local Laws ...... 80 5
Total Burden Hours Per ADS ...... 520 80
TABLE 2—CALCULATION OF ANNUAL BURDEN HOURS
Estimated Number of Respondents Annually ...... 20 Estimated Burden Hours for Voluntary Assessment Development ...... 520 hours Estimated Burden Hours for Summarizing Information ...... 80 hours Total Burden Hours per Respondent ...... 600 hours
Total Estimated Burden Hours for Industry per Year ...... 12,000 hours
NHTSA estimates the hourly cost amended; 49 CFR 1.49; and DOT Order on Wednesday, March 24, 2021 from associated with preparing VSSAs to be 1351.29. 2:00 p.m. to 3:30 p.m. EDT. Participants $97.36 5 per hour using the Bureau of can access the presentation by logging Cem Hatipoglu, Labor Statistics’ mean hourly wage into the following: https:// Associate Administrator for Vehicle Safety www.transportation.gov/self- estimate for architectural and Research. engineering managers in the motor governance. Participants may submit [FR Doc. 2021–04877 Filed 3–8–21; 8:45 am] vehicle manufacturing industry written questions in advance of the BILLING CODE 4910–59–P (Standard Occupational Classification meeting to [email protected], or #11–9041). Therefore, the total provide written comments/questions estimated annual burden to each DEPARTMENT OF TRANSPORTATION using the chat function during the respondent is $58,416 (600 hours × presentation. Any questions or $97.36 = $58,416). Therefore, the total Office of the Secretary of comments to be considered must be estimated labor costs to all respondents Transportation received in writing via email to to this collection is $1,168,320. [email protected] by 5 p.m. EST, [Docket No. DOT–OST–2021–0023] Wednesday, March 31, 2021. Additional Estimated Total Annual Burden Cost: information about how to participate NHTSA does not anticipate any further Notice of Tribal Consultation; Request for Comments during the consultation will be made burden to respondents beyond the labor available at https:// costs associated with the burden hours. AGENCY: Office of the Secretary (OST), www.transportation.gov/self-governance Public Comments Invited: You are U.S. Department of Transportation in advance of the consultation and asked to comment on any aspect of this (DOT). announced at the beginning of the information collection, including (a) ACTION: Notice of Tribal consultation; consultation. whether the proposed collection of request for comments. Additional follow-on listening information is necessary for the proper sessions with Tribal associations may be performance of the functions of the SUMMARY: The U.S. Department of scheduled. These listening sessions will Department, including whether the Transportation (DOT or we) announces be open to the public. Please check information will have practical utility; that it is holding virtual Tribal https://www.transportation.gov/self- (b) the accuracy of the Department’s consultation with American Indian and governance for additional details. estimate of the burden of the proposed Alaskan Native Tribes on its The closing date for comments on this information collection; (c) ways to implementation of Executive Order notice is April 19, 2021. The enhance the quality, utility and clarity 13175 of November 6, 2000, consistent Department will consider late comments of the information to be collected; and with the Presidential Memorandum of to the extent practicable. (d) ways to minimize the burden of the January 26, 2021. We also announce the ADDRESSES: You may submit comments establishment of a docket to receive collection of information on by any of the following methods: comments on our Tribal consultation respondents, including the use of • Electronic mail: Send electronic policies and practices. Testimony automated collection techniques or mail to [email protected] and presented at these Tribal consultations other forms of information technology. reference OST–2021–0023 in the subject will be considered by DOT in line. Authority: The Paperwork Reduction formulating its plan of actions in • Electronically through the Federal Act of 1995; 44 U.S.C. Chapter 35, as response to the Presidential eRulemaking Portal: Memorandum of January 26, 2021. We www.regulations.gov. Follow the online 5 The hourly wage is estimated to be $68.35 per will host a virtual Tribal consultation on instructions for submitting comments; hour. National Industry-Specific Occupational March 24, 2021. • Employment and Wage Estimates NAICS 336100— Mail: U.S. Department of Motor Vehicle Manufacturing, May 2019, https:// DATES: Consistent with Executive Order Transportation, Docket Operations, www.bls.gov/oes/current/naics4_336100.htm, last 13175, Consultation and Coordination M–30, West Building Ground Floor, accessed June 30, 2020. The Bureau of Labor with Indian Tribal Governments, we Room W12–140, 1200 New Jersey Statistics estimates that wages represent 70.2 will hold a virtual Tribal consultation Avenue SE, Washington, DC 20590; percent of total compensation to private workers, on • average. Therefore, NHTSA estimates the total meeting to take oral testimony. The Hand Delivery: U.S. Department of hourly compensation cost to be $97.36. Tribal consultation meeting will be held Transportation, Docket Operations,
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West Building Ground Floor, Room members and other interested persons adhere to the Department’s Tribal W12–140, 1200 New Jersey Avenue SE, on our communication and outreach consultation policies. Washington, DC 20590, between 9 a.m. with Indian Tribes when we consider 1. Consultation Plan and 5 p.m., Monday through Friday, ‘‘policies that have tribal except Federal holidays; or implications.’’ 5 In section II, below, we The U.S. Department of • Fax: 1–202–493–2251. identify specific questions to help us Transportation Tribal Consultation Plan All comment submissions must assess our implementation of E.O. (Consultation Plan) (https:// include the agency name, docket name, 13175. www.transportation.gov/sites/dot.gov/ and docket number (DOT–OST–2021– files/docs/Tribal%20Consultation%20 0023). DOT solicits comments from the II. Background Plan.pdf) summarized E.O. 13175, the 2009 Presidential Memorandum, and public to better inform its deliberations. A. Agency Mission. Our mission is to DOT Order 5301.1. The Consultation DOT posts these comments, without ensure America has the safest, most Plan did not cancel or displace DOT edit, including any personal information efficient and modern transportation Order 5301.1. Rather, we read the two the commenter provides, to system in the world, which boosts our documents jointly. The Consultation www.regulations.gov, as described in economic productivity and global Plan identified seven goals and specific the system of records notice (DOT/ALL– competitiveness and enhances the actions associated with each goal that 14 FDMS), which can be viewed at quality of life in communities both rural we would continue to take to support www.dot.gov/privacy. Physical access to and urban. The Department and its the principles of self-governance, self- the Docket is available at the Hand Operating Administrations (OAs) determination, and tribal sovereignty Delivery address noted in this section. implement a diverse set of funding and identified in E.O. 13175. These goals FOR FURTHER INFORMATION CONTACT: Milo safety programs. We are interested in and actions include the following: Booth, Director of Tribal Affairs, 202– any general comments or concerns that 309–9786, [email protected]. Goal 1: Foster meaningful would help us improve our government-to-government relations by: SUPPLEMENTARY INFORMATION: communication and outreach with • Ensuring participation by I. Purpose Indian Tribes on ‘‘policies that have Department officials at national tribal tribal implications,’’ as we strive to conferences, tribal/State meetings, On January 26, 2021, President Biden achieve our mission. issued a Presidential Memorandum on summits, and conferences discussing B. Existing Policies Regarding Tribal consultation and Strengthening tribal issues. Interactions with Indian Tribes. We • Establishing direct contact with Nation-to-Nation Relationships previously have issued two policy Indian tribal governments, including (Presidential Memorandum) 1 statements that set forth principles to visiting tribal governments at reaffirming Executive Order (E.O.) promote effective government-to- reservations, Native Villages, and 13175 titled ‘‘Consultation and government interactions with American communities. Coordination With Indian Tribal Indian and Alaska Native Tribes, and to • Seeking tribal government Governments’’ 2 and the policy encourage and facilitate Tribal representation in meetings, conferences, announced in the 2009 Presidential involvement in areas over which the summits, advisory committees, and Memorandum titled ‘‘Tribal DOT has jurisdiction. DOT Order review boards concerning issues with Consultation’’ (2009 Presidential 5301.1, ‘‘Department of Transportation tribal implications. Memorandum).3 The Presidential Programs, Policies, and Procedures Goal 2: Improve existing tribal Memorandum directs agencies to Affecting American Indians, Alaska programs by: consult with Indian Tribes to develop a Natives, and Tribes’’ (November 16, • Seeking tribal input when the DOT detailed plan of actions to implement 1999). (https://www.transportation.gov/ develops or revises regulations with E.O. 13175 and subsequently submit sites/dot.gov/files/docs/DOT%20 tribal implications and providing this plan to the Director of the Office of 5301.1.pdf) and a Consultation Plan adequate time to allow for comment. Management and Budget (OMB) and the issued in response to the 2009 • Notifying tribes of grant Assistant to the President for Domestic Presidential Memorandum (https:// opportunities through multiple means, Policy (APDP) within 90 days (April 26, www.transportation.gov/sites/dot.gov/ including direct letters and emails 2021). files/docs/Tribal%20Consultation%20 whenever appropriate, as well as Consistent with E.O. 13175 and the Plan.pdf) comprise these policy announcements on the DOT website and Presidential Memorandum, the U.S. statements. These policy statements in the Federal Register. Department of Transportation (DOT or • provide Department-wide guidelines to Providing timely technical we) announces its intent to engage in achieve consistency, but also encourage assistance on changes to legislation, Tribal consultation on whether our tailored approaches to consultation and regulations, programs, and grants. existing consultation policies and coordination that reflect the Goal 3: Ensure meaningful tribal input practices are effective in implementing circumstances of each situation and the into future tribal transportation E.O. 13175 and ways we can improve preference of each Tribal government. It programs by: our outreach and communication with • is our expectation that all program and Developing policy and programs Indian Tribes. We also announce the OA consultation and coordination using input, guidance, and establishment of a docket to receive practices will be consistent with or recommendations from tribal leaders. comments from Indian Tribal officials,4 • Seeking and responding to tribal organizations, individual tribal comments from tribal governments. 5 ‘‘Policies that have tribal implications,’’ as • defined in Section l(a) of E.O. 13175, refers to Soliciting tribal comments in the 1 86 FR 7491 (January 29, 2021). regulations, legislative comments or proposed development of the DOT’s surface 2 65 FR 67249 (November 9, 2000). legislation, and other policy statements or actions transportation reauthorization proposal. 3 74 FR 57879 (November 9, 2009). that have substantial direct effects on one or more • Conducting meetings throughout 4 ‘‘Tribal officials,’’ as defined in Section I(d) of Indian tribes, on the relationship between the E.O. 13175, means elected or duly appointed Federal Government and Indian tribes, or on the the country after the passage of the next officials of Indian tribal governments or authorized distribution of power and responsibilities between surface transportation authorization intertribal organizations. the Federal Government and Indian tribes. legislation to discuss impacts on and
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opportunities for the tribes and their Goal 6: Assist tribal members in contracting; respond to the transportation systems. developing transportation capacities by: transportation concerns of Indian tribes • Consulting with tribal governments • Increasing internships for American related to environmental justice, on making transportation services Indians and Alaska Natives at DOT children’s safety and environmental available to improve mobility, through outreach to tribal colleges and health risks, occupational health and employment opportunities, and access universities. safety, and environmental matters; to community services for people who • Creating a web page for tribes on foster opportunities for hiring tribal have disabilities, are elderly, or low- the DOT website. members and increasing participation in income. • Increasing the representation of Federal training activities; include tribal Goal 4: Ensure the DOT’s uniform and American Indians and Alaska Natives in colleges and universities in effective delivery of tribal programs the DOT workforce, within merit Departmental educational, research, and throughout the country by: principles and consistent with the program activities; and treat • Reviewing existing tribal policies in application of appropriate veterans’ correspondence from leaders of Indian DOT’s OAs to ensure consistency with preference criteria. tribes in the same manner as this action plan and each other. Goal 7: Assist efforts to coordinate Congressional correspondence. • Assessing the resource needs of the national tribal infrastructure policy and In developing our detailed plan of tribal transportation programs at DOT. programs within the Federal action for consideration by OMB and • Developing training modules for Government by: the APDP, we have identified a need to • DOT employees on tribal transit and Working with the U.S. Department review DOT Order 5301.1. highway programs. of Agriculture, the Indian Health E.O. 13175 requires agencies to ensure • Developing a training program for Service, and the Bureau of Indian meaningful and timely input from DOT employees regarding tribes, the Affairs to coordinate Federal tribal Tribal government representatives in the sovereignty of tribal governments, and infrastructure programs and development of rules that have the unique government-to-government incorporating livability principles as substantial direct effects. What relationship between tribes and the adopted by the Department’s additional or different steps can we take Federal Government. Sustainability Partnership with the U.S. • to ‘‘ensure meaningful and timely Reaffirming DOT’s commitment to Department of Housing and Urban input’’ in the development of ‘‘policies working with the Bureau of Indian Development and the U.S. that have tribal implications’’? Please Affairs on the administration of tribal Environmental Protection Agency. explain why these actions are highway safety grants. We seek your input on these seven • appropriate. Continuing to support the tribal goals, which the Department identified What steps should we continue to Technical Assistance Program (TTAP). • in the Consultation Plan developed in take to ensure meaningful and timely Addressing tribal transportation 2010 to guide the actions we will take input by tribal officials in the issues in DOT Strategic Plans. to support the principles set forth in development of regulatory ‘‘policies that • Enhancing support for tribal E.O. 13175. Should we revise any of have tribal implications?’’ Liaisons in the Federal Transit these goals or incorporate new goals? Are there recommendations for ways Administration, the Federal Highway Please explain your recommendation. If the accountability of our consultation Administration, the Federal Aviation a new goal is proposed, what actions process can be improved? Administration, and other staff should we take, to the extent practicable DOT Order 5301.1 defines throughout the Department working and consistent with law, to support the consultation, in relevant part, as a with tribal governments. • principles set forth in E.O. 13175? ‘‘meaningful and timely discussion . . . Coordinating efforts among DOT’s during the development of regulations, OAs by establishing a Department-wide Please explain why these actions are policies, programs, plans or matters that working group tasked with making appropriate and how they are consistent significantly or uniquely affect’’ Tribal specific recommendations to the with law. communities. DOT Order 5301.1 Secretary of Transportation. 2. DOT Order 5301.1 Goal 5: Assist in implementing tribal references implementing instructions The Department issued DOT Order infrastructure projects by: found in OMB Memorandum M–95–20 • Building capacity of tribes on DOT 5301.1 (https://www.transportation.gov/ and the 1994 Presidential Memorandum Programs and processes, including the sites/dot.gov/files/docs/DOT%20 titled ‘‘Government-to-Government Indian Reservation Roads Program and 5301.1.pdf) to ensure that programs, Consultations with Native American the Tribal Transit Program. policies, and procedures administered Tribal Governments.’’ How do you • Initiating a review of the grant by the Department are responsive to the recommend that we revise DOT Order process for the Tribal Transit Program in needs and concerns of American 5301.1 to align it with E.O 13175? consultation with the tribes. Indians, Alaska Natives, and tribes. DOT Please explain your recommendation. • Working with tribal governments to Order 5301.1 predates E.O. 13175. It E.O. 13175 requires agencies to develop case studies and best practices affirms the Department’s and the OAs’ consult with Tribal governments in the in transportation planning and highway unique legal relationship with Indian development of rules that impose safety. tribes; establishes the Department’s ‘‘substantial direct compliance costs’’ or • Developing a highway Safety consultation and coordination process ‘‘substantial direct effects’’ on Tribal Management System (SMS) for tribal with Indian tribes for any action that communities or the relationship and governments and forming a Steering may ‘‘significantly or uniquely affect’’ distribution of power between the Committee that includes tribal them; and, lists goals and requirements Federal Government and Tribes. Please representatives to advise on the SMS. for OAs carrying out policies, programs, identify actions we have taken that, in • Identifying and communicating to and activities affecting American your view, impose ‘‘substantial direct tribal leaders emerging issues that could Indians, Alaska Natives, and tribes. compliance costs’’ or ‘‘substantial direct impact tribal transportation programs. These requirements were designed to effects’’ on Tribes or the distribution of • Publishing guidance on DOT’s recognize Indian statutory preferences power between the Federal Government programs with potential benefits to in employment, Federal financial and Tribes. Please explain why, in your tribal governments. assistance arrangements, and view, these actions have a substantial
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direct effect on Tribal communities and organizations. The intent of our Tribal activities with Indian tribes. Please how these actions impose substantial consultation policies is to outline how explain your recommendation. direct compliance costs or on Tribes. DOT will engage and conduct What treaty or other source do you Would it be helpful to define the consultation with Federally recognized consider creates an obligation that the meaning of the terms ‘‘substantial direct Tribal Governments in accordance with Department should carry out? Please compliance costs’’ and ‘‘substantial E.O. 13175 and applicable requirements. explain your response. direct effects?’’ How do you define these To be consistent with the definition of What treaty or other source do you terms when determining whether to an ‘‘Indian tribe’’ in E.O. 13175, the consider creates a trust obligation for consult with DOT? Department is considering removing the Department? from our policies implementing E.O. In addition to carrying out 3. Consultation With ANCSA consultations with tribes on ‘‘policies Corporations 13175 references to non-Federally recognized Tribes. Please comment on that have tribal implications,’’ what Our policies address consultation whether you would agree with removing other specific trust obligations should with federally-recognized Indian tribes references to non-Federally recognized be carried out by the Department? (including Alaska Native tribes, villages, Tribes. Please explain your recommendation. and communities) that the Secretary of III. Tribal Consultation Meeting the Interior acknowledges to exist as an 5. Communicating Agency Disposition Indian tribe pursuant to the Federally of Tribal Input This Tribal consultation meeting and Recognized Indian Tribe List Act of any listening sessions hosted by Tribal DOT and its OAs describe tribal input 1994.11 It does not, however, address associations are intended to provide and concerns regarding specific projects consultation with corporations interested parties with an opportunity to in its environmental documents and established pursuant to the Alaska discuss their views on the issues; and decision documents. DOT similarly Native Claims Settlement Act (ANCSA for us to obtain the views of Federally addresses tribal input and concerns in Corporations). In 2004, through two recognized Tribes, in accordance with its rulemaking documents by describing consolidated appropriations acts, E.O. 13175 and the Presidential any Tribal consultations or concerns Congress required Federal agencies to Memorandum, on ways we can improve that were identified in the course of consult with Alaska Native our outreach and communication with developing the rulemaking. We are Corporations 6 on the same basis as Indian Tribes when we develop policies Federally recognized Indian Tribes interested in any general comments or with Tribal implications. We consider under E.O. 13175. (Pub. L. 108–199, 118 concerns that would help us improve Tribal consultation meetings a valuable Stat. 452, as amended by Pub. L. 108– our process for communicating with component of our deliberations and 447,118 Stat. 3267.) DOT interprets the Tribes how their input was considered believe that these meetings will allow term ‘‘Alaska Native Corporations’’ in by agency decision makers. How could for constructive dialogue with the Tribal this requirement to mean ‘‘Native we improve our post-consultation community, Tribal officials, Tribal Corporations’’ as that term is defined communication? Are there best Elders, elected members of Alaska under the Alaska Native Claims practices of which we should be aware Native Villages or their appointed Settlement Act (ANCSA) of 1971. DOT to ensure that tribal concerns are heard representatives, and principals of is considering adding to the DOT and addressed? tribally-owned and Alaska Native Consultation Policy the requirement to 6. Recognition of Federal Trust and Corporation-owned firms. Testimony consult with Alaska Native Corporations Treaty Obligations received at these Tribal consultations on the same basis as Indian Tribes will guide our review process of our under E.O. 13175. The Department As set forth in the U.S. Constitution, Tribal consultation policies and practice requests comments on the requirement treaties, U.S. Supreme Court decisions, and may be used to develop new to consult with Alaska Native Federal statutes and regulations, and policies and strategies for consultation. Corporations that would help us Executive Orders, the United States has Respondents. The Consultation will improve our policy while recognizing a unique legal relationship with Indian prioritize the Government-to- the important differences between them tribes and a special relationship with Government discussion and will and sovereign tribal governments, the Alaska Native entities. Based on treaties provide elected or appointed leaders of Federal trust responsibility to those with Indian tribes, the U.S. Supreme Tribal governments or their designated Tribal governments and corporations Court shortly after the founding of the representatives first opportunity to obligated to maximize financial returns United States established the concept of comment. Other representatives of to shareholders, and that Alaska Native a Federal trust to define the relationship Tribal governments, Tribal Corporations may not necessarily between the Federal and tribal organizations, and members of the represent the same perspective or governments. This trust relationship public may offer comment after official interests as Tribal nations. continues to guide and interpret the Tribal representatives. The order of responsibility of the United States to comments will be as follows: First, 4. Consultation With Native Hawaiians Indian tribes. The Department elected or appointed leaders of Tribal and State-Recognized Tribes acknowledges that the Federal trust governments or their designated Our policies currently include doctrine is a cornerstone of Federal representatives who requested to references to non-Federally recognized Indian law and that it is the provide testimony in advance of the groups of Indigenous people, such as responsibility of the U.S. government to meeting; second, elected or appointed State-recognized Tribes, but not Native faithfully carry out its treaty promises leaders of Tribal governments or their Hawaiians and Native Hawaiian and trust obligations to Indian tribes. designated representatives who To ensure that the Department is requested to provide testimony via a 6 ‘‘Alaska Native Corporation,’’ pursuant to 43 meeting its treaty obligations and trust chat function during the consultation; U.S.C. 1602 et seq., is any Regional Corporation, responsibilities, we are therefore third, other representatives of Tribal any Village Corporation, any Urban Corporation, governments who request to provide and any Group Corporation as defined in, or seeking comments on what actions you established pursuant to, the Alaska Native Claims think the Department should conduct or oral testimony in advance of the Settlement Act. not conduct regarding its programs and meeting or via the chat function; fourth,
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representatives of Tribal organizations, Tribal consultation meetings and placed on OFAC’s Specially Designated who request to provide oral testimony listening sessions are not the only Nationals and Blocked Persons List in advance of the meeting or via the chat opportunity you have to comment on (SDN List) based on OFAC’s function; fifth, other members of the this matter. In addition to, or in place determination that one or more public who request to provide oral of, attending a virtual meeting, we applicable legal criteria were satisfied. testimony in advance of the meeting or encourage you to submit comments in All property and interests in property via the chat function; and sixth, all accordance with the instructions in subject to U.S. jurisdiction of these other members of the public who ADDRESSES, above. Public comment persons are blocked, and U.S. persons identify themselves orally. submissions should include the Docket are generally prohibited from engaging Adjournment. We will adjourn Tribal number OST–2021–0023. in transactions with them. consultation meetings early if all DOT solicits comments from the DATES: See SUPPLEMENTARY INFORMATION attendees who requested to provide oral public to better inform its deliberations. testimony in advance of and during the The DOT posts these comments, section for effective date(s). consultation have delivered their without edit, including any personal FOR FURTHER INFORMATION CONTACT: comments. We may provide additional information the commenter provides, to OFAC: Bradley Smith, Acting Director, or alternate opportunities to comment, www.regulations.gov, as described in tel.: 202–622–2480; Associate Director including in virtual listening sessions the system of records notice (DOT/ALL– for Global Targeting, tel.: 202–622–2420; hosted by Tribal transportation 14 FDMS), which can be viewed at Assistant Director for Licensing, tel.: associations with Departmental officials. www.dot.gov/privacy. 202–622–2480; Assistant Director for Additional information regarding Issued in Washington, DC, on or about Regulatory Affairs, tel.: 202–622–4855; additional opportunities to provide oral March 4, 2021. or the Assistant Director for Sanctions comment will be made available at Peter Paul Montgomery Buttigieg, Compliance & Evaluation, tel.: 202–622– https://www.transportation.gov/self- Secretary of Transportation. 2490. governance. We will summarize in a [FR Doc. 2021–04883 Filed 3–8–21; 8:45 am] SUPPLEMENTARY INFORMATION: letter to Tribal governments the comments received and indicate how BILLING CODE 4910–9X–P Electronic Availability Tribal input was considered in the final action. The letter will constitute formal The Specially Designated Nationals follow-up notification and will be DEPARTMENT OF THE TREASURY and Blocked Persons List and additional entered as the date Tribal consultation information concerning OFAC sanctions ended. Office of Foreign Assets Control programs are available on OFAC’s website (www.treasury.gov/ofac). IV. Request for Comments Notice of OFAC Sanctions Actions Notice of OFAC Action We request public comment from AGENCY: Office of Foreign Assets Indian Tribes on the Department’s Control, Treasury. On March 2, 2021, OFAC determined implementation of E.O. 13175 and its ACTION: Notice. that the property and interests in Tribal consultation policies and property subject to U.S. jurisdiction of practice. Your comments may relate to, SUMMARY: The U.S. Department of the the following persons are blocked under but should not be limited to, the Treasury’s Office of Foreign Assets the relevant sanctions authorities listed questions identified above. All Control (OFAC) is publishing the names below. comments will be accepted. The virtual of one or more persons that have been BILLING CODE 4810–AL–P
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Dated: March 2, 2021. make the comments available to the updated to remove the District of Bradley Smith, public. Please note that comments Columbia government offices as a Acting Director, Office of Foreign Assets submitted through https:// location of records in the system of Control, U.S. Department of the Treasury. www.regulations.gov will be public and records. Paper and electronic records [FR Doc. 2021–04783 Filed 3–8–21; 8:45 am] can be viewed by members of the (including records stored in the BILLING CODE 4810–AL–C public. Due to COVID–19-related District’s FileNet system) stored by the restrictions, Treasury has temporarily District of Columbia government are not suspended its ability to receive public federal records. DEPARTMENT OF THE TREASURY comments by mail. 2. DO .214—DC Pensions Retirement In general, Treasury will post all Records, System Purpose, is being Privacy Act of 1974; System of comments to https:// modified to add the following purposes: Records www.regulations.gov without change, Determining liability for benefit AGENCY: Departmental Offices, including any business or personal payments to former judges; determining Department of the Treasury. information provided, such as names, whether someone committed fraud; and addresses, email addresses, or telephone ACTION: determining the accuracy of financial Notice of a modified system of numbers. All comments received, records. reports. Additionally, the purpose of including attachments and other determining the impact of legislation is SUMMARY: In accordance with the supporting material, will be part of the being modified to clarify that it applies Privacy Act of 1974, the Department of public record and subject to public to all benefit payments not just the the Treasury (‘‘Treasury’’ or the disclosure. You should only submit federal funds. ‘‘Department’’), Departmental Offices information that you wish to make 3. DO .214—DC Pensions Retirement proposes to modify a current Treasury publicly available. Records, Categories of Individuals system of records titled, ‘‘Department of FOR FURTHER INFORMATION CONTACT: For Covered by System, is being modified to the Treasury, Departmental Offices general questions, please contact: add non-annuitant debtors as a category .214—D.C. Pensions Retirement Shalamar Barnes, 202–622–6173, the of covered individuals. Non-annuitant Records’’ System of Records. This Office of D.C. Pensions, Departmental debtors covered by the system include system of records is a collection of Offices, 1500 Pennsylvania Avenue NW, people who received benefit payments, information used by the Office of D.C. Washington, DC 20220. For privacy by either fraud or mistake, despite not Pensions to administer certain District issues, please contact: The Department being entitled to benefits. of Columbia (‘‘District’’) retirement of the Treasury, Office of Privacy and 4. DO .214—DC Pensions Retirement plans, and the modification of the Civil Liberties via email at privacy@ Records, Categories of Records in the system of records notice is being treasury.gov. System, is being modified to add published in order to clarify and update SUPPLEMENTARY INFORMATION: In records provided by domestic partners, the description of the system of records. accordance with the Privacy Act of clarify the description of tax DATES: Submit comments on or before 1974, 5 U.S.C. 552a, the Department of withholding forms, remove records April 8, 2021. The modification of the the Treasury (‘‘Treasury’’), Departmental related to debt other than debt arising system of records notice will be Offices proposes to modify a current from overpayments, change the applicable on April 8, 2021. Treasury system of records titled, description of correspondence to ADDRESSES: Written comments on this ‘‘Department of the Treasury, include correspondence from notice may be submitted electronically Departmental Offices .214—DC individuals covered by the system, use through the Federal government Pensions Retirement Records System of the term ‘‘disability’’ in lieu of eRulemaking portal at http:// Records.’’ ‘‘handicap,’’ use the term ‘‘death benefit www.regulations.gov. Electronic The proposed modification to the applications’’ in lieu of ‘‘death claim,’’ submission of comments allows the system of records makes the following delete the category for records commenter maximum time to prepare substantive changes: submitted by a beneficiary in support of and submit a comment, ensures timely 1. DO .214—DC Pensions Retirement claims to a benefit payment because it receipt, and enables the Treasury to Records, System Location, is being was duplicative, and add financial
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records of debtors as a new category of Below is the description of the Columbia Judicial Retirement and records in the system. Treasury, Departmental Offices .214— Survivors Annuity Fund; (7) impact on 5. DO .214—DC Pensions Retirement DC Pensions Retirement Records System benefit payments due to proposed Records, Record Source Categories, is of Records. federal and/or District legislative being modified to remove individuals’ Treasury has provided a report of this changes; (8) District or federal liability co-workers and supervisors as a source system of records to the Committee on for benefit payments to former District of records in the system and to add Oversight and Government Reform of police officers, firefighters, teachers, and individuals’ representatives and the the House of Representatives, the judges, including survivors, dependents, Department of the Interior Payroll Office Committee on Homeland Security and and beneficiaries who are receiving a as sources of records in the system. Governmental Affairs of the Senate, and federal and/or District benefit; (9) 6. DO .214—DC Pensions Retirement the Office of Management and Budget whether someone committed fraud; and Records, Routine Uses of Records (OMB), pursuant to 5 U.S.C. 552a(r) and (10) reliability of financial statements. Maintained in the System, is being OMB Circular A–108, ‘‘Federal Agency CATEGORIES OF INDIVIDUALS COVERED BY THE modified to clarify the types of Responsibilities for Review, Reporting, disclosures made to various federal, SYSTEM: and Publication under the Privacy Act,’’ (A) Current and former District of State, local, and foreign agencies and to dated December 23, 2016. Congressional offices. Additionally, the Columbia police officers, firefighters, routine use regarding disclosure to an Dated: December 22, 2020. teachers, and judges. individual’s spouse or dependent child Ryan Law, (B) Surviving spouses, domestic regarding health and life insurance Deputy Assistant Secretary for Privacy, partners, children, and/or dependent coverage, survivor benefit elections, and Transparency, and Records. parents of current and former District of Columbia police officers, firefighters, elections to receive a lump sum is being SYSTEM NAME AND NUMBER: modified to include domestic partners teachers, or judges, as applicable. and to cover any change in health Department of the Treasury, DO (C) Former spouses and domestic insurance and to eliminate disclosure of .214—DC Pensions Retirement Records. partners of current and former District of Columbia police officers, firefighters, change to a survivor benefit election, SECURITY CLASSIFICATION: because survivor benefit elections teachers, or judges, as applicable. Unclassified. (D) Designated beneficiaries of items cannot be changed. Also, the routine use A, B, and C. regarding disclosure to state and local SYSTEM LOCATION: (E) Non-annuitant debtors. governments for debt collection is being The records are maintained at the modified to include disclosure to Office of D.C. Pensions, Department of CATEGORIES OF RECORDS IN THE SYSTEM: federal agencies and collection of debt the Treasury, in Washington, DC and The categories of records include, but that is not delinquent. Also, the routine the Bureau of the Fiscal Service in are not limited to, identifying use regarding disclosure to people Parkersburg, WV, Kansas City, MO, and information such as: Name(s); contact possibly entitled to a benefit payment is privately run secure storage facilities in information; Social Security number; being modified to clarify that it includes various states. employee identification number; service people possibly entitled to any type of beginning and end dates; annuity benefit. SYSTEM MANAGER beginning and end dates; date of birth; 7. DO .214—DC Pensions Retirement Director, Office of D.C. Pensions, U.S. sex; retirement plan; base pay; average Records, Policies and Practices for Department of the Treasury, 1500 base pay; final salary; type(s) of service Retention and Disposal of Records, is Pennsylvania Avenue NW, Washington, and dates used to compute length of being modified to remove District of DC 20220. service; military base pay amount; Columbia guidelines as one of the basis purchase of service calculation and AUTHORITY FOR MAINTENANCE OF THE SYSTEM: for destroying records covered by the amount; and/or benefit payment system. Title XI, subtitle A, chapters 1 amount(s). The types of records in the 8. DO .214—DC Pensions Retirement through 9, and subtitle C, chapter 4, system may be: Records, Notification Procedures, are subchapter B of the Balanced Budget (a) Documentation comprised of being updated to reflect current Act of 1997, Public Law 105–33 (as service history/credit, personnel data, procedures. amended); 31 U.S.C 321; and 5 U.S.C. retirement contributions, and/or a The system of records is collecting 30. refund claim upon which a benefit information under the Paperwork PURPOSE(S) OF THE SYSTEM: payment(s) may be based. Reduction Act using the following (b) Medical records and supporting forms: These records may provide evidence for disability retirement • Health Benefits Registration Form (SF information on which to base applications and continued eligibility, 2809) OMB No. 3206–0160 determinations of (1) eligibility for, and and documentation regarding the (expiration 04/30/2022) computation of, benefit payments and acceptance or rejection of such • Life Insurance Election-FEGLI (SF refund of contribution payments; (2) applications. 2817) OMB No. 3206–0230 direct deposit elections into a financial (c) Records submitted by a surviving (expiration 06/30/2021) institution; (3) eligibility and premiums spouse, a domestic partner, a child(ren), • Designation of Beneficiary Federal for health insurance and group life and/or a dependent parent(s) in support Group Life Insurance (FEGLI) Program insurance; (4) withholding of income of claims to a benefit payment(s). (SF 2823) OMB No. 3206–0136 taxes; (5) under- or over-payments to (d) Records related to the withholding (expiration 10/31/2020) recipients of a benefit payment, and for of income tax from a benefit payment(s). • Withholding Certificate for Pension or overpayments, the recipient’s ability to (e) Retirement applications, including Annuity Payments (W–4P) OMB No. repay the overpayment; (6) federal supporting documentation, and 1545–0074 (expiration 01/31/2021) payment made from the General Fund to acceptance or denial of such Treasury will include this modified the District of Columbia Teachers, applications. system in its inventory of record Police Officers and Firefighters Federal (f) Death benefit applications, systems. Pension Fund and the District of including supporting documentation,
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submitted by a surviving spouse, i. Surviving spouse, domestic relevant and necessary to a DC Pension domestic partner, child(ren), former partners, child(ren), former spouse(s), decision concerning the hiring or spouse, and/or beneficiary, that is former domestic partner(s), and/or retention of an employee, the issuance required to determine eligibility for and dependent parent(s) of the individual to of a security clearance, the reporting of receipt of a benefit payment(s), or denial whom the information pertains. an investigation of an employee, the of such claims. j. State courts or support enforcement letting of a contract, or the issuance of (g) Documentation of enrollment and/ agencies. a license, grant or other benefit and or change in enrollment for health and k. Credit bureaus and financial when disclosure is appropriate to the life insurance benefits/eligibility. institutions. proper performance of the official duties (h) Designation(s) of a beneficiary(ies) l. Government Offices of the District of the person making the request. for a life insurance benefit and/or an of Columbia, including the District of (3) To a Congressional office in unpaid benefit payment. Columbia Retirement Board. response to an inquiry made at the (i) Court orders submitted by former m. The General Services request of the individual to whom the spouses or domestic partners in support Administration National Payroll Center. record pertains; of claims to a benefit payment(s). n. The Department of the Interior (4) To the National Archives and (j) Records relating to under- and/or Payroll Office. Records Administration Archivist (or over-payments of benefit payments. o. Educational institutions. Archivist’s designee) pursuant to (k) Records relating to the refunds of p. Other components of the records management inspections being employee contributions. Department of the Treasury. conducted under the authority of 44 (l) Records relating to child support q. The Department of Justice. U.S.C. 2904 and 2906; orders, bankruptcies, tax levies, and r. Death reporting sources. (5) To appropriate agencies, entities, garnishments. ROUTINE USES OF RECORDS MAINTAINED IN THE and persons when (1) the Department of (m) Records used to determine a total SYSTEM, INCLUDING CATEGORIES OF USERS AND the Treasury suspects or has confirmed benefit payment and/or if the benefit PURPOSES OF SUCH USES: that there has been a breach of the payment is a District or federal liability. In addition to those disclosures system of records; (2) the Department of (n) Correspondence received from the Treasury has determined that as a individuals covered by the system. generally permitted under the Privacy Act of 1974, 5 U.S.C. 552a(b), records result of the suspected or confirmed (o) Records relating to time served on breach there is a risk of harm to behalf of a recognized labor and/or information or portions thereof maintained as part of this system may individuals, the Department of the organization. Treasury (including its information (p) Records relating to benefit be disclosed outside Treasury as a routine use pursuant to 5 U.S.C. systems, programs, and operations), the payment enrollment and/or change to Federal Government, or national enrollment for direct deposit to an 552a(b)(3) as follows: (1) To the United States Department security; and (3) the disclosure made to individual’s financial institution. such agencies, entities, and persons is (q) Records relating to educational of Justice (‘‘DOJ’’), for the purpose of representing or providing legal advice to reasonably necessary to assist in program enrollments of age 18 and older connection with the Department of the children of former police officers, the Department in a proceeding before a court, adjudicative body, or other Treasury’s efforts to respond to the firefighters, teachers, and judges. suspected or confirmed breach or to (r) Records relating to the mental or administrative body before which the prevent, minimize, or remedy such physical disability condition of age 18 Department is authorized to appear, harm; and older children of former police when such proceeding involves: (6) To another Federal agency or officers, firefighters, teachers, and (a) The Department or any component Federal entity, when the Department of judges. thereof; the Treasury determines that (s) Records relating to a debtor’s (b) Any employee of the Department information from this system of records financial information, including in his or her official capacity; is reasonably necessary to assist the financial disclosure forms, credit (c) Any employee of the Department recipient agency or entity in (1) reports, tax filings, bank statements, and in his or her individual capacity where responding to a suspected or confirmed financial obligations. the Department of Justice or the Department has agreed to represent the breach or (2) preventing, minimizing, or RECORD SOURCE CATEGORIES: employee; or remedying the risk of harm to The information in this system is (d) The United States, when the individuals, the recipient agency or obtained from: Department determines that litigation is entity (including its information a. The individual, or their likely to affect the Department or any of systems, programs, and operations), the representative, to whom the information its components; and the use of such Federal Government, or national pertains. records by the DOJ is deemed by the security, resulting from a suspected or b. District pay, leave, and allowance DOJ or the Department to be relevant confirmed breach; records. and necessary to the litigation provided (7) To disclose information to a c. Health benefits and life insurance that the disclosure is compatible with federal agency, in response to its request plan records maintained by the Office of the purpose for which records were in connection with the hiring or Personnel Management, the District, and collected. retention of an employee, the issuance health and life insurance carriers. (2) To an appropriate federal, state, of a security clearance, the conducting d. Federal civilian retirement systems. local, tribal, foreign, or international of a suitability or security investigation e. Military retired pay system records. agency, if the information is relevant of an individual, the classifying of jobs, f. Social Security Old Age, Survivor, and necessary to a requesting agency’s the letting of a contract, or the issuance and Disability Insurance and Medicare decision concerning the hiring or of a license, grant, or other benefit by Programs. retention of an individual, or issuance the requesting agency, to the extent that g. Official personnel folders. of a security clearance, background the information is relevant and h. Physicians who have examined or investigation, license, contract, grant, or necessary to the requesting agency’s treated the individual. other benefit, or if the information is decision on the matter;
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(8) To disclose information to another out the coordination for benefits (20) To disclose to federal, state, and federal agency, to a court, or to a party provisions of such contracts; local government agencies responsible in litigation before a court or in an (14) To disclose to certain people for the collection of income taxes the administrative proceeding being possibly entitled to a benefit payment information required to implement conducted by a federal agency, when information that is contained in the voluntary income tax withholdings from the federal government is a party to the record of a deceased current or former benefit payments; judicial or administrative proceeding. In police officer, firefighter, teacher, or (21) To disclose to the Social Security those cases where the federal judge to assist in properly determining Administration the names and Social government is not a party to the the eligibility and amount of a benefit Security numbers of individuals proceeding, records may not be payment to a surviving recipient, or covered by the system when necessary disclosed unless the party complies information that results from such to determine (1) their vital status as with the requirements of 31 CFR 1.11; determination; shown in the Social Security Master (9) To disclose information to (15) To disclose to any person who is Records and (2) whether retirees contractors, subcontractors, financial legally responsible for the care of an receiving benefit payments under the agents, grantees, auditors, actuaries, individual to whom a record pertains, or District’s retirement plan for police interns, or volunteers performing or who otherwise has an existing, facially- officers and firefighters with post-1956 working on a contract, service, grant, valid power of attorney, including care military service credit are eligible for or cooperative agreement, or job for the of an individual who is mentally are receiving old age or survivors Department, or the District; incompetent or under other legal benefits under section 202 of the Social (10) To disclose information needed disability, information necessary to Security Act based upon their wages to adjudicate a claim for benefit assure application or payment of and self-employment income; payments or information needed to benefits to which the individual may be (22) To disclose to federal, state, and local government agencies information conduct an analytical study of benefits entitled; (16) To disclose to the Parent Locator to help eliminate fraud and abuse in a being paid under such programs as: Service of the Department of Health and benefits program administered by a Social Security Administration’s Old Human Services, upon its request, the requesting federal, state, or local Age, Survivor, and Disability Insurance present address of an individual government agency; to ensure and Medical Programs; military retired covered by the system needed for compliance with federal, state, and local pay programs; and federal civilian enforcing child support obligations of government tax obligations by persons employee retirement programs (Civil such individual; receiving benefits payments; and/or to Service Retirement System, Federal (17) In connection with an collect debts and overpayments owed to Employees Retirement System, and examination ordered by the District or the requesting federal, state, or local other federal retirement systems); the Department under: government agency; (11) To disclose to the U.S. Office of (a) Medical examination procedures; (23) To disclose to a federal agency, Personnel Management (OPM) and to or or a person or an organization under the District, information necessary to (b) Involuntary disability retirement contract with a federal agency to render verify the election, declination, or procedures to disclose to the collection services for a federal agency waiver of regular and/or optional life representative of an employee, notices, as permitted by law, in response to a insurance coverage, or coordinate with decisions, other written written request from the head of the contract carriers the benefit provisions communications, or any other pertinent agency or his designee, or from the debt of such coverage; medical evidence other than medical collection contractor, data concerning (12) To disclose to health insurance evidence about which a prudent an individual owing a debt to the carriers contracting with OPM to physician would hesitate to inform the federal government; provide a health benefits plan under the individual; such medical evidence will (24) To disclose, as permitted by law, Federal Employees Health Benefits be disclosed only to a licensed information to a state court or Program or health insurance carriers physician, designated in writing for that administrative agency in connection contracting with the District to provide purpose by the individual or his or her with a garnishment, attachment, or a health benefits plan under the health representative. The physician must be similar proceeding to enforce alimony benefits program for District employees, capable of explaining the contents of the or a child support obligation; Social Security numbers and other medical record(s) to the individual and (25) To disclose information information necessary to identify be willing to provide the entire record(s) necessary to locate individuals who are enrollment in a plan, to verify eligibility to the individual; owed money or property by a federal, for payment of a claim for health (18) To disclose information to any state, or local government agency, or by benefits, or to carry out the coordination source from which the Department a financial institution or similar for benefits provisions of such contracts; seeks additional information that is institution, to the government agency (13) To disclose health insurance relevant to a determination of an owing or otherwise responsible for the enrollment information to OPM. OPM individual’s eligibility for, or money or property (or its agent); provides this enrollment information to entitlement to, coverage under the (26) To disclose information their health care carriers who provide a applicable retirement, life insurance, necessary in connection with the review health benefits plan under the Federal and health benefits program, to the of a disputed claim for health benefits Employees Health Benefits Program, or extent necessary to obtain the to a health plan provider participating health insurance carriers contracting information requested; in the Federal Employees Health with the District to provide a health (19) To disclose information to the Benefits Program or the health benefits benefits plan under the health benefits Office of Management and Budget program for District employees, and to program for District employees, Social (OMB) at any stage of the legislative a program enrollee or covered family Security numbers and other information coordination and clearance process in member or an enrollee or covered family necessary to identify enrollment in a connection with private relief member’s authorized representative; plan, to verify eligibility for payment of legislation as set forth in OMB Circular (27) To disclose information to a claim for health benefits, or to carry No. A–19; another federal agency for the purpose
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of effecting administrative or salary magnetic disc, tape, digital media, and EXEMPTIONS PROMULGATED FOR THE SYSTEM: offset against a person employed by that CD–ROM in secure facilities. None. agency, or who is receiving or eligible POLICIES AND PRACTICES FOR RETRIEVAL OF HISTORY: to receive benefit payments from the RECORDS: agency when the Department as a Notice of this system of records was Records may be retrieved by various creditor has a claim against that person last published in full in the Federal combinations of name; date of birth; relating to benefit payments; Register on November 7, 2016 as the Social Security number; and/or an (28) To disclose information Department of the Treasury, automatically assigned, system- concerning delinquent debts relating to Departmental Offices .214—DC generated number of the individual to benefit payments to other federal Pensions Retirement Records. whom they pertain. agencies for the purpose of barring [FR Doc. 2021–04826 Filed 3–8–21; 8:45 am] delinquent debtors from obtaining POLICIES AND PRACTICES FOR RETENTION AND BILLING CODE 4810–25–P federal loans or loan insurance DISPOSAL OF RECORDS: guarantees pursuant to 31 U.S.C. 3720B; In accordance with National Archives (29) To disclose to federal, state, and and Records Administration (NARA) DEPARTMENT OF THE TREASURY local government agencies information retention schedule, N1–056–09–001, used for collecting debts relating to certain records will be destroyed after United States Mint benefit payments; 115 years from the date of the former Notification of Citizens Coinage (30) To disclose to appropriate police officer’s, firefighter’s, teacher’s or Advisory Committee March 23–24, agencies, entities, and persons when: judge’s birth; or 30 years after the date 2021, Public Meeting (a) The Department suspects or has of his/her death, if no application for confirmed that the security or benefits is received. Under that ACTION: Notice of meeting. confidentiality of information in the retention schedule, if a survivor or system of records has been former spouse receives a benefit Pursuant to United States Code, Title compromised; or payment, such record will be destroyed 31, section 5135(b)(8)(C), the United (b) The Department has determined after his/her death. All other records States Mint announces the Citizens that as a result of the suspected or covered by this system will be destroyed Coinage Advisory Committee (CCAC) confirmed compromise there is a risk of in accordance with approved federal teleconference public meeting harm to economic or property interests, and Department guidelines. Paper scheduled for March 23–24, 2021. identity theft or fraud, or harm to the records will be destroyed by shredding Date: March 23, 2021 and March 24, security or integrity of this system or or burning. Records in electronic media 2021. other systems or programs (whether will be electronically erased using Time: 2:00 p.m. to 4:00 p.m. (EST) maintained by the Department or NARA guidelines. (March 23, 2021) and 10:00 a.m. to 1:00 another agency or entity) that rely upon p.m. (March 24, 2021). ADMINISTRATIVE, TECHNICAL, AND PHYSICAL Location: This meeting will occur via the compromised information; and SAFEGUARDS: (c) The disclosure made to such teleconference. Interested members of agencies, entities, and persons is Records in this system are the public may dial in to listen to the safeguarded in accordance with reasonably necessary to assist in meeting at (888) 330–1716; Access applicable rules and policies, including connection with the Department’s Code: 1137147. all applicable Treasury automated efforts to respond to the suspected or Subject: Review and discussion of systems security and access policies. confirmed compromise and prevent, obverse and reverse candidate designs Strict controls have been imposed to minimize, or remedy such harm; for the Merchant Mariners of World War (31) To disclose to a former spouse minimize the risk of compromising the II Congressional Gold Medal (Pub. L. information necessary to explain how information that is being stored. Access 116–125); review and discussion of his/her former spouse’s benefit was to the computer system containing the candidate designs for the 2022 computed; records in this system is limited to those American Innovation $1 Coin Program (32) To disclose to a surviving spouse, individuals who have a need to know (Rhode Island, Vermont, Kentucky, and domestic partner, surviving child, the information for the performance of Tennessee). dependent parent, and/or legal guardian their official duties and who have Interested persons should call the information necessary to explain how appropriate clearances or permissions. CCAC HOTLINE at (202) 354–7502 for the latest update on meeting time and his/her survivor benefit was computed; RECORD ACCESS PROCEDURES: access information. and See ‘‘Notification Procedures’’ below. (33) To disclose to a spouse, domestic The CCAC advises the Secretary of the partner, or dependent child (or court- CONTESTING RECORD PROCEDURES: Treasury on any theme or design appointed guardian thereof) of an See ‘‘Notification Procedures’’ below. proposals relating to circulating coinage, individual covered by the system, upon bullion coinage, Congressional Gold NOTIFICATION PROCEDURES: request, whether the individual: Medals, and national and other medals; (a) Changed his/her health insurance Individuals seeking notification and advises the Secretary of the Treasury coverage and/or changed life insurance access to any record contained in this with regard to the events, persons, or benefit enrollment, or system of records, or seeking to contest places to be commemorated by the (b) received a lump-sum refund of its content, may inquire in writing in issuance of commemorative coins in his/her retirement contributions. accordance with instructions appearing each of the five calendar years at 31 CFR part 1, subpart C, appendix succeeding the year in which a POLICIES AND PRACTICES FOR STORAGE OF A. Written inquiries should be commemorative coin designation is RECORDS: addressed to the Office of Chief made; and makes recommendations Paper records in this system are Counsel, Disclosure Branch, Treasury with respect to the mintage level for any stored in secure facilities in a locked Inspector General for Tax commemorative coin recommended. drawer, behind a locked door. Administration, 1401 H Street NW, For members of the public interested Electronic records are stored on Room 469, Washington, DC 20005. in listening in to the provided call
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number, this is a reminder that the of a quorum, and facilitate self- regarding the FARs and MCS–150 public attendance is for listening introductions. databases when there is an indication of purposes only. Any member of the II. Verification of Meeting Notice—UCR an error or insufficient documentation public interested in submitting matters Executive Director to close the audit. for the CCAC’s consideration is invited to submit them by email to info@ The UCR Executive Director will B. MCS–150 Retreat Audit Program— ccac.gov. verify publication of the meeting notice UCR Audit Subcommittee Chair and For Accommodation Request: If you on the UCR website and distribution to DSL Transportation need an accommodation to listen to the the UCR contact list via email followed The UCR Audit Subcommittee Chair CCAC meeting, please contact the by subsequent publication of the notice Diversity Management and Civil Rights in the Federal Register. and DSL Transportation will lead a discussion regarding the MCS–150 Office by March 17, at 202–354–7260 or III. Review and Approval of Board 1–888–646–8369 (TYY). retreat audit program provided by UCR Agenda—UCR Board Chair and the progress made with FOR FURTHER INFORMATION CONTACT: participating states. States may opt into Jennifer Warren, United States Mint For Discussion and Possible Action Liaison to the CCAC; 801 9th Street NW; Agenda will be reviewed and the the program. States will remain engaged Washington, DC 20220; or call 202–354– Board will consider adoption. in the audit process but may have a 7208. lesser burden of having to attend to Ground Rules unresponsive/unproductive retreat (Authority: 31 U.S.C. 5135(b)(8)(C)) ➢ Board actions taken only in audits. Eric Anderson, designated areas on agenda C. 2020 State UCR Audit Reports—UCR Executive Secretary, United States Mint. IV. Approval of Minutes of the January Audit Subcommittee Chair [FR Doc. 2021–04805 Filed 3–8–21; 8:45 am] 28, 2021 UCR Board Meeting—UCR BILLING CODE P Board Chair The UCR Audit Subcommittee Chair will lead a discussion regarding the For Discussion and Possible Action states upcoming obligations regarding UNIFIED CARRIER REGISTRATION Draft Minutes of the January 28, 2021 2020 audit reports. Reminder that the PLAN UCR Board meeting will be reviewed. 2020 UCR state annual audit reports The Board will consider action to will be reviewed after March 31, 2021. Sunshine Act Meeting Notice; Unified approve. Carrier Registration Plan Board of D. UCR Violation Assigned in the Directors Meeting V. Replacement of UCR Board National Registration System—UCR Member—UCR Board Chair and UCR Audit Subcommittee Chair TIME AND DATE: March 11, 2021, from Executive Director The UCR Audit Subcommittee Chair Noon to 3 p.m., Eastern time. For Discussion and Possible Action PLACE: This meeting will be accessible will lead a discussion on the importance via conference call and screen sharing. One member of the UCR Board of of states to follow up with motor Any interested person may call 877– Directors whose term expires on May carriers having inspection and UCR 853–5247 (US toll free), 888–788–0099 31, 2021 has requested that he not be re- violations in the NRS. appointed to serve an additional term. (US toll free), +1 929–205–6099 (US E. NRS Testing—Penetration and toll), or +1 669–900–6833 (US toll), The UCR Board will discuss and may Vulnerability Testing—UCR Technology Conference ID 938 4665 0671, to take action to recommend an Manager participate in the meeting. The website appointment to the Board from the to participate via Zoom Meeting and United States Department of Transportation for this position. The UCR Technology Manager will screen share is https://kellen.zoom.us/j/ provide an update on plans to conduct 93846650671. VI. Report of FMCSA—FMCSA testing of the National Registration STATUS: Parts of this meeting will be Representative System (NRS) to ensure that appropriate open to the public. Parts of this meeting The Federal Motor Carrier Safety measures are taken to resist unwanted will be closed to the public pursuant to Administration (FMCSA) will provide a attacks. Government in the Sunshine Act report on any relevant activity. exemptions (c)(9)(B) and (c)(10) (see F. State Compliance Reviews—UCR agenda below for further information). VII. Updates Concerning UCR Depository Manager Legislation—UCR Board Chair MATTERS TO BE CONSIDERED: The Unified The UCR Depository Manager will The UCR Board Chair will call for any Carrier Registration Plan Board of provide an update on plans to conduct Directors (the ‘‘Board’’) will continue its updates regarding UCR legislation since state compliance reviews and will work in developing and implementing the last Board meeting. remind states that have been selected for the Unified Carrier Registration Plan VIII. Subcommittee Reports and Agreement. The subject matter of reviews in 2021. the meeting will include: Audit Subcommittee—UCR Audit Finance Subcommittee—UCR Finance Subcommittee Chair Agenda Subcommittee Chair A. Tracking of Audit Data in the Portions Open to the Public A. Review UCR Bank Balance Summary Focused Anomaly Reviews (FARs)— Report—UCR Depository Manager I. Welcome and Call to Order—UCR UCR Audit Subcommittee Chair Board Chair The UCR Audit Subcommittee Chair The UCR Depository Manager will The UCR Board Chair will welcome will discuss the merits of the review the UCR Bank Balance Summary attendees, call the meeting to order, call Subcommittee having an oversight role Report as of February 28, 2021 and roll for the Board, confirm the presence in the audit notes on closed audits answer questions from the Board.
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B. Review 2021 Administrative • Seikosoft CONTACT PERSON FOR MORE INFORMATION: Expenses Through February 28, 2021— Seikosoft will provide an update on Elizabeth Leaman, Chair, Unified UCR Depository Manager recent/new activity related to the NRS. Carrier Registration Plan Board of Directors, (617) 305–3783, eleaman@ The UCR Depository Manager will • UCR Administrator Report (Kellen)— board.ucr.gov. present the administrative costs UCR Operations and Depository incurred for the period of January 1, Managers Alex B. Leath, 2021 through February 28, 2021, Chief Legal Officer, Unified Carrier compared to the budget for the same The UCR Staff will provide its Registration Plan. management report covering recent time-period, and discuss all significant [FR Doc. 2021–04983 Filed 3–5–21; 4:15 pm] activity for the Depository, Operations, variances. BILLING CODE 4910–YL–P and Communications. C. Status of 2020 and 2021 Registration Years Fee Collections and Compliance Portions Closed to the Public Percentages—UCR Depository Manager Pursuant to the Government in the DEPARTMENT OF VETERANS Sunshine Act at 5 U.S.C. 552b(d)(1), the AFFAIRS The UCR Depository Manager will Board must now vote to approve closing provide updates on the results of the portion of the meeting dealing with Advisory Committee on the collections and registration compliance item X on the agenda. Readjustment of Veterans, Notice of rates for the 2020 and 2021 registration The Chief Legal Officer has advised Meeting years. that the Board may close this portion of The Department of Veterans Affairs D. Plans for April 2021 Distribution— this meeting pursuant to Government in (VA) gives notice under the Federal UCR Depository Manager the Sunshine Act exemptions (9)(B) and Advisory Committee Act, 5 U.S.C. App. (10). By approving this action, the Board 2, that the Advisory Committee on the The UCR Depository Manager will determines that public participation Readjustment of Veterans will hold a discuss the plans for making a second would likely disclose information for virtual meeting. The meetings will begin distribution of funds to the remaining which premature disclosure would and end as follows: states that have not yet achieved their likely frustrate implementation of a full revenue entitlements for the 2021 proposed agency action and/or Date: Time: Open session: registration year. specifically concern the discussion of March 22, 2021 4:10 p.m. to 5:00 Yes. E. Plans for Additional Subcommittee information, the premature disclosure of p.m. EST. Meetings in 2021—UCR Finance which would likely negatively impact Subcommittee Chair the agency’s participation in an ongoing The meeting session is open to the civil action or proceeding. Therefore, by public. The UCR Finance Subcommittee approving this action, the Board is The purpose of the Committee is to Chair will discuss the plans for holding invoking Exemptions (9)(B) and (10) to advise the Department of Veterans two additional Subcommittee meetings. close this portion of the meeting (5 Affairs (VA) regarding the provision by The first meeting is scheduled for U.S.C. 552b(c)(9)(B) and (10)). VA of benefits and services to assist Thursday, April 1, 2021. A second A copy of the vote on the closure of Veterans in the readjustment to civilian meeting is planned for mid-May. A date this portion of this meeting shall be life. In carrying out this duty, the has not yet been finalized for this made publicly available on the Unified Committee shall take into account the meeting. Carrier Registration Plan website within needs of Veterans who served in combat one day of the vote taken herein theaters of operation. The Committee Education and Training (https://plan.ucr.gov). Subcommittee—UCR Education and assembles, reviews, and assesses Training Subcommittee Chair X. Discussion and Possible UCR Board information relating to the needs of Veterans readjusting to civilian life and • Action Concerning the March 2019 Update on Basic Audit Training Data Event—UCR Chief Legal Officer the effectiveness of VA services in Module and Flow Chart/Decision Tree— assisting Veterans in that readjustment. UCR Education and Training For Discussion and Possible Action The Committee, comprised of 13 Subcommittee Chair The UCR Chief Legal Officer will subject matter experts, advises the The UCR Education and Training discuss available legal and financial Secretary, through the VA Readjustment Subcommittee Chair will provide an options for obtaining reimbursement of Counseling Service, on the provision by update on the development of the Basic the costs and expenses incurred by the VA of benefits and services to assist Audit Training Module and Flow Chart/ UCR as a result of the March 2019 Data Veterans in the readjustment to civilian Decision Tree. Event. The Board may adopt legal and/ life. In carrying out this duty, the or financial courses of action to obtain Committee assembles, reviews, and IX. Contractor Reports—UCR Executive reimbursement. assesses information relating to the Director needs of Veterans readjusting to civilian Portions Open to the Public • UCR Executive Director’s Report life and the effectiveness of VA services XI. Other Business—UCR Board Chair in assisting Veterans in that The UCR Executive Director will The UCR Board Chair will call for any readjustment, specifically taking into provide a report covering recent activity business, old or new, from the floor. account the needs of Veterans who for the UCR Plan. served in combat theaters of operation. XII. Adjournment—UCR Board Chair • DSL Transportation Services, Inc. On March 22, 2021, the agenda will The UCR Board Chair will adjourn the include review of the Committee’s 21st DSL Transportation Services, Inc. will meeting. annual report, from 4:10 p.m.–5:00 p.m., report on the latest data from the FARs This agenda will be available no later For public members wishing to join the program, discuss motor carrier than 5:00 p.m. Eastern time, March 4, meeting, please use the following inspection results, and other matters. 2021 at: https://plan.ucr.gov. Webex link: https://
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veteransaffairs.webex.com/webappng/ ACTION: Notice. Type of Review: Extension of a sites/veteransaffairs/meeting/download/ currently approved collection. a7dab2e27f9141489feb92e312c90050? SUMMARY: In compliance with the Paperwork Reduction Act (PRA) of Abstract: VA Form 27–2008 is used siteurl=veteransaffairs&MTID=md879f for family members and/or next-of-kin 953bd7df38a4a112fe79318136b. 1995, this notice announces that the No time will be allotted for receiving Veterans Benefits Administration, to apply for a burial flag. oral comments from the public; Department of Veterans Affairs, will An agency may not conduct or however, the committee will accept submit the collection of information sponsor, and a person is not required to written comments from interested abstracted below to the Office of respond to a collection of information parties on issues outlined in the meeting Management and Budget (OMB) for unless it displays a currently valid OMB agenda or other issues regarding the review and comment. The PRA control number. The Federal Register readjustment of Veterans. Parties should submission describes the nature of the Notice with a 60-day comment period contact Mr. Richard Barbato via email at information collection and its expected soliciting comments on this collection [email protected], or by mail at cost and burden and it includes the of information was published at 85 FR Department of Veterans Affairs, actual data collection instrument. 250 on December 30, 2020, pages 86652 Readjustment Counseling Service DATES: Written comments and and 86653. (10RCS), 810 Vermont Avenue, recommendations for the proposed Washington, DC 20420. Any member of Affected Public: Individuals or information collection should be sent Households. the public seeking additional within 30 days of publication of this information should contact Mr. Barbato notice to www.reginfo.gov/public/do/ Estimated Annual Burden: 535,026. at the phone number or email addressed PRAMain. Find this particular Estimated Average Burden per noted above. information collection by selecting Respondent: 15 minutes. Dated: March 4, 2021. ‘‘Currently under 30-day Review—Open Frequency of Response: On Occasion. Jelessa M. Burney, for Public Comments’’ or by using the Federal Advisory Committee Management search function. Refer to ‘‘OMB Control Estimated Number of Respondents: Officer. No. 2900–0013. 753,000. [FR Doc. 2021–04839 Filed 3–8–21; 8:45 am] FOR FURTHER INFORMATION CONTACT: By direction of the Secretary. BILLING CODE 8320–01–P Maribel Aponte, Office of Enterprise Maribel Aponte, and Integration, Data Governance VA PRA Clearance Officer, Office of Analytics (008), 1717 H Street NW, Enterprise and Integration, Data Governance DEPARTMENT OF VETERANS Washington, DC 20006, (202) 266–4688 Analytics, Department of Veterans Affairs. AFFAIRS or email [email protected]. Please [FR Doc. 2021–04868 Filed 3–8–21; 8:45 am] refer to ‘‘OMB Control No. 2900–0013’’ [OMB Control No. 2900–0013] BILLING CODE 8320–01–P in any correspondence. Agency Information Collection Activity SUPPLEMENTARY INFORMATION: Under OMB Review: Application for Authority: 38 U.S.C. 2301(f)(1). United States Flag for Burial Purposes Title: Application for United States AGENCY: Veterans Benefits Flag for Burial Purposes, VA Form 27– Administration, Department of Veterans 2008. Affairs. OMB Control Number: 2900–0013.
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Part II
The President
Notice of March 5, 2021—Continuation of the National Emergency With Respect to Iran
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Federal Register Presidential Documents Vol. 86, No. 44
Tuesday, March 9, 2021
Title 3— Notice of March 5, 2021
The President Continuation of the National Emergency With Respect to Iran
On March 15, 1995, by Executive Order 12957, the President declared a national emergency pursuant to the International Emergency Economic Pow- ers Act (50 U.S.C. 1701–1706) to deal with the unusual and extraordinary threat to the national security, foreign policy, and economy of the United States constituted by the actions and policies of the Government of Iran. On May 6, 1995, the President issued Executive Order 12959, imposing more comprehensive sanctions on Iran to further respond to this threat. On August 19, 1997, the President issued Executive Order 13059, consoli- dating and clarifying those previous orders. The President took additional steps pursuant to this national emergency in Executive Order 13553 of September 28, 2010; Executive Order 13574 of May 23, 2011; Executive Order 13590 of November 20, 2011; Executive Order 13599 of February 5, 2012; Executive Order 13606 of April 22, 2012; Executive Order 13608 of May 1, 2012; Executive Order 13622 of July 30, 2012; Executive Order 13628 of October 9, 2012; Executive Order 13645 of June 3, 2013; Executive Order 13716 of January 16, 2016, which revoked Executive Orders 13574, 13590, 13622, 13645 and provisions of Executive Order 13628; Executive Order 13846 of August 6, 2018, which revoked Executive Orders 13716 and 13628; Executive Order 13871 of May 8, 2019; Executive Order 13876 of June 24, 2019; Executive Order 13902 of January 10, 2020; and Executive Order 13949 of September 21, 2020. The actions and policies of the Government of Iran—including its prolifera- tion and development of missiles and other asymmetric and conventional weapons capabilities, its network and campaign of regional aggression, its support for terrorist groups, and the malign activities of the Islamic Revolu- tionary Guard Corps and its surrogates—continue to pose an unusual and extraordinary threat to the national security, foreign policy, and economy of the United States. For these reasons, the national emergency declared on March 15, 1995, must continue in effect beyond March 15, 2021. Therefore, in accordance with section 202(d) of the National Emergencies Act (50 U.S.C. 1622(d)), I am continuing for 1 year the national emergency with respect to Iran declared in Executive Order 12957. The emergency declared by Executive Order 12957 constitutes an emergency separate from that declared on Novem- ber 14, 1979, by Executive Order 12170 in connection with the hostage crisis. This renewal, therefore, is distinct from the emergency renewal of November 2020.
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This notice shall be published in the Federal Register and transmitted to the Congress.
THE WHITE HOUSE, March 5, 2021.
[FR Doc. 2021–05037 Filed 3–8–21; 11:15 am] Billing code 3295–F1–P
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Reader Aids Federal Register Vol. 86, No. 44 Tuesday, March 9, 2021
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING MARCH
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. 14 CFR Presidential Documents 3 CFR Executive orders and proclamations 741–6000 Proclamations: 39 ...... 12086, 12802, 12804, 12807, 12809, 13157, 13159, The United States Government Manual 741–6000 10149...... 11847 10150...... 12515 13162, 13165, 13443, 13445 Other Services 10151...... 12517 71 ...... 11859, 11860, 13168, Electronic and on-line services (voice) 741–6020 10152...... 12519 13169, 13171, 13172, 13447, Privacy Act Compilation 741–6050 10153...... 12523 13448 10154...... 12525 97 ...... 12812, 12815, 12816, 10155...... 12527 12819 ELECTRONIC RESEARCH 401...... 13448 Executive Orders: 404...... 13448 World Wide Web 14017...... 11849 14018...... 11855 413...... 13448 Full text of the daily Federal Register, CFR and other publications 414...... 13448 Administrative Orders: 415...... 13448 is located at: www.govinfo.gov. Notices: 417...... 13448 Notice of March 2, Federal Register information and research tools, including Public 420...... 13448 2021 ...... 12793 Inspection List and electronic text are located at: 431...... 13448 Notice of March 2, www.federalregister.gov. 433...... 13448 2021 ...... 12795 435...... 13448 E-mail Notice of March 2, 437...... 13448 2021 ...... 12797 FEDREGTOC (Daily Federal Register Table of Contents Electronic 440...... 13448 Notice of March 5, Mailing List) is an open e-mail service that provides subscribers 450...... 13448 2021 ...... 13621 with a digital form of the Federal Register Table of Contents. The 460...... 13448 digital form of the Federal Register Table of Contents includes 5 CFR Proposed Rules: HTML and PDF links to the full text of each document. 532...... 11857, 12799 39 ...... 12127, 12294, 12550, 12857, 12862, 13222, 13225, To join or leave, go to https://public.govdelivery.com/accounts/ Proposed Rules: 13228, 13229, 13232, 13234, USGPOOFR/subscriber/new, enter your email address, then 849...... 13217 follow the instructions to join, leave, or manage your 13237, 13239, 13502, 13505 subscription. 7 CFR 71 ...... 12129, 12865, 12866, 12868, 13242, 13244, 13246, PENS (Public Law Electronic Notification Service) is an e-mail 983...... 12799 13247, 13249 service that notifies subscribers of recently enacted laws. Proposed Rules: 73...... 12552 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 800...... 12119 and select Join or leave the list (or change settings); then follow 984...... 12837 15 CFR the instructions. 9 CFR 740...... 13173 FEDREGTOC and PENS are mailing lists only. We cannot Proposed Rules: 742...... 13173 respond to specific inquiries. Ch. I ...... 13221 744 ...... 12529, 13173, 13179 Reference questions. Send questions and comments about the Ch. III ...... 13221 16 CFR Federal Register system to: [email protected] 149...... 12293 307...... 12122 317...... 12091 The Federal Register staff cannot interpret specific documents or 350...... 12122 regulations. 17 CFR 352...... 12122 354...... 12122 275...... 13024 FEDERAL REGISTER PAGES AND DATE, MARCH 362...... 12122 279...... 13024 381...... 12122 18 CFR 11847–12078...... 1 533...... 12122 12079–12256...... 2 590...... 12122 157...... 12257 12257–12514...... 3 592...... 12122 Proposed Rules: 12515–12798...... 4 4...... 13506 12799–13148...... 5 12 CFR 5...... 13506 13149–13442...... 8 302...... 12079 35...... 12132 13443–13622...... 9 Proposed Rules: 284...... 12132, 12879 700...... 13494 19 CFR 701...... 13494 702...... 13498 Ch. I ...... 12534 703...... 13494, 13498 704...... 13494 21 CFR 713...... 13494 510...... 13181 1026...... 12839 516...... 13181 520...... 13181 13 CFR 522...... 13181 120...... 13149 524...... 13181
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526...... 13181 50...... 12537 282...... 12110 9...... 12399 529...... 13181 Proposed Rules: 15...... 13266 556...... 13181 33 CFR 52 ...... 11913, 11915, 12143, 25...... 13266 558...... 13181 117...... 12821 12305, 12310, 12554, 12889, 27...... 12146, 13266 1308...... 11862, 12257 165 ...... 12539, 12541, 12543 13254, 13256, 13260, 13264, 63...... 12312 Proposed Rules: Proposed Rules: 13511, 13514 73 ...... 12161, 12162, 12163, 1308...... 12296 96...... 11913 62...... 11916 12556, 12898, 13278, 13516 165...... 12887 81...... 12892 101...... 13266 22 CFR 271...... 12895 Proposed Rules: 34 CFR 282...... 12145 49 CFR 213...... 11905 Proposed Rules: 191...... 12834 Ch. III ...... 12136 44 CFR 192...... 12834, 12835 26 CFR 361...... 13511 64...... 12117 209...... 11888 1...... 12821, 13191 211...... 11888 Proposed Rules: 37 CFR 46 CFR 389...... 11891 1...... 12886, 13250 210...... 12822 Proposed Rules: 71...... 11913 50 CFR 29 CFR 40 CFR 115...... 11913 17 ...... 11892, 13200, 13465 780...... 12535 49...... 12260 176...... 11913 300...... 13475 788...... 12535 52 ...... 11867, 11870, 11872, 635 ...... 12291, 12548, 13491 795...... 12535 11873, 11875, 11878, 12092, 47 CFR 679 ...... 11895, 13215, 13493 Proposed Rules: 12095, 12107, 12263, 12265, 0...... 12545 680...... 11895 2204...... 13251 12270, 12827, 13191 1...... 12545 Proposed Rules: 62...... 12109, 13459 25...... 11880 17...... 12563 31 CFR 81...... 12107 Proposed Rules: 223...... 13517, 13518 16...... 12537 141...... 12272 1 ...... 12146, 12312, 12556, 226...... 13517, 13518 27...... 12537 180 ...... 12829, 13196, 13459 12898 622...... 12163, 12166 35...... 13449 271...... 12834 2...... 13266 648...... 12591
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